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Report Audit Committee
Committee of the Council of
The Corporation of the City of Brampton lower City
Date January 14 2015 Audit Committee
File GEa Date fekiftjQrtj ^ jfo|S Subject Driver Certification Program Benchmark Compliance Audit
Contact Nicole Anderson Manager Internal Audit Internal Audit Division
Overview
bull Internal Audit conducted two special audits (not on 2014 Work Plan) at the request of the Department
bull The audits were conducted in conformance with the International Standards for
the Professional Practice of Internal Auditing as well as in conformance with the requirements outlined by the Ministry of Transportation
bull Driver Certification Program benchmark compliance audits were performed on behalf of Brampton Transit and Fleet Services division of the Public Services Department and Planning and Infrastructure respectively
bull Based on the results of the audits it is Internal Audits opinion that both Transit and Fleet Services are in compliance with the driver certification program requirements
Recommendations
That the report from Nicole Anderson Manager Internal Audit dated January 14 2015 to the Audit Committee Meeting of February 25 2015 re Driver Certification Program Benchmark Compliance Audit (File GEa) be received
Background
Brampton Transit and Fleet Services are recognized authorities for more than 15 years under the Ministry of Transportations driver certification program Under this program they are authorized to provide instructions conduct examinations and grant license upgrades for several classifications
Previously the Ministry of Transportation conducted the compliance audits however the Ministry changed the program this year requiring the Recognized Authorities to arrange and have the audits conducted by an independent auditor
ev-^
Current Situation
Internal Audit conducted the 2014 Drivers Certification Program Benchmark Compliance audit for Brampton Transit and Brampton Fleet Services The reports were due to the Ministry of Transportation by October 30 2014
Internal Audit completed the compliance audits in conformance with the requirements of the Ministry of Transportation
Conclusion
Internal Audit concluded that Brampton Transit and Fleet Services were in compliance with the Driver Certification Program requirements
2E5i55^1 Name Nicole Anderson me Catherine Spence Title Manager Internal Audit JQJIe Director Internal Audit
Appendices
Appendix A Brampton Transit Driver Certification Program Benchmark Compliance Audit Report
Appendix B Brampton Fleet Services Driver Certification Program Benchmark Compliance Audit Report
Report authored by Nicole Anderson
Manager Internal Audit
Appendix A
Part 2 - Driver Certification Program (PCP) Benchmark Compliance Audit Report (For existing DCP participants)
Date of Audit Completed October 302014
Recognized Authority (RA) Brampton Transit
RA Municipal Address 130 Sandalwood Parkway Brampton L7A 0L1
File Location Same as above (ifdifferent than above)
Training Location Same as above (ifdifferent than above)
RA 22-2-03
RA Official Peter Alder Senior Manager Operations Phone 905-874-2750 Ext 62625 Email PeterAlderbramptonca
Summary of Findings
Number of program infractions Minor None
Major None
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q] Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 905-874-3836 Auditors email NicoleAndersonbramptonca
Page 1 of 10
E1-^
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials D
By signing below I certify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions I further certify that my other commitments relationships or financial interests have not or could not be seen to have compromised impaired or otherwise have been incompatible with the audit
Signature of Auditor Date
Type of Recognized Authority
Private Business Industry Coach Bus bull School Bus bull Fleet D
Government
Municipalities IS Public Transit E
(or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges
Community College Air brake (Z) bull Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull M1(M)D M2(M)D
Safety Organization
Page 2 of 10
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Air Brake Safety Organization bull Motorcycle Safety Organization D M1 bull
M1(L) D M1(M)D
Class of Authority Granted
bull El bull bull bull bull A A(R) B D E F
M2 bull
M2(L) D M2(M)D
bull M2
Date of Last Inspection (ddmmyear) 29052013
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
Program Participant
1) Recognized Authority (RA)
Program Participant
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver
Certification Program Manual 14 Confirm RA is not a truck
driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and
individual SAs) see section 22212 in the DCP manual)
Program Requirement
Infraction Pass Fail NA Comments Level (if failed checked please
provide details) GENERAL 3EQUIREME NTS
Minor
S bull bull
Minor H bull bull
Minor Z bull bull
Major
S bull bull
Major
H bull bull
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Page 3 of 10
BU-W
16 Ensure at least one
qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA
duties and responsibilities See section 233 in the DCP
manual
19 Ensure SAs continue to
meet all eligibility criteria Complete section 3 below Also see 223 in the DCP
manual
110 Ensure all SAs are
present andor available at audits See section 232 in the
DCP manual
111 RA is not found to be
subject of a violation or order related to driver education or
training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Major
m bull D
Major X bull bull
Minor
reg D bull
Major
IE) bull bull
Minor
H D bull
Minor or
Major (dependin
reg bull bullg on the infraction)
Major
M bull bull
STOCK
Minor
m bull D
Program Program Requirement Infraction Pass Fail NA Comments
Participant Level (if failed checked please |
Page 4 of 10
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114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441
in the DCP manual
115 Ensure RA has maintained
Driver and Master files as per ministry standards See section 2410 and 2411 in the
DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained
the driver documents in the
Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all
record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
provide details) Major
bull bull
DRIVER FILES
Minor
bull bull
Minor
ISI bull bull
Minor
S bull bull
FACILITIESTEACHING AIDS
118 Provide training and Major testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting Major facilities are in a non-residential
location See section 2224 in
the DCP manual for
exemptions
bull bull
bull bull
Municipalities are exempt from this
requirement
Program Program Requirement Infraction Pass Fail NA Comments Participant Level (if failed checked please
Page 5 of 10
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120 Ensure the RA
ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP
Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section
22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
VEHICLE gtUS 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section
2225 in the DCP manual for a
list of exemptions
125 Ensure vehicles
used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist
form See section 2225 in the
DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form
See section 12 in the DCP
Agreement Program Program Requirement
provide details) Minor Municipalities are
exempt from this 3bull bull x
requirement
Major
X bull bull
Minor
M bull 1 i
bullI 1
Minor
B bull bull
H TRAINING A NDTES1
Major Municipalities are (exemptio exempt from this
r bull mdash1 1 bull i
ns bull bull H requirement granted)
bull
Minor
El bull bull
Major
El bull bull
Infraction Pass Fail NA Comments
Page 6 of 10
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Participant
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overall sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3122 in the DCP
manual (Review 10 of the overall sample size) b) A minimum of one on-site Ministry- approved M1 SA is supervising the entire training course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 SA is conducting all M1 testing following delivery of the MTO-approved training course See section 3122 in the DCP manual (Review 10 of the overall sample size) 131 For the M2 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3246 in the DCP
manual (Review 10 of the overall sample size)
Level
TRAINING AND T ESTING
Minor
a bull bull
Major
h bull bull
Major X bull bull
Major bull bull M
Major bull bull m
Major bull bull X
Major
bull bull reg
(if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M2
Page 7 of 10
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Program Participant
2) Recognize d Authority Official
(RAO)
3) Signing Authority (SA)
Program Requirement
b) All instructors are Ministry approved M2 SAs (requirement for M2 training and testing) See section 3246 in the DCP
manual (Review 10 of the overall sample size) c) Only a Ministry-approved M2 SA is conducting all M2 testing following delivery of the MTO-approved training course See section 3246 in the DCP
manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the
studentinstructor training ratio does not exceed ministry standards of 151 student to
trainer See section 325 in the
DCP manual (Review 10 of the overall sample size)
21 Primary work location is in Ontario
22 Satisfactory criminal record check within 1 year of the date of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
31 Ensure SA marks test
papers accurately and stores them in the Drivers File See
section 3221 and 3314 in
the DCP manual (Review 10 of the overall sample size)
Infraction Pass Fail NA Level
Major
bull bull X
Major
bull bull
Major X bull bull
GENERAL F EQUIRE
Major H bull bull
Major
El bull bull
Major
El bull bull
Major
m bull bull
GENERAL F EQUIREMEN
Major
M bull bull
Comments (if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M2
RA is not authorized and
does not train and test
for licence class M2
Page 8 of 10
eu-u
1 Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See
section 3221 and 3314 in
the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains
complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size) 34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual
(Review 10 of the overall sample size)
35 Ensure SA conducts
roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual
(Review 10 of the overall sample size)
36 SA assists auditors as
requested See section 233 in the DCP manual
37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Infraction Level
Minor
Pass Fail NA Comments (if failed checked please provide details)
a bull bull
Major
El bull bull
Major
El bull bull
Major
X bull bull
Minor
Major
x bull bull
El bull bull
Page 9 of 10
Ev-a
Program Program Requirement Participant
38 [For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA
provides training and testing
39 (For out-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP
manual
310 Satisfactory criminal reco rd check within 1 year of thee ate of this audit See
section 2235 in the DCP
man jal (Review 10 of the overall sample size)
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Major bull D h The RA has no SAs that
are out-of-province drivers
Major The RA has no SAs that
are out-of-province drivers
bull bull m
Major m bull bull
Page 10 of 10
Appendix B
Part 2 - Driver Certification Program (DCP) Benchmark Compliance Audit Report (Forexisting DCP participants)
Date ofAudit Completed October 302014 (updated Nov 272014)
Recognized Authority (RA) Brampton Fleet
RA Municipal Address 425 Chrysler Drive Brampton L7A 0L1
File Location Same as above (if different than above)
Training Location Same as above (if different than above)
RA 22-2-11
RA Official Chris Chiaravallotti Director Fleet Service Phone 905-458-4888 Ext 63100 Email ChrisChiaravallottibramptonca
Summary of Findings
Number of program infractions Minor none Major none
Total Program Infractions none
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 9058743836 Auditors email NicoleAnderson bramptonca
Page 1 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
ev-^
Current Situation
Internal Audit conducted the 2014 Drivers Certification Program Benchmark Compliance audit for Brampton Transit and Brampton Fleet Services The reports were due to the Ministry of Transportation by October 30 2014
Internal Audit completed the compliance audits in conformance with the requirements of the Ministry of Transportation
Conclusion
Internal Audit concluded that Brampton Transit and Fleet Services were in compliance with the Driver Certification Program requirements
2E5i55^1 Name Nicole Anderson me Catherine Spence Title Manager Internal Audit JQJIe Director Internal Audit
Appendices
Appendix A Brampton Transit Driver Certification Program Benchmark Compliance Audit Report
Appendix B Brampton Fleet Services Driver Certification Program Benchmark Compliance Audit Report
Report authored by Nicole Anderson
Manager Internal Audit
Appendix A
Part 2 - Driver Certification Program (PCP) Benchmark Compliance Audit Report (For existing DCP participants)
Date of Audit Completed October 302014
Recognized Authority (RA) Brampton Transit
RA Municipal Address 130 Sandalwood Parkway Brampton L7A 0L1
File Location Same as above (ifdifferent than above)
Training Location Same as above (ifdifferent than above)
RA 22-2-03
RA Official Peter Alder Senior Manager Operations Phone 905-874-2750 Ext 62625 Email PeterAlderbramptonca
Summary of Findings
Number of program infractions Minor None
Major None
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q] Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 905-874-3836 Auditors email NicoleAndersonbramptonca
Page 1 of 10
E1-^
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials D
By signing below I certify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions I further certify that my other commitments relationships or financial interests have not or could not be seen to have compromised impaired or otherwise have been incompatible with the audit
Signature of Auditor Date
Type of Recognized Authority
Private Business Industry Coach Bus bull School Bus bull Fleet D
Government
Municipalities IS Public Transit E
(or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges
Community College Air brake (Z) bull Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull M1(M)D M2(M)D
Safety Organization
Page 2 of 10
poundU-5
Air Brake Safety Organization bull Motorcycle Safety Organization D M1 bull
M1(L) D M1(M)D
Class of Authority Granted
bull El bull bull bull bull A A(R) B D E F
M2 bull
M2(L) D M2(M)D
bull M2
Date of Last Inspection (ddmmyear) 29052013
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
Program Participant
1) Recognized Authority (RA)
Program Participant
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver
Certification Program Manual 14 Confirm RA is not a truck
driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and
individual SAs) see section 22212 in the DCP manual)
Program Requirement
Infraction Pass Fail NA Comments Level (if failed checked please
provide details) GENERAL 3EQUIREME NTS
Minor
S bull bull
Minor H bull bull
Minor Z bull bull
Major
S bull bull
Major
H bull bull
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Page 3 of 10
BU-W
16 Ensure at least one
qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA
duties and responsibilities See section 233 in the DCP
manual
19 Ensure SAs continue to
meet all eligibility criteria Complete section 3 below Also see 223 in the DCP
manual
110 Ensure all SAs are
present andor available at audits See section 232 in the
DCP manual
111 RA is not found to be
subject of a violation or order related to driver education or
training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Major
m bull D
Major X bull bull
Minor
reg D bull
Major
IE) bull bull
Minor
H D bull
Minor or
Major (dependin
reg bull bullg on the infraction)
Major
M bull bull
STOCK
Minor
m bull D
Program Program Requirement Infraction Pass Fail NA Comments
Participant Level (if failed checked please |
Page 4 of 10
poundU~-
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441
in the DCP manual
115 Ensure RA has maintained
Driver and Master files as per ministry standards See section 2410 and 2411 in the
DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained
the driver documents in the
Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all
record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
provide details) Major
bull bull
DRIVER FILES
Minor
bull bull
Minor
ISI bull bull
Minor
S bull bull
FACILITIESTEACHING AIDS
118 Provide training and Major testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting Major facilities are in a non-residential
location See section 2224 in
the DCP manual for
exemptions
bull bull
bull bull
Municipalities are exempt from this
requirement
Program Program Requirement Infraction Pass Fail NA Comments Participant Level (if failed checked please
Page 5 of 10
eu-s
120 Ensure the RA
ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP
Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section
22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
VEHICLE gtUS 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section
2225 in the DCP manual for a
list of exemptions
125 Ensure vehicles
used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist
form See section 2225 in the
DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form
See section 12 in the DCP
Agreement Program Program Requirement
provide details) Minor Municipalities are
exempt from this 3bull bull x
requirement
Major
X bull bull
Minor
M bull 1 i
bullI 1
Minor
B bull bull
H TRAINING A NDTES1
Major Municipalities are (exemptio exempt from this
r bull mdash1 1 bull i
ns bull bull H requirement granted)
bull
Minor
El bull bull
Major
El bull bull
Infraction Pass Fail NA Comments
Page 6 of 10
poundl-^
Participant
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overall sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3122 in the DCP
manual (Review 10 of the overall sample size) b) A minimum of one on-site Ministry- approved M1 SA is supervising the entire training course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 SA is conducting all M1 testing following delivery of the MTO-approved training course See section 3122 in the DCP manual (Review 10 of the overall sample size) 131 For the M2 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3246 in the DCP
manual (Review 10 of the overall sample size)
Level
TRAINING AND T ESTING
Minor
a bull bull
Major
h bull bull
Major X bull bull
Major bull bull M
Major bull bull m
Major bull bull X
Major
bull bull reg
(if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M2
Page 7 of 10
EU-lo
Program Participant
2) Recognize d Authority Official
(RAO)
3) Signing Authority (SA)
Program Requirement
b) All instructors are Ministry approved M2 SAs (requirement for M2 training and testing) See section 3246 in the DCP
manual (Review 10 of the overall sample size) c) Only a Ministry-approved M2 SA is conducting all M2 testing following delivery of the MTO-approved training course See section 3246 in the DCP
manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the
studentinstructor training ratio does not exceed ministry standards of 151 student to
trainer See section 325 in the
DCP manual (Review 10 of the overall sample size)
21 Primary work location is in Ontario
22 Satisfactory criminal record check within 1 year of the date of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
31 Ensure SA marks test
papers accurately and stores them in the Drivers File See
section 3221 and 3314 in
the DCP manual (Review 10 of the overall sample size)
Infraction Pass Fail NA Level
Major
bull bull X
Major
bull bull
Major X bull bull
GENERAL F EQUIRE
Major H bull bull
Major
El bull bull
Major
El bull bull
Major
m bull bull
GENERAL F EQUIREMEN
Major
M bull bull
Comments (if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M2
RA is not authorized and
does not train and test
for licence class M2
Page 8 of 10
eu-u
1 Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See
section 3221 and 3314 in
the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains
complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size) 34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual
(Review 10 of the overall sample size)
35 Ensure SA conducts
roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual
(Review 10 of the overall sample size)
36 SA assists auditors as
requested See section 233 in the DCP manual
37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Infraction Level
Minor
Pass Fail NA Comments (if failed checked please provide details)
a bull bull
Major
El bull bull
Major
El bull bull
Major
X bull bull
Minor
Major
x bull bull
El bull bull
Page 9 of 10
Ev-a
Program Program Requirement Participant
38 [For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA
provides training and testing
39 (For out-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP
manual
310 Satisfactory criminal reco rd check within 1 year of thee ate of this audit See
section 2235 in the DCP
man jal (Review 10 of the overall sample size)
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Major bull D h The RA has no SAs that
are out-of-province drivers
Major The RA has no SAs that
are out-of-province drivers
bull bull m
Major m bull bull
Page 10 of 10
Appendix B
Part 2 - Driver Certification Program (DCP) Benchmark Compliance Audit Report (Forexisting DCP participants)
Date ofAudit Completed October 302014 (updated Nov 272014)
Recognized Authority (RA) Brampton Fleet
RA Municipal Address 425 Chrysler Drive Brampton L7A 0L1
File Location Same as above (if different than above)
Training Location Same as above (if different than above)
RA 22-2-11
RA Official Chris Chiaravallotti Director Fleet Service Phone 905-458-4888 Ext 63100 Email ChrisChiaravallottibramptonca
Summary of Findings
Number of program infractions Minor none Major none
Total Program Infractions none
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 9058743836 Auditors email NicoleAnderson bramptonca
Page 1 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
Appendix A
Part 2 - Driver Certification Program (PCP) Benchmark Compliance Audit Report (For existing DCP participants)
Date of Audit Completed October 302014
Recognized Authority (RA) Brampton Transit
RA Municipal Address 130 Sandalwood Parkway Brampton L7A 0L1
File Location Same as above (ifdifferent than above)
Training Location Same as above (ifdifferent than above)
RA 22-2-03
RA Official Peter Alder Senior Manager Operations Phone 905-874-2750 Ext 62625 Email PeterAlderbramptonca
Summary of Findings
Number of program infractions Minor None
Major None
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q] Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 905-874-3836 Auditors email NicoleAndersonbramptonca
Page 1 of 10
E1-^
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials D
By signing below I certify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions I further certify that my other commitments relationships or financial interests have not or could not be seen to have compromised impaired or otherwise have been incompatible with the audit
Signature of Auditor Date
Type of Recognized Authority
Private Business Industry Coach Bus bull School Bus bull Fleet D
Government
Municipalities IS Public Transit E
(or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges
Community College Air brake (Z) bull Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull M1(M)D M2(M)D
Safety Organization
Page 2 of 10
poundU-5
Air Brake Safety Organization bull Motorcycle Safety Organization D M1 bull
M1(L) D M1(M)D
Class of Authority Granted
bull El bull bull bull bull A A(R) B D E F
M2 bull
M2(L) D M2(M)D
bull M2
Date of Last Inspection (ddmmyear) 29052013
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
Program Participant
1) Recognized Authority (RA)
Program Participant
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver
Certification Program Manual 14 Confirm RA is not a truck
driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and
individual SAs) see section 22212 in the DCP manual)
Program Requirement
Infraction Pass Fail NA Comments Level (if failed checked please
provide details) GENERAL 3EQUIREME NTS
Minor
S bull bull
Minor H bull bull
Minor Z bull bull
Major
S bull bull
Major
H bull bull
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Page 3 of 10
BU-W
16 Ensure at least one
qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA
duties and responsibilities See section 233 in the DCP
manual
19 Ensure SAs continue to
meet all eligibility criteria Complete section 3 below Also see 223 in the DCP
manual
110 Ensure all SAs are
present andor available at audits See section 232 in the
DCP manual
111 RA is not found to be
subject of a violation or order related to driver education or
training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Major
m bull D
Major X bull bull
Minor
reg D bull
Major
IE) bull bull
Minor
H D bull
Minor or
Major (dependin
reg bull bullg on the infraction)
Major
M bull bull
STOCK
Minor
m bull D
Program Program Requirement Infraction Pass Fail NA Comments
Participant Level (if failed checked please |
Page 4 of 10
poundU~-
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441
in the DCP manual
115 Ensure RA has maintained
Driver and Master files as per ministry standards See section 2410 and 2411 in the
DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained
the driver documents in the
Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all
record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
provide details) Major
bull bull
DRIVER FILES
Minor
bull bull
Minor
ISI bull bull
Minor
S bull bull
FACILITIESTEACHING AIDS
118 Provide training and Major testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting Major facilities are in a non-residential
location See section 2224 in
the DCP manual for
exemptions
bull bull
bull bull
Municipalities are exempt from this
requirement
Program Program Requirement Infraction Pass Fail NA Comments Participant Level (if failed checked please
Page 5 of 10
eu-s
120 Ensure the RA
ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP
Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section
22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
VEHICLE gtUS 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section
2225 in the DCP manual for a
list of exemptions
125 Ensure vehicles
used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist
form See section 2225 in the
DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form
See section 12 in the DCP
Agreement Program Program Requirement
provide details) Minor Municipalities are
exempt from this 3bull bull x
requirement
Major
X bull bull
Minor
M bull 1 i
bullI 1
Minor
B bull bull
H TRAINING A NDTES1
Major Municipalities are (exemptio exempt from this
r bull mdash1 1 bull i
ns bull bull H requirement granted)
bull
Minor
El bull bull
Major
El bull bull
Infraction Pass Fail NA Comments
Page 6 of 10
poundl-^
Participant
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overall sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3122 in the DCP
manual (Review 10 of the overall sample size) b) A minimum of one on-site Ministry- approved M1 SA is supervising the entire training course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 SA is conducting all M1 testing following delivery of the MTO-approved training course See section 3122 in the DCP manual (Review 10 of the overall sample size) 131 For the M2 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3246 in the DCP
manual (Review 10 of the overall sample size)
Level
TRAINING AND T ESTING
Minor
a bull bull
Major
h bull bull
Major X bull bull
Major bull bull M
Major bull bull m
Major bull bull X
Major
bull bull reg
(if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M2
Page 7 of 10
EU-lo
Program Participant
2) Recognize d Authority Official
(RAO)
3) Signing Authority (SA)
Program Requirement
b) All instructors are Ministry approved M2 SAs (requirement for M2 training and testing) See section 3246 in the DCP
manual (Review 10 of the overall sample size) c) Only a Ministry-approved M2 SA is conducting all M2 testing following delivery of the MTO-approved training course See section 3246 in the DCP
manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the
studentinstructor training ratio does not exceed ministry standards of 151 student to
trainer See section 325 in the
DCP manual (Review 10 of the overall sample size)
21 Primary work location is in Ontario
22 Satisfactory criminal record check within 1 year of the date of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
31 Ensure SA marks test
papers accurately and stores them in the Drivers File See
section 3221 and 3314 in
the DCP manual (Review 10 of the overall sample size)
Infraction Pass Fail NA Level
Major
bull bull X
Major
bull bull
Major X bull bull
GENERAL F EQUIRE
Major H bull bull
Major
El bull bull
Major
El bull bull
Major
m bull bull
GENERAL F EQUIREMEN
Major
M bull bull
Comments (if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M2
RA is not authorized and
does not train and test
for licence class M2
Page 8 of 10
eu-u
1 Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See
section 3221 and 3314 in
the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains
complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size) 34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual
(Review 10 of the overall sample size)
35 Ensure SA conducts
roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual
(Review 10 of the overall sample size)
36 SA assists auditors as
requested See section 233 in the DCP manual
37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Infraction Level
Minor
Pass Fail NA Comments (if failed checked please provide details)
a bull bull
Major
El bull bull
Major
El bull bull
Major
X bull bull
Minor
Major
x bull bull
El bull bull
Page 9 of 10
Ev-a
Program Program Requirement Participant
38 [For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA
provides training and testing
39 (For out-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP
manual
310 Satisfactory criminal reco rd check within 1 year of thee ate of this audit See
section 2235 in the DCP
man jal (Review 10 of the overall sample size)
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Major bull D h The RA has no SAs that
are out-of-province drivers
Major The RA has no SAs that
are out-of-province drivers
bull bull m
Major m bull bull
Page 10 of 10
Appendix B
Part 2 - Driver Certification Program (DCP) Benchmark Compliance Audit Report (Forexisting DCP participants)
Date ofAudit Completed October 302014 (updated Nov 272014)
Recognized Authority (RA) Brampton Fleet
RA Municipal Address 425 Chrysler Drive Brampton L7A 0L1
File Location Same as above (if different than above)
Training Location Same as above (if different than above)
RA 22-2-11
RA Official Chris Chiaravallotti Director Fleet Service Phone 905-458-4888 Ext 63100 Email ChrisChiaravallottibramptonca
Summary of Findings
Number of program infractions Minor none Major none
Total Program Infractions none
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 9058743836 Auditors email NicoleAnderson bramptonca
Page 1 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
E1-^
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials D
By signing below I certify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions I further certify that my other commitments relationships or financial interests have not or could not be seen to have compromised impaired or otherwise have been incompatible with the audit
Signature of Auditor Date
Type of Recognized Authority
Private Business Industry Coach Bus bull School Bus bull Fleet D
Government
Municipalities IS Public Transit E
(or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges
Community College Air brake (Z) bull Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull M1(M)D M2(M)D
Safety Organization
Page 2 of 10
poundU-5
Air Brake Safety Organization bull Motorcycle Safety Organization D M1 bull
M1(L) D M1(M)D
Class of Authority Granted
bull El bull bull bull bull A A(R) B D E F
M2 bull
M2(L) D M2(M)D
bull M2
Date of Last Inspection (ddmmyear) 29052013
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
Program Participant
1) Recognized Authority (RA)
Program Participant
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver
Certification Program Manual 14 Confirm RA is not a truck
driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and
individual SAs) see section 22212 in the DCP manual)
Program Requirement
Infraction Pass Fail NA Comments Level (if failed checked please
provide details) GENERAL 3EQUIREME NTS
Minor
S bull bull
Minor H bull bull
Minor Z bull bull
Major
S bull bull
Major
H bull bull
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Page 3 of 10
BU-W
16 Ensure at least one
qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA
duties and responsibilities See section 233 in the DCP
manual
19 Ensure SAs continue to
meet all eligibility criteria Complete section 3 below Also see 223 in the DCP
manual
110 Ensure all SAs are
present andor available at audits See section 232 in the
DCP manual
111 RA is not found to be
subject of a violation or order related to driver education or
training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Major
m bull D
Major X bull bull
Minor
reg D bull
Major
IE) bull bull
Minor
H D bull
Minor or
Major (dependin
reg bull bullg on the infraction)
Major
M bull bull
STOCK
Minor
m bull D
Program Program Requirement Infraction Pass Fail NA Comments
Participant Level (if failed checked please |
Page 4 of 10
poundU~-
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441
in the DCP manual
115 Ensure RA has maintained
Driver and Master files as per ministry standards See section 2410 and 2411 in the
DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained
the driver documents in the
Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all
record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
provide details) Major
bull bull
DRIVER FILES
Minor
bull bull
Minor
ISI bull bull
Minor
S bull bull
FACILITIESTEACHING AIDS
118 Provide training and Major testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting Major facilities are in a non-residential
location See section 2224 in
the DCP manual for
exemptions
bull bull
bull bull
Municipalities are exempt from this
requirement
Program Program Requirement Infraction Pass Fail NA Comments Participant Level (if failed checked please
Page 5 of 10
eu-s
120 Ensure the RA
ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP
Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section
22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
VEHICLE gtUS 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section
2225 in the DCP manual for a
list of exemptions
125 Ensure vehicles
used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist
form See section 2225 in the
DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form
See section 12 in the DCP
Agreement Program Program Requirement
provide details) Minor Municipalities are
exempt from this 3bull bull x
requirement
Major
X bull bull
Minor
M bull 1 i
bullI 1
Minor
B bull bull
H TRAINING A NDTES1
Major Municipalities are (exemptio exempt from this
r bull mdash1 1 bull i
ns bull bull H requirement granted)
bull
Minor
El bull bull
Major
El bull bull
Infraction Pass Fail NA Comments
Page 6 of 10
poundl-^
Participant
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overall sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3122 in the DCP
manual (Review 10 of the overall sample size) b) A minimum of one on-site Ministry- approved M1 SA is supervising the entire training course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 SA is conducting all M1 testing following delivery of the MTO-approved training course See section 3122 in the DCP manual (Review 10 of the overall sample size) 131 For the M2 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3246 in the DCP
manual (Review 10 of the overall sample size)
Level
TRAINING AND T ESTING
Minor
a bull bull
Major
h bull bull
Major X bull bull
Major bull bull M
Major bull bull m
Major bull bull X
Major
bull bull reg
(if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M2
Page 7 of 10
EU-lo
Program Participant
2) Recognize d Authority Official
(RAO)
3) Signing Authority (SA)
Program Requirement
b) All instructors are Ministry approved M2 SAs (requirement for M2 training and testing) See section 3246 in the DCP
manual (Review 10 of the overall sample size) c) Only a Ministry-approved M2 SA is conducting all M2 testing following delivery of the MTO-approved training course See section 3246 in the DCP
manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the
studentinstructor training ratio does not exceed ministry standards of 151 student to
trainer See section 325 in the
DCP manual (Review 10 of the overall sample size)
21 Primary work location is in Ontario
22 Satisfactory criminal record check within 1 year of the date of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
31 Ensure SA marks test
papers accurately and stores them in the Drivers File See
section 3221 and 3314 in
the DCP manual (Review 10 of the overall sample size)
Infraction Pass Fail NA Level
Major
bull bull X
Major
bull bull
Major X bull bull
GENERAL F EQUIRE
Major H bull bull
Major
El bull bull
Major
El bull bull
Major
m bull bull
GENERAL F EQUIREMEN
Major
M bull bull
Comments (if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M2
RA is not authorized and
does not train and test
for licence class M2
Page 8 of 10
eu-u
1 Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See
section 3221 and 3314 in
the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains
complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size) 34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual
(Review 10 of the overall sample size)
35 Ensure SA conducts
roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual
(Review 10 of the overall sample size)
36 SA assists auditors as
requested See section 233 in the DCP manual
37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Infraction Level
Minor
Pass Fail NA Comments (if failed checked please provide details)
a bull bull
Major
El bull bull
Major
El bull bull
Major
X bull bull
Minor
Major
x bull bull
El bull bull
Page 9 of 10
Ev-a
Program Program Requirement Participant
38 [For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA
provides training and testing
39 (For out-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP
manual
310 Satisfactory criminal reco rd check within 1 year of thee ate of this audit See
section 2235 in the DCP
man jal (Review 10 of the overall sample size)
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Major bull D h The RA has no SAs that
are out-of-province drivers
Major The RA has no SAs that
are out-of-province drivers
bull bull m
Major m bull bull
Page 10 of 10
Appendix B
Part 2 - Driver Certification Program (DCP) Benchmark Compliance Audit Report (Forexisting DCP participants)
Date ofAudit Completed October 302014 (updated Nov 272014)
Recognized Authority (RA) Brampton Fleet
RA Municipal Address 425 Chrysler Drive Brampton L7A 0L1
File Location Same as above (if different than above)
Training Location Same as above (if different than above)
RA 22-2-11
RA Official Chris Chiaravallotti Director Fleet Service Phone 905-458-4888 Ext 63100 Email ChrisChiaravallottibramptonca
Summary of Findings
Number of program infractions Minor none Major none
Total Program Infractions none
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 9058743836 Auditors email NicoleAnderson bramptonca
Page 1 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
poundU-5
Air Brake Safety Organization bull Motorcycle Safety Organization D M1 bull
M1(L) D M1(M)D
Class of Authority Granted
bull El bull bull bull bull A A(R) B D E F
M2 bull
M2(L) D M2(M)D
bull M2
Date of Last Inspection (ddmmyear) 29052013
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
Program Participant
1) Recognized Authority (RA)
Program Participant
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver
Certification Program Manual 14 Confirm RA is not a truck
driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and
individual SAs) see section 22212 in the DCP manual)
Program Requirement
Infraction Pass Fail NA Comments Level (if failed checked please
provide details) GENERAL 3EQUIREME NTS
Minor
S bull bull
Minor H bull bull
Minor Z bull bull
Major
S bull bull
Major
H bull bull
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Page 3 of 10
BU-W
16 Ensure at least one
qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA
duties and responsibilities See section 233 in the DCP
manual
19 Ensure SAs continue to
meet all eligibility criteria Complete section 3 below Also see 223 in the DCP
manual
110 Ensure all SAs are
present andor available at audits See section 232 in the
DCP manual
111 RA is not found to be
subject of a violation or order related to driver education or
training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Major
m bull D
Major X bull bull
Minor
reg D bull
Major
IE) bull bull
Minor
H D bull
Minor or
Major (dependin
reg bull bullg on the infraction)
Major
M bull bull
STOCK
Minor
m bull D
Program Program Requirement Infraction Pass Fail NA Comments
Participant Level (if failed checked please |
Page 4 of 10
poundU~-
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441
in the DCP manual
115 Ensure RA has maintained
Driver and Master files as per ministry standards See section 2410 and 2411 in the
DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained
the driver documents in the
Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all
record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
provide details) Major
bull bull
DRIVER FILES
Minor
bull bull
Minor
ISI bull bull
Minor
S bull bull
FACILITIESTEACHING AIDS
118 Provide training and Major testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting Major facilities are in a non-residential
location See section 2224 in
the DCP manual for
exemptions
bull bull
bull bull
Municipalities are exempt from this
requirement
Program Program Requirement Infraction Pass Fail NA Comments Participant Level (if failed checked please
Page 5 of 10
eu-s
120 Ensure the RA
ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP
Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section
22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
VEHICLE gtUS 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section
2225 in the DCP manual for a
list of exemptions
125 Ensure vehicles
used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist
form See section 2225 in the
DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form
See section 12 in the DCP
Agreement Program Program Requirement
provide details) Minor Municipalities are
exempt from this 3bull bull x
requirement
Major
X bull bull
Minor
M bull 1 i
bullI 1
Minor
B bull bull
H TRAINING A NDTES1
Major Municipalities are (exemptio exempt from this
r bull mdash1 1 bull i
ns bull bull H requirement granted)
bull
Minor
El bull bull
Major
El bull bull
Infraction Pass Fail NA Comments
Page 6 of 10
poundl-^
Participant
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overall sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3122 in the DCP
manual (Review 10 of the overall sample size) b) A minimum of one on-site Ministry- approved M1 SA is supervising the entire training course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 SA is conducting all M1 testing following delivery of the MTO-approved training course See section 3122 in the DCP manual (Review 10 of the overall sample size) 131 For the M2 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3246 in the DCP
manual (Review 10 of the overall sample size)
Level
TRAINING AND T ESTING
Minor
a bull bull
Major
h bull bull
Major X bull bull
Major bull bull M
Major bull bull m
Major bull bull X
Major
bull bull reg
(if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M2
Page 7 of 10
EU-lo
Program Participant
2) Recognize d Authority Official
(RAO)
3) Signing Authority (SA)
Program Requirement
b) All instructors are Ministry approved M2 SAs (requirement for M2 training and testing) See section 3246 in the DCP
manual (Review 10 of the overall sample size) c) Only a Ministry-approved M2 SA is conducting all M2 testing following delivery of the MTO-approved training course See section 3246 in the DCP
manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the
studentinstructor training ratio does not exceed ministry standards of 151 student to
trainer See section 325 in the
DCP manual (Review 10 of the overall sample size)
21 Primary work location is in Ontario
22 Satisfactory criminal record check within 1 year of the date of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
31 Ensure SA marks test
papers accurately and stores them in the Drivers File See
section 3221 and 3314 in
the DCP manual (Review 10 of the overall sample size)
Infraction Pass Fail NA Level
Major
bull bull X
Major
bull bull
Major X bull bull
GENERAL F EQUIRE
Major H bull bull
Major
El bull bull
Major
El bull bull
Major
m bull bull
GENERAL F EQUIREMEN
Major
M bull bull
Comments (if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M2
RA is not authorized and
does not train and test
for licence class M2
Page 8 of 10
eu-u
1 Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See
section 3221 and 3314 in
the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains
complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size) 34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual
(Review 10 of the overall sample size)
35 Ensure SA conducts
roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual
(Review 10 of the overall sample size)
36 SA assists auditors as
requested See section 233 in the DCP manual
37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Infraction Level
Minor
Pass Fail NA Comments (if failed checked please provide details)
a bull bull
Major
El bull bull
Major
El bull bull
Major
X bull bull
Minor
Major
x bull bull
El bull bull
Page 9 of 10
Ev-a
Program Program Requirement Participant
38 [For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA
provides training and testing
39 (For out-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP
manual
310 Satisfactory criminal reco rd check within 1 year of thee ate of this audit See
section 2235 in the DCP
man jal (Review 10 of the overall sample size)
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Major bull D h The RA has no SAs that
are out-of-province drivers
Major The RA has no SAs that
are out-of-province drivers
bull bull m
Major m bull bull
Page 10 of 10
Appendix B
Part 2 - Driver Certification Program (DCP) Benchmark Compliance Audit Report (Forexisting DCP participants)
Date ofAudit Completed October 302014 (updated Nov 272014)
Recognized Authority (RA) Brampton Fleet
RA Municipal Address 425 Chrysler Drive Brampton L7A 0L1
File Location Same as above (if different than above)
Training Location Same as above (if different than above)
RA 22-2-11
RA Official Chris Chiaravallotti Director Fleet Service Phone 905-458-4888 Ext 63100 Email ChrisChiaravallottibramptonca
Summary of Findings
Number of program infractions Minor none Major none
Total Program Infractions none
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 9058743836 Auditors email NicoleAnderson bramptonca
Page 1 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
BU-W
16 Ensure at least one
qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA
duties and responsibilities See section 233 in the DCP
manual
19 Ensure SAs continue to
meet all eligibility criteria Complete section 3 below Also see 223 in the DCP
manual
110 Ensure all SAs are
present andor available at audits See section 232 in the
DCP manual
111 RA is not found to be
subject of a violation or order related to driver education or
training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Major
m bull D
Major X bull bull
Minor
reg D bull
Major
IE) bull bull
Minor
H D bull
Minor or
Major (dependin
reg bull bullg on the infraction)
Major
M bull bull
STOCK
Minor
m bull D
Program Program Requirement Infraction Pass Fail NA Comments
Participant Level (if failed checked please |
Page 4 of 10
poundU~-
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441
in the DCP manual
115 Ensure RA has maintained
Driver and Master files as per ministry standards See section 2410 and 2411 in the
DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained
the driver documents in the
Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all
record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
provide details) Major
bull bull
DRIVER FILES
Minor
bull bull
Minor
ISI bull bull
Minor
S bull bull
FACILITIESTEACHING AIDS
118 Provide training and Major testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting Major facilities are in a non-residential
location See section 2224 in
the DCP manual for
exemptions
bull bull
bull bull
Municipalities are exempt from this
requirement
Program Program Requirement Infraction Pass Fail NA Comments Participant Level (if failed checked please
Page 5 of 10
eu-s
120 Ensure the RA
ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP
Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section
22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
VEHICLE gtUS 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section
2225 in the DCP manual for a
list of exemptions
125 Ensure vehicles
used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist
form See section 2225 in the
DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form
See section 12 in the DCP
Agreement Program Program Requirement
provide details) Minor Municipalities are
exempt from this 3bull bull x
requirement
Major
X bull bull
Minor
M bull 1 i
bullI 1
Minor
B bull bull
H TRAINING A NDTES1
Major Municipalities are (exemptio exempt from this
r bull mdash1 1 bull i
ns bull bull H requirement granted)
bull
Minor
El bull bull
Major
El bull bull
Infraction Pass Fail NA Comments
Page 6 of 10
poundl-^
Participant
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overall sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3122 in the DCP
manual (Review 10 of the overall sample size) b) A minimum of one on-site Ministry- approved M1 SA is supervising the entire training course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 SA is conducting all M1 testing following delivery of the MTO-approved training course See section 3122 in the DCP manual (Review 10 of the overall sample size) 131 For the M2 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3246 in the DCP
manual (Review 10 of the overall sample size)
Level
TRAINING AND T ESTING
Minor
a bull bull
Major
h bull bull
Major X bull bull
Major bull bull M
Major bull bull m
Major bull bull X
Major
bull bull reg
(if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M2
Page 7 of 10
EU-lo
Program Participant
2) Recognize d Authority Official
(RAO)
3) Signing Authority (SA)
Program Requirement
b) All instructors are Ministry approved M2 SAs (requirement for M2 training and testing) See section 3246 in the DCP
manual (Review 10 of the overall sample size) c) Only a Ministry-approved M2 SA is conducting all M2 testing following delivery of the MTO-approved training course See section 3246 in the DCP
manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the
studentinstructor training ratio does not exceed ministry standards of 151 student to
trainer See section 325 in the
DCP manual (Review 10 of the overall sample size)
21 Primary work location is in Ontario
22 Satisfactory criminal record check within 1 year of the date of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
31 Ensure SA marks test
papers accurately and stores them in the Drivers File See
section 3221 and 3314 in
the DCP manual (Review 10 of the overall sample size)
Infraction Pass Fail NA Level
Major
bull bull X
Major
bull bull
Major X bull bull
GENERAL F EQUIRE
Major H bull bull
Major
El bull bull
Major
El bull bull
Major
m bull bull
GENERAL F EQUIREMEN
Major
M bull bull
Comments (if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M2
RA is not authorized and
does not train and test
for licence class M2
Page 8 of 10
eu-u
1 Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See
section 3221 and 3314 in
the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains
complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size) 34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual
(Review 10 of the overall sample size)
35 Ensure SA conducts
roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual
(Review 10 of the overall sample size)
36 SA assists auditors as
requested See section 233 in the DCP manual
37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Infraction Level
Minor
Pass Fail NA Comments (if failed checked please provide details)
a bull bull
Major
El bull bull
Major
El bull bull
Major
X bull bull
Minor
Major
x bull bull
El bull bull
Page 9 of 10
Ev-a
Program Program Requirement Participant
38 [For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA
provides training and testing
39 (For out-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP
manual
310 Satisfactory criminal reco rd check within 1 year of thee ate of this audit See
section 2235 in the DCP
man jal (Review 10 of the overall sample size)
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Major bull D h The RA has no SAs that
are out-of-province drivers
Major The RA has no SAs that
are out-of-province drivers
bull bull m
Major m bull bull
Page 10 of 10
Appendix B
Part 2 - Driver Certification Program (DCP) Benchmark Compliance Audit Report (Forexisting DCP participants)
Date ofAudit Completed October 302014 (updated Nov 272014)
Recognized Authority (RA) Brampton Fleet
RA Municipal Address 425 Chrysler Drive Brampton L7A 0L1
File Location Same as above (if different than above)
Training Location Same as above (if different than above)
RA 22-2-11
RA Official Chris Chiaravallotti Director Fleet Service Phone 905-458-4888 Ext 63100 Email ChrisChiaravallottibramptonca
Summary of Findings
Number of program infractions Minor none Major none
Total Program Infractions none
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 9058743836 Auditors email NicoleAnderson bramptonca
Page 1 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
poundU~-
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441
in the DCP manual
115 Ensure RA has maintained
Driver and Master files as per ministry standards See section 2410 and 2411 in the
DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained
the driver documents in the
Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all
record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
provide details) Major
bull bull
DRIVER FILES
Minor
bull bull
Minor
ISI bull bull
Minor
S bull bull
FACILITIESTEACHING AIDS
118 Provide training and Major testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting Major facilities are in a non-residential
location See section 2224 in
the DCP manual for
exemptions
bull bull
bull bull
Municipalities are exempt from this
requirement
Program Program Requirement Infraction Pass Fail NA Comments Participant Level (if failed checked please
Page 5 of 10
eu-s
120 Ensure the RA
ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP
Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section
22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
VEHICLE gtUS 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section
2225 in the DCP manual for a
list of exemptions
125 Ensure vehicles
used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist
form See section 2225 in the
DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form
See section 12 in the DCP
Agreement Program Program Requirement
provide details) Minor Municipalities are
exempt from this 3bull bull x
requirement
Major
X bull bull
Minor
M bull 1 i
bullI 1
Minor
B bull bull
H TRAINING A NDTES1
Major Municipalities are (exemptio exempt from this
r bull mdash1 1 bull i
ns bull bull H requirement granted)
bull
Minor
El bull bull
Major
El bull bull
Infraction Pass Fail NA Comments
Page 6 of 10
poundl-^
Participant
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overall sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3122 in the DCP
manual (Review 10 of the overall sample size) b) A minimum of one on-site Ministry- approved M1 SA is supervising the entire training course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 SA is conducting all M1 testing following delivery of the MTO-approved training course See section 3122 in the DCP manual (Review 10 of the overall sample size) 131 For the M2 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3246 in the DCP
manual (Review 10 of the overall sample size)
Level
TRAINING AND T ESTING
Minor
a bull bull
Major
h bull bull
Major X bull bull
Major bull bull M
Major bull bull m
Major bull bull X
Major
bull bull reg
(if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M2
Page 7 of 10
EU-lo
Program Participant
2) Recognize d Authority Official
(RAO)
3) Signing Authority (SA)
Program Requirement
b) All instructors are Ministry approved M2 SAs (requirement for M2 training and testing) See section 3246 in the DCP
manual (Review 10 of the overall sample size) c) Only a Ministry-approved M2 SA is conducting all M2 testing following delivery of the MTO-approved training course See section 3246 in the DCP
manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the
studentinstructor training ratio does not exceed ministry standards of 151 student to
trainer See section 325 in the
DCP manual (Review 10 of the overall sample size)
21 Primary work location is in Ontario
22 Satisfactory criminal record check within 1 year of the date of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
31 Ensure SA marks test
papers accurately and stores them in the Drivers File See
section 3221 and 3314 in
the DCP manual (Review 10 of the overall sample size)
Infraction Pass Fail NA Level
Major
bull bull X
Major
bull bull
Major X bull bull
GENERAL F EQUIRE
Major H bull bull
Major
El bull bull
Major
El bull bull
Major
m bull bull
GENERAL F EQUIREMEN
Major
M bull bull
Comments (if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M2
RA is not authorized and
does not train and test
for licence class M2
Page 8 of 10
eu-u
1 Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See
section 3221 and 3314 in
the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains
complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size) 34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual
(Review 10 of the overall sample size)
35 Ensure SA conducts
roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual
(Review 10 of the overall sample size)
36 SA assists auditors as
requested See section 233 in the DCP manual
37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Infraction Level
Minor
Pass Fail NA Comments (if failed checked please provide details)
a bull bull
Major
El bull bull
Major
El bull bull
Major
X bull bull
Minor
Major
x bull bull
El bull bull
Page 9 of 10
Ev-a
Program Program Requirement Participant
38 [For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA
provides training and testing
39 (For out-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP
manual
310 Satisfactory criminal reco rd check within 1 year of thee ate of this audit See
section 2235 in the DCP
man jal (Review 10 of the overall sample size)
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Major bull D h The RA has no SAs that
are out-of-province drivers
Major The RA has no SAs that
are out-of-province drivers
bull bull m
Major m bull bull
Page 10 of 10
Appendix B
Part 2 - Driver Certification Program (DCP) Benchmark Compliance Audit Report (Forexisting DCP participants)
Date ofAudit Completed October 302014 (updated Nov 272014)
Recognized Authority (RA) Brampton Fleet
RA Municipal Address 425 Chrysler Drive Brampton L7A 0L1
File Location Same as above (if different than above)
Training Location Same as above (if different than above)
RA 22-2-11
RA Official Chris Chiaravallotti Director Fleet Service Phone 905-458-4888 Ext 63100 Email ChrisChiaravallottibramptonca
Summary of Findings
Number of program infractions Minor none Major none
Total Program Infractions none
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 9058743836 Auditors email NicoleAnderson bramptonca
Page 1 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
eu-s
120 Ensure the RA
ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP
Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section
22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
VEHICLE gtUS 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section
2225 in the DCP manual for a
list of exemptions
125 Ensure vehicles
used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist
form See section 2225 in the
DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form
See section 12 in the DCP
Agreement Program Program Requirement
provide details) Minor Municipalities are
exempt from this 3bull bull x
requirement
Major
X bull bull
Minor
M bull 1 i
bullI 1
Minor
B bull bull
H TRAINING A NDTES1
Major Municipalities are (exemptio exempt from this
r bull mdash1 1 bull i
ns bull bull H requirement granted)
bull
Minor
El bull bull
Major
El bull bull
Infraction Pass Fail NA Comments
Page 6 of 10
poundl-^
Participant
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overall sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3122 in the DCP
manual (Review 10 of the overall sample size) b) A minimum of one on-site Ministry- approved M1 SA is supervising the entire training course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 SA is conducting all M1 testing following delivery of the MTO-approved training course See section 3122 in the DCP manual (Review 10 of the overall sample size) 131 For the M2 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3246 in the DCP
manual (Review 10 of the overall sample size)
Level
TRAINING AND T ESTING
Minor
a bull bull
Major
h bull bull
Major X bull bull
Major bull bull M
Major bull bull m
Major bull bull X
Major
bull bull reg
(if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M2
Page 7 of 10
EU-lo
Program Participant
2) Recognize d Authority Official
(RAO)
3) Signing Authority (SA)
Program Requirement
b) All instructors are Ministry approved M2 SAs (requirement for M2 training and testing) See section 3246 in the DCP
manual (Review 10 of the overall sample size) c) Only a Ministry-approved M2 SA is conducting all M2 testing following delivery of the MTO-approved training course See section 3246 in the DCP
manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the
studentinstructor training ratio does not exceed ministry standards of 151 student to
trainer See section 325 in the
DCP manual (Review 10 of the overall sample size)
21 Primary work location is in Ontario
22 Satisfactory criminal record check within 1 year of the date of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
31 Ensure SA marks test
papers accurately and stores them in the Drivers File See
section 3221 and 3314 in
the DCP manual (Review 10 of the overall sample size)
Infraction Pass Fail NA Level
Major
bull bull X
Major
bull bull
Major X bull bull
GENERAL F EQUIRE
Major H bull bull
Major
El bull bull
Major
El bull bull
Major
m bull bull
GENERAL F EQUIREMEN
Major
M bull bull
Comments (if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M2
RA is not authorized and
does not train and test
for licence class M2
Page 8 of 10
eu-u
1 Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See
section 3221 and 3314 in
the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains
complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size) 34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual
(Review 10 of the overall sample size)
35 Ensure SA conducts
roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual
(Review 10 of the overall sample size)
36 SA assists auditors as
requested See section 233 in the DCP manual
37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Infraction Level
Minor
Pass Fail NA Comments (if failed checked please provide details)
a bull bull
Major
El bull bull
Major
El bull bull
Major
X bull bull
Minor
Major
x bull bull
El bull bull
Page 9 of 10
Ev-a
Program Program Requirement Participant
38 [For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA
provides training and testing
39 (For out-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP
manual
310 Satisfactory criminal reco rd check within 1 year of thee ate of this audit See
section 2235 in the DCP
man jal (Review 10 of the overall sample size)
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Major bull D h The RA has no SAs that
are out-of-province drivers
Major The RA has no SAs that
are out-of-province drivers
bull bull m
Major m bull bull
Page 10 of 10
Appendix B
Part 2 - Driver Certification Program (DCP) Benchmark Compliance Audit Report (Forexisting DCP participants)
Date ofAudit Completed October 302014 (updated Nov 272014)
Recognized Authority (RA) Brampton Fleet
RA Municipal Address 425 Chrysler Drive Brampton L7A 0L1
File Location Same as above (if different than above)
Training Location Same as above (if different than above)
RA 22-2-11
RA Official Chris Chiaravallotti Director Fleet Service Phone 905-458-4888 Ext 63100 Email ChrisChiaravallottibramptonca
Summary of Findings
Number of program infractions Minor none Major none
Total Program Infractions none
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 9058743836 Auditors email NicoleAnderson bramptonca
Page 1 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
poundl-^
Participant
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overall sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3122 in the DCP
manual (Review 10 of the overall sample size) b) A minimum of one on-site Ministry- approved M1 SA is supervising the entire training course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 SA is conducting all M1 testing following delivery of the MTO-approved training course See section 3122 in the DCP manual (Review 10 of the overall sample size) 131 For the M2 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on-vehicle See section 3246 in the DCP
manual (Review 10 of the overall sample size)
Level
TRAINING AND T ESTING
Minor
a bull bull
Major
h bull bull
Major X bull bull
Major bull bull M
Major bull bull m
Major bull bull X
Major
bull bull reg
(if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M1
RA is not authorized and
does not train and test
for licence class M2
Page 7 of 10
EU-lo
Program Participant
2) Recognize d Authority Official
(RAO)
3) Signing Authority (SA)
Program Requirement
b) All instructors are Ministry approved M2 SAs (requirement for M2 training and testing) See section 3246 in the DCP
manual (Review 10 of the overall sample size) c) Only a Ministry-approved M2 SA is conducting all M2 testing following delivery of the MTO-approved training course See section 3246 in the DCP
manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the
studentinstructor training ratio does not exceed ministry standards of 151 student to
trainer See section 325 in the
DCP manual (Review 10 of the overall sample size)
21 Primary work location is in Ontario
22 Satisfactory criminal record check within 1 year of the date of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
31 Ensure SA marks test
papers accurately and stores them in the Drivers File See
section 3221 and 3314 in
the DCP manual (Review 10 of the overall sample size)
Infraction Pass Fail NA Level
Major
bull bull X
Major
bull bull
Major X bull bull
GENERAL F EQUIRE
Major H bull bull
Major
El bull bull
Major
El bull bull
Major
m bull bull
GENERAL F EQUIREMEN
Major
M bull bull
Comments (if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M2
RA is not authorized and
does not train and test
for licence class M2
Page 8 of 10
eu-u
1 Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See
section 3221 and 3314 in
the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains
complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size) 34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual
(Review 10 of the overall sample size)
35 Ensure SA conducts
roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual
(Review 10 of the overall sample size)
36 SA assists auditors as
requested See section 233 in the DCP manual
37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Infraction Level
Minor
Pass Fail NA Comments (if failed checked please provide details)
a bull bull
Major
El bull bull
Major
El bull bull
Major
X bull bull
Minor
Major
x bull bull
El bull bull
Page 9 of 10
Ev-a
Program Program Requirement Participant
38 [For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA
provides training and testing
39 (For out-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP
manual
310 Satisfactory criminal reco rd check within 1 year of thee ate of this audit See
section 2235 in the DCP
man jal (Review 10 of the overall sample size)
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Major bull D h The RA has no SAs that
are out-of-province drivers
Major The RA has no SAs that
are out-of-province drivers
bull bull m
Major m bull bull
Page 10 of 10
Appendix B
Part 2 - Driver Certification Program (DCP) Benchmark Compliance Audit Report (Forexisting DCP participants)
Date ofAudit Completed October 302014 (updated Nov 272014)
Recognized Authority (RA) Brampton Fleet
RA Municipal Address 425 Chrysler Drive Brampton L7A 0L1
File Location Same as above (if different than above)
Training Location Same as above (if different than above)
RA 22-2-11
RA Official Chris Chiaravallotti Director Fleet Service Phone 905-458-4888 Ext 63100 Email ChrisChiaravallottibramptonca
Summary of Findings
Number of program infractions Minor none Major none
Total Program Infractions none
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 9058743836 Auditors email NicoleAnderson bramptonca
Page 1 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
EU-lo
Program Participant
2) Recognize d Authority Official
(RAO)
3) Signing Authority (SA)
Program Requirement
b) All instructors are Ministry approved M2 SAs (requirement for M2 training and testing) See section 3246 in the DCP
manual (Review 10 of the overall sample size) c) Only a Ministry-approved M2 SA is conducting all M2 testing following delivery of the MTO-approved training course See section 3246 in the DCP
manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the
studentinstructor training ratio does not exceed ministry standards of 151 student to
trainer See section 325 in the
DCP manual (Review 10 of the overall sample size)
21 Primary work location is in Ontario
22 Satisfactory criminal record check within 1 year of the date of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
31 Ensure SA marks test
papers accurately and stores them in the Drivers File See
section 3221 and 3314 in
the DCP manual (Review 10 of the overall sample size)
Infraction Pass Fail NA Level
Major
bull bull X
Major
bull bull
Major X bull bull
GENERAL F EQUIRE
Major H bull bull
Major
El bull bull
Major
El bull bull
Major
m bull bull
GENERAL F EQUIREMEN
Major
M bull bull
Comments (if failed checked please provide details)
RA is not authorized and
does not train and test
for licence class M2
RA is not authorized and
does not train and test
for licence class M2
Page 8 of 10
eu-u
1 Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See
section 3221 and 3314 in
the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains
complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size) 34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual
(Review 10 of the overall sample size)
35 Ensure SA conducts
roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual
(Review 10 of the overall sample size)
36 SA assists auditors as
requested See section 233 in the DCP manual
37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Infraction Level
Minor
Pass Fail NA Comments (if failed checked please provide details)
a bull bull
Major
El bull bull
Major
El bull bull
Major
X bull bull
Minor
Major
x bull bull
El bull bull
Page 9 of 10
Ev-a
Program Program Requirement Participant
38 [For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA
provides training and testing
39 (For out-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP
manual
310 Satisfactory criminal reco rd check within 1 year of thee ate of this audit See
section 2235 in the DCP
man jal (Review 10 of the overall sample size)
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Major bull D h The RA has no SAs that
are out-of-province drivers
Major The RA has no SAs that
are out-of-province drivers
bull bull m
Major m bull bull
Page 10 of 10
Appendix B
Part 2 - Driver Certification Program (DCP) Benchmark Compliance Audit Report (Forexisting DCP participants)
Date ofAudit Completed October 302014 (updated Nov 272014)
Recognized Authority (RA) Brampton Fleet
RA Municipal Address 425 Chrysler Drive Brampton L7A 0L1
File Location Same as above (if different than above)
Training Location Same as above (if different than above)
RA 22-2-11
RA Official Chris Chiaravallotti Director Fleet Service Phone 905-458-4888 Ext 63100 Email ChrisChiaravallottibramptonca
Summary of Findings
Number of program infractions Minor none Major none
Total Program Infractions none
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 9058743836 Auditors email NicoleAnderson bramptonca
Page 1 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
eu-u
1 Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See
section 3221 and 3314 in
the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains
complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size) 34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual
(Review 10 of the overall sample size)
35 Ensure SA conducts
roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual
(Review 10 of the overall sample size)
36 SA assists auditors as
requested See section 233 in the DCP manual
37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Infraction Level
Minor
Pass Fail NA Comments (if failed checked please provide details)
a bull bull
Major
El bull bull
Major
El bull bull
Major
X bull bull
Minor
Major
x bull bull
El bull bull
Page 9 of 10
Ev-a
Program Program Requirement Participant
38 [For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA
provides training and testing
39 (For out-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP
manual
310 Satisfactory criminal reco rd check within 1 year of thee ate of this audit See
section 2235 in the DCP
man jal (Review 10 of the overall sample size)
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Major bull D h The RA has no SAs that
are out-of-province drivers
Major The RA has no SAs that
are out-of-province drivers
bull bull m
Major m bull bull
Page 10 of 10
Appendix B
Part 2 - Driver Certification Program (DCP) Benchmark Compliance Audit Report (Forexisting DCP participants)
Date ofAudit Completed October 302014 (updated Nov 272014)
Recognized Authority (RA) Brampton Fleet
RA Municipal Address 425 Chrysler Drive Brampton L7A 0L1
File Location Same as above (if different than above)
Training Location Same as above (if different than above)
RA 22-2-11
RA Official Chris Chiaravallotti Director Fleet Service Phone 905-458-4888 Ext 63100 Email ChrisChiaravallottibramptonca
Summary of Findings
Number of program infractions Minor none Major none
Total Program Infractions none
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 9058743836 Auditors email NicoleAnderson bramptonca
Page 1 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
Ev-a
Program Program Requirement Participant
38 [For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA
provides training and testing
39 (For out-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP
manual
310 Satisfactory criminal reco rd check within 1 year of thee ate of this audit See
section 2235 in the DCP
man jal (Review 10 of the overall sample size)
Infraction Pass Fail NA Comments Level (if failed checked please
provide details)
Major bull D h The RA has no SAs that
are out-of-province drivers
Major The RA has no SAs that
are out-of-province drivers
bull bull m
Major m bull bull
Page 10 of 10
Appendix B
Part 2 - Driver Certification Program (DCP) Benchmark Compliance Audit Report (Forexisting DCP participants)
Date ofAudit Completed October 302014 (updated Nov 272014)
Recognized Authority (RA) Brampton Fleet
RA Municipal Address 425 Chrysler Drive Brampton L7A 0L1
File Location Same as above (if different than above)
Training Location Same as above (if different than above)
RA 22-2-11
RA Official Chris Chiaravallotti Director Fleet Service Phone 905-458-4888 Ext 63100 Email ChrisChiaravallottibramptonca
Summary of Findings
Number of program infractions Minor none Major none
Total Program Infractions none
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 9058743836 Auditors email NicoleAnderson bramptonca
Page 1 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
Appendix B
Part 2 - Driver Certification Program (DCP) Benchmark Compliance Audit Report (Forexisting DCP participants)
Date ofAudit Completed October 302014 (updated Nov 272014)
Recognized Authority (RA) Brampton Fleet
RA Municipal Address 425 Chrysler Drive Brampton L7A 0L1
File Location Same as above (if different than above)
Training Location Same as above (if different than above)
RA 22-2-11
RA Official Chris Chiaravallotti Director Fleet Service Phone 905-458-4888 Ext 63100 Email ChrisChiaravallottibramptonca
Summary of Findings
Number of program infractions Minor none Major none
Total Program Infractions none
General Comments
Opinion and Conclusions
It is the opinion of the Auditor that the RA
Is in compliance with the Driver Certification Program requirements
Is not in compliance with the Driver Certification Program requirements Q Name of Auditor Nicole Anderson Auditors Address 2 Wellington St West
Brampton ON L6Y 4R2
Auditors Phone 9058743836 Auditors email NicoleAnderson bramptonca
Page 1 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
EU-lMr
Professional designation please check appropriate box
Chartered Professional Accountant bull Internal Auditor (separate reporting structure) El Auditor with credentials bull
By signing below Icertify that the audit has been completed in accordance with generally accepted audit standards as well as in accordance with Ministry requirements and instructions Ifurther certify that my other commitments relationships orfinancial interests have not orcould not be seen to have compromised impaired orotherwise have been incompatible with the audit
^ignalure of Auditor Date
Type of Recognized Authority
Private Business Industry
Coach Bus bull
School Bus bull
Fleet D
Government
Municipalities El Public Transit bull (or Sub- Contractor) Fire Department bull (or EMS) Police bull Provincial Government bull Federal Government bull (Includes Agencies Boards Commissions Crown Corporations etc for Provincial and Federal Governments)
Community Colleges Community College Air brake (Z) D Community College Commercial Driver Training bull Community College Motorcycle bull
M1 bull M2 bull M1(L) bull M2(L) bull
Page 2 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
El-IS
Safety Organization Air Brake Safety Organization Motorcycle Safety Organization
bull bull
Class of Authority Granted
D A(R)
D B C D
bull E
M1(M)D M2(M)D
M1 bull
M1(L) D M1(M)Q
M2 D M2(L) D M2(M)D
D D M2
Date of Last Inspection (ddmmvear) 19012011
Reference the Driver Certification Program Manual and associated update bulletins and the RA Agreement (located in the RA Masterfile)
DCP Control and Sanction Standards
Note Reference sections 243 - 246 of the Driver Certification Program Manual
l Program Participant
V Recognized Authority (RA)
Program Requirement
11 Has developed and are submitting an updated training program to the ministry 12 Has signed contract with the Ministry
13 Has most recent Driver Certification Program Manual 14 Confirm RA is not a truck driving school or affiliated with a truck driving school 15 Ensure RA employs or directly contracts SAs (eg contract is between RA and individual SAs) see section 22212 in the DCP manual)
Infraction Pass Fall NA Comments Level (If failed checked please
provide detail) GENERAL REQUI REME NTS
Minor
Minor
Minor
Major
Major
H bull bull
S bull bull
X bull bull
E bull bull
B bull bull
Page 3 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
E^-tU
Program Requirement
16 Ensure at least one qualified SA per licence class the RA is trainingtesting in and that the SA is employed or directly contracted with the RA See section 22212 in
the DCP manual
17 Ensure RAO is qualified Complete section 2 below Also see section 221 in the DCP manual
18 Ensure SAs fulfill all SA duties and responsibilities See section 233 in the DCP manual
19 Ensure SAs continue to meet all eligibility criteria Complete section 3 below Also see 223 in the DCP manual
110 Ensure all SAs are
present andor available at audits See section 232 in the DCP manual
111 RAis not found to be subject of a violation or order related to driver education or training (eg MTO ministry of Training Colleges and Universities) 112 Ensure RA collected
course fees directly from employeestudent (eg receipt with the RA name HST number) see section 2229 in the DCP manual (Review 10 of the overall sample size)
infraction Level
Major
Pass Fail
bull
Major bull
Minor
bull
Major
bull
Minor
D
Minor or
Major (dependin g on the infraction)
Major
bull
m bull
NA
bull
bull
Comments (f taMed checked please provide details)
bull
bull
bull
bull
bull
Page 4 ofU
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
ampu-n
113 Ministry stock and driver files are secure (eg located in a secure area locked cabinet safe etc) See section 232 and 2441 in the DCP manual
Program Requirement
114 Ability to ensure only authorized persons have access to the stock and driver
files (eg limited to RAO approved admin staff SAs) See section 232 and 2441 in the DCP manual
115 Ensure RA has maintained Driver and Master files as per ministry standards See section 2410 and 2411 in the DCP manual (Review 25 of the overall sample size) 116 Ensure RA has maintained the driver documents in the Driver file for one year or since the last inspection which ever is the longer time period See section 2410 (Review 25 of the overall sample size) 117 Ensure RA has
documented and retained all record(s) of collisions that involved vehicles operated by drivers in the training program See section 2410 (Review 25 of the overall sample size)
STOCK Minor
bull bull
Infraction Level
Major
Pass Fail NA Comments (if failed checked please provide details)
bull bull
DRIVER FILES
Minor
bull bull
Minor
bull bull
Minor
bull bull
FACILITIESTEACHING AIDS J
Page 5 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
bull bull
bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
EU-lS
118 Provide training and testing in facilitiessites that meet ministry-standards for in-vehicle and in-class training and testing See section 22213 in DCP Manual
119 Ensure that trainingtesting facilities are in a non-residential location See section 2224 in
the DCP manual for
exemptions
Program Requirement
120 Ensure the RA ownleaserent the facility See section 2224 in the DCP
manual for exemptions
121 Ensure RA has proof of insurance for premises (ie $2 million general liability insurance on premises) See section 12 in the DCP Agreement
122 Confirm training equipment and teaching aids continue to meet ministry standards See section 22213-22215 in the DCP
manual
123 Ensure RA has Ministry approved and functional vision testing equipment Applicable to RAs approved for vision testing only See section 3511 in the DCP manual
Major M bull bull
Major Municipalities are exempt from this
bull bull requirement
Infraction Pass Fail NA Comments Level (gtf tailed checked please
provide details) Minor Municipalities are
bull bull exempt from this
requirement
Major
bull bull
Minor
bull bull
Minor
bull bull
Page 6 of 11
bull bull
bull bull
bull bull
bull bull
bull bull
bull bull
ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
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manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
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EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
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ew-n
4ICLES USED FOR TRAI NING AND TESTING 124 Verify the number of operational vehicles (25 or more) in the RAs fleet in the applicable class(es) that the RA has authority to traintest in Complete Vehicle Verification Checklist form See section 2225 in the DCP manual for a list of exemptions 125 Ensure vehicles used for trainingtesting meet ministry standards Complete Vehicle Verification Checklist form See section 2225 in the DCP manual
126 Ensure RA has proof of insurance for vehicles (ie $2 million automobile liability insurance) complete Vehicle Verification Checklist form See section 12 in the DCP Agreement Program Requirement
127 RA has entered on the DCP system proposed trainingtesting dates
128 Auditor verifies the road test routespractical tests used are the ones approved by the ministry (Review 10 of the overall sample size) 129 Ensure that roadpractical testing is conducted only after delivering MTO-approved training (applicable to upgrades only) See section 232 in the DCP manual (Review 10 of the overalt sample size) 130 For the M1 training course ensure
a) The studentinstructor training ratio does not exceed ministry standards of 251 in-class 51 on- vehicle See section 3122 in the DCP
Major (exemptio ns D bull granted)
Minor
Major
Infraction Pass Fail NA Level
TRAINING AND TESTING Minor
Major
Major
Major
Municipalities are exempt from this
requirement
Comments (if failed checked please provide details
RA is not authorized and does not train and test
for licence class M1
Page 7 of 11
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bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
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bull bull
EU-ZO
manual (Review 10 of the overall sample size)
RA is not authorized andb) A minimum of one on-site Ministry- approved M1 SA is Major does not train and test
supervising the entire training for licence class M1 course See section 3122 in
the DCP manual (Review 10 of the overall sample size) c) Only a Ministry-approved M1 RA is not authorized and
SA is conducting all M1 testing does not train and test
following delivery of the MTO- for licence class M1 approved training course See Major bull bull section 3122 in the DCP manual (Review 10 of the overall sample size)
RA is not authorized and131 For the M2 training Major course ensure does not train and test
a) The studentinstructor for licence class M2 training ratio does not exceed ministry standards of 251 in- bull bull class 51 on-vehicle See section 3246 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Infraction Pass Fail NA Comments Level (H tailed checked pleaseParticipant
provide details)
RA is not authorized andb) All instructors are Ministry Major approved M2 SAs (requirement does not train and test
for M2 training and testing) for licence class M2 See section 3246 in the DCP manual (Review 10 of the overail sample size) c) Only a Ministry-approved M2 Major RA is not authorized and
SA is conducting all M2 testing does not train and test
following delivery of the MTO- for licence class M2 approved training course See bull bull section 3246 in the DCP manual (Review 10 of the overall sample size) 132 For the Airbrake training course ensure the studentinstructor training ratio Major bull bulldoes not exceed ministry standards of 151 student to trainer See section 325 in the
Page 8 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
bull bull
EU-Z
DCP manual (Review 10 of the overall sample size)
2) Recognize 21 Primary work location is in d Authority Ontario Official 22 Satisfactory criminal record (RAO) check within 1 year of the date
of this audit
23 Is not acting as a Signing Authority (ie RAO cannot act as an SA and vice versa) 24 Occupies a position in the organization at a senior supervisory level
3) Signing Authority 31 Ensure SA marks test (SA) papers accurately and stores
them in the Drivers File See section 3221 and 3314 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
32 Ensure SA records all test results on the Driver
Certification Activity Report (or other documentation used for tracking trainingtesting) and that they reconcile with the test results in the driver file See section 3221 and 3314 in the DCP manual (Review 25 of the overall sample size)
33 Ensure SA maintains complete driver files and has available for inspection See section 233 and 2410 in the DCP manual (Review 10 of the overall sample size)
GENERAL REQUIREMENTS Major
bull bull Major
bull bull
Major
bull bull
Major
a bull bull
GENERAL REQUIREMENTS Major
bull bull
Infraction Pass Fail NA Comments Leveraquo (if failed checked please
provide details) Minor
bull bull
Major
Page 9 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
EU-1Z
34 Ensure SA conducts
ministry approved roadpractical test and utilizes approved route See section 3221 in the DCP manual (Review 10 of the overall sample size) 35 Ensure SA conducts roadpractical testing only after delivering MTO approvedtraining (applicable to upgrades only) See section 233 in the DCP manual (Review 10 of the overall sample size) 36 SA assists auditors as requested See section 233 in the DCP manual 37 Ensure that only employees or registered students receive training and testing offered under the program See section 233 in the DCP manual (Review 10 of the overall sample size)
Program Program Requirement Participant
38 (For out-of-province drivers who are Ontario SAs) SA possess valid equivalent drivers licence from any Canadian jurisdiction in the class(es) of licence andor endorsement for which the SA provides training and testing 39 (Forout-of-province drivers who are Ontario SAs) SA continues to meet the eligibility requirements in terms of their driving record (eg demerit points convictions etc) See section 223 in the DCP manual
Major
bull bull
Major
bull bull
Minor
Major
m D bull
bull bull
Infraction Level
Major
Pass
bull
Fail
bull
NA Comments (iffaicd checked please provide details)
The RA has no SAs that are out-of-province
drivers
Major
bull bull
The RA has no SAs that are out-of-province
drivers
Page 10 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
EU-23
310 Satisfactory criminal Major record check within 1 year of bull bull the date of this audit See section 2235 in the DCP manual (Review 10 of the overall sample size)
Additional Comments (optional)
No issues noted
Page 11 of 11
