Part a: introduction to safety and maintenance program regulatory requirements icon

Part a: introduction to safety and maintenance program regulatory requirements



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NATIONAL SAFETY CODE

SAFETY AND MAINTENANCE PROGRAM DEVELOPMENT GUIDELINES

(For Trucks, Truck-Tractors, Trailers)

June 2008


TABLE OF CONTENTS



PART A: INTRODUCTION TO SAFETY and MAINTENANCE PROGRAM REGULATORY REQUIREMENTS


A - 1

I. Overview

A - 2

II. Safety Fitness Certificate

A - 4

III. Safety Program

A - 5

IV. Safety Officer

A - 6

V. Maintenance Program

A - 7

VI. Due Diligence

A - 8

VII. More Information

A - 9





^ PART B: REGULATORY REQUIREMENTS FOR SAFETY PROGRAMS


B - 1

Module I –

Staff Authorized To Operate Company Vehicles

B - 2

Module II –

Safe Use and Operation of National Safety Code Vehicles

B - 3

Module III –

Proper Record Completion

B - 4

Module IV –

Compliance with the Law

B - 5

Module V –

Use of Safety Equipment

B - 7

Module VI –

Driver Responsibilities, Conduct and Discipline

B - 8

Module VII –

Employee Training and Evaluation of Driving Skills

B - 9

Module VIII –

Driver Records/Retention of Records

B - 11

Module IX –

Driver Qualification

B - 13





^ PART C: REGULATORY REQUIREMENTS FOR MAINTENANCE PROGRAMS


C - 1

Module X –

Application to all NSC Trucks/Trailers

C - 3

Module XI –

Regular and Continuous Inspection of Trucks/Trailers

C - 6

Module XII –

Trip Inspections of Trucks/Trailers

C - 8





APPENDIX


APPENDIX1





^ SAMPLE SAFETY PROGRAMS


1 - 19








^ SAMPLE MAINTENANCE PROGRAM


20 – 35


PAGE

PART A




INTRODUCTION TO SAFETY and MAINTENANCE PROGRAM REGULATORY REQUIREMENTS




^ INTRODUCTION TO

SAFETY AND MAINTENANCE PROGRAM

REGULATORY REQUIREMENTS


I. Overview


The Government of Alberta, other Canadian jurisdictions, the Government of Canada, and the transportation industry developed the National Safety Code (NSC) to help reduce the number and severity of collisions. Each jurisdiction has used the NSC standards as guides in drafting their own transportation safety legislation.


Carriers with one or more commercial vehicles registered in Alberta that are included in the National Safety Code Program are required to have safety and maintenance programs in place before they receive their Safety Fitness Certificate. Some specified vehicle or business types may be excluded from the NSC program. Anyone can prepare a carrier’s safety and maintenance programs, including consultants, as long as they understand the minimum regulatory requirements that must be addressed.


This document is intended to help clarify the minimum regulatory requirements for each program and to provide several sample policies and procedures that, when combined, can meet most of the requirements of a complete safety and maintenance program. The written policies contained in the Appendix are samples only. You can use the sample policies to help write your own policies to address the minimum requirements and you may add more depending on your type of business operation. Remember that all the policies that you write are what you must then implement and follow.


Note: In addition to this document, there are sample program guideline documents for:

    • National Safety Code Safety and Maintenance Program Development Guidelines for Commercial Buses/Motor Coaches.

    • National Safety Code Safety and Maintenance Program Development Guidelines for Commercial School Buses.


Note: Other legislation such as Occupational Health and Safety (OH&S) may require additional safety information that can be added to your company’s overall Safety Program document.


Provincial and federal National Safety Code legislation applies to Alberta carriers who have commercial vehicles registered that are:

  • Trucks, tractors or trailers or a combination of these vehicles that have a registered gross weight of 11 794 kilograms or more and operated solely in Alberta under a provincial operating status;

  • Buses with a manufactured seating capacity of 11 persons or more, including the driver;

  • Trucks, tractors or trailers, or a combination of these vehicles that have a registered gross weight greater than 4 500 kilograms and that are operated under a federal operating status.

^ Note: Some exceptions apply and individual regulations should be consulted to ensure your company’s obligations are understood.

Note: For the purpose of this document, vehicles that the National Safety Code legislation applies to will be called “NSC commercial vehicles.”


^ Regulation Requirements


The Province of Alberta’s Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 2 states:


2(1)   No person may operate a commercial vehicle that is used or intended to be used to transport goods on a highway for which, under the Act, a certificate of registration is issued for a gross weight of 11 794 kilograms or more, unless the operation of the vehicle is carried out under the authority of a safety fitness certificate.

2(2)   No person may operate a commercial vehicle that is used or intended to be used to transport goods on a highway for which a certificate of registration is issued by a jurisdiction outside Alberta, unless the operation of the vehicle is carried out under the authority of a safety fitness certificate or equivalent authority issued by a government or government agency in the jurisdiction in which the vehicle is registered, if a safety fitness certificate or equivalent authority is required by that jurisdiction.

2(3)  Subsection (1) does not apply to prohibit the operation of

  1. commercial vehicles primarily used to transport agricultural products, if the driver of the truck is a bona fide farmer or employee of the farmer who owns or produces the agricultural product;

  2. 2  or 3 axle commercial vehicles primarily used to transport primary products of a forest, lake or river, if the driver or the driver’s employer produces the primary product;

  3. commercial vehicles to which a permit issued under section 62 of the Act applies;

  4. a commercial vehicle that is exempted by the Registrar under subsection (4).


^ II. Safety Fitness Certificate


The Safety Fitness Certificate (SFC) is a document issued by Alberta Transportation to all commercial carriers who are included in Alberta’s National Safety Code (NSC) program. Conditions have been placed on every carrier’s certificate including the requirement for the registered owner of a commercial vehicle to have written safety and maintenance programs. In addition, the company and its employees must comply with the carrier’s safety and maintenance programs. Without the Safety Fitness Certificate an owner or driver of an NSC commercial vehicle cannot operate on a public highway. A copy of the Carrier’s Safety Fitness Certificate must be carried in each of the carrier’s NSC commercial vehicles. The safety program must be kept at the principal place of business. The “principal place of business” is the address that is on the Safety Fitness Certificate.


^ Regulation Requirements


The Province of Alberta’s Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 4 states:


4(1)   An application for a safety fitness certificate by a registered owner must,

  1. confirm that the applicant has a written ongoing inspection, maintenance and repair program that meets the requirements of the Commercial Vehicle Maintenance Standards Regulation (AR 118/89) for all commercial vehicles in respect of which the application is made and for any commercial vehicles which may subsequently be acquired by the applicant;

  2. confirm that the applicant has a written safety program that addresses the matters described in section 40;

  3. confirm that one or more persons are designated in writing as responsible for,

  1. the inspection, maintenance and repair program, and

  2. the safety program.

III. Safety Program


The safety program must clearly document and address matters relating to the safe use and operation of NSC commercial vehicles. The safety program must apply to any person (including drivers, mechanics, lease operators, management, owners, etc.) authorized by the registered owner to operate the company’s commercial vehicles. A safety program is required by all commercial truck and bus operators, regardless of the size of the operation and including truck or bus owner/operators. By department policy, owner/operators with no full or part-time employees who operate a commercial vehicle are not required to demonstrate compliance with some specific safety program policy requirements. This exemption policy only applies during a National Safety Code audit.


Both management and the person designated by the carrier as the “safety officer” are responsible, under Alberta regulations, for maintaining and implementing an effective safety program and for ensuring compliance with safety laws. For an owner/operator, the owner may appoint himself/herself as the safety officer and a safety program is still required. The safety program must be kept at the principal place of business, which is the address on the Safety Fitness Certificate.


^ Regulation Requirements


The Province of Alberta’s Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 40(1), states:


40(1) The registered owner of every commercial vehicle who is required to operate the vehicle under the authority of a safety fitness certificate must establish, maintain and follow a written safety program that, in a manner that is clearly documented, addresses matters relating to the safe use and operation of commercial vehicles.


^ IV. Safety Officer


The safety officer is responsible for coordinating all policies, information, and training related to safety. The safety officer must have a complete knowledge of the carrier’s safety program and must communicate and work effectively with management, administration, trainers, and employees.


The designated safety officer should ensure that:


  • management is aware of all critical items that affect the company so they can respond to problems as they arise;

  • administration staff ensures that such items as training, incidents, collisions, convictions, etc., are documented;

  • administration staff set up recall systems for items such as annual inspections, expiry dates for drivers’ licences, drivers’ abstracts, and schedules for preventative maintenance, future training schedules, etc.;

  • they take responsibility for training employees or ensure that trainers are qualified to give instruction;

  • drivers are adequately trained to do the tasks assigned to them;

  • employees know what is required to be in compliance with the expectations outlined in the safety program by attending training.


The safety officer works closely with management and reports to management on the effectiveness of the program. Management and the safety officer can be held responsible under Alberta legislation for the content and effectiveness of their program.


Note that, in smaller companies, the owner often designates himself/herself as the safety officer. Note too that the safety officer does not have to be a company employee.


^ Regulation Requirements


The Province of Alberta’s Commercial Vehicle Certificate and Insurance Regulation,

(AR 314/2002) Section 40(2), states:


40(2)   The registered owner must designate a person as responsible for

  1. maintaining and implementing the safety program, and

  2. ensuring compliance with safety laws.


^ V. Maintenance Program


The carrier’s maintenance program must be complete, followed and effective. It must also clearly apply to all NSC vehicles registered to the owner. The carrier must ensure it meets the minimum regulatory requirements and that it is implemented.


The following must be considered when writing the maintenance program:


  • ensure that all commercial vehicles are inspected according to all provincial regulations and are maintained in safe operating condition;

  • designate a person responsible for maintenance;

  • address all maintenance activities such as trip inspections, repairs, routine maintenance, any Commercial Vehicle Safety Alliance (CVSA) inspections and all Commercial Vehicle Inspection Program (CVIP) inspections;

  • ensure that files on each vehicle are completed and retained;

  • include lease operators employed by the carrier whose vehicles are registered to your company.


^ Regulation Requirements


The Province of Alberta’s Commercial Vehicle Maintenance Standards Regulation, (AR 118/1989) Section 5 for trucks, tractors, trailers states:


5(1)   A carrier shall have a maintenance and inspection program that pertains to all of his commercial vehicles and shall carry out the program in accordance with its terms.


5(2) A maintenance and inspection program must be in writing and provide for a continuous and regular program for the inspection, maintenance and repair of the carrier’s commercial vehicles that meets the requirements of the Schedule.

^ VI. Due Diligence


Due diligence, a defense often used in courts, means that everything reasonable was established and implemented to prevent a violation or incident. Thus when developing, maintaining and implementing your safety and maintenance program, you must understand your legal responsibilities. You are required to develop policies and procedures and keep records which clearly indicate that you have fulfilled your responsibilities. Ignorance of the law is not a defense.


Some specific items which your company should consider to ensure due diligence are:


  • knowing the applicable acts and regulations and keeping up to date with any changes;

  • hiring appropriate staff;

  • documenting the responsibilities of staff involved in safety related areas and the general responsibilities of all staff in the workplace;

  • educating staff on legislative requirements, company policies, procedures, rules etc.;

  • monitoring internal safety and maintenance systems to ensure compliance to written policies and to legislative requirements;

  • informing staff of legislative or company policy changes;

  • disciplining and rewarding staff and documenting these actions as they happen;

  • keeping records to prove that the safety program has been established and implemented.


Due diligence requires that all policies, procedures and activities must be in place before collisions or violations occur and cannot be developed and/or implemented after the fact.


The following table summarizes the basic safety and maintenance program requirements. Details of these requirements are discussed throughout this document.


^ SUMMARY TABLE








^ MAINTENANCE PROGRAM INSPECTIONS

VEHICLE TYPE

SAFETY PROGRAM

ROUTINE

TRIP

REPAIRS

CVIP

Truck

X

X

X

X

X

Truck-Tractor

X

X

X

X

X

Trailer

X

X

X

X

X

^ Commercial Bus

X

X

X

X

X

Motor Coach

X

X*

X

X

X

^ Commercial School Bus

X

X

-

X

X

School Bus

X

-

-

X

X

* Includes 15,000 kilometre check

^ VII. More Information


Information on the Alberta legislation and on the NSC standards is available on the internet:


www.qp.gov.ab.ca (for the Alberta legislation)

www.ccmta.ca (for the NSC standards)

http://www.transportation.alberta.ca (for compliance and general transportationinformation)


To assist companies and individuals, Carrier Services has prepared a comprehensive education manual titled ^ Commercial Vehicle Safety Compliance In Alberta to help registered owners of commercial vehicles (whether an individual or a company) and their drivers to better understand their transportation compliance requirements.


A copy of this document is available from the department’s website at: http://www.transportation.alberta.ca/Content/docType276/Production/Edmanual.pdf

If you want to purchase a copy of this document instead of printing it on-line, contact one of the following organizations:

Alberta Forest Products Association (AFPA) (members and member-contractors only)

780-452-2841

Alberta Motor Transport Association (AMTA) (members and non-members)

800-267-1003

Petroleum Services Association of Canada (PSAC) (members only)

403-264-4195

Canadian Association of Oilwell Drilling Contractors (CAODC) (members only)

403-264-4311


Contact:


Carrier Services

#401, 4920 – 51 Street

Red Deer, AB T4N 6K8

Phone: (403) 755-6111 (toll-free in Alberta by first dialing 310-0000)

Fax: (403) 340-4811

Email: carrier.services@gov.ab.ca


PART B




^ REGULATORY REQUIREMENTS FOR

SAFETY PROGRAMS

(For Trucks, Truck-Tractors, Trailers)



NFORMATION

The following modules explain the regulatory requirements as they relate to a carrier’s written safety program. For each module in this section, there is a corresponding module within the Appendix that provides one or more sample policies that meet the minimum requirements of the regulation described.

^ Module I – Staff Authorized To Operate Company Vehicles


Does the safety program apply to all staff authorized to operate the carrier’s commercial vehicles?


Regulation Requirements


The Government of Alberta, other Canadian jurisdictions, the Government of Canada, and the transportation industry developed the National Safety Code (NSC) to help reduce the number and severity of collisions. Each jurisdiction has used the NSC standards as guides in drafting their own transportation safety legislation.


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section (40)(3) states:


40(3) It is a condition of every safety fitness certificate that the registered owner and the owner’s employees must comply with the registered owner’s safety program.


^ Minimum Policy Requirements


In order for the safety program to be effective and adhered to, a written policy is required to say who the safety program applies to, such as, the registered owner and the owner’s employees (including maintenance staff, lease operators, swampers, administration staff, management, etc.) or anyone who is authorized to operate the company’s vehicle(s). The safety program is a resource for the employees to know and understand their responsibilities and their rights.


^ Note: This policy is not applicable if the carrier is an owner/operator who has never had any full-time or part-time drivers.


Example: Write a policy that states what your directive is to anyone operating or authorized to operate your vehicle(s). Refer to Module 1 in the Appendix (Page 3) as an example.

Module II – Safe Use and Operation of

^ National Safety Code Vehicles


Is safe use and operation of commercial vehicles including; speed limits, seat belt use, drug and alcohol use, defensive driving, load security and fuelling written into the safety program?


Regulation Requirements


The Government of Alberta, other Canadian jurisdictions, the Government of Canada, and the transportation industry developed the National Safety Code (NSC) to help reduce the number and severity of collisions. Each jurisdiction has used the NSC standards as guides in drafting their own transportation safety legislation.


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 40(1)(a) states:


40(1) The registered owner of every commercial vehicle who is required to operate the vehicle under the authority of a safety fitness certificate must establish, maintain and follow a written safety program that, in a manner that is clearly documented, addresses matters relating to the safe use and operation of commercial vehicles, including:

(a) speed limits, seat belt use, drug and alcohol use, defensive driving, load security, and fuelling.


Minimum Policy Requirements


The carrier must have written policies relating to the operation of each type of NSC vehicle. These policies must address at least such subjects as speed limits, seat belt use, drug and alcohol use, defensive driving, load security, fuelling.


Example: Write a policy that states what your directive is to anyone operating or authorized to operate your vehicle(s). Refer to Module 2 in the Appendix (Page 4) as an example.


^ Module III – Proper Record Completion


Is proper records and recording of information including, as required; bills of lading, manifests, dangerous goods documents, time records, drivers’ daily logs, and weigh slips written into the safety program?


^ Regulation Requirements


The Government of Alberta, other Canadian jurisdictions, the Government of Canada, and the transportation industry developed the National Safety Code (NSC) to help reduce the number and severity of collisions. Each jurisdiction has used the NSC standards as guides in drafting their own transportation safety legislation.


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 40(1)(b) states:


40(1) The registered owner of every commercial vehicle who is required to operate the vehicle under the authority of a safety fitness certificate must establish, maintain and follow a written safety program that, in a manner that is clearly documented, addresses matters relating to the safe use and operation of commercial vehicles, including:

  1. proper records and recording of information including, as required, bills of lading, manifests, dangerous goods documents, time records, drivers’ daily logs and weigh slips;


^ Minimum Policy Requirements


The carrier must have written instructions and ensure staff are adequately trained on how to properly complete records and record information relevant to their operation including, as required: bills of lading, manifests, dangerous goods documents, time records, drivers’ daily logs and weigh slips. These instructions may only reference sections of regulations that address completion of relevant documents (e.g. Drivers’ Hours of Service Regulation (AR 317/2002) Section 9). However, if only regulatory references are made, then the carrier must be able to produce the referenced legislation and staff must have access to it.

^ Note: This policy is not applicable if the carrier is an owner/operator who has never had any full-time or part-time drivers.


Examples: Write a policy that states what your directive is to anyone operating or authorized to operate your vehicle(s). Refer to Module 3 in the Appendix (Page 5) as an example.

Module IV – Compliance with the Law


Is compliance with the law by drivers written into the safety program?


^ Regulation Requirements


The Government of Alberta, other Canadian jurisdictions, the Government of Canada, and the transportation industry developed the National Safety Code (NSC) to help reduce the number and severity of collisions. Each jurisdiction has used the NSC standards as guides in drafting their own transportation safety legislation.


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 4(1)(c) states:


4(1) An application for a safety fitness certificate by a registered owner must

  1. confirm that the applicant has comprehensive knowledge of safety laws in Alberta, and if the applicant operates or intends to operate in a jurisdiction outside Alberta, that the applicant will obtain comprehensive knowledge of safety laws in that jurisdiction or those jurisdictions and will comply with them;


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 40(1)(c) states:


40(1) The registered owner of every commercial vehicle who is required to operate the vehicle under the authority of a safety fitness certificate must establish, maintain and follow a written safety program that, in a manner that is clearly documented, addresses matters relating to the safe use and operation of commercial vehicles, including:

    1. Policies that drivers are expected to comply with the law;


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 1(i) definition states:


1(i) “safety laws” means, as the context requires,

(i) the Traffic Safety Act and regulations made under the Act;

(ii) the Dangerous Goods Transportation and Handling Act and regulations made under that Act;

(iii) the laws of a jurisdiction outside Alberta, respecting the same, similar or equivalent subjects as those regulated or controlled by the laws referred to in subclauses (i) and (ii).

^ Minimum Policy Requirements


The carrier must have a written policy that drivers are to comply with the law. The carrier does not have to list specific acts or regulations.


Access to copies of Alberta’s legislations may be obtained through the following web site: http://www.transportation.alberta.ca/525.htm

Example: Write a policy that states what your directive is to anyone operating or authorized to operate your vehicle(s). Refer to Module 4 in the Appendix (Page 10) as an example.


Module V – Use of Safety Equipment


Are instructions for the use of safety equipment including, as required; the use of flags and flares, fire extinguishers, goggles and hard hats written into the safety program?


^ Regulation Requirements


The Government of Alberta, other Canadian jurisdictions, the Government of Canada, and the transportation industry developed the National Safety Code (NSC) to help reduce the number and severity of collisions. Each jurisdiction has used the NSC standards as guides in drafting their own transportation safety legislation.


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 40(1)(d) states:


40(1) The registered owner of every commercial vehicle who is required to operate the vehicle under the authority of a safety fitness certificate must establish, maintain and follow a written safety program that, in a manner that is clearly documented, addresses matters relating to the safe use and operation of commercial vehicles, including:

  1. instructions for the use of safety equipment, including, as required, the use of flags and flares, fire extinguishers, goggles, and hard hats;


^ Minimum Policy Requirements


The carrier must have written instructions for the use of safety equipment that pertains to the operation of their vehicles. Minimum requirement would be the use of approved warning devices, such as: flags and flares, reflectors or advanced warning triangles. If the carrier provides other safety equipment, such as, fire extinguishers, goggles and hard hats and if any other safety equipment is used or required by the carrier, then there should be instructions on how and when to use each. The carrier’s instructions may state “in accordance with a specific regulation.” However, if regulatory references are made, then the carrier must be able to produce the relevant legislation and staff must have access to it (e.g. The Province of Alberta’s Commercial Vehicle General Equipment and Safety Regulation (AR 435/86)).


Example: Write a policy that states what your directive is to anyone authorized to operate your vehicle(s). Refer to Module 5 in the Appendix (Page 11) as an example.

Module VI – Driver Responsibilities, Conduct and Discipline


Are policies and procedures relating to drivers’ responsibilities, conduct and discipline written into the safety program?


^ Regulation Requirements


The Government of Alberta, other Canadian jurisdictions, the Government of Canada, and the transportation industry developed the National Safety Code (NSC) to help reduce the number and severity of collisions. Each jurisdiction has used the NSC standards as guides in drafting their own transportation safety legislation.


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 40(1)(c) states:


40(1) The registered owner of every commercial vehicle who is required to operate the vehicle under the authority of a Safety Fitness Certificate must establish, maintain and follow a written safety program that, in a manner that is clearly documented, addresses matters relating to the safe use and operation of commercial vehicles, including:

      1. policy and procedures related to driver training, responsibilities, conduct and discipline;


^ Minimum Policy Requirements


The written policy must be able to clearly show the consequences of not complying with the company’s safety program or any regulatory violation. Any regulatory violation identified externally (i.e. by an officer or auditor) or internally must be addressed. The written policy must clearly identify the compliance process and the carrier’s steps they will take with drivers who fail to comply. Depending on the number, severity, and preventability of collisions/incidents over a period of time, the disciplinary plan may include a system of documented warnings, suspension, termination, and additional training.


Note: Canadian and Alberta labour standards, as well as all applicable transportation legislation, must be considered when setting the disciplinary consequences of non-compliance.


^ Note: This policy is not applicable if the carrier is an owner/operator who has never had any full-time or part-time drivers.


Examples: Write a policy that states what your directive is to anyone operating or authorized to operate your vehicle(s). Refer to Module 6 in the Appendix (Page 13) as an example.

Module VII – Employee Training and

Evaluation of Driving Skills


Is providing training to employees about safety laws and their application and an on-going program of evaluating their driving skills written into the safety program?


^ Regulation Requirements


The Government of Alberta, other Canadian jurisdictions, the Government of Canada, and the transportation industry developed the National Safety Code (NSC) to help reduce the number and severity of collisions. Each jurisdiction has used the NSC standards as guides in drafting their own transportation safety legislation.


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 40(1)(e) states:


40(1) The registered owner of every commercial vehicle who is required to operate the vehicle under the authority of a Safety Fitness Certificate must establish, maintain and follow a written safety program that, in a manner that is clearly documented, addresses matters relating to the safe use and operation of commercial vehicles, including:

  1. training for employees about safety laws and their application and an ongoing program for evaluating their driving skills;


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 1(i) definition states:


1(i)safety laws” means, as the context requires,

(i) the Traffic Safety Act and regulations made under the Act;

(ii) the Dangerous Goods Transportation and Handling Act and regulations made under that Act;

  1. the laws of a jurisdiction outside Alberta, respecting the same, similar or equivalent subjects as those regulated or controlled by the laws referred to in subclauses (i) and (ii).


^ Minimum Policy Requirements


The carrier must have a written policy which addresses employee training about transportation safety laws and their application (e.g. orientation-new hire, logbooks, load securement, weights and dimensions, trip inspections, etc.) and includes a written performance evaluation for driving skills that is on-going (e.g. annual employee reviews through road tests, on-road performance and/or periodic knowledge testing).


Access to copies of Alberta’s legislation may be obtained through the following web site: http://www.transportation.alberta.ca/525.htm

^ Note: This policy is not applicable if the carrier is an owner/operator and has never had any full-time or part-time drivers.


Examples: Write a policy that states what your directive is to anyone operating or authorized to operate your vehicle(s). Refer to Module 7 in the Appendix (Page 16) as an example.

Module VIII – Driver Records and Retention of Records


Is retention of complete records for drivers written into the safety program?


^ Regulation Requirements


The Government of Alberta, other Canadian jurisdictions, the Government of Canada, and the transportation industry developed the National Safety Code (NSC) to help reduce the number and severity of collisions. Each jurisdiction has used the NSC standards as guides in drafting their own transportation safety legislation.


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 40(1)(f) states:


40(1) The registered owner of every commercial vehicle who is required to operate the vehicle under the authority of a Safety Fitness Certificate must establish, maintain and follow a written safety program that, in a manner that is clearly documented, addresses matters relating to the safe use and operation of commercial vehicles, including:

  1. retention of complete records for each driver in accordance with section 41;


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 41(1)(a - j) states:


41(1)  The registered owner of every commercial vehicle who is required to operate the vehicle under the authority of a Safety Fitness Certificate must maintain, for each of that owner’s drivers, a driver record file containing the following information:

  1. the driver’s completed application form for employment with the registered owner;

  2. a copy of the driver’s abstract in a form satisfactory to the Registrar when the driver is first hired or employed, dated within 30 days of the date of employment or hire;

  3. annual updated copies of the driver’s abstract in a form satisfactory to the Registrar;

  4. the driver’s employment history for the 3 years immediately preceding the time the driver started working for the carrier;

  5. a record of the driver’s convictions of safety laws in the current year and in each of the 4 preceding years;

  6. a record of any administrative penalty imposed on the driver under safety laws;

  7. a record of all collisions involving a motor vehicle operated by the driver that are required to be reported to a peace officer under any enactment of Alberta or a jurisdiction outside Alberta;

  8. a record of all training undertaken by a driver related to the operation of a commercial vehicle and compliance with safety laws;

  9. a copy of any training certificate issued to the driver, in electronic or paper form, for the period starting on the date the training certificate is issued and continuing until 2 years after it expires, in accordance with Part 6 of the Transportation of Dangerous Goods Regulations under the Transportation of Dangerous Goods Act, 1992 (Canada);

  10. a copy of a current medical certificate for the driver.


^ Minimum Policy Requirements


This is to ensure that a driver is qualified and continues to be qualified to operate a commercial vehicle. The carrier should use this information, as well as training and testing, to decide whether or not the driver is fit to drive. The carrier must have a written policy indicating the specific drivers’ records which will be maintained and for how long; or a statement that drivers’ records will be maintained in accordance with the regulation. If the carrier states only that records will be maintained in accordance with a regulation, then they must be able to produce the Regulation. The carrier should have a written policy requiring drivers to report all convictions, collisions, violations, inspections, etc., and these reports should be in the drivers’ files.


Note: This policy does not require an owner/operator to retain an application form or a three-year employment history for him/herself, but is required to maintain all other drivers’ records listed in (AR 314/2002) Section 41(1).


Examples: Write a policy that states what your directive is to anyone operating or authorized to operate your vehicle(s). Refer to Module 8 in the Appendix (Page 19) as an example.


Module IX – Driver Qualifications


Is ensuring all drivers are properly qualified for the type of vehicle they operate written into the safety program?


^ Regulation Requirements


The Government of Alberta, other Canadian jurisdictions, the Government of Canada, and the transportation industry developed the National Safety Code (NSC) to help reduce the number and severity of collisions. Each jurisdiction has used the NSC standards as guides in drafting their own transportation safety legislation.


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 40(1)(g) states:


40(1) The registered owner of every commercial vehicle who is required to operate the vehicle under the authority of a Safety Fitness Certificate must establish, maintain and follow a written safety program that, in a manner that is clearly documented, addresses matters relating to the safe use and operation of commercial vehicles, including:

  1. policies for ensuring that drivers are properly qualified for the type of vehicle they operate;


^ Minimum Policy Requirements


Selective hiring of qualified, professional, safe drivers, with good work habits helps to minimize employee turnover and reduce training costs. The carrier has a written policy clearly specifying what the carrier considers to be a “qualified driver” for the type of vehicles each driver operates. This may be as simple as stating a class of licence that meets the minimum regulatory requirements.


^ Note: This policy is not applicable if the carrier is an owner/operator who has never had any full-time or part-time drivers.


Example: Write a policy that states what your directive is to anyone operating or authorized to operate your vehicle(s). Refer to Module 9 in the Appendix (Page 21) as an example.





PART C




^ REGULATORY REQUIREMENTS FOR MAINTENANCE PROGRAMS

(For Trucks, Truck-Tractors, Trailers)



NFORMATION

The following modules explain the regulatory requirements for a carrier’s written maintenance program. For each module in this section, there is a corresponding module within the Appendix that provides a sample policy that meets the minimum requirements of the regulation described. The Appendix begins on page 1 with sample maintenance policies beginning on page 20 of the Appendix.


^ Module X – Application to All NSC Trucks/Trailers


Does the written maintenance program pertain to all NSC vehicles (trucks, truck-tractors, trailers) in the fleet?


Regulation Requirements


The Government of Alberta, other Canadian jurisdictions, the Government of Canada, and the transportation industry developed the National Safety Code (NSC) to help reduce the number and severity of collisions. Each jurisdiction has used the NSC standards as a guide in drafting their own transportation safety legislation.


^ Truck, Truck-Tractors, Trailers


The Province of Alberta’s Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 2(1) states:


2(1)  No person may operate a commercial vehicle that is used or intended to be used to transport goods on a highway for which, under the Act, a certificate of registration is issued for a gross weight of 11 794 kilograms or more, unless the operation of the vehicle is carried out under the authority of a safety fitness certificate.


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 3 states:


3(1)   When a safety fitness certificate is required under section 2(1) the registered owner must apply to the Registrar for a safety fitness certificate authorizing the operation of commercial vehicles of 11 794 kilograms or more that are registered in the applicant’s name.

3(2)   The registered owner of a commercial vehicle that is used or intended to be used to transport goods on a highway to a jurisdiction outside Alberta, and for which, under the Act, a certificate of registration is issued for a gross weight of 4 500 kilograms or more, may apply to the Registrar for a safety fitness certificate, in which case the application must be made to authorize the operation of all commercial vehicles that are registered in the applicant’s name.


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 4(1)(d) states:


4(1)   An application for a safety fitness certificate by a registered owner must

(d) confirm that the applicant has a written ongoing inspection, maintenance and repair program that meets the requirements of the Commercial Vehicle Maintenance Standards Regulation (AR 118/89) for all commercial vehicles in respect of which the application is made and for any commercial vehicles which may subsequently be acquired by the applicant;


The Province of Alberta’s ^ Commercial Vehicle Maintenance Standard Regulation

(AR 118/89) Section 5(1) for trucks, truck-tractors, trailers states:


5(1)   A carrier shall have a maintenance and inspection program that pertains to all of his commercial vehicles and shall carry out the program in accordance with its terms.

5(2)   A maintenance and inspection program must be in writing and provide for a continuous and regular program for the inspection, maintenance and repair of the carrier’s commercial vehicles that meets the requirements of the Schedule.


The Province of Alberta’s ^ Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002) Section 43(1)(a - c) states:


43(1)  Unless another enactment or the Registrar otherwise permits in writing, the records required to be maintained by a carrier under this regulation and under Commercial Vehicle Maintenance Standards Regulation (AR 118/89) and Vehicle Inspection Regulation (AR 211/2006) must:

  1. be kept at the carrier’s principal place of business in Alberta,

  2. be retained for at least 5 years from the date they are created, established or received, and

  3. be readily available for inspection by a peace officer during the carrier’s regular business hours.


Minimum Policy Requirements


In order for the Maintenance program to be effective and followed, a written policy is required to say that the Maintenance program applies to all NSC vehicles registered to the owner. The carrier must ensure it meets the minimum regulatory requirements and is implemented.


The following are to be considered when writing the maintenance program:


  • ensure that all commercial vehicles are inspected according to all provincial regulations and are maintained in safe operating condition;

  • designate a person responsible for maintenance;

  • address all maintenance activities such as trip inspections, repairs, routine maintenance, Commercial Vehicle Safety Alliance (CVSA) inspections and any Commercial Vehicle Inspection Program (CVIP) inspections;

  • ensure that files on each vehicle are completed and retained;

  • include lease operators employed by the carrier.


Note: If a carrier has a lease operator’s vehicles registered to their company, and the lease operator is following their own maintenance program, the carrier must have documentation (e.g. Lease agreement, contract policies) in the carrier’s maintenance program clearly stating that the lease operator’s program is approved/acceptable and a copy of the lease operator’s maintenance program must be retained by the carrier. In addition the carrier must then monitor that they are implementing the program.


Example: For example maintenance policies refer to Module 10, beginning on page 20 of the Appendix.


Module XI – Regular and Continuous Inspections of Trucks/Trailers


Does the written maintenance program call for a regular and continuous program of inspection (trucks, truck-tractors, trailers)?


The Government of Alberta, other Canadian jurisdictions, the Government of Canada, and the transportation industry developed the National Safety Code (NSC) to help reduce the number and severity of collisions. Each jurisdiction has used the NSC standards a guide in drafting their own transportation safety legislation.


^ Truck, Truck-Tractors, Trailers


The Province of Alberta’s Commercial Vehicle Maintenance Standard Regulation

(AR 118/89) Section 5 for commercial vehicles states:


5(1)   A carrier shall have a maintenance and inspection program that pertains to all of his commercial vehicles and shall carry out the program in accordance with its terms.

5(2) A maintenance and inspection program must be in writing and provide for a continuous and regular program for the inspection, maintenance and repair of the carrier’s commercial vehicles that meets the requirements of the Schedule.


In order for the maintenance program to be effective and adhered to, a written policy is required to say that the Maintenance program applies to all NSC vehicles registered to owner. The carrier must ensure it meets the minimum regulatory requirements and is implemented.


The following are to be considered when writing the maintenance program:


  • ensure that all commercial vehicles are inspected according to all provincial regulations and are maintained in safe operating conditions;

  • designate a person responsible for maintenance;

  • address all maintenance activities such as trip inspections, repairs, routine maintenance, Commercial Vehicle Safety Alliance (CVSA) inspections and any Commercial Vehicle Inspection Program (CVIP) inspections;

  • ensure that files on each vehicle are completed and retained;

  • include lease operators employed by the carrier.


Note: If a carrier has a lease operator’s vehicles registered to their company, and the lease operator is following their own maintenance program, the carrier must have documentation (e.g. Lease agreement, contract policies) in the carrier’s maintenance program clearly stating that the lease operator’s program is approved/acceptable and a copy of the lease operator’s maintenance program must be retained by the carrier. In addition the carrier must then monitor that they are implementing the program.


Example: For example maintenance policies refer to Module 10, beginning on page 20 of the Appendix.

Module XII – Trip Inspections of Trucks/Trailers


Does the carrier’s written maintenance program require that drivers conduct pre/post trip inspections covering all required items (trucks, truck-tractors, trailers)?


^ Regulation Requirements


The Government of Alberta, other Canadian jurisdictions, the Government of Canada, and the transportation industry developed the National Safety Code (NSC) to help reduce the number and severity of collisions. Each jurisdiction has used the NSC standards a guide in drafting their own transportation safety legislation.


^ Trucks, Truck-Tractors, Trailers


The Province of Alberta’s Commercial Vehicle Maintenance Standard Regulation

(AR 118/89) Section 3(1) and 3(2) for trucks, truck-tractors, trailers states:


3(1)  The driver of a commercial vehicle shall inspect it prior to operating it at the beginning of a workshift and after he ceases to operate it at the end of a workshift.

3(2) An inspection carried out under subsection (1) must include an inspection of the following equipment:

  1. the lighting devices and reflectors,

  2. the tires,

  3. the coupling devices,

  4. the wheels and rims,

  5. the service brake, including the trailer brake connections,

  6. the parking brake,

  7. the steering mechanism,

  8. the horn,

  9. the windshield wipers,

  10. the rear vision mirrors, and

  11. the emergency equipment.


The Province of Alberta’s Commercial Vehicle Maintenance Standard Regulation (AR 118/89) Section 4 for trucks, truck-tractors, trailers states:


    1. A driver of a commercial vehicle shall inform the carrier responsible for that vehicle of any defects or deficiency that would affect the safe operation of the vehicle.


The Province of Alberta’s ^ Commercial Vehicle Maintenance Standard Regulation

(AR 118/89) Section 8(c) for trucks, truck-tractors, trailers states:


  1. A carrier shall maintain, or cause to be maintained, the following records pertaining to each commercial vehicle used in his business:

(c) a record of the inspection, repairs, lubrication and maintenance for the vehicle, including

  1. the nature of the inspection or work performed on the vehicle, and

  2. the date on which that inspection or work took place and the odometer reading on the vehicle at that time;


The Province of Alberta’s ^ Commercial Vehicle Maintenance Standard Regulation

(AR 118/89) Section 9 for trucks, truck-tractors, trailers states:


9(1)  Subject to subsections (2) and (3), the records referred to in section 8 must;

(a) be retained by the carrier for the current calendar year and the 4 calendar years immediately following, and

      1. be located at or made available through the carrier’s main place of business in Alberta;

9(2) Notwithstanding subsection (1)(a), when a commercial vehicle is permanently retired from use in his business by the carrier or is disposed of, records kept in respect of that vehicle must be retained for a period of 6 months from the date that the vehicle was so retired or disposed of.


^ Minimum Policy Requirements


In order for the maintenance program to be effective, drivers operating the carrier’s vehicles are required to complete a pre-trip and post-trip inspection during each work shift. The minimum regulatory components must be identified in a written policy as part of the carrier’s inspection program.


Maintenance program requirements identify that drivers are to conduct inspections at the beginning (pre-trip) and at the end of a work shift (post-trip). All defects and deficiencies identified at any time must be communicated in writing to the person responsible for the vehicle. All repairs must be made to ensure safe operation on the roadway. The minimum regulatory components that must be inspected are shown on a sample checklist included at the end of this module. These forms may be used as is, or they can be easily modified to suit your company’s particular situation.


Note: Alberta’s legislation does not require a pre-/post-trip inspection to be in writing (i.e. on a form), unless a defect or deficiency is identified. However, if a written pre-trip and post-trip inspection are required by the carrier’s maintenance program, then each is considered to be an “inspection” and must be retained as specified by the Commercial Vehicle Maintenance Standard Regulation (AR 118/89) Section 8 and for the current year in which the record was created and the 4 years following creation, as required by Section 9. Also note that other jurisdictions may require that trip inspections be in writing.


Whether or not the trip inspection is in writing, any vehicle safety defect identified as the result of a pre-/post-trip inspection is required to be in writing as specified by ^ Commercial Vehicle Maintenance Standard Regulation (AR 118/89) Section 4.


Every written record of an inspection must contain at least the information specified by Commercial Vehicle Maintenance Standard Regulation (AR 118/89) Section 8(c).


Example: Write a policy that states what your directive is to anyone operating or authorized to operate your vehicle(s). For example maintenance policies refer to Module 10, beginning on page 20 of the Appendix.


APPENDIX





NFORMATION

The following sample safety and maintenance policies have been provided to allow carriers operating trucks, truck-tractors and/or trailers to create a program that meets the minimum regulatory requirements in the Government of Alberta. For each module in this section, there is a corresponding module within the main document that provides detailed regulatory information.


^ NOTICE TO READERS


Every effort has been made to ensure that the information in this document is accurate at the time of preparation. However, this document is intended to serve only as a guide and cannot replace first-hand information such as specific legislation.


This document has been prepared by the Carrier Services Section of Alberta Transportation. It is intended to represent a sample safety and maintenance program for the operation of trucks, truck-tractors and/or trailers in Alberta. ^ This document should be altered to address the compliance and operational needs of a specific carrier. This sample document, by itself, should NOT be used or accepted as meeting a carrier’s regulatory requirement unless it has been appropriately modified and implemented.


Corrections, comments and suggestions can be submitted to Alberta Transportation at any time by contacting Carrier Services Section at (403) 755-6111 (toll free in Alberta by first dialing 310-0000) or by email to carrier.services@gov.ab.ca.


Some modules identify several options for addressing regulatory requirements in selected areas. The carrier should select one of these options to include in the company’s programs. Delete any maintenance sections that do not apply to your fleet.


The items included in this document are considered to be the minimum items required by law. You may include additional policies to these minimum requirements in your programs. The responsibility is still on the carrier to ensure that your programs meet the requirements of the law.


To assist you in ensuring that you have met the requirements, the following web sites may help when developing your programs and/or training. You are required to implement your program, evaluate it periodically and update your program as necessary. For more information on safety and maintenance programs, training, etc. view our “Educational Manual” on the internet at: http://www.transportation.alberta.ca/Content/docType276/Production/Edmanual.pdf


For more information on Regulatory Requirements consult the following legislation:


  • Commercial Vehicle Certificate and Insurance Regulation (AR 314/2002);

  • Commercial Vehicle Maintenance Standard Regulation (AR 118/89); and

  • Traffic Safety Act.


Alberta Regulations are available from the Queens Printer at (780) 427-4952 or on their website: http://www.qp.gov.ab.ca.




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