UH

Report

lower City

Audit Committee
Committee of the Council of

The Corporation of the City of Brampton

Audit Committee

Date:

January 14, 2015

File:

GE.a

Subject:

Driver Certification Program Benchmark Compliance Audit

Contact:

Nicole Anderson, Manager, Internal Audit, Internal Audit Division

Date: fekiftjQrtj ^ jfo|S

Overview:

Internal Audit conducted two special audits (not on 2014 Work Plan) at the
request of the Department;

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;
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;
Based on the results of the audits, it is Internal Audit's 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 GE.a) be received.

Background:

Brampton Transit and Fleet Services are recognized authorities for more than 15 years
under the Ministry of Transportation's 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.

5^1

2E5i5
Name:

Nicole Anderson

Title:

Manager, Internal Audit

me: Catherine Spence

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 30,2014

Recognized Authority (RA): Brampton Transit

RA Municipal Address:

130 Sandalwood Parkway Brampton L7A 0L1

File Location:

Same as above

(if different than above)

Training Location:
(if different than above)

Same as above

RA #:

22-2-03

RA Official:

Peter Alder, Senior Manager Operations

Phone 905-874-2750 Ext 62625;

Email: Peter.Alder@brampton.ca

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

Auditor's Address: 2 Wellington St West

Brampton ON
L6Y 4R2

Auditor's Phone #: 905-874-3836

Auditor's email:

Nicole.Anderson@brampton.ca

Page 1 of 10

E.1*-^

Professional designation, please check appropriate box:

Chartered Professional Accountant

Internal Auditor (separate reporting structure)

El

Auditor with credentials

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

School Bus

Fleet
D
Government

Municipalities
Public Transit

IS
E

(or Sub- Contractor)

Fire Department
(or EMS)

Police
Provincial Government
Federal Government

(Includes Agencies, Boards, Commissions, Crown Corporations etc. for

Provincial and Federal Governments)

Community Colleges

Community College Air brake (Z)

Community College Commercial Driver Training
Community College Motorcycle

M1

M1(L)
M1(M)D

M2

M2(L)
M2(M)D

Safety Organization

Page 2 of 10

U-5

Air Brake Safety Organization

Motorcycle Safety Organization

M1

M2

M1(L) D
M1(M)D

M2(L) D

M2(M)D

Class of Authority Granted:

A

El

A(R)

Date of Last Inspection (dd/mm/year):

M2

29/05/2013

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 2.4.3 - 2.4.6 of the Driver Certification Program

Manual

Program

Program Requirement

Participant

Infraction

Pass

Fail

N/A

Level

Comments

(if failed checked please

provide details)

1)
Recognized
Authority
(RA)

GENERAL 3EQUIREME NTS

1.1 Has developed and are

submitting an updated training

Minor

program to the ministry.

1.2 Has signed contract with
the Ministry.

Minor

1.3 Has most recent Driver

Minor

Certification Program Manual

1.4 Confirm RA is not a truck

individual SA's), see section

2.2.2.12 in the DCP manual).

Participant

Program Requirement

Fail

N/A

Major

contract is between RA and

Program

Major

driving school or affiliated with

a truck driving school.

1.5 Ensure RA employs or

directly contracts SAs (e.g.

Infraction

Level

Pass

Comments

(if failed checked please

provide details)

Page 3 of 10

BU-W

1.6 Ensure at least one

Major

qualified SA, per licence class

the RA is training/testing in,
and that the SA is employed or
directly contracted with the

IE)

RA. See section 2.2.2.12 in

the DCP manual.

1.7 Ensure RAO is qualified.

Complete section 2 below.

Major

Also, see section 2.2.1 in the

DCP manual.
1.8 Ensure SAs fulfill all SA

Minor

duties and responsibilities.

See section 2.3.3 in the DCP
manual.
1.9 Ensure SAs continue to

Major

meet all eligibility criteria.

Complete section 3 below.
Also see 2.2.3 in the DCP
manual.
1.10 Ensure all SAs are

present and/or available at

audits. See section 2.3.2 in the
DCP manual.
1.11 RA is not found to be

subject of a violation or order

related to driver education or

training (e.g., MTO, ministry of

Training, Colleges, and

Minor

Minor or

Major
(dependin
g on the

infraction)

Universities).
1.12 Ensure RA collected

Major

course fees directly from

employee/student (e.g. receipt
with the RA name, HST

number), see section 2.2.2.9 in

the DCP manual. (Review
10% of the overall sample
size)
STOCK

1.13 Ministry stock and driver

Minor

files are secure (e.g. located in

a secure area, locked cabinet,

safe etc.). See section 2.3.2

and 2.4.4.1 in the DCP

Pass

Fail

N/A

manual.

Program
Participant

Program Requirement

Infraction
Level

Comments

(if failed checked please

Page 4 of 10

U~-?

provide details)
1.14 Ability to ensure only

Major

authorized persons have

access to the stock and driver

files (e.g. limited to RAO,

approved admin staff, SAs).

ISI

See section 2.3.2 and 2.4.4.1

in the DCP manual.
DRIVER FILES
1.15 Ensure RA has maintained

Minor

Driver and Master files as per

ministry standards. See
section 2.4.10 and 2.4.11 in the

DCP manual. (Review 2.5% of

the overall sample size)

1.16 Ensure RA has maintained
the driver documents in the

Minor

Driver file for one year or since

the last inspection, which ever
is the longer time period. See
section 2.4.10. (Review 2.5%
of the overall sample size)
1.17 Ensure RA has
documented and retained all

Minor

record(s) of collisions that

involved vehicles operated by
drivers in the training program.
See section 2.4.10 (Review
2.5% of the overall sample

size)
FACILITIES/TEACHING AIDS

1.18 Provide training and

testing in facilities/sites that
meet ministry-standards for invehicle and in-class training
and testing. See section

Major

2.2.2.13 in DCP Manual

1.19 Ensure that training/testing

Major

facilities are in a non-residential

location. See section 2.2.2.4 in
the DCP manual for

Pass

Fail

Municipalities are
exempt from this
requirement.

exemptions.

Program
Participant

Program Requirement

Infraction

Level

N/A

Comments

(if failed checked please

Page 5 of 10

eu-s

1.20 Ensure the RA

provide details)
Municipalities are
exempt from this
requirement.

Minor

own/lease/rent the facility. See

section 2.2.2.4 in the DCP

'

manual for exemptions.

1.21 Ensure RA has proof of
insurance for premises (i.e. $2
million general liability
insurance on premises). See

Major

section 12 in the DCP

Agreement.
1.22 Confirm training
equipment and teaching aids
continue to meet ministry

Minor

standards. See section

2.2.2.13-2.2.2.15 in the DCP
manual.

1.23 Ensure RA has Ministry

approved and functional vision
testing equipment. Applicable
to RA's approved for vision
testing only. See section

Minor

3.5.1.1 in the DCP manual.

VEHICLE! >US
1.24 Verify the number of
operational vehicles (25 or
more) in the RA's fleet in the
applicable class(es) that the RA
has authority to train/test in.
Complete Vehicle Verification

H TRAINING A NDTES1
Major
(exemptio
r

ns

El

El

Pass

Fail

Municipalities are
exempt from this
requirement.

granted)

Checklist form. See section

2.2.2.5 in the DCP manual for a

list of exemptions.
1.25 Ensure vehicles

Minor

used for training/testing meet

ministry standards. Complete
Vehicle Verification Checklist
form. See section 2.2.2.5 in the
DCP manual.

1.26 Ensure RA has proof of

insurance for vehicles (i.e. $2
million automobile liability
insurance), complete Vehicle

Major

Verification Checklist form.

See section 12 in the DCP

Program

Agreement.
Program Requirement

Infraction

N/A

Comments

Page 6 of 10

l*-^

Participant

Level

(if failed checked please

provide details)

TRAINING AND T ESTING

1.27 RA has entered on the

Minor

DCP system proposed

training/testing dates.
1.28 Auditor verifies the road

Major

test routes/practical tests used

are the ones approved by the
ministry. (Review 10% of the
overall sample size)

1.29 Ensure that road/practical

testing is conducted only after
delivering MTO-approved
training (applicable to upgrades

Major

only). See section 2.3.2 in the

DCP manual. (Review 10% of
the overall sample size)
1.30 For the M1 training

RA is not authorized and

does not train and test
for licence class M1.

course ensure:

a) The student/instructor
training ratio does not exceed

ministry standards of 25:1 in-

Major

class, 5:1 on-vehicle. See

section 3.1.2.2 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

Major

RA is not authorized and

does not train and test
for licence class M1.

course. See section 3.1.2.2 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 MTOapproved training course. See

RA is not authorized and

does not train and test

Major

for licence class M1.

section 3.1.2.2 in the DCP

manual. (Review 10% of the

overall sample size)

1.31 For the M2 training

Major

RA is not authorized and

does not train and test
for licence class M2.

course ensure:

a) The student/instructor
training ratio does not exceed
ministry standards of 25:1 inclass, 5:1 on-vehicle. See
section 3.2.4.6 in the DCP

manual. (Review 10% of the

overall sample size)

Page 7 of 10

EU-lo

Program
Participant

Program Requirement

Infraction
Level

b) All instructors are Ministry

approved M2 SA's (requirement
for M2 training and testing).

Major

Pass

Fail

See section 3.2.4.6 in the DCP

N/A

Comments
(if failed checked please
provide details)
RA is not authorized and
does not train and test
for licence class M2.

manual. (Review 10% of the

overall sample size)

c) Only a Ministry-approved M2
SA is conducting all M2 testing
following delivery of the MTOapproved training course. See

Major

RA is not authorized and

does not train and test

for licence class M2.

El

El

section 3.2.4.6 in the DCP

manual. (Review 10% of the

overall sample size)
1.32 For the Airbrake training
course ensure: the

student/instructor training ratio

does not exceed ministry
standards of 15:1 student to

Major

trainer. See section 3.2.5 in the

DCP manual. (Review 10% of

the overall sample size)
2)
Recognize
d Authority
Official

(RAO)

GENERAL F EQUIRE

2.1 Primary work location is in

Major

Ontario.

2.2 Satisfactory criminal record

check, within 1 year of the date

Major

of this audit.

2.3 Is not acting as a Signing

Authority (i.e. RAO cannot act
as an SA, and vice versa).
2.4 Occupies a position in the
organization at a senior
supervisory level.

3) Signing
Authority
(SA)

Major

Major

GENERAL F EQUIREMEN
3.1 Ensure SA marks test

Major

papers accurately and stores

them in the Drivers File. See

section 3.2.2.1 and 3.3.1.4 in

the DCP manual. (Review 10%

of the overall sample size)

Page 8 of 10

eu-u

1 Program
Participant

Program Requirement

Infraction
Level

Pass

Fail

N/A Comments
(if failed checked please
provide details)

3.2 Ensure SA records all test

Minor

results on the Driver

Certification Activity Report (or

other documentation used for

tracking training/testing) and

that they reconcile with the test
results in the driver file. See
section 3.2.2.1 and 3.3.1.4 in

El

El

El

the DCP manual. (Review

2.5% of the overall sample
size)
3.3 Ensure SA maintains

Major

complete driver files and has

available for inspection. See
section 2.3.3 and 2.4.10 in the

DCP manual. (Review 10% of

the overall sample size)
3.4 Ensure SA conducts

Major

ministry approved
road/practical test and utilizes
approved route. See section
3.2.2.1 in the DCP manual.

(Review 10% of the overall

sample size)
3.5 Ensure SA conducts

Major

road/practical testing only after

delivering MTO
approved.training (applicable to
upgrades only). See section
2.3.3 in the DCP manual.

(Review 10% of the overall

sample size)
3.6 SA assists auditors as

Minor

requested. See section 2.3.3 in

the DCP manual.

3.7 Ensure that only employees

Major

or registered students receive

training and testing offered
under the program. See section
2.3.3 in the DCP manual.

(Review 10% of the overall

sample size)

Page 9 of 10

Ev,-a

Program

Program Requirement

Participant

Infraction

Pass

Fail

N/A

Level

Comments

(if failed checked please !

provide details)

3.8 [For out-of-province drivers

who are Ontario SAs) SA
possess valid equivalent
driver's licence from any
Canadian jurisdiction, in the
class(es) of licence and/or

Major

The RA has no SAs that

are out-of-province
drivers

endorsement for which the SA

provides training and testing.

3.9 (For out-of-province drivers
who are Ontario SAs) SA
continues to meet the eligibility
requirements in terms of their
driving record (e.g. demerit
points, convictions etc.). See

Major

The RA has no SAs that

are out-of-province
drivers

section 2.2.3 in the DCP

manual.
3.10
reco

Satisfactory criminal
rd check, within 1 year of

Major

thee ate of this audit. See

secti on 2.2.3.5 in the DCP
man
over

jal. (Review 10% of the

all sample size)

Page 10 of 10

Appendix B

Part 2 - Driver Certification Program (DCP) Benchmark

Compliance Audit Report

(Forexisting DCP participants)

Date ofAudit:

Completed October 30,2014 (updated Nov. 27,2014)

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: Chris.Chiaravallotti@brampton.ca

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

Auditor's Address: 2 Wellington St West

Brampton ON
L6Y 4R2

Auditor's Phone #: 905.874.3836

Auditor's email:

Nicole.Anderson @brampton.ca
Page 1 of 11

EU-lMr

Professional designation, please check appropriate box:

Chartered Professional Accountant

Internal Auditor (separate reporting structure)

El

Auditor with credentials

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 or could 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

School Bus

Fleet
D
Government

Municipalities

El

Public Transit

(or Sub- Contractor)

Fire Department
(or EMS)

Police
Provincial Government
Federal Government

(Includes Agencies, Boards, Commissions, Crown Corporations etc. for

Provincial and Federal Governments)

Community Colleges

Community College Air brake (Z)

Community College Commercial Driver Training
Community College Motorcycle

M1

M1(L)

M2

M2(L)
Page 2 of 11

El*-IS

M1(M)D

Safety Organization

Air Brake Safety Organization

Motorcycle Safety Organization

M1

M2

M1(L) D

M1(M)Q

M2(M)D

M2(L) D
M2(M)D

Class of Authority Granted:

D

A(R)

D
M2

Date of Last Inspection (dd/mm/vear):

19/01/2011

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 2.4.3 - 2.4.6 of the Driver Certification Program

Manual

l Program

Program Requirement

Participant

Infraction

Pass

Fall

N/A

Level

Comments

(If failed checked please

provide detail*)

Recognized
Authority
(RA)

1.1 Has developed and are

submitting an updated training
program to the ministry.
1.2 Has signed contract with
the Ministry.
1.3 Has most recent Driver

GENERAL REQUI REME NTS

Minor

Minor
Minor

Certification Program Manual

1.4 Confirm RA is not a truck

Major

driving school or affiliated with

a truck driving school.

1.5 Ensure RA employs or

Major

directly contracts SAs (e.g.

contract is between RA and

individual SA's), see section

2.2.2.12 in the DCP manual).

Page 3 of 11

E^-tU

Program Requirement

infraction

Pass

Fail

N/A

Level

Comments

(*f taMed checked please

provide details)

1.6 Ensure at least one

Major

qualified SA, per licence class

the RA is training/testing in,
and that the SA is employed or
directly contracted with the

RA. See section 2.2.2.12 in

the DCP manual.

1.7 Ensure RAO is qualified.

Complete section 2 below.
Also, see section 2.2.1 in the

Major

DCP manual.

1.8 Ensure SAs fulfill all SA

Minor

duties and responsibilities.

See section 2.3.3 in the DCP
manual.
1.9 Ensure SAs continue to

Major

meet all eligibility criteria.

Complete section 3 below.
Also see 2.2.3 in the DCP
manual.
1.10 Ensure all SAs are

present and/or available at

Minor

audits. See section 2.3.2 in the

DCP manual.

1.11 RAis not found to be

Minor or

subject of a violation or order

Major

related to driver education or

(dependin
g on the

training (e.g., MTO, ministry of

Training, Colleges, and
Universities).

infraction)

1.12 Ensure RA collected

Major

course fees directly from

employee/student (e.g. receipt

with the RA name, HST

number), see section 2.2.2.9 in

the DCP manual. (Review
10% of the overall sample
size)

Page 4 ofU

&u-n

STOCK

1.13 Ministry stock and driver

files are secure (e.g. located in

Minor

a secure area, locked cabinet,

safe etc.). See section 2.3.2

and 2.4.4.1 in the DCP

manual.

Program Requirement

Infraction

Pass

Fail

N/A

Level

Comments

(if failed checked please

provide details)

1.14 Ability to ensure only

Major

authorized persons have

access to the stock and driver

files (e.g. limited to RAO,

approved admin staff, SAs).

See section 2.3.2 and 2.4.4.1

in the DCP manual.
DRIVER FILES

1.15 Ensure RA has maintained

Minor

Driver and Master files as per

ministry standards. See
section 2.4.10 and 2.4.11 in the

DCP manual. (Review 2.5% of

the overall sample size)
1.16 Ensure RA has maintained
the driver documents in the

Minor

Driver file for one year or since

the last inspection, which ever
is the longer time period. See
section 2.4.10. (Review 2.5%
of the overall sample size)
1.17 Ensure RA has
documented and retained all

Minor

record(s) of collisions that

involved vehicles operated by

drivers in the training program.
See section 2.4.10 (Review
2.5% of the overall sample
size)

FACILITIES/TEACHING AIDS

Page 5 of 11

EU-lS

1.18 Provide training and

testing in facilities/sites that

Major

meet ministry-standards for invehicle and in-class training

and testing. See section
2.2.2.13 in DCP Manual

1.19 Ensure that training/testing

Municipalities are
exempt from this
requirement.

Major

facilities are in a non-residential

location. See section 2.2.2.4 in
the DCP manual for

exemptions.

Program Requirement

1.20 Ensure the RA

Infraction

Pass

Fail

N/A

Level

(>f tailed checked please

provide details)
Municipalities are
exempt from this
requirement.

Minor

own/lease/rent the facility. See

section 2.2.2.4 in the DCP

Comments

manual for exemptions.

1.21 Ensure RA has proof of

insurance for premises (i.e. $2
million general liability
insurance on premises). See

Major

section 12 in the DCP

Agreement.
1.22 Confirm training

Minor

equipment and teaching aids

continue to meet ministry
standards. See section
2.2.2.13-2.2.2.15 in the DCP
manual.

1.23 Ensure RA has Ministry

Minor

approved and functional vision

testing equipment. Applicable
to RA's approved for vision
testing only. See section
3.5.1.1 in the DCP manual.

Page 6 of 11

ew-n

4ICLES USED FOR TRAI NING AND TESTING

1.24 Verify the number of
Major
operational vehicles (25 or
(exemptio
more) in the RA's fleet in the

ns

applicable class(es) that the RA granted)

has authority to train/test in.
Complete Vehicle Verification

Municipalities are
exempt from this
requirement.

Checklist form. See section

2.2.2.5 in the DCP manual for a

list of exemptions.
1.25 Ensure vehicles

Minor

used for training/testing meet

ministry standards. Complete

Fail

N/A

Vehicle Verification Checklist

form. See section 2.2.2.5 in the
DCP manual.

1.26 Ensure RA has proof of

insurance for vehicles (i.e. $2

million automobile liability

Major

insurance), complete Vehicle

Verification Checklist form.

See section 12 in the DCP

Agreement.

Program Requirement

Infraction

Pass

Level

Comments

(if failed checked please

provide details!

TRAINING AND TESTING

1.27 RA has entered on the

Minor

DCP system proposed

training/testing dates.

1.28 Auditor verifies the road

Major

test routes/practical tests used

are the ones approved by the

ministry. (Review 10% of the

overall sample size)

1.29 Ensure that road/practical
testing is conducted only after
delivering MTO-approved
training (applicable to upgrades

Major

only). See section 2.3.2 in the

DCP manual. (Review 10% of

the overalt sample size)

1.30 For the M1 training
course ensure:

a) The student/instructor

training ratio does not exceed

ministry standards of 25:1 in-

Major

RA is not authorized and

does not train and test
for licence class M1.

class, 5:1 on- vehicle. See

section 3.1.2.2 in the DCP

Page 7 of 11

EU-ZO

manual. (Review 10% of the

overall sample size)

b) A minimum of one on-site

Ministry- approved M1 SA is
supervising the entire training

Major

RA is not authorized and

does not train and test

for licence class M1.

course. See section 3.1.2.2 in

the DCP manual. (Review 10%

of the overall sample size)

RA is not authorized and

does not train and test
for licence class M1.

c) Only a Ministry-approved M1
SA is conducting all M1 testing
following delivery of the MTO-

approved training course. See

Major

section 3.1.2.2 in the DCP

manual. (Review 10% of the

overall sample size)
1.31 For the M2 training

RA is not authorized and

does not train and test
for licence class M2.

Major

course ensure:

a) The student/instructor
training ratio does not exceed
ministry standards of 25:1 in-

class, 5:1 on-vehicle. See

section 3.2.4.6 in the DCP

manual. (Review 10% of the

overall sample size)

Program

Program Requirement

Infraction

Level

(H tailed checked please

provide details)

b) All instructors are Ministry

approved M2 SA's (requirement
for M2 training and testing).

Major

RA is not authorized and

does not train and test
for licence class M2.

Participant

Pass

See section 3.2.4.6 in the DCP

Fail

N/A

Comments

manual. (Review 10% of the

overail sample size)

c) Only a Ministry-approved M2

RA is not authorized and

does not train and test
for licence class M2.

Major

SA is conducting all M2 testing

following delivery of the MTOapproved training course. See

section 3.2.4.6 in the DCP

manual. (Review 10% of the

overall sample size)
1.32 For the Airbrake training

course ensure: the

student/instructor training ratio

does not exceed ministry

Major

standards of 15:1 student to

trainer. See section 3.2.5 in the

Page 8 of 11

EU-Z

DCP manual. (Review 10% of

the overall sample size)

2)
Recognize

d Authority
Official

(RAO)

2.1 Primary work location is in

GENERAL REQUIREMENTS
Major

Ontario.

2.2 Satisfactory criminal record

check, within 1 year of the date

as an SA, and vice versa).

a

supervisory level.
3.1 Ensure SA marks test

Major

organization at a senior

3) Signing
Authority
(SA)

Major

Authority (i.e. RAO cannot act

2.4 Occupies a position in the

Major

of this audit.

2.3 Is not acting as a Signing

GENERAL REQUIREMENTS
Major

papers accurately and stores

them in the Drivers File. See
section 3.2.2.1 and 3.3.1.4 in

the DCP manual. (Review 10%

Fail

N/A

of the overall sample size)

Program

Program Requirement

Participant

Infraction

Pass

Leve

Comments

(if failed checked please

provide details)

3.2 Ensure SA records all test

Minor

results on the Driver

Certification Activity Report (or

other documentation used for

tracking training/testing) and

that they reconcile with the test
results in the driver file. See
section 3.2.2.1 and 3.3.1.4 in

the DCP manual. (Review

2.5% of the overall sample
size)
3.3 Ensure SA maintains

Major

complete driver files and has

available for inspection. See

section 2.3.3 and 2.4.10 in the

DCP manual. (Review 10% of

the overall sample size)
Page 9 of 11

E.U-1Z

3.4 Ensure SA conducts

Major

ministry approved

road/practical test and utilizes

approved route. See section

3.2.2.1 in the DCP manual.

(Review 10% of the overall

sample size)
3.5 Ensure SA conducts

Major

road/practical testing only after

delivering MTO

approved.training (applicable to
upgrades only). See section
2.3.3 in the DCP manual.

(Review 10% of the overall

sample size)
3.6 SA assists auditors as

Minor

requested. See section 2.3.3 in

the DCP manual.
3.7 Ensure that only employees

Major

or registered students receive

training and testing offered
under the program. See section
2.3.3 in the DCP manual.

(Review 10% of the overall

sample size)

Program

Program Requirement

Infraction

3.8 (For out-of-province drivers

Major

Participant

Pass

Fail

Level

who are Ontario SAs) SA

N/A

Comments

(iffai,cd checked please

provide details)

possess valid equivalent

The RA has no SAs that

are out-of-province
drivers

driver's licence from any

Canadian jurisdiction, in the

class(es) of licence and/or
endorsement for which the SA

provides training and testing.

3.9 (Forout-of-province drivers

The RA has no SAs that

Major

are out-of-province

who are Ontario SAs) SA

continues to meet the eligibility

requirements in terms of their

driving record (e.g. demerit
points, convictions etc.). See

drivers

section 2.2.3 in the DCP

manual.

Page 10 of 11

EU-23

3.10 Satisfactory criminal

record check, within 1 year of

Major

the date of this audit. See

section 2.2.3.5 in the DCP

manual. (Review 10% of the

overall sample size)

Additional Comments (optional):

No issues noted.

Page 11 of 11