NEWFOUNDLAND AND LABRADOR REGULATION 45/04

CNLR 1160/96
as amended

1. Sections 2 to 19 of the Carrier Safety Regulations are repealed and the following substituted

Definitions

2. In these regulations

(a) "Act" means the Highway Traffic Act;

(b) "active power unit" means a commercial vehicle that is registered under section 16 of the Act and not under suspension for more than one year, but does not include a trailer;

(d) "Code" means the National Safety Code for Motor Carriers adopted by the Canadian Council of Motor Transport Administrators as amended from time to time;

(e) "commercial vehicle" means

(i) a truck, tractor or trailer or any combination of them exceeding a registered gross vehicle weight of 4,500 kilograms,

(ii) a bus,

(iii) a school bus,

(iv) a school purpose vehicle as defined in the Bus Regulations, or

(v) a disabled passenger vehicle as defined in the Official Inspection Station Regulations;

(f) "compliance indicator" means the numerical value specified in these regulations for an inspection defect, accident or conviction;

(g) "compliance review" means an inspection and administrative review of a carrier by the registrar, and inspector or other authorized person which may include verifying compliance with the record keeping requirements of these regulations, and random inspections of equipment or records, but does not normally include the audit or cross record verification of records;

(h) "driver" means a person who drives a commercial vehicle while in the employ of or on behalf of a carrier;

(i) "equivalent offence" means an offence in another jurisdiction which is considered by the registrar to be substantially similar to an offence listed in the Schedule;

(j) "facility audit" means a comprehensive inspection and administrative review of a carrier, and includes the audit and cross record verification of records;

(k) "fleet suspension" means the temporary suspension of a carrier's safety rating as it applies to all or a portion of the carrier's fleet of commercial vehicles, notwithstanding that the carrier retains a safety rating other than unsatisfactory on that portion of the fleet not under suspension;

(l) "long profile" means a comprehensive record of all activity of a carrier under these regulations;

(m) "out-of-service" means the designation of a driver or a commercial vehicle as out-of-service by an inspector;

(n) "principal place of business" means the street address of a carrier in the jurisdiction in which the carrier has registered its commercial vehicles or at another location where a carrier's records or equipment are located;

(o) "register", "registered" and registration", unless the context indicates otherwise, means registration under these regulations;

(p) "registrar" means the registrar designated under section 4 of the Act;

(q) "safety rating" means the safety rating assigned to a carrier under section 11;

(r) "schedule" means the schedule attached to these regulations;

(s) "short profile" means a summary of a carrier's safety rating and other information prescribed by the registrar;

(t) "threshold" means the number of compliance indicators assigned to a carrier as its threshold under section 9;

(u) "threshold interval" means the period of time which begins at

(i) the date of registration of the carrier,

(ii) the last threshold level increase, or

(iii) the last one year anniversary of an event referred to in subparagraph (i) or (ii),

up to and including the current date, whichever period of time is less; and

(v) "threshold level" means the threshold level assigned to a carrier under section 10.

Exemption

3. The registrar may , in writing, exempt a carrier, a specified group of carriers or specified services from all or a part of these regulations.

Registration

4. (1) A carrier shall not operate or allow the operation of a commercial vehicle under that carrier's direction unless that carrier is registered under these regulations.

(2) A carrier shall apply to the registrar to be registered as a carrier under these regulations.

(3) An application made under subsection (2) shall be in the form, and shall contain the information required by the registrar.

(4) A carrier shall not be registered under this Act unless that carrier is in compliance with the Act, these regulations and the Code.

(5) The registrar may refuse to register, register or register with conditions that he or she may establish, a carrier who applies for registration under subsection (2).

(6) The registrar shall issue a code number to a carrier registered under this section.

(7) A carrier shall not hold more than one registration, safety rating or code number.

(8) A carrier who fails to comply with subsection (1) or a requirement of the registrar under subsection (3) is guilty of an offence and is liable on summary conviction to a fine of not less than $200 and not more than $1,000 for each week or part of a week in which the offence continues.

(9) A carrier who contravenes the provisions of subsection (7) is guilty of an offence and on summary conviction is liable to a fine of not less than $500 and not more than $2,000.

Duties and powers of registrar

5. (1) For the purpose of monitoring the safety performance of a carrier, the registrar shall maintain a record of the carrier with respect to its

(a) convictions, accidents, facility audits, compliance reviews, inspections and warnings;

(b) accumulated compliance indicators;

(d) safety rating;

(e) Code number; and

(f) other information that the registrar considers necessary.

(2) A carrier shall, upon the written request of the registrar and within the time indicated by him or her, provide to the registrar the information that he or she requires.

(3) The registrar may, at any time, require a carrier to undergo a facility audit or compliance review.

Inspection

6. (1) An inspector authorized to conduct a facility audit, compliance review or other inspection under the Act may, during normal business hours and upon presention of his or her identification as an inspector, enter upon a place of business of a carrier where it is reasonably necessary to determine compliance with the Act, regulations made under the Act and the Code and may

(a) conduct a facility audit or compliance review and inspect, audit, review and examine books of account, records, financial statements or other documents; and

(b) inspect equipment and commercial vehicles of the carrier,

and the person occupying or in charge of that place shall answer the questions pertaining to those matters and shall produce for inspection and review the commercial vehicles equipment, books of account, records, financial statements and other documents that the inspector or other authorized person may request.

(2) A carrier shall provide an inspector with all reasonable assistance and facilities necessary to the inspector for the performance of his or her duties.

(3) A carrier shall keep and maintain records required by these regulations in an orderly fashion so that they are readily accessible for inspection.

(4) For the purpose of determining the accuracy of a record required to be kept under the Act, these regulations, or other regulations under the Act, an inspector may inspect any record which relates or is relevant to verification of the accuracy of another record, including

(a) payroll records;

(b) warehouse or inventory records; and

(5) For the purpose of an inspection under these regulations, an inspector may remove a record from a carrier's place of business or make copies of a record, and shall provide the carrier with a receipt of all those records which are removed.

(6) An inspector shall return a record removed from a carrier's place of business within 2 weeks from the date of removal of the records, unless the record is required for a hearing in which case the inspector shall notify the carrier in writing, within 2 weeks from the date of removal, of the retention of records for a hearing.

(7) All information and records obtained during an inspection are confidential and will not be released to or discussed with a member of the public without the express written consent of the carrier, but all those records, copies of records and notes may be presented as evidence before the board or a court.

(8) A person who, through deliberate action or refusal to act, obstructs or hinders an inspector in the performance of his or her duties under these regulations is guilty of an offence and is liable on summary conviction to a fine of not less than $500 and not more than $2,000.

(9) Notwithstanding another provision of these regulations, the registrar may assign a safety rating of unsatisfactory to a carrier which is convicted under subsection (8), and that assignment shall take effect immediately and will remain in effect until the time that the carrier delivers all records requested by an inspector or the registrar to a location specified by the registrar.

Carrier safety rating

7. Where the registrar registers a carrier, with or without conditions, the registrar shall assign to that carrier

(a) a code number;

(b) a threshold in accordance with section 9;

(d) a safety rating in accordance with section 11.

Out of province carriers

8. A carrier whose principle place of business is outside the province may, upon registration in this province, be assigned a threshold, threshold level and a safety rating under sections 9, 10 and 11 commensurate with those assigned by the jurisdiction of the carrier's principal place of business, where that jurisdiction has made assignments of carrier safety ratings under legislation which is similar to these regulations.

Threshold

9. (1) A threshold for a carrier shall be equal to

(a) 3 times the number of active power units which are operated by that carrier,

plus

(b) 3,

compliance indicators.

(2) Notwithstanding subsection (1), the minimum threshold for a carrier shall be 12 compliance indicators.

Threshold level

10. (1) Where a carrier accumulates the number of compliance indicators in that carrier's threshold, during that carrier's threshold interval, the registrar may increase the carrier's threshold level by one level to the next threshold level.

(2) Where the registrar increases a carrier's threshold level, the registrar

(a) shall notify that carrier of the change in threshold level; and

(b) may conduct a compliance review or facility audit.

(3) Notwithstanding subsection (6), where the registrar increases a carrier's threshold level, the registrar shall set the carrier's compliance indicators in its new threshold level to zero.

(4) Where

(a) a carrier with a safety rating other than unsatisfactory has an accumulation of compliance indicators less than the carrier's threshold during its threshold interval; and

(b) the threshold interval is a year,

the registrar shall reduce the threshold level, if greater than zero, by one and the registrar shall notify the carrier of the change in threshold level.

(5) Where the registrar reduces a carrier's threshold level, the registrar shall set the carrier's compliance indicators in its new threshold level at the number of compliance indicators that the carrier had accumulated in the higher threshold level.

(6) Compliance indicators shall expire within one year of the date that the compliance indicators were accumulated.

Safety rating

11. (1) The registrar may assign a carrier a safety rating of

(a) satisfactory - unaudited;

(b) satisfactory - audited;

(d) unsatisfactory.

(2) The registrar may in his or her discretion assign a carrier a safety rating of unsatisfactory where

(a) a partner, principal shareholder or an officer of a carrier seeking registration is a person who is or has been a principal of a carrier that has been placed under a fleet suspension or has been assigned a safety rating of unsatisfactory;

(b) a carrier is assigned a threshold level 4; or

(c) a carrier fails to produce records required for a facility audit or fails to satisfactorily carry out a safety plan required as a result of a facility audit.

(3) Where the registrar has assigned a safety rating of unsatisfactory to a carrier and one or more vehicles in that carrier's fleet are acquired, directly or indirectly, by another carrier having a partner, principal shareholder or officer who is also a partner, principal shareholder or officer of the carrier that was assigned an unsatisfactory safety rating, the carrier which acquired a vehicle or vehicles shall also be assigned a safety rating of unsatisfactory by the registrar.

(4) A person shall not operate, allow or cause to be operated a commercial vehicle upon a highway unless the carrier responsible for the operation of the commercial vehicle is registered and has a safety rating of satisfactory - unaudited, satisfactory - audited or conditional.

(5) A carrier shall not have more than one safety rating.

(6) A driver who contravenes the provisions of subsection (4) is guilty of an offence and on summary conviction is liable to a fine of not less than $25 and not more than $100.

(7) A carrier who contravenes the provisions of subsection (3) is guilty of an offence and on summary conviction is liable to a fine of not less than $500 and not more than $2,000.

Compliance indicators

12. (1) The registrar shall assign to a carrier compliance indicators for offences listed in the schedule to these regulations in accordance with that schedule.

(2) For the purposes of subsection (1), an equivalent offence shall be considered to be the offence listed in the schedule which is substantially similar to that equivalent offence.

(3) A carrier shall accumulate 5 compliance indicators for each reportable accident involving a commercial vehicle operated by the carrier.

(4) A carrier shall accumulate compliance indicators for defects reported during an inspection of a driver employed by, or a commercial vehicle operated by, the carrier as follows:

(a) where more than one defect has been reported and no traffic ticket has been issued in relation to the inspection, one compliance indicator;

(b) where the vehicle or driver has been placed out-of-service and no traffic ticket has been issued, 3 compliance indicators; and

(c) where the vehicle or driver has been placed out-of-service and a traffic ticket has been issued in relation to the inspection, one compliance indicator.

Driver reports

13. (1) A driver shall report to the carrier with whom he or she is employed or for whom he or she is brokering the following information not more than 30 days after

(a) a conviction which that driver is given for an offence referred to in the schedule;

(b) a conviction which that driver is given for an equivalent offence;

(d) an inspection is performed on the driver or a commercial vehicle which that driver is operating; or

(e) a warning or out-of-service notice is issued in relation to an inspection of the driver or a commercial vehicle the driver is operating.

(2) A person who contravenes a provision of this section is guilty of an offence and upon summary conviction is liable to a fine of not less than $25 and not more than $100.

Records

14. (1) A carrier shall keep and maintain at its own expense at its principal place of business the following records relating to every driver who is employed by or carrying out the business and activities required by that carrier and every commercial vehicle under the control of that carrier

(a) a copy of the driver abstract issued by the registrar which was received by a carrier at the commencement of employment of the driver and dated not earlier than 30 days prior to the date of commencement of employment of the driver;

(b) a copy of the driver abstract, issued by the registrar and obtained during the same month as the anniversary of the driver's birth, for each year the driver is in the employ of the carrier;

(d) copies of a record of driver training, driver improvement or control action taken by the carrier;

(e) a record of all items reported by a driver under section 13;

(f) a copy of each driver's daily log, as required by section 15 of the Highway Traffic Hours of Service Regulations, or where a driver is exempt from maintaining a log book, a copy of the carrier's record of hours on duty for the driver;

(g) a copy of each trip inspection report as required by section 7 of the Highway Traffic Trip Inspection Report Regulations; and

(h) a copy of a record of repair made to a commercial vehicle correcting a defect noted in a trip inspection report referred to in paragraph (g).

(2) The records referred to in subsection (1) shall be retained for a period of 5 years, or as specified in the applicable regulations.

(3) Notwithstanding paragraphs (1)(a) and (b), a carrier is not required to keep and maintain copies of driver abstracts dated earlier than February 3, 1994.

(4) A carrier shall have in place

(a) a system which will alert the carrier that a driver abstract required by this section is due; and

(b) a method of monitoring compliance with the Highway Traffic Hours of Service Regulations and the Highway Traffic Trip Inspection Report Regulations.

(5) A carrier shall retain a copy of the most recent vehicle inspection certificate as obtained under the Official Inspection Station Regulations for a minimum period of one year.

(6) A person who contravenes this section is guilty of an offence and is liable on summary conviction to a fine of not less than $200 and not more than $1,000.

(7) For the purpose of determining an offence under this section each violation for each record in relation to each driver is considered to be a separate offence

Directions remain in force

15. A direction of the registrar under these regulations remains in force until revoked by the registrar.

Hearing

16. (1) Where, the registrar is of the opinion that a carrier is unable or unwilling to operate safely, he or she may conduct a hearing to investigate the carrier's safety record.

(2) The registrar shall notify a carrier of the time and place of the hearing 7 or more days before the date of the hearing.

(3) A hearing may be heard by the registrar or by a person appointed by the registrar.

(4) A hearing may take place whether or not the carrier is present.

(5) A person conducting a hearing shall make those recommendations in writing to the registrar within 15 days of the hearing that he or she considers appropriate, including recommendations to

(a) require the carrier to initiate a safety plan, demonstrate specific improvements or take specific measures to enhance the safety of its operations within a time and under those conditions that the person conducting a hearing considers appropriate;

(b) vary the carrier's threshold, threshold level or safety rating;

(c) issue a fleet suspension which will place a restriction on the number of commercial vehicles, or specify the vehicles, which may be operated by the carrier; and

(d) specify an expiry date for the fleet suspension which shall be not fewer than 30 days and shall not extend more than one year from the date of commencement of the suspension.

(6) A person conducting a hearing shall govern the procedure of the hearing.

(7) The registrar shall decide the action necessary to carry out the intent of the recommendations and shall notify the carrier of the recommendations and the action to be taken within 15 days of receipt of the recommendations.

Fleet suspension

17. (1) Where the registrar issues a fleet suspension under subsection 16(7), the registrar shall issue a certificate for each vehicle in the carrier's fleet which is permitted to be operated under the fleet suspension.

(2) A person shall not operate, allow or cause to be operated a commercial vehicle upon a highway where the carrier responsible for the operation of the commercial vehicle is under a fleet suspension unless the driver has in his or her possession a copy of the certificate issued by the registrar under subsection (1) authorizing the operation of the commercial vehicle.

(3) A driver who contravenes the provisions of subsection (2) is guilty of an offence and on summary conviction is liable to a fine of not less than $25 and not more than $100.

(4) A carrier who contravenes the provisions of subsection (2) is guilty of an offence and on summary conviction is liable to a fine of not less than $500 and not more than $2,000.

Variance

18. (1) A safety rating of unsatisfactory shall remain in force for not less than one year and not more than 5 years.

(2) Notwithstanding subsection (1), where a safety rating of unsatisfactory has been given to a carrier for more than one year, that carrier may, after that year, apply to the registrar for a variation of the safety rating.

(3) An application for variance referred to in subsection (2) shall contain

(a) a comprehensive analysis of the carrier's proposed operations and a plan governing those operations; and

(b) other information as the registrar may require to assess an application.

(4) Within 30 days of receipt of the information referred to in subsection (3), the registrar shall make a determination respecting the application for variance and shall notify the carrier of his or her decision, including reasons in the event the application is refused.

(5) A carrier who is refused variance shall not reapply under this section for a period of 6 months from the date of the decision made under subsection (4).

(6) Where the registrar grants an application for variance he or she shall assign the carrier a safety rating of conditional and may attach those terms and conditions that he or she considers appropriate.

(7) Upon variance the registrar may establish the carrier's threshold level at a number that he or she considers appropriate.

Profiles

19. (1) The registrar shall provide a carrier's short profile to a person for a fee required by the registrar.

(2) The registrar shall provide to a carrier or a representative of a carrier that carrier's long profile for a fee required by the registrar.