Preparing for a Facility Audit

To begin with, I strongly suggest that you get these 2 booklets from MTO by calling 1-800-387-7736 or (905)704-2520. They will mail them to you.

Your Guide to MTO's Facility Audit
Ontario's Carrier Safety Rating and Commercial Vehicle Operator's Registration System Public Guidelines

The Guide to MTO's Facility Audit will provide you with an explanation of what to expect from a Facility Audit. It will also provide all the instructions you need to perform a self-audit on your carrier's operations and see how your drivers, vehicles and safety programs measure up against ministry standards.

I have also prepared an Information Package which can be useful.

Note:

Completing this self-audit allows you to evaluate your operations and identify where improvements need to be made. You can then take action and make changes to improve your safety performance.

If you don't have the time or personnel to do this self-audit, I would be happy to assist you any way I can. Please don't hesitate to contact me.

As stated under the Facility Audits page, there are 3 profiles involved in a facility audit. These are:

Vehicle Profile
Driver Profile
Safety Programs and Training Profile

The Guide says:

All operators are encouraged to have safety programs and training plans for their vehicles and drivers. Evidence shows that operators who implement these programs have better performance and fewer accidents and detentions. Using safety and training programs is a good way of exercising due diligence and improving the overall performance of your carrier operations.

Vehicle Profile

This is the safety action plan I recommend you have in place for your Vehicle Profile.

Have a written maintenance statement and make sure that all maintenance records indicate compliance with the maintenance statement.
Keep records of maintenance for every vehicle for at least 2 years. These records need to have recorded on them the date, odometer readings and nature of all repairs and maintenance activity.
Make sure that all vehicles are inspected in compliance with the annual periodic mandatory commercial vehicle inspection program.
Keep pre-trip vehicle inspection reports along with maintenance records that show the defects to be repaired. On an audit, no points would be awarded if a defect was found that should have been detected during a pre-trip inspection.

Driver Profile

This is the safety action plan I recommend you have in place for your driver profile.

Make sure your drivers are in possession of, and retain, a valid driver's licence. The licence must be correct for the class of vehicle driven. You must prove that at no point during the previous 6 months was the driver's licence under suspension or downgraded to an improper class.
Make sure your driver's logs and/or time records are not only accurate, but supported by time marker evidence such as tolls, fuel receipts, accomodation receipts, bills, invoices, etc.
Assuming the logs and/or time records are accurate, additional points are awarded for logs and/or time records that show that the driver did not exceed the 60, 70 and 120 hour cycle rules plus the 13/15 hour driving limitation.
Assuming your logs and/or time records are accurate, additional points are awarded for records that contain all the information detailed in the Hours of Work Regulation, (i.e. dates, locations of duty status, total of on duty time, driver's name and signature, mileage, etc.).

Safety Programs and Training Profile

This is the safety action plan I recommend you have in place for your Safety Programs and Training Profile.

Order a CVOR abstract every 6 months to review and monitor it.
Order a Driver's Licence Abstract for every driver every 6 months.
Order a CVOR Driver's Abstract for every driver every 6 months.
Keep records of all driver convictions, suspensions or changes to the driver's licence class or condition since their last driver's abstract.
Implement road testing so that every driver is tested once per year.
Implement vehicle pre-trip inspection training for every driver to receive instruction and training in the requirements of the Trip Inspection Regulation.
Implement hours of work (log book) training for every driver to receive instruction and training in the requirements of the Hours of Work Regulation.
Implement load security training for every driver to receive instruction and training in the requirements of the Load Security Regulation.
Implement accident reporting procedures whereby every driver involved in an accident must report the accident to the operator and the operator should document any action that was taken upon notification of each accident.
Make sure that every driver who transports dangerous goods is trained in accordance with The Dangerous Goods Transportation Regulation and retains the proper training certificates.

Make sure you have documented proof or written records of any training you provide your drivers. These records must indicate the driver's name, date of training or instruction and the nature of the training or instruction.

I hope I was able to assist you with this information on preparing for a Facility Audit.

Please don't hesitate to contact me if I may be of further assistance.

Sylvie Nickerson
Commercial Vehicle Safety Consultant

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