Facility Audits

I can do partial and full facility audits. These audits would prepare you for an M.T.O. facility audit and give you an idea of how well you would rate on a government safety audit. They would also help in identifying problem areas that should be corrected before a ministry sanctioned enforcement audit is initiated. Don't hesitate to contact me if you need my assistance.

What is a facility audit?

A facility audit is an examination of an operator's safety practices and record keeping for the purpose of determining the operator's compliance with relevant highway safety regulations.

What items or areas are examined?

A facility audit is made up of these 3 profiles:

1. The Vehicle Profile
2. The Driver Profile,
3. The Safety Programs and Training Profile.

Each profile is worth a certain percentage of the total facility audit score.

1.	Vehicle Profile Scoring:
	There are 4 items within the vehicle profile against which points can be awarded:
	1.	vehicle defects	30 points
	2.	records of maintenance	8 points
	3.	pre-trip inspection	5 points
	4.	periodic mandatory commercial vehicle inspection	2 points
		Possible total	45 points
2.	Driver Profile Scoring:
	There are 4 items within the driver profile against which points can be awarded:
	1.	qualified driver	10 points
	2.	logs and/or time records	10 points
	3.	cycles, 13/15	20 points
	4.	data items	5 points
		Possible total	45 points
3.	Safety Programs and Training Profile Scoring: (Optional)
	There are 9 items within this profile against which points can be awarded (assuming you choose to include this profile in your profile mix):
	1.	CVOR abstract	1 point
	2.	licence records	1 point
	3.	road testing	1 point
	4.	accident reporting	2 points
	5.	Dangerous Goods Transportation Act (DGTA)	1 point
	6.	hours of work	1 point
	7.	load security	1 point
	8.	Trades Qualifications and Apprenticeship Act (TQAA)	1 point
	9.	trip inspection	1 point
		Possible total	10 points

Note:

If you choose not to include the Safety Programs and Training Profile in your audit, then the scoring will be: Vehicle Profile, 50% and Driver Profile, 50%.

Why would M.T.O. auditors/investigators conduct an audit?

Facility audits may be undertaken for a variety of reasons, including:

a carrier's overall violation rate exceeds 65% of its overall CVOR threshold
an excessive out-of-service rate on inspections
a severe accident or accident rate
a request from other jurisdictions to perform audits on their behalf
a carrier is involved in a high profile highway safety-related incident, such as a collision, wheel separation, impoundment, and/or criminal driving offence

It may just be that your company hasn't had an audit conducted in quite a few years, or even that it never had one, and is now due for one.

In some cases, a facility audit of the operator's business practices and record keeping may be necessary to obtain a specific rating. The results of this audit will be combined with the operator's CVOR record.

Carrier Safety Rating

The Carrier's Safety Rating will be determined by the operator's CVOR record plus, where available, the results of the facility audit. Operators will receive one of these five carrier safety ratings:

1.	Excellent: (Superior audit and low percentage of CVOR threshold)
	Carriers can qualify for the highest level of safety performance and receive an Excellent safety rating by maintaining an overall violation rate not more than 10% of their overall CVOR threshold, and by maintaining an accident violation rate not more than 10% of their accident threshold. To receive this rating, the carrier must also achieve at least 80% on both the driver and vehicle profiles.
2.	Satisfactory: (Acceptable audit and CVOR record)
	Carriers who do not qualify as Excellent may receive a Satisfactory safety rating provided their facility audit score is at least 55% or better on each of the driver and vehicle profiles, and they maintain a CVOR violation rate of 65% or less of their overall CVOR threshold level.
3.	Satisfactory-Unaudited: (Acceptable CVOR record with no audit)
	A Satisfactory-Unaudited rating applies to those carriers who maintain an on-road CVOR rate of 65% or less of their CVOR violation threshold level, but who have not been audited.
4.	Conditional: (Unacceptable audit and/or CVOR record)
	A carrier will be proposed to receive a Conditional safety rating for a minimum of six months in any of the following circumstances: if the carrier's CVOR violation rate exceeds 65% of their overall threshold level; if the carrier does not achieve at least 55% in each of the driver and vehicle profiles of a facility audit; upon appealing a proposed sanction (Unsatisfactory safety rating); upon reinstatement of a suspended CVOR certificate (i.e. following an Unsatisfactory safety rating).
5.	Unsatisfactory: (Sanction in place − suspension or cancellation)
	An Unsatisfactory safety rating may be proposed for any carrier whose CVOR points (violation rate) exceeds their allowable threshold, and could result in a suspension or cancellation of their operating privileges for a period defined by the Registrar. The Unsatisfactory rating is effective for the period of the suspension or cancellation.

Note:

A carrier's safety rating will be made available to the public, shippers, transportation industry, financial lending institutions, insurance agencies, and other jurisdictions.

These are some of the reasons why it's important to have good safety practices and record keeping in place.

I hope I was able to assist you with this information on Facility Audits.

Please don't hesitate to contact me if I may be of further assistance to you in determining your company's compliance with relevant highway safety regulations.

Sylvie Nickerson
Commercial Vehicle Safety Consultant

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