Provincial carrier profiles

The carrier profile system was designed to identify higher-risk carriers to provincial regulators and to assist carriers in internally monitoring their on-road safety performance.

National Safety Code (NSC) Standard 7 requires all Canadian jurisdictions to maintain a carrier profile on each of their NSC carriers. Each of these NSC carriers is also required to hold a Safety Fitness Certificate. Sometimes, the safety fitness certificate is referred to an “NSC number” or a “Commercial Vehicle Operator Registration” in certain jurisdictions.

The carrier profile system is used to consolidate all information collected under the safety fitness certificate and can be used by provincial and territorial regulators to identify the five percent of carriers who pose the greatest safety risk to other highway users.

Safety fitness certificate (SFC)

The Safety Fitness Certificate (SFC) is a document that gives permission to a commercial carrier to operate commercial vehicles in Canada. Each province and territory issues SFCs to carriers based in their province or territory. Once a Canada-based carrier holds a valid SFC from the carrier’s base province or territory, the SFC is accepted by all other provinces and territories in Canada (the SFC is reciprocal).

The SFC may be referred to by other terms in certain jurisdictions. For example, in Ontario, the SFC is referred to as the Commercial Vehicle Operator Registration (CVOR) and in British Columbia, it’s referred to as the National Safety Coe (NSC) Number.

Facility audits

The National Safety Code (NSC) facility audit is a quantifiable, performance-based audit designed to review a carrier’s compliance with all applicable highway safety regulations including but not limited to those covered by the NSC.

The audit serves as a means of evaluating a carrier’s safety/compliance performance and is used to establish a safety rating.

What is a carrier profile?

The carrier profile is a record of a carrier’s on-road performance. It is a summary of a carrier’s accidents, driver and carrier contraventions, Commercial Vehicle Safety Alliance (CVSA) roadside inspections, and audit results. Each type of incident is assigned a specific number of points. For example, each CVSA inspection report that results in an Out-of-Service (OOS) condition are assigned the same NSC point value, whether the inspection occurred in Ontario or in another Canadian jurisdiction. Accidents and convictions also are assigned NSC points. The reporting period is normally three years. The points from each of the categories are combined to produce the Profile Status. The status serves as an overall indicator of the carrier’s safety performance.

The carrier profile summarizes all the incidents recorded under the carrier’s NSC number. The carrier’s profile status and the audit status together establish the carrier’s overall safety rating. The ratings are satisfactory-unaudited, satisfactory, conditional, or unsatisfactory.

How do carriers obtain their carrier profiles?

A carrier can benefit from reviewing their carrier profile on a regular basis. Carriers may obtain a copy of their carrier profile through provincial or territorial online services. This report can usually only be requested by the carrier, an authorized employee of the carrier, an authorized carrier representative, or enforcement personnel. There is no centralized database of carrier profiles or country-wide searchable site of carrier profiles in Canada. Rather, each Canadian jurisdiction handles the carrier profiles of carriers based in the jurisdiction.

The importance of reviewing the carrier profiles

Carriers should review their carrier profiles regularly. The importance and benefits of reviewing the carrier profile include:

1. Reduction in future vehicle collisions by helping to identify safety issues within the carrier’s operation.
2. Reduced costs in the areas of fines/penalties, maintenance, and insurance premiums.
3. Increased business with shippers, who will be confident they are hiring a safe and responsible carrier.
4. Continued maintenance of an acceptable Safety Fitness Rating under the carrier’s jurisdictional safety programs. Carriers issued a conditional rating may not be eligible for safety-related permits. If a carrier is issued an unsatisfactory rating, a carrier may not be allowed to register or operate an NSC vehicle.

How to read a carrier profile

The carrier profile gives carriers an opportunity to verify that all on-road incidents in the report are accurate and belong under the carrier’s NSC number. The carrier profile is an excellent management tool that gives a comprehensive picture of the on-road safety performance of the carrier’s drivers and vehicles.

The carrier profile is divided into different sections. Section numbers displayed on the carrier profile are not necessarily in consecutive numerical order; specifics can vary among the Canadian jurisdictions.

The carrier profile is generally divided into five parts:

• Part 1 - Carrier Information
• Part 2 - Conviction Information
• Part 3 - CVSA Inspection Information
• Part 4 - Collision Information
• Part 5 - Violation Information

What events affect the carrier profile?

Data contained on the profile is retrieved from various sources such as law enforcement, government agencies, and insurance companies. Some factors that affect the carrier profile are:

• Convictions against the carrier and its drivers,
• Administrative penalties issued for impaired driving charges,
• Commercial Vehicle Safety Alliance (CVSA) inspections,
• Collision information,
• Facility audit information,
• Impaired driving contraventions,
• Inspection station certifications, and
• Notices documenting violations.

Different provinces may have different rules and regulations for carrier profiles.

Information available on a carrier profile

Below is a summary of the carrier profile parts.

Part 1 – Carrier Information

Part 1 of the carrier profile gives an overall snapshot of a company’s current safety status including current Safety Fitness Rating, and a summary of Conviction, CVSA Inspection, and Collision event history. Part 1 always displays the last 12 months of data, and the motor carrier’s current Safety Fitness Rating as of the date the carrier profile was requested.

When reviewing this part of the profile, carriers should always ensure the data here looks current and accurate.

Part 2 – Conviction Information

The information recorded in this part reflects convictions shown in order of offense date, with the most recent shown first. Conviction points remain on a Carrier’s Profile for one year from the conviction date.

Convictions listed in this section can help clue carriers into where they may need to make adjustments. For example, carriers can address the issue if they find drivers are frequently speeding.

Part 3 – CVSA Inspection Information

Part 3 provides information on inspections conducted under the Commercial Vehicle Safety Alliance (CVSA) inspection program both in Canada and the U.S. for the time period requested. CVSA inspections remain on a carrier’s profile for one year from the date the inspection occurred.

Carriers should watch for breakdown of defects from “Out of Service” and “Requires Attention” to assist with identifying possible deficiencies in the carriers’ inspection and maintenance programs.

Part 4 – Collision Information

Part 4 provides collision information supplied by enforcement agencies across Canada and the U.S. The collisions are considered reportable under the jurisdiction’s legislation in which the collision event occurred. Collision points remain on a carrier’s profile for one year from the date the event occurred.

Reviewing and evaluating this part can help carriers identify areas where safety and compliance can be improved and potential opportunities for additional training.

Part 5 – Violation Information

Part 5 is a summary of violations documented by enforcement agencies. Each violation is a contravention of an act or regulation where no prosecution has been entered.

Reviewing and evaluating this part can help identify areas where safety and compliance can be improved and potential opportunities for additional training.

When is an SFC needed?

Depending on where the carrier operates and the weight or seating capacity of the vehicles the carrier operates, the carrier will need an SFC to operate legally.

For example, in Alberta, a carrier needs an SFC if the carrier operates:

• A truck or trailer, or any combination of the two, with a registered weight of 11,794 kg or more, operating solely within Alberta;
• A truck or trailer, or any combination of the two, with a registered weight of more than 4,500 kg that is used (or intended to be used) to transport goods on a highway outside of Alberta, including farm-plated vehicles; or
• A commercial vehicle originally designed for carrying 11 or more persons, including the driver, that is used (or intended to be used) for the transportation of passengers.

It is the carrier’s responsibility to ensure they receive a Safety Fitness Certificate with the proper operating status. Some jurisdictions do not differentiate between carriers that operate solely within the province and those that operate within and out of the province. For example, for carriers based in Ontario, all carriers that operate commercial vehicles with a registered gross weight of more than 4,500 kilograms require the Ontario CVOR; it does not matter if the carrier operates solely within Ontario or intends to operate within and out of Ontario.

How to apply for a Safety Fitness Certificate (SFC)

To apply for an SFC, a carrier needs to provide information and documentation about vehicle registration, insurance, operating status, nature of business, and safety and maintenance program. Carriers may also need to complete the pre-entry program for commercial carriers in some jurisdictions. This pre-entry program includes a course, a test, and a compliance review. Carriers in jurisdictions with pre-entry programs must designate a person responsible for safety who will take the training course and complete the required test. Not all jurisdictions in Canada have these programs.

The cost and renewal requirements for a Safety Fitness Certificate (SFC) in Canada varies by province and territory. In Alberta, for example, the application fee for a new SFC is $150. The SFC is valid for one year and must be renewed annually.

Other jurisdictions may have different requirements and deadlines for SFCs.

Carrier safety fitness ratings

A safety fitness rating is a rating that is given to a commercial carrier based on their compliance with the National Safety Code (NSC) standards and regulations. A safety fitness rating certificate is mandatory for all commercial carriers and it shows that they meet a minimum standard of carrier fitness.

The rating can be one of the following categories:

• Satisfactory,
• Satisfactory-unaudited,
• Conditional, or
• Unsatisfactory.

The rating is based on factors such as collisions, inspections, convictions, and audits.

What impacts a carrier’s SFC rating?

A carrier’s safety fitness rating is a measure of compliance with the safety standards and regulations for commercial vehicles. It is based on factors such as the carrier’s collision history, inspection results, convictions, and audits.

Some of the factors that impact a safety fitness rating are:

• The number and severity of collisions involving the carrier’s vehicles,
• The results of on-road inspections and facility audits of the carrier’s vehicles and drivers,
• The number and type of convictions for the carrier and its drivers for violating traffic laws and NSC regulations, and
• The carrier’s safety and maintenance program and policies.

How is the safety fitness rating calculated?

Carrier performance ratings are calculated each month and safety ratings are reviewed on a quarterly basis. Regardless of a carrier’s overall on-road performance record, a carrier’s safety rating may not be adjusted when their overall performance threshold is 85% or greater.

Carriers eligible for a safety rating change will have their carrier profile assessed on a case-by-case basis on the quarterly review cycle.

Provincial and territorial governments are responsible for ensuring that their safety rating systems comply with the requirements of the Federal Motor Vehicle Transport Act. Transport Canada monitors the implementation and enforcement of these safety ratings and the Safety Fitness Criteria and Certificates Regulation.

What is included in a facility audit?

The audit consists of a detailed examination of certain records that are required to be maintained by motor carriers, interviewing personnel who are responsible for safety management, conducting on- and off-highway Commercial Vehicle Safety Alliance (CVSA) inspections on commercial vehicles and recording the audit findings.

The audit results are used to establish a carrier safety rating. All drivers and vehicles over which the carrier exercises control are subject to audit. The audit may be done by appointment or on an unannounced basis, depending on the specific circumstances.

According to the NSC Standard 15: Facility Audit, the audit will include the following sections:

• Driver qualifications: This section reviews the driver records, such as driver abstracts, driver licences, medical certificates, training certificates, etc. It also checks for violations of driver regulations, such as speeding, impaired driving, seat belt use, etc.
• Hours of service: This section reviews the driver logs, electronic logging devices (ELDs), supporting documents, etc. It also checks for violations of hours of service regulations, such as exceeding daily or weekly driving limits, insufficient off-duty time, falsifying logs, etc.
• Vehicle safety: This section reviews the vehicle records, such as registration, inspection, maintenance, repair, etc. It also conducts on- and off-highway Commercial Vehicle Safety Alliance (CVSA) inspections on commercial vehicles and checks for violations of vehicle safety regulations, such as defective brakes, tires, lights, etc.
• Safety practices: This section reviews the carrier’s safety policies and procedures, such as safety manuals, accident reports, incident investigations, corrective actions, safety meetings, etc. It also checks for violations of safety practices regulations, such as failing to report accidents, failing to implement corrective actions, failing to conduct safety meetings, etc.

The number of driver and vehicle records included in the facility audit is determined by the NSC 15 sample size guidelines of the total number of drivers and vehicles under the operator’s control3. In order to ensure objectivity for operators that have more than five drivers/vehicles, a random sampling of drivers and vehicles must be used.

The facility audit can be conducted by a government-employed auditor or a third-party auditor who is authorized and certified by the jurisdiction where the audit is carried out2. The facility audit can be done by appointment or on an unannounced basis depending on the specific circumstances or situation.

The facility audit results are used to establish a carrier safety rating based on NSC Standard 14: Carrier Safety Rating. The rating can be one of the following: satisfactory-unaudited (SU), satisfactory (S), satisfactory-conditional (SC), unsatisfactory-conditional (UC), or unsatisfactory (U). The rating reflects the carrier’s compliance with the NSC standards and affects their authority to operate commercial vehicles.

Preparing for a facility audit

To prepare for a NSC facility audit, carriers need to ensure all the necessary documents and records that the auditor may request are available, such as:

• Authority to operate commercial vehicles, such as licences, permits, registrations, etc.
• Daily commercial trip inspection reports, which include pre-trip and/or post-trip commercial vehicle inspections.
• Maintenance records, such as service schedules, repair invoices, defect reports, etc.
• Driver qualification files, such as driver licences, medical certificates, driver abstracts, training records, etc.
• Hours of service records, such as logbooks, timesheets, supporting documents, etc.
• Accident reports, such as police reports, insurance claims, investigation reports, etc.

Carriers must ensure that vehicles are in good condition and meet the CVSA inspection standards. Carriers may conduct a self-audit or hire a third-party auditor to identify any areas of improvement or non-compliance before the official audit.

What are the consequences of failing an NSC facility audit?

Failing the audit can have serious consequences for the carrier’s safety rating and compliance status. Depending on the nature and severity of the non-compliance detected, a carrier may face:

• Safety directives, which are orders from the authority to correct deficiencies within a specified time frame.
• Administrative penalties, which are fines imposed by the authority for violating the NSC regulations.
• Summary offence tickets, which are tickets issued by the auditor or enforcement officer for specific offences under the NSC regulations.
• Change of safety rating, which can affect the carrier’s ability to operate in other jurisdictions and insurance premiums. A failed audit will result in the safety rating being changed to Conditional, which means the carrier needs to improve compliance within a certain period. In rare circumstances, a carrier may be deemed unfit to operate and assigned an unsatisfactory rating, which means the carrier’s authority to operate commercial vehicles may be suspended or cancelled.
• Potential economic and financial losses, which may result from reduced business opportunities, increased costs, or legal liabilities.

How to avoid failing an NSC facility audit

The best way to avoid failing an audit is for carriers to ensure they comply with all the NSC regulations and maintain a good safety record. Carriers should also:

• Conduct regular self-audits or hire a third-party auditor to check compliance and identify any gaps or issues before the official audit.
• Implement a safety management system that includes policies, procedures, training, monitoring, and corrective actions to ensure safety and compliance throughout all operations.
• Review the carrier profile periodically and address any violations, collisions, or complaints that may affect the carrier’s safety rating.
• Cooperate with the auditor and provide all the requested documents and records in a timely and organized manner.