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.