What to expect from an Assessment of Regulatory Compliance (ARC) Audit

You’ve received notice that your company’s Safety Fitness Certificate has been changed to “Conditional” and you are required to hire a Third Party Auditor to perform an Assessment of Regulatory Compliance (ARC) Audit. What exactly does that mean and what can you expect?

An ARC audit is a quantifiable, performance-based audit designed to review a carrier’s compliance. Alberta Transportation uses the results to affect the carriers’ Safety Fitness Rating. Administrative penalties for violations detected in the audit may be assessed.

Preparing for an Audit

An ARC audit is thorough review of paperwork required to be maintained by commercial carriers. Audits will not include a physical inspection of equipment or an interview with employees. Instead, the auditor will review your company’s Safety & Maintenance Manual to ensure it meets minimum regulated requirements and review vehicle and driver files. 

While many companies have excellent safety manuals that cover Occupational Health and Safety requirements, the ARC Audit will be looking for a manual that covers the Transportation requirements under regulations. Alberta Transportation provides a compliant sample program for various types of operation here. CayCan can help review your current program or prepare a new program. Other companies may have a compliant manual but are not following it. Take some time now to review your current manual and ensure you are following each section as it is written.

Alberta has around 25,000 carriers and less than 30 Third Party Auditors. It is recommended that you reach out early and hire an auditor. If you do not have the audit submitted by the date Alberta Transportation requires, your company will have their Safety Fitness Rating changed to Unsatisfactory and all of your commercial vehicle licence plates will be canceled. We often get calls with clients trying to book an audit a few days before it is due, and many times we cannot accommodate. Alberta Transportation will not issue any extensions.

Performing the Audit

When performing an ARC audit, CayCan Safety’s auditors work with carriers to ensure the audit does not disrupt daily business as much as possible. Expectations and required materials will be discussed before the audit, both over the phone and in writing. Generally, you will need to provide:

  • A working space for the auditor;

  • An electronic copy of a recent Carrier Profile (request online here); (dated within 30 days of the audit date)

  •  The names, operator license numbers, license endorsements, date of hire and date of birth of all employees authorized to operate a commercial vehicle, including company mechanics and supervisors;

  • A copy of the letter you received from Alberta Transportation; and

  • A completed copy of the General Company Information Form (available on our website).

The auditor will also be examining:

  • Safety & maintenance manuals/procedures;

  • driver files;

  • training files;

  • accident and incident files;

  • transportation of dangerous goods documents;

  • equipment files;

  • hours of service records; and

  • insurance information.

How long an audit will take depends on document availability, and the number of units and drivers. 

Being selected to be audited can be intimidating for any company, but it doesn’t have to be. CayCan Safety can perform internal ARC Audits where the results are not shared with Alberta Transportation. This audit can identify areas where your company may need to focus on improvement before the actual audit is performed. By being proactive, your company can feel confident that there are no violations and you are safely operating.

2018 International Roadcheck – June 5-7, 2018

2018 International Roadcheck – June 5-7, 2018

The 31st Annual International Roadcheck will take place on June 5-7, 2018. During those 72 hours, the Commercial Vehicle Safety Alliance (CVSA) will perform a marathon of inspections. This massive undertaking helps save lives by reducing collisions and other incidents by taking unsafe vehicles and drivers off of highways. With CayCan, you can learn how to prepare your vehicle and avoid fines or being placed out of service. 

Read More


Two professional drivers started their shift on April 6, 2018, with no indication of what was to come. The fate of those involved were brought together by an intersection. Something both drivers would have faced countless times throughout their careers. Unfortunately, this time tragedy struck and the lives of so many will never be the same. There are no words that can console this loss. Our thoughts and prayers go out to the families, friends, communities and the country as they still grieve.

This isn't the time or the platform to discuss the cause of this terrible accident. It is safe to say neither drivers intended for this to happen. The driver who survived, while only receiving minor physical injuries, will forever be affected by this psychological trauma.



As part of our corporate support for the community, CayCan has ordered a few Humboldt Bronco's memorial jerseys. These jerseys will forever be a reminder of the unintended consequences that can happen when a driver gets behind the wheel. While it is impossible to account for every foreseeable circumstance, it's important to never take shortcuts when it comes to driving. Before releasing the parking brake, each driver should be confident that both themselves and their vehicle are safe for their planned trip. Trip inspections and logbooks may seem like a day-to-day annoyance, but they are essential. 

We'd like to make a memorial jersey available to a client or individual. In the comments below (or on social media) tell us about your personal or organizational commitment towards safe driving. We will select one submission and send the author a Humboldt Bronco memorial jersey (Large Size). 

Please note that you can still make a donation directly to Humboldt Strong via their website: https://humboldtstrong.info/donate/

New Website | Same Company

First of all, thank you very much for your support as CayCan Safety has been working for our clients for the past 18 years now. Throughout that time we have adapted our online presence on a few occasions to try and stay engaged with our community. Today, we launch a brand new refresh of our website and social media platforms and encourage your feedback. 

Our goal of this project is to become more diligent in fostering proactive discussion regarding the emerging trends, compliance issues, and changes that face the Transportation sector in Canada. The near future is looking to bring some exciting, and challenging, changes to our clients and peers. The Federal Government has moved forward with the first portion of legislation regarding Electronic Logging Devices (ELD's). CayCan Safety has actively participated in our role with the Canadian Council Of Motor Transport Administrators (CCMTA), to represent the industries best interests regarding these new proposed regulations. If this is a topic of interest to you, and you'd like more information please let us know!

We invite you to connect with us here on our new site or through social media (Facebook and/or Twitter).