Correct certification outcomes

You and your staff:

• consistently identify vehicles (including vehicle classes) and components correctly
• consistently certify vehicles and components only if they comply with all NZTA requirements
• consistently certify vehicles or components that do not comply with all VIRM requirements
• do not deny certification of vehicles or components if they comply with all NZTA requirements.

The NZTA will:

• observe you and your staff at work
• inspect inspection and certification documents
• inspect information on the NZTA computer system.

The NZTA may:

• inspect vehicles and components after you have certified them
• take into account outcomes from complaints and random re-inspections since your last review
• carry out ‘mystery shopper’ exercises.

Correct technical decisions

You and your staff are consistently correct in determining whether the vehicles or components you are asked to certify comply with all NZTA requirements, taking into account technical information provided by the NZTA, such as the VIRM: Entry certification (new light vehicles).

The NZTA will:

• talk to you and your staff
• observe you and your staff at work
• inspect vehicles and components after you have certified them
• inspect inspection and certification documents you use and complete
• inspect information you enter into the NZTA computer system.

The NZTA may:

• take into account outcomes from complaints and random re-inspections since your last review
• carry out ‘mystery shopper’ exercises.

Technical competence

You and your staff are competent in all technical aspects of the inspection and certification work carried out by your business.

For example, you must be competent in:

• the technical assessment of vehicles and components
• all NZTA requirements (including VIRM requirements)
• NZTA guidelines
• the operation of the equipment that you use.

The NZTA will:

• talk to you and your staff
• ask questions to check your competence
• observe you and your staff at work
• inspect inspection and certification documents
• inspect your Training record.

The NZTA may administer short tests.

Correct certification outcomes

You and your staff regularly do not achieve the correct certification outcomes.

This means you regularly:

• do not identify vehicles (including vehicle classes) or components correctly, or
• certify vehicles or components that do not comply with all NZTA requirements.

The incorrect certification outcomes are likely to compromise the safety of vehicle occupants or other road users.

You and your staff sometimes do not achieve the correct certification outcomes.

This means you sometimes:

• do not identify vehicles (including vehicle classes) or components correctly, or
• certify vehicles or components that do not comply with all NZTA requirements, or
• deny certification of vehicles or components that do comply with all NZTA requirements.

The incorrect certification outcomes may compromise the safety of vehicle occupants or other road users.

You and your staff usually achieve the correct certification outcomes.

This means you usually:

• identify vehicles (including vehicle classes) or components correctly, and
• certify vehicles or components only if they comply with all NZTA requirements, and
• do not certify vehicles or components that do not comply with all NZTA requirements, and
• do not deny certification of vehicles or components if they comply with all NZTA requirements.

Any incorrect certification outcomes do not compromise the safety of vehicle occupants or other road users.

You and your staff consistently achieve the correct certification outcomes.

This means you:

• consistently identify vehicles (including vehicle classes) or components correctly, and
• do not carry out any modifications to vehicles that may affect any standards to which the vehicle has been manufactured.

Correct technical decisions

Technical competence

Correct use of inspection and certification documents

Inspection and certification documents are:

• controlled documents – documents you must use and complete as part of your inspection and certification work, such as WoF labels, checksheets or certificates
• uncontrolled documents – any documents developed by you as part of your inspection and certification work, such as brake machine printouts
• external documents – any documents supplied by outside parties (eg vehicle owners, repairers or manufacturers) that you rely on in your inspection and certification work, such as exemption notices or engineers’ certificates.

The Transport Agency will:

• talk to you and your staff
• observe you and your staff at work
• inspect inspection and certification documents that you use and complete
• inspect your external documents.

The Transport Agency may:

• take into account outcomes from complaints and random re-inspections since your last review
• carry out ‘mystery shopper’ exercises.

Correct entry of inspection and certification information

You and your staff consistently comply with all Transport Agency requirements (including VIRM requirements) for entering inspection and certification information into the Transport Agency computer system.

This means that you consistently enter inspection and certification information into the Transport Agency computer system correctly and promptly. For example, you enter the required information on the day the vehicles were inspected and before they leave your premises.

The Transport Agency will:

• talk to you and your staff
• observe you and your staff at work
• inspect information you enter into the Transport Agency computer system
• compare information you collect on inspection and certification documents with information you enter into the Transport Agency computer system
• monitor when you enter information to identify patterns of late entry.

The Transport Agency may:

• take into account outcomes from complaints and random re-inspections since your last review
• carry out ‘mystery shopper’ exercises.

Administrative competence

You and your staff are competent in all administrative aspects of the inspection and certification work carried out by your business.

For example, you must be competent in:

• completing checksheets and other relevant inspection and certification documentation
• entering information into the Transport Agency computer system using WoF Online or LANDATA
• using the PRS, including maintaining the specified records.

The Transport Agency will:

• talk to you and your staff
• ask questions to check your competence
• observe you and your staff at work
• inspect inspection and certification documents
• inspect the records you keep
• inspect your Training record.

Correct use of inspection and certification documents

You and your staff regularly do not comply with the Transport Agency’s requirements (including VIRM requirements) relating to inspection and certification documents.

This means you regularly do not:

• use the correct controlled documents for the task, or
• complete the controlled documents, or
• obtain the external documents you need to make and/or prove your certification decisions, or
• develop the uncontrolled documents your need to make and/or prove your certification decisions, or
• handle inspection and certification documents appropriately or as required, eg attach them to vehicles, hand them to vehicle owners, or file them.

You and your staff sometimes do not comply with the Transport Agency’s requirements (including VIRM requirements) relating to inspection and certification documents.

This means you sometimes do not:

• use the correct controlled documents for the task, or
• obtain the external documents you need to make and/or prove your certification decisions, or
• develop the uncontrolled documents your need to make and/or prove your certification decisions, or
• handle inspection and certification documents appropriately or as required, eg attach them to vehicles, hand them to vehicle owners, or file them

OR

You regularly do not:

• complete the controlled documents fully, accurately and legibly (originals and duplicates), or
• ensure that all controlled documents are signed, if required, by the appropriate person(s).

You and your staff usually comply with the Transport Agency’s requirements (including VIRM requirements) relating to inspection and certification documents.

This means you consistently:

• use the correct controlled documents for the task, and
• obtain the external documents you need to make and/or prove, your certification decisions, and
• develop the uncontrolled documents your need to make and/or prove your certification decisions, and
• handle all inspection and certification documents appropriately or as required, eg you attach them to vehicles, hand them to vehicle owners or file them.

However, you occasionally do not:

• complete the controlled documents fully accurately and legibly (originals and duplicates), or
• ensure that all controlled documents are signed, if required, by the appropriate person(s).

You and your staff consistently comply with the Transport Agency’s requirements (including VIRM requirements) relating to inspection and certification documents.

This means you consistently:

• use the correct controlled documents for the task, ie the ones specified by law or required or approved by the Transport Agency, and
• complete the controlled documents fully, accurately and legibly (originals and duplicates) with particular attention to details such as vehicles’ VIN or chassis numbers, and registration numbers, and
• ensure that all controlled documents are signed, if required, by the appropriate person(s), and
• develop any uncontrolled documents you need to make and/or prove your certification decisions, and
• obtain any external documents you need to make and/or prove your certification decisions, and
• handle all inspection and certification documents appropriately or as required, eg you attach them to vehicles, hand them to vehicle owners, or file them.

Correct entry of inspection and certification information

You and your staff regularly do not comply with all Transport Agency requirements (including VIRM requirements) for entering inspection and certification information into the Transport Agency computer system.

This means you:

• regularly delay entering inspection and certification information into the Transport Agency computer system, eg by entering it in a block at the end of the day, or
• you regularly make serious mistakes entering inspection and certification information.

You and your staff sometimes do not comply with all Transport Agency requirements (including VIRM requirements) for entering inspection and certification information into the Transport Agency computer system.

This means you:

• sometimes delay entering inspection and certification information into the Transport Agency computer system, or
• occasionally make a more serious mistake such as entering a vehicle’s ID incorrectly, or not entering a failed inspection if the vehicle failed and passed on the same day.

You and your staff usually comply with all Transport Agency requirements (including VIRM requirements) for entering inspection and certification information into the Transport Agency computer system.

This means that you consistently enter inspection and certification information into the Transport Agency computer system correctly and promptly, but you make the occasional minor mistake (such as entering a date incorrectly).

You and your staff consistently comply with all Transport Agency requirements (including VIRM requirements) for entering inspection and certification information into the Transport Agency computer system.

This means that you consistently enter inspection and certification information into the Transport Agency computer system correctly and promptly.

Administrative competence

You and your staff can demonstrate little or no competence in the administrative aspects of the inspection and certification work carried out by your business.

This means you and/or most of your staff have significant gaps in knowledge of, or skills in:

• the correct use of inspection and certification documents, or
• entering inspection and certification information into the Transport Agency computer system, or
• using the PRS.

You and your staff can demonstrate some competence in the administrative aspects of the inspection and certification work carried out by your business.

This means you and/or some staff have some gaps in knowledge of, or skills in:

• the correct use of inspection and certification documents, or
• entering inspection and certification information into the Transport Agency computer system, or
• using the PRS

You and your staff can demonstrate adequate competence in the administrative aspects of the inspection and certification work carried out by your business.

This means you and your staff can demonstrate adequate knowledge of, and skills in:

• the correct use of inspection and certification documents, and
• entering inspection and certification information into the Transport Agency computer system.
• However, you and/or some staff have minor gaps in knowledge of, and skills in, using the PRS.

You and your staff can demonstrate comprehensive competence in all administrative aspects of the inspection and certification work carried out by your business.

This means you and your staff can demonstrate comprehensive knowledge of, and skills in:

• the correct use of inspection and certification documents, and
• entering inspection and certification information into the Transport Agency computer system, and
• using the PRS.

Facilities

Your facilities:

• meet all Transport Agency requirements (including VIRM requirements)
• are adequate for the nature and volume of the inspection and certification work carried out by your business, eg in terms of access, size, lighting, flooring, features (such as a pit), layout, condition and organisation.

The Transport Agency will inspect your facilities.

Administration equipment

On your premises you have, or have ready access to, all administration equipment (including any user manuals) required for your certification work, or required by the Transport Agency, such as a computer, specified software and access to WoF Online or LANDATA.

The equipment is in good condition and working order.

The Transport Agency will inspect your administration equipment.

Technical information

On your premises you have, or have ready access to, all technical information required by the Transport Agency, such as VIRMs.

The information is complete, up to date and in good condition.

Inspection and certification staff

All staff doing inspection and certification work hold current and appropriate Transport Agency appointments for the inspection and certification work they carry out, unless you are specifically permitted by the Transport Agency to delegate specified parts of your inspection and certification work to staff who are not required to hold Transport Agency appointments.

All staff to whom you have delegated inspection and certification work are competent and qualified to do the specified work.

All staff who are required to drive vehicles as part of their work hold current driver licences for the types of vehicles they are required to drive.

The Transport Agency will:

• talk to you and your staff
• observe you and your staff at work
• inspect your staff record
• inspect your delegation record
• inspect driver licences.

Facilities

Your facilities:

• do not meet the Transport Agency requirements (including VIRM requirements), or
• are inadequate for the nature and volume of the inspection and certification work carried out by your business.

This means your facilities are deficient to an extent that they adversely affect your certification decisions or certification outcomes.

Your facilities:

• may meet the Transport Agency requirements (including VIRM requirements), but
• are barely adequate for the nature and volume of the inspection and certification work carried out by your business.

This means there are serious deficiencies in your facilities that require improvement. Serious deficiencies are those that, if not improved promptly, may adversely affect your certification decisions or certification outcomes.

Your facilities:

• meet all Transport Agency requirements (including VIRM requirements), and
• are adequate for the nature and volume of the inspection and certification work carried out by your business.

However, there are minor aspects in your facilities that could be improved. Minor aspects are those that do not adversely affect your certification decisions or certification outcomes but that, if improved, would make your inspection and certification work easier or more efficient.

For example, there may be areas where lighting could be improved, or where your facilities could be better organised.

Your facilities:

• meet all manufacturer requirements, and
• are fully adequate for the nature and volume of the inspection and certification work carried out by your business, eg in terms of access, size, lighting, flooring, features, layout, condition and organisation.

Administration equipment

You do not have, or do not have ready access to, the administration equipment (including any user manuals) required for your inspection and certification work, or required by the Transport Agency, such as a computer, specified software and access to WoF online or LANDATA

OR

Most equipment you do have, or have ready access to, is not in working order.

On your premises you have, or have ready access to, all administration equipment (including any user manuals) required for your inspection and certification work, or required by the Transport Agency, such as a computer, specified software and access to WoF Online or LANDATA.

However, some equipment is not in working order.

On your premises you have, or have ready access to, all administration equipment (including any user manuals) required for your inspection and certification work, or required by the Transport Agency, such as a computer, specified software and access to WoF Online or LANDATA.

The equipment is in working order but some is not in good condition.

On your premises you have access to all administration equipment required for your inspection and certification work or required by the Transport Agency (such as computers, specified software and access to WOF Online or LANDATA).

The equipment is in good condition and working order.

Technical information

You do not have, or do not have ready access to, the technical information required by the Transport Agency.

On your premises you have, or have ready access to, all technical information required by the Transport Agency.

The information is complete but not up to date.

For example, when you receive amendments to an inspection manual, you do not update the manual as promptly as you could.

On your premises you have, or have ready access to, all technical information required by the Transport Agency.

The information is complete and up to date but not in good condition.

For example, pages from an inspection manual may have been taken out at some stage and then put back in the wrong place (ie the pages are no longer in the right order, making it difficult to find items).

On your premises you have, or have ready access to all technical information required by the Transport Agency such as VIRM: Entry certification (new light vehicles) and PRS manual.

You have a current and up to date Deed of Appointment letter.

Your dealer network has or has access to all required vehicle manufacturer’s PDI instructions, manuals or CDs.

Inspection and certification staff

Some staff doing inspection and certification work do not hold current and appropriate Transport Agency appointments for the inspection and certification work they carry out because they:

• have never held any relevant Transport Agency appointments, or
• are currently suspended, or
• were suspended and have not been reappointed by the Transport Agency, or
• have had their appointments revoked, or
• have previously held relevant Transport Agency appointments but these have lapsed a considerable time ago

OR

You have delegated or contracted out work without Transport Agency permission.

Some staff doing inspection and certification work do not hold current and appropriate Transport Agency appointments for the inspection and certification work they carry out, but they have previously held relevant Transport Agency appointments which have only recently lapsed

OR

Some staff to whom you have rightfully delegated inspection and certification work do not have the required level of competence

OR

Some staff who are required to drive vehicles as part of their work do not hold current driver licences for the types of vehicles they are required to drive.

All staff doing inspection and certification work either:

• hold current and appropriate Transport Agency appointments for the inspection and certification work they carry out, or
• hold current and appropriate delegations from you for the work (this applies only if you have permission from the Transport Agency to delegate that work).

Some staff to whom you have delegated inspection and certification work do not have the required level of competence. However, they do not make certification decisions.

All staff who are required to drive vehicles as part of their work hold current driver licences for the types of vehicles they are required to drive.

All staff doing inspection and certification work have:

• current and appropriate Transport Agency appointments for the inspection and certification work they carry out
• all pre-delivery inspectors have a PD code allocated
• all staff who have delegated responsibilities are competent and qualified to do the specific work
• all delegations are current and up to date
• all staff who are required to drive vehicles as part of their work hold current driver licenses for the types of vehicles they drive.

Management of competence

You have a coordinated approach to managing your competence in all aspects of your inspection and certification work.

This means you:

• provide for the proper induction of new staff, including temporary staff who fill in for you when you are away (if any), by making them familiar with your facilities and equipment, and the way things are done in your business (Note 1)
• regularly assess your level of competence and that of your staff
• make sure your competence and that of your staff is maintained at a high level, ie you and your staff are aware of, and competent in dealing with, new legal requirements and updates to technical information, new technologies, and new equipment.

You complete and keep an Induction record for each new staff member, including temporary staff.

You keep an up-to-date Training record, listing any internal and external training received by you and your staff.

The Transport Agency will:

• talk to you and your staff
• inspect the records you keep, including your Induction record and your Training record.

Management of facilities

You have a coordinated approach to managing your facilities. Your approach ensures that your facilities are kept tidy, clean, organised and in good condition.

You display your Transport Agency site authorisation certificate where your customers can easily see it.

The Transport Agency will:

• talk to you and your staff
• inspect your facilities.

Management of technical information

You have a coordinated approach to managing your technical information (such as VIRMs). Your approach ensures that technical information is:

• updated promptly when you receive updates from the Transport Agency
• stored so you and your staff have easy access to it
• maintained in good condition.

You keep an up-to-date Technical information record.

The Transport Agency will:

• talk to you and your staff
• inspect your technical information and the locations where you keep it
• inspect your Technical information record.

Management of electronic inspection and certification information

You have a coordinated approach to managing your electronic inspection and certification information. Your approach ensures that:

• all electronic inspection and certification information is kept safe at all times
• all computers from which you access the Transport Agency computer system are out of reach of the public and/or access to your computers is protected by password
• all user names and passwords, if recorded on paper, are kept safe and out of reach of the public
• passwords used to protect your computers from public access are changed regularly
• you have backup copies or hard copies of any electronic information relevant to your inspection and certification work.

The Transport Agency will:

• talk to you and your staff
• observe you and your staff at work
• inspect the location and set-up of your computers, and the storage of user names and passwords
• inspect the backup copies or hard copies you keep of your electronic inspection and certification information.

Management of inspection and certification staff

You have a coordinated approach to managing your staff. Your approach ensures that:

• certification decisions are made only by staff who hold current and appropriate Transport Agency appointments
• the number of staff carrying out inspection and certification work is adequate for the nature and volume of inspection and certification work carried out by your business
• vehicles are driven only by staff who hold current and appropriate driver licences
• there is effective communication and teamwork in your business at and across all levels and in all directions
• responsibilities are clearly defined and all staff know who is responsible for what.

You keep a Staff record listing all staff carrying out certification work. Your Staff record is up to date and coincides with the Transport Agency’s record of inspectors working in your business.

You keep an up-to-date Delegation record.

You display all Transport Agency inspector appointment certificates where your customers can easily see them.

The Transport Agency will:

• talk to you and your staff and any contractors
• observe you and your staff at work
• inspect your Staff record, your Delegation record and other relevant records.

Management of time

You allocate enough time for you and your staff to carry out your inspection and certification work, allowing for the complexity of the work, your facilities, the available equipment and your and your staff’s levels of skill.

This means you and your staff:

• are comfortable with the time allocated and actually spent on inspection and certification work, and
• do not feel under pressure to perform within time frames that are unreasonably tight.

The Transport Agency will:

• talk to you and your staff
• observe you and your staff at work
• look at your inspection and certification volumes.

Management of competence

Your approach to managing your and your staff’s competence in all aspects of your inspection and certification work is inadequate.

This means you:

• do not provide for the proper induction of new staff, including any temporary staff, or
• do not assess your and your staff’s levels of competence, or
• make little or no effort to maintain your and your staff’s competence (eg if staff go on any training courses, it is on their own initiative).

Your approach to managing your and your staff’s competence in all aspects of your inspection and certification work is barely adequate.

This means you:

• often do not provide for the proper induction of new staff, including any temporary staff, or
• do not assess your and your staff’s levels of competence on a regular basis, or
• make only limited efforts to maintain your and your staff’s competence at a high level (for example, you consider yourself too busy to go on training courses)

OR

You do not keep a Training record.

Your approach to managing your and your staff’s competence in all aspects of your inspection and certification work is adequate.

This means you usually:

• provide for the proper induction of new staff, including temporary staff who fill in for you when you’re away (if any), by making them familiar with your facilities and equipment and the way things are done in your business, and
• assess your and your staff’s level of competence on a regular basis, and
• make sure, for example by attending regular training courses, that your and your staff’s competence is maintained at a high level, ie you and your staff are aware of, and competent in dealing with, new legal requirements and updates to technical information, and are competent in dealing with new technologies and new equipment.

However, you do not always:

• complete an Induction record for each new staff member, including temporary staff, or
• keep your Training record up to date.

Your approach to managing your and your staff’s competence in all aspects of your inspection and certification work is well coordinated.

This means you consistently:

• ensure all pre-delivery inspectors are fully trained on new vehicles, updates, model changes and advancements in technology
• provide all necessary technical information to your dealer network
• provide technical assistance where required
• provide adequate training when launching new models, facelifts, etc
• keep an up-to-date record or data base of all training received and provided.

Management of facilities

Your approach to managing your facilities is inadequate.

This means you make little or no effort to keep the facilities tidy, clean, organised or maintained in good condition.

Your approach to managing your facilities is barely adequate.

This means you:

• make only limited efforts to keep the premises tidy, clean, organised or maintained in good condition.

Your approach to managing your facilities is adequate.

This means you usually:

• make sure your facilities are kept tidy, clean, organised and maintained in good condition.

Your approach to managing your facilities is well coordinated.

This means you consistently:

• make sure your facilities are kept tidy, clean, organised and maintained in good condition.

Management of technical information

Your approach to managing your technical information is inadequate.

This means you make little or no effort to manage your technical information.

For example, some technical information may not have been updated for a considerable time.

Your approach to managing your technical information is barely adequate.

This means that, although you make some efforts to manage your technical information, you often do not:

• update technical information promptly when you receive updates from the Transport Agency, or
• store technical information so you have easy access to it

OR

You do not keep a Technical information record or Record of amendments.

Your approach to managing your technical information is adequate.

This means you usually make sure your technical information is:

• updated promptly when you receive updates from the Transport Agency, and
• stored so you and your staff have easy access to it.

However, you do not always:

• maintain your technical information in good condition, or
• keep your Technical information record or Record of amendments up to date.

Your approach to managing your technical information is well coordinated.

This means you consistently make sure your technical information is:

• updated promptly when you receive updates from the Transport Agency, and
• ensure all up-to-date technical information such as updates or work instructions is available through out your dealer network.

Your VIRM and PRS Technical information record or Record of amendments is up to date.

Management of electronic inspection and certification information

Your approach to managing your electronic inspection and certification information is inadequate.

This means you make little or no effort to ensure that electronic inspection and certification information is kept safe.

Your approach to managing your electronic inspection and certification information is barely adequate.

This means that, although you make some efforts to ensure that electronic inspection and certification information is kept safe, you often do not:

• have your computers, if located within reach of the public, protected by password, or
• keep your user names and passwords safe and out of reach of the public, or
• change your passwords on a regular basis.

Your approach to managing your electronic inspection and certification information is adequate.

This means you usually make sure that:

• electronic inspection and certification information is kept safe at all times, and
• all computers from which you access the Transport Agency’s computer system are out of reach of the public and/or access to your computers is protected by password, and
• all user names and passwords, if recorded on paper, are kept safe and out of reach of the public, and
• passwords used to protect your computers from public access are changed regularly.

However, you do not always keep backup copies or hard copies of electronic information relevant to your inspection and certification work, such as CAD drawings.

Your approach to managing your electronic inspection and certification information is well coordinated.

This means you consistently make sure that:

• electronic inspection and certification information is kept safe at all times, and
• all computers from which you access the Transport Agency’s computer system are out of reach of the public and/or access to your computers is protected by passwords, and
• passwords used to protect your computers from public access are changed regularly.

Management of inspection and certification staff

Your approach to managing your staff is inadequate.

This means you make little or no effort to make sure that:

• certification decisions are made only by staff who hold current and applicable Transport Agency appointments, or
• the number of staff carrying out inspection and certification work is adequate for the nature and volume of inspection and certification work carried out by your business.

Your approach to managing your staff is barely adequate.

This means although you make some efforts to manage your staff, you regularly fail to make sure that:

• certification decisions are made only by staff who hold current and applicable Transport Agency appointments, or
• the number of staff carrying out inspection and certification work is adequate for the nature and volume of inspection and certification work carried out by your business, or
• vehicles are driven only by staff who hold current and appropriate driver licences, or
• there is effective communication and teamwork in your business at and across all levels and in all directions, or
• responsibilities are clearly defined and all staff know who is responsible for what

OR

You do not keep a Staff record or a Delegation or transfer of function record.

Your approach to managing your staff is adequate.

This means you usually make sure that:

• certification decisions are made only by staff who hold current and applicable Transport Agency appointments, and
• the number of staff carrying out inspection and certification work is adequate for the nature and volume of inspection and certification work carried out by your business, and
• vehicles are driven only by staff who hold current and appropriate driver licences, and
• there is effective communication and teamwork in your business at and across all levels and in all directions, and
• responsibilities are clearly defined and all staff know who is responsible for what.

However, you do not:

• always keep your Staff record or your Delegation or transfer of function record up to date, or
• display all Transport Agency inspector appointment certificates where your customers can see them.

Your approach to managing your staff is well coordinated.

This means you consistently make sure that:

• certification decisions are made only by staff who hold current and applicable Transport Agency appointments, and
• the number of staff carrying out inspection and certification work is adequate for the nature and volume of inspection and certification work carried out by your business, and
• there is effective communication and teamwork in your business at and across all levels and in all directions, and
• responsibilities are clearly defined and all staff know who is responsible for what.

Where applicable there is an up-to-date delegation or transfer of function in place (including ‘certifier to delegate’ and ‘delegate to pre-delivery’).

Management of time

You do not allocate enough time for you and your staff to carry out your inspection and certification work.

Many of your staff:

• are not comfortable with the time allocated and actually spent on inspection and certification work, or
• feel under pressure to perform within time frames that are unreasonably tight.

You do not always allocate enough time for you and your staff to carry out your inspection and certification work.

Staff regularly complain about time frames that are too tight to carry out their inspection and certification work properly.

You generally allocate enough time for you and your staff to carry out your inspection and certification work, allowing for the complexity of the work, your facilities, the available equipment, and your and your staff’s level of skill.

However, less experienced staff sometimes feel under pressure to perform within the same tight time frames as experienced staff.

You allocate enough time for you and your staff to carry out your inspection and certification work, allowing for the complexity of the work, your facilities, the available equipment, and your and your staff’s levels of skill.

This means you and your staff:

• are comfortable with the time allocated and actually spent on inspection and certification work, and
• do not feel under pressure to perform within time frames that are unreasonably tight.

Monitoring performance

You regularly assess how well you and your staff meet the Transport Agency’s expectations as set out in the PRS.

The frequency of self-assessments is appropriate to the size of your business and the inspection and certification work carried out by your business. This means you carry out a self-assessment at least once a year and within two months before a scheduled review.

You record each self-assessment by completing a Self-assessment record which is filed in this folder.

You record any problems or opportunities to improve that you identify during self-assessments in your Improvement record for follow-up.

The Transport Agency will:

• talk to you and your staff
• inspect your Self-assessment record
• inspect your Improvement record to check that any problems or opportunities to improve identified during self-assessments have been recorded for follow-up.

Correct handling of complaints and vehicle recalls

You and your staff are open to complaints and regard them as opportunities to improve.

This means you:

• display or provide to your customers your complaints policy, including information on how to lodge a complaint and your customers’ right to complain to the Transport Agency
• handle complaints in accordance with Transport Agency requirements.

You keep a Complaints record, in which all verbal and written complaints are recorded.

You record any problems or opportunities to improve that you identify in the investigation of complaints in your Improvement record for follow-up.

The Transport Agency will:

• inspect your complaints policy
• talk to you and your staff
• inspect your Complaints record to check that any complaints against you, including any complaints raised with the Transport Agency, have been recorded and handled in accordance with Transport Agency requirements
• inspect your Improvement record to check that any problems or opportunities to improve which are identified in the investigation of complaints have been recorded for follow-up.

Commitment to the PRS

You and your staff are committed to making the PRS work in and for your business.

This means you:

• actively use the system for improving your inspection and certification work
• are open about your problems and achievements
• fully cooperate during regular performance reviews.

The Transport Agency will:

• talk to you
• assess your level of cooperation during reviews.

Monitoring performance

You do not assess how well you and your staff meet the Transport Agency’s expectations as set out in the PRS.

This means there is no evidence of your carrying out self-assessments.

You sometimes assess how well you and your staff meet the Transport Agency’s expectations as set out in the PRS.

This means you carry out some self-assessments but you do not:

• carry out self-reviews regularly (ie at least once a year and before scheduled reviews), or
• document self-assessments by completing a Self-assessment record.

You regularly assess how well you and your staff meet the Transport Agency’s expectations as set out in the PRS.

This means you carry out self-assessments at least once a year (or more often as appropriate to the size of your business and the inspection and certification work carried out by your business).

However, you do not always:

• carry out self-assessments before scheduled performance reviews, or
• document self-assessments by completing a
  Self-assessment record, or
• record in your Improvement record problems or opportunities to improve that you identify in self-assessments.

You and your staff are fully committed to improving your inspection certification work.

This means you:

• actively identify and prioritise problems and opportunities to improve, and
• assess the cause of problems and identify what you need to do to address them, and
• address problems and opportunities according to available resources, and
• document any dealer visits you carry out and any associated corrective action required, and
• have evidence of internal improvements or assessments.

Correct handling of complaints and vehicle recalls

You and/or most of your staff are not open to complaints and your handling of complaints is inadequate.

This means you:

• do not have an adequate complaints policy, or
• do not communicate your complaints policy to your customers, or
• seldom handle complaints in accordance with Transport Agency requirements, or
• do not keep records of complaints.

You and/or many of your staff are not open to complaints and your handling of complaints is barely adequate.

This means you:

• have a complaints policy but that policy is not correctly communicated to your customers because your display does not accurately reflect your policy, or
• regularly do not handle complaints in accordance with Transport Agency requirements (eg you regularly exceed the time frames set by the Transport Agency for responding to complaints), or
• regularly fail to record complaints in your Complaints record, or
• do not record any problems or opportunities to improve that you identify in the investigation of complaints in your Improvement record and follow up on them.

You and most of your staff are open to complaints and your handling of complaints is adequate.

This means you:

• display your complaints policy to your customers, including information on how to lodge a complaint and your customers’ right to complain to the Transport Agency, and
• usually handle complaints in accordance with Transport Agency requirements, and
• keep a Complaints record in which you record most complaints.

However, you do not always record in your Improvement record, and follow up on, the problems or opportunities to improve that you identify in the investigation of complaints.

You consistently comply with Transport Agency, vehicle manufacture and the legal requirements to notify Transport Agency of any safety related defects in a vehicle production run.

This means you promptly:

• update the MIA website, or
• contact the Transport Agency directly.

Commitment to the PRS

You and/or most of your staff show little or no commitment to making the PRS work in and for your business.

This means you do not:

• use the system for improving your inspection and certification work, or
• share your problems and achievements with Transport Agency Transport Officers, or
• cooperate in Transport Agency reviews.

You and most of your staff show some commitment to making the PRS work in your business but there is little evidence that you actively use it to improve your inspection and certification work.

This means:

• you make some efforts to use the system in your business, but mostly to satisfy Transport Agency Transport Officers, and
• there is a basic level of cooperation in Transport Agency reviews but there is a reluctance to share problems with Transport Agency Transport Officers.

You and most of your staff show an adequate level of commitment to making the PRS work in and for your business.

This means you:

• actively use most aspects of the system for improving your inspection and certification work, although you do not use the system to its full extent, and
• are usually open about your problems and achievements, although some staff are reluctant to share problems with Transport Agency Transport Officers, and
• show a good level of cooperation in Transport Agency reviews.

You and your staff are fully committed to making the PRS work in and for your business.

This means you:

• actively use the system for improving your inspection and certification work, and
• are open about your problems and achievements, and
• fully cooperate in Transport Agency reviews.