1. General part

This identifies five general categories that are important for all types of certification work.

2. Technical part

The Technical part differs for each type of certification work. For example, for WoF and CoF certification, the categories of the Technical part follow the items set out in the Vehicle inspection requirements manual: In-service certification.

1. Technical performance

Do certifiers identify vehicles and components correctly, make correct technical decisions and certify those vehicles and components correctly? Are they competent in all technical aspects of their certification work?

2. Administrative performance

Are certifiers competent in all administrative aspects of their certification work, including the proper use of documents and correct entry of information?

3. Resources

Do certifiers have the right resources for their certification work, eg the right facilities and equipment?

4. Management

Do certifiers properly manage the parts of their operations that support their certification work, eg do they make sure their equipment is properly maintained?

5. Performance improvement

Do certifiers actively identify problems and opportunities to improve and take advantage of them? Do they regularly review their own performance? Are they open to complaints?

Adjusted score

Means the total score that has been adjusted to take into account element scores of 1+ or less, ie where there is poor performance in some areas.

Category

These are the different areas that make up inspection and certification work. There are five categories which are weighted depending on their importance: Technical performance, Administrative performance, Resources, Management and Performance improvement. The five categories make up the General part of the PRS from which a score is derived.

Certifier

Means a vehicle inspector and/or inspecting organisation, depending on the context, and includes a specialist certifier.

Computer system

Means the system where the certifier enters certification .

Controlled document

Means a document you must use and complete as part of your inspection and certification work, such as WoF labels, checksheets, certification plates or certificates.

Description

Means the performance description for each element score against which the certifier’s performance is assessed. There are four descriptions for each element, one each for the scores 0, 1, 2 and 3.

Element

Means a detailed area relating to inspection and certification work, and related elements are grouped together to make up a category.

Element score

Means the score that is assigned to an element.

External document

Means any document supplied by outside parties (eg from vehicle owner or manufacturer) that you rely on in your inspection and certification work, such as exemption notices.

General part

Means the main part of the PRS which consists of the five categories and from which the total score is calculated.

Inspection and certification document

Means a document you use as part of your certification work, such as a checksheet or certification label. It includes controlled, uncontrolled and external documents.

Mystery shopper exercise

Means the Transport Agency arranging for a vehicle with known faults to be presented for inspection to check that the certifier carries out the inspection correctly. The certifier does not know that the vehicle is part of a mystery shopper exercise. This give the Transport Agency information about how inspections are carried out between scheduled reviews.

PRS

Means the Performance Review System.

Random re-inspection

Means a reviewer visiting unannounced between reviews and re-inspecting a vehicle that the certifier has just certified. This gives the Transport Agency information about how the certifier is performing between reviews.

Requirements

Means Transport Agency requirements which are contained in the PRS manual, your VIRM, your agreement/contract with Transport Agency and other information issued by Transport Agency.

Review

Means an assessment of your performance as a certifier, and is usually scheduled in advance depending on the score you achieved at the previous review. Reviews are carried out by Transport Agency reviewers.

Score

This is the result of your review and gives an indication of how well you performed. The higher the score, the better your performance as a certifier.

Self-assessment

Means you assess your own performance using the same criteria as the Transport Agency reviewer does when he carries out a review. The PRS requires you to carry out regular self-assessments.

Technical part

Means the part of the PRS that relates directly to the technical aspects of the inspection and certification work, ie technical decisions, technical competence and inspection equipment. The Technical part scores are transferred to the General part before the total score is calculated.

Total score

This is the score that is calculated when all the element scores have been assigned and the category scores have been weighted, but before it has been adjusted for areas of poor performance.

Transport Agency

Means the NZ Transport Agency.

Uncontrolled document

Any document you develop yourself as part of your inspection and certification work, such as design calculations or technical drawings.

VIRM

Means the Vehicle inspection requirements manual. There are different VIRMs, depending on the type of certification work, and each one has a corresponding PRS manual.

Weighted category score

Means a category score that has been weighted to reflect its importance in the overall inspection and certification work relative to the other categories.

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.

Correct technical decisions

You correctly identify all vehicles before inspecting and certifying them. The identification numbers of the vehicles you certify are valid and match the vehicle identification numbers in your records and the identification numbers you enter into the Transport Agency computer system. You correctly determine whether the vehicle identification complies with all Transport Agency requirements, taking into account technical information provided by the Transport Agency such as the VIRM: Entry certification (new light vehicles).

The Transport Agency will:

• talk to you
• observe you at work
• inspect the repairs or modifications to the vehicles which you have certified
• inspect inspection and certification documents you use and complete.

Technical competence

You are competent in all technical aspects relating to vehicle identification. This means you are competent in:

• the assessment of vehicle identification
• the Transport Agency requirements (including VIRM requirements) relating to vehicle identification and the assessment of vehicle identification
• the use of technical repair instructions
• Transport Agency guidelines relating to vehicle identification.

The Transport Agency will:

• talk to you
• ask questions to check your competence relating to vehicle identification and the assessment of modifications to vehicle identification
• observe you at work
• inspect your Training record.

The Transport Agency may administer a short test on vehicle identification and the assessment of vehicle identification.

Technical equipment

No specialist equipment is required.

Not applicable.

Correct technical decisions

You do not thoroughly inspect all evidence of vehicle identity or correctly determine whether it complies with all Transport Agency requirements.

The area of non-compliance is significant.

For example:

• a vehicle identification number has not been read from the VIN plate, or
• a vehicle’s VIN or chassis number is missing.

You do not thoroughly inspect all evidence of vehicle identity or correctly determine whether it complies with all Transport Agency requirements.

The area of non-compliance is somewhat important.

For example:

• You more regularly incorrectly record a VIN number

You do not thoroughly inspect all evidence of vehicle identity or correctly determine whether it complies with all Transport Agency requirements.

The area of non-compliance is minor.

For example:

• You occasionally incorrectly record a VIN number.

You thoroughly inspect vehicle identity and correctly determine whether complies with Transport Agency requirements including:

• how you record which vehicles are ordered
• how you identify which vehicles arrive in New Zealand
• how and where your vehicles are stored and then distributed
• how your dealers identify the vehicle they receive.

Technical competence

You demonstrate:

• little or no competence in the technical aspects relating to vehicle identification.

This means there are significant gaps in your knowledge of, or skills in:

• the assessment of vehicle identification, or
• the Transport Agency requirements (including VIRM requirements) relating to vehicle identification, or
• Transport Agency guidelines relating to vehicle identification
• the decoding of VIN numbers.

You demonstrate:

• some competence in the technical aspects relating to vehicle identification.

This means there are some gaps in your knowledge of, or skills in:

• the assessment of vehicle identification, or
• the Transport Agency requirements (including VIRM requirements) relating to vehicle identification, or
• Transport Agency guidelines relating to vehicle identification
• the decoding of VIN numbers.

You demonstrate:

• adequate competence in the technical aspects relating to vehicle identification.

This means there are minor gaps in your knowledge of, or skills in:

• the assessment of vehicle identification, or
• the Transport Agency requirements (including VIRM requirements) relating to vehicle identification, or
• Transport Agency guidelines relating to vehicle identification
• the decoding of VIN numbers.

You can demonstrate comprehensive competence in the technical aspects relating to vehicle identification, including their compliance with Land Transport Rules.

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

• the assessment of vehicle identification, and
• the Transport Agency requirements (including VIRM requirements) relating to vehicle identification, and
• Transport Agency guidelines relating to vehicle identification
• the decoding of VIN numbers.

Technical equipment

Not applicable.

Not applicable.

Not applicable.

Not applicable.

Correct technical decisions

You thoroughly inspect all documents or vehicles and correctly determine that they comply with all Transport Agency requirements, taking into account technical information provided by the Transport Agency such as the VIRM: Entry certification (new light vehicles).

Inspection and certification staff consistently and correctly certify components, systems and vehicles for standards compliance.

The Transport Agency will:

• talk to you
• observe you at work
• inspect the vehicles and components which you have certified
• inspect inspection and certification documents you use and complete
• inspect information that staff enter into the Transport Agency’s computer system.

Technical competence

You are competent in all technical aspects relating to vehicle standards compliance. This means you are competent in:

• identifying the standards that apply to particular vehicle classes
• identifying the standards that apply to vehicles of different manufacturing dates.

The Transport Agency will:

• talk to you
• ask questions to check your competence relating to compliance with approved standards
• observe you at work
• inspect the vehicles and components which you have certified
• inspect your Training record.

The Transport Agency may administer a short test on vehicle standards compliance and the assessment of vehicle standards compliance.

Technical equipment

No specialist equipment is required.

Not applicable.

Correct technical decisions

You do not thoroughly inspect all documents or vehicles to correctly determine whether they comply with all Transport Agency requirements.

You commonly make errors in the certification of components, systems and vehicles for compliance with approved standards.

The area of non-compliance is likely to compromise the the safety of vehicle occupants or other road users.

You are not able to supply any evidence of compliance.

You do not thoroughly inspect all documents or vehicles to correctly determine whether they comply with all Transport Agency requirements.

You sometimes make errors in the certification of components, systems and vehicles for compliance with approved standards.

The area of non-compliance may compromise the safety of vehicle occupants or other road users.

You find it difficult to obtain statements of compliance or further evidence of compliance.

You do not thoroughly inspect all documents or vehicles to correctly determine whether they comply with all Transport Agency requirements.

You rarely make errors in the certification of components, systems and vehicles for standards compliance.

The area of non-compliance is unlikely to compromise the safety of vehicle occupants or other road users.

You don’t keep statements of compliance but can obtain them if required.

You can obtain further evidence of compliance, if required, but not in a timely manner.

You thoroughly inspect all documents and vehicles to correctly determine whether they comply with all Transport Agency requirements.

You consistently and correctly certify components, systems and vehicles for standards compliance.

You have or can access statements of compliance for all vehicles and models.

You can, in a timely manner, obtain further evidence of compliance (such as test certificates) if required by the Transport Agency.

Technical competence

You demonstrate:

• little or no competence in the technical aspects relating to standards compliance, or
• a level of competence that is likely to compromise the safety of vehicle occupants or other road users.

This means there are significant gaps in your knowledge of, or skills in:

• identifying the standards that apply to particular vehicle classes, or
• identifying the standards that apply to vehicles of different manufacturing dates, or
• identifying vehicle classes, or
• using statements of compliance.

You demonstrate:

• some competence in the technical aspects relating to standards compliance, or
• a level of competence that may compromise the safety of vehicle occupants or other road users.

This means there are some gaps in your knowledge of, or skills in:

• identifying the standards that apply to particular vehicle classes, or
• identifying the standards that apply to vehicles of different manufacturing dates, or
• identifying vehicle classes, or
• using statements of compliance.

You demonstrate:

• adequate competence in the technical aspects relating to standards compliance, or
• a level of competence that is unlikely to compromise the safety of vehicle occupants or other road users.

This means there are minor gaps in your knowledge of, or skills in:

• identifying the standards that apply to particular vehicle classes, or
• identifying the standards that apply to vehicles of different manufacturing dates, or
• identifying vehicle classes, or
• using statements of compliance.

You can demonstrate comprehensive competence in the technical aspects relating to standards compliance, including their compliance with Land Transport Rules.

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

• identifying the standards that apply to particular vehicle classes
• identifying the standards that apply to vehicles of different manufacturing dates
• identifying vehicle classes correctly
• correct use and understanding of statements of compliance.

Note ADR approval numbers can be verified using
http://rvcs-prodweb.dot.gov.au/

Technical equipment

Not applicable.

Not applicable.

Not applicable.

Not applicable.

Correct technical decisions

You thoroughly inspect all safety-related components and systems within the manufacturer’s pre-delivery inspection requirements and correctly determine whether they comply with all Transport Agency requirements, taking into account all technical information including that provided by the Transport Agency such as the VIRM: Entry certification (new light vehicles).

The Transport Agency will:

• talk to you
• observe you at work
• inspect vehicles and components which you have certified
• inspect certification documents you use and complete
• inspect information you enter into the Transport Agency computer system.

Technical competence

You are competent in all technical aspects relating to safety-related components and systems within the manufacturer’s pre-delivery inspection requirements. This means you are competent in:

• the assessment of safety-related components and systems
• Transport Agency requirements and guidelines (including VIRM requirements) relating to safety-related components and systems
• the safety-related parts of the vehicle manufacturer’s pre-delivery inspection requirements
• the operation of the equipment used for safety-related parts of the pre-delivery inspection.

The Transport Agency will:

• talk to you
• ask questions to check your competence relating to safety-related components and systems within the manufacturer’s pre-delivery inspection requirements
• observe you at work
• inspect vehicles and components which you have certified
• inspect your Training record.

The Transport Agency may administer a short test on pre-delivery inspection requirements and the assessment of pre-delivery inspection requirements.

Technical equipment

The equipment required to carry out the safety-related parts of the manufacturer’s pre-delivery inspections is in good condition and working order.

The Transport Agency will inspect your technical equipment.

Correct technical decisions

You do not thoroughly inspect all safety-related components and systems within the manufacturer’s pre-delivery inspection requirements and correctly determine whether they comply with all Transport Agency requirements.

You commonly make errors in the inspection of such components and systems.

The area of non-compliance is likely to compromise the safety of vehicle occupants or other road users.

You do not thoroughly inspect all safety-related components and systems within the manufacturer’s pre-delivery inspection requirements and correctly determine whether they comply with all Transport Agency requirements.

You sometimes make errors in the inspection of such components and systems.

The area of non-compliance may compromise the safety of vehicle occupants or other road users.

You do not thoroughly inspect all safety-related components and systems within the manufacturer’s pre-delivery inspection requirements and correctly determine whether they comply with all Transport Agency requirements.

You occasionally make errors in the inspection of such components and systems.

The area of non-compliance is unlikely to compromise the safety of vehicle occupants or other road users.

You thoroughly inspect all safety-related components and systems within the manufacturer’s pre-delivery inspection requirements and correctly determine whether they comply with all Transport Agency requirements.

You consistently and correctly inspection such components and systems.

Technical competence

You demonstrate:

• little or no competence in the technical aspects relating to safety-related aspects of pre-delivery inspections, or
• a level of competence that is likely to compromise the safety of vehicle occupants or other road users.

This means there are significant gaps in your knowledge of, or skills in:

• the assessment of safety-related components and systems, or
• the Transport Agency requirements and guidelines (including VIRM requirements) relating to safety-related components and systems, or
• the safety-related parts of the vehicle manufacturer’s pre-delivery inspection requirements, or
• the operation of the equipment you use for assessing safety-related parts of the pre-delivery inspection.

You demonstrate:

• some competence in the technical aspects relating to safety-related aspects of pre-delivery inpsections, or
• a level of competence that may compromise the safety of vehicle occupants or other road users.

This means there are some gaps in your knowledge of, or skills in:

• the assessment of safety-related components and systems, or
• the Transport Agency requirements and guidelines (including VIRM requirements) relating to safety-related components and systems, or
• the safety-related parts of the vehicle manufacturer’s pre-delivery inspection requirements, or
• the operation of the equipment you use for assessing safety-related parts of the pre-delivery inspection.

You demonstrate:

• adequate competence in the technical aspects relating to safety-related aspects of pre-delivery inspections, or
• a level of competence that is unlikely to compromise the safety of vehicle occupants or other road users.

This means there are minor gaps in your knowledge of, or skills in:

• the assessment of safety-related components and systems, or
• the Transport Agency requirements and guidelines (including VIRM requirements) relating to safety-related components and systems, or
• the safety-related parts of the vehicle manufacturer’s pre-delivery inspection requirements, or
• the operation of the equipment you use for assessing safety-related parts of the pre-delivery inspection.

You can demonstrate comprehensive competence in the technical aspects relating to safety-related aspects of pre-delivery inspections, including their compliance with Land Transport Rules.

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

• the assessment of safety-related components and systems, or
• the Transport Agency requirements and guidelines (including VIRM requirements) relating to safety-related components and systems, or
• the safety-related parts of the vehicle manufacturer’s pre-delivery inspection requirements, or
• the operation of the equipment you use for assessing safety-related parts of the pre-delivery inspection.

Technical equipment

Not all of the equipment required to carry out the safety-related parts of the manufacturer’s pre-delivery inspections is available. Where equipment is available, some or all of it is not in working order.

You do not keep any calibration or equipment records.

All the equipment required to carry out the safety-related parts of the manufacturer’s pre-delivery inspections is available and in working order, but some or all of it is in poor condition.

All required calibration and equipment records are sometimes up to date.

All the equipment required to carry out the safety-related parts of the manufacturer’s pre-delivery inspections is available, in working order and in at least adequate condition.

All required calibration and equipment records are usually up to date.

All the equipment required to carry out the safety-related parts of the manufacturer’s pre-delivery inspections is available, in good condition, in sufficient numbers, calibrated (if required) and in working order.

An up-to-date record of all calibration results should be held for all equipment that requires calibrating.

0

0+

1-

1

1+

2-

2

2+

3-

3

0.0

0.3

0.7

1.0

1.3

1.7

2.0

2.3

2.7

3.0

Scoring process
-------->

Total score
eg 2.3

1. Brakes

2

2.0

2. Steering

2+

2.3

3. Tyres, wheels and hubs

3-

2.7

4. Vehicle structure

2

2.0

5. Headlamps

2

2.0

6. Windscreen wash and wipe

2-

1.7

7. Mirrors

2

2

Technical performance

x 0.50 =

Administrative performance

x 0.20 =

Resources

x 0.10 =

Management

x 0.10 =

Performance improvement

x 0.10 =

Technical performance

2.4

x 0.50 =

1.2

Administrative performance

2.0

x 0.20 =

0.4

Resources

2.5

x 0.10 =

0.25

Management

2.0

x 0.10 =

0.2

Performance improvement

1.7

x 0.10 =

0.17

2.22

1

2.4

1.0

1.5

0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

–

–

–

–

–

–

–

–

–

Suspension for up to six months

Full review required after the suspension period.

–

The total score from the full review after the suspension period must improve to at least 1.5, with no category scoring less than 1.00.

First regular review following reinstatement will be after 6 months

1.0

1.1

1.2

1.3

1.4

–

–

–

–

–

Follow-up review (full review)
may be required within 2 months.

–

The total score from the follow-up review (full review) must improve to at least 1.5 with no category scoring less than 1.00. Otherwise, a suspension up to 6 months may apply.

1.5

1.6

1.7

1.8

1.9

2.0

1.00

1.10

1.20

1.30

1.40

1.50

Follow-up
may be required within 4 weeks for any element scored 1+ or less (Note 3).

6 months

7 months

8 months

9 months

10 months

12 months

If elements scoring 1+ or less do not improve to 2– or higher after the follow-up, the total score will be reduced by 0.2 points for each element not improved.

If, after the total score reduction, the total score is still 1.5 or lower, any element still scoring 1+ or less may require a second follow-up within 2 months.

If there are still elements scoring 1+ or less after the second follow-up, a full review may be required within 2 months.

A score of 2.0 or less indicates that performance may not be adequate. A letter will be sent expressing the Transport Agency’s expectation that performance improve to at least 2.6 by the next review.

2.1

2.2

2.3

2.4

1.60

1.70

1.80

1.90

13 months

15 months

16 months

17 months

2.5

2.6

2.7

2.8

2.9

2.00

–

18 months

19 months

20 months

22 months

23 months

In order to achieve a total score of 2.5 or higher, each element score, except for management category elements, must be 2– or higher.

If any element score (except for management category elements) is below 2–, the actual total score cannot exceed 2.4.

3.0

2.70

–

24 months

In order to achieve a total score of 3.0, consistency must be demonstrated by a total score of 2.5 or higher in the last regular review. Otherwise the total score becomes 2.9.

1. General part

This identifies five general categories that are important for all types of certification work.

2. Technical part

The Technical part differs for each type of certification work. For example, for WoF and CoF certification, the categories of the Technical part follow the items set out in the Vehicle inspection requirements manual: In-service certification.

1. Technical performance

Do certifiers identify vehicles and components correctly, make correct technical decisions and certify those vehicles and components correctly? Are they competent in all technical aspects of their certification work?

2. Administrative performance

Are certifiers competent in all administrative aspects of their certification work, including the proper use of documents and correct entry of information?

3. Resources

Do certifiers have the right resources for their certification work, eg the right facilities and equipment?

4. Management

Do certifiers properly manage the parts of their operations that support their certification work, eg do they make sure their equipment is properly maintained?

5. Performance improvement

Do certifiers actively identify problems and opportunities to improve and take advantage of them? Do they regularly review their own performance? Are they open to complaints?

Adjusted score

Means the total score that has been adjusted to take into account element scores of 1+ or less, ie where there is poor performance in some areas.

Category

These are the different areas that make up inspection and certification work. There are five categories which are weighted depending on their importance: Technical performance, Administrative performance, Resources, Management and Performance improvement. The five categories make up the General part of the PRS from which a score is derived.

Certifier

Means a vehicle inspector and/or inspecting organisation, depending on the context, and includes a specialist certifier.

Computer system

Means the system where the certifier enters certification .

Controlled document

Means a document you must use and complete as part of your inspection and certification work, such as WoF labels, checksheets, certification plates or certificates.

Description

Means the performance description for each element score against which the certifier’s performance is assessed. There are four descriptions for each element, one each for the scores 0, 1, 2 and 3.

Element

Means a detailed area relating to inspection and certification work, and related elements are grouped together to make up a category.

Element score

Means the score that is assigned to an element.

External document

Means any document supplied by outside parties (eg from vehicle owner or manufacturer) that you rely on in your inspection and certification work, such as exemption notices.

General part

Means the main part of the PRS which consists of the five categories and from which the total score is calculated.

Inspection and certification document

Means a document you use as part of your certification work, such as a checksheet or certification label. It includes controlled, uncontrolled and external documents.

Mystery shopper exercise

Means the Transport Agency arranging for a vehicle with known faults to be presented for inspection to check that the certifier carries out the inspection correctly. The certifier does not know that the vehicle is part of a mystery shopper exercise. This give the Transport Agency information about how inspections are carried out between scheduled reviews.

PRS

Means the Performance Review System.

Random re-inspection

Means a reviewer visiting unannounced between reviews and re-inspecting a vehicle that the certifier has just certified. This gives the Transport Agency information about how the certifier is performing between reviews.

Requirements

Means Transport Agency requirements which are contained in the PRS manual, your VIRM, your agreement/contract with Transport Agency and other information issued by Transport Agency.

Review

Means an assessment of your performance as a certifier, and is usually scheduled in advance depending on the score you achieved at the previous review. Reviews are carried out by Transport Agency reviewers.

Score

This is the result of your review and gives an indication of how well you performed. The higher the score, the better your performance as a certifier.

Self-assessment

Means you assess your own performance using the same criteria as the Transport Agency reviewer does when he carries out a review. The PRS requires you to carry out regular self-assessments.

Technical part

Means the part of the PRS that relates directly to the technical aspects of the inspection and certification work, ie technical decisions, technical competence and inspection equipment. The Technical part scores are transferred to the General part before the total score is calculated.

Total score

This is the score that is calculated when all the element scores have been assigned and the category scores have been weighted, but before it has been adjusted for areas of poor performance.

Transport Agency

Means the NZ Transport Agency.

Uncontrolled document

Any document you develop yourself as part of your inspection and certification work, such as design calculations or technical drawings.

VIRM

Means the Vehicle inspection requirements manual. There are different VIRMs, depending on the type of certification work, and each one has a corresponding PRS manual.

Weighted category score

Means a category score that has been weighted to reflect its importance in the overall inspection and certification work relative to the other categories.

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
• Uncontrolled documents – any documents developed by you as part of your inspection and certification work
• External documents – any documents supplied by outside parties (eg vehicle owners, repairers or manufacturers) that you rely on in your inspection and certification work.

You consistently comply with all Transport Agency requirements (including VIRM requirements) relating to inspection and certification documents. This means you consistently:

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

The Transport Agency will:

• talk to you
• observe you 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 reinspections since your last review
• carry out ‘mystery shopper’ exercises.

Administrative competence

You 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 checksheeets and other relevant inspection and certification documentation
• entering information into the Transport Agency computer system
• using the PRS, including maintaining the specified records.

The Transport Agency will:

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

Correct use of inspection and certification documents

You 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 documents for the task, or
• complete the documents, or
• obtain the external documents you need to make and/or prove your certification decisions, or
• develop the 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 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 documents for the task, or
• obtain the external documents you need to make and/or prove your certification decisions, or
• develop the 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 documents fully, accurately and legibly (originals and duplicates), or
• ensure that all documents are signed, if required, by the appropriate person(s).

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

This means you consistently:

• use the correct documents for the task, and
• obtain the external documents you need to make and/or prove, your certification decisions, and
• develop the 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 documents fully accurately and legibly (originals and duplicates), or
• nsure that all controlled documents are signed, if required, by the appropriate person(s).

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

This means you consistently:

• use the correct documents for the task, ie the ones specified by law or required or approved by the Transport Agency, and
• complete the 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 documents are signed, if required, by the appropriate person(s), and
• develop any 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.

Administrative competence

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

This means you 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 can demonstrate some competence in the administrative aspects of the inspection and certification work carried out by your business.

This means you 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 can demonstrate adequate competence in the administrative aspects of the inspection and certification work carried out by your business.

This means you 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.

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

This means you 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

Facilities used for certification and inspection:

• 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 facilities used for certification and inspection.

Technical equipment

You have ready access to, all technical equipment (including any manuals) required for your certification work, or required by the Transport Agency, such as tools and inspection equipment.

The equipment is in good condition and working order.

Note The score for this is the average of the technical equipment scores from the Self-assessment record — Technical part

The Transport Agency will inspect your technical equipment.

Administration equipment

Ensure current access and accurate use to Landata (ie current login, access to the internet, accuracy and use to completing notes)

Technical information

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.

The Transport Agency will inspect your technical information.

Controlled inspection and certification documents

You have available blank copies of all controlled documents and must use and complete these as part of your inspection and certification work.

Any controlled documents you have developed yourself, if permitted by the Transport Agency, comply with Transport Agency requirements.

The Transport Agency will inspect your controlled inspection and certification documents.

Inspection and certification

You are the doing inspection and certification work and hold current and appropriate Transport Agency appointments for the certification work you carry out, unless you are specifically permitted by the Transport Agency to delegate specified parts of your inspection and certification work to persons who are not required to hold Transport Agency appointments (Note 1)

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

If you are required to drive vehicles as part of your work you hold a current driver licences for the types of vehicle.

The Transport Agency will:

• talk to you
• talk to technicians and management of organisations to which you delegate inspection and certification work
• observe you at work
• inspect your Delegation record
• inspect your driver licence and ensure that it is current.

Facilities

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

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

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 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.

Facilities:

• meet all Transport Agency requirements (including VIRM 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 (such as a pit), layout, condition and organisation.

Technical equipment

Your score here is the average score of your performance in meeting the Transport Agency’s expectations for ‘Technical equipment’ in the Technical part of the PRS.

Administration equipment

Not applicable.

Not applicable.

Not applicable.

Not applicable.

Technical information

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

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.

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).

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.

Controlled inspection and certification documents

You do not have available blank copies of most or any of the documents you must use and complete as part of your inspection and certification work

OR

You use documents you have developed yourself but:

• you do not have permission from the Transport Agency to develop your own documents, or
• the documents do not comply with Transport Agency requirements.

You do not have available blank copies of some documents you must use and complete as part of your inspection and certification work

OR

Some documents you have developed yourself do not fully comply with Transport Agency requirements.

You have available blanks of most documents you must use and complete as part of your inspection and certification work.

Any documents you have developed yourself, if permitted by the Transport Agency, comply with Transport Agency requirements.

You have available blanks of all documents you must use and complete as part of your inspection and certification work.

Any documents you have developed yourself, if permitted by the Transport Agency, comply with Transport Agency requirements.

Certification staff

You do not hold current and appropriate Transport Agency appointments for the certification work you carry out.

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

You hold current and appropriate Transport Agency appointments for the certification work you carry out.

However:

• a person to whom you have rightfully delegated certification work does not have the required level of competence, or
• if you are required to drive a vehicle as part of your work do not hold a current driver licence

You hold a current and appropriate Transport Agency appointments for the certification work you carry out.

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

If you are required to drive a vehicle as part of your work you hold a current driver licence for the type of vehicle required to be driven.

Management of competence

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

This means you:

• regularly assess your level of competence
• make sure your competence is maintained at a high level, ie you are aware of, and competent in dealing with, new legal requirements and updates to technical information, new technologies, and new equipment.

You keep an up-to-date Training record, listing any internal and external training received as per the minimum requirements in your Deed of Appointment.

The Transport Agency will:

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

Management of facilities

Inspection premise/s and equipment as per VIRM requirements.

Management of equipment

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

• available in sufficient numbers for the volume of inspection and certification work carried out by your business
• stored as specified by the manufacturer and in locations where you have easy access
• actually used by you for its intended purpose
• maintained as specified by the manufacturer
• calibrated as specified by the manufacturer, or as required by the Transport Agency.

You keep an up-to-date Equipment record for each piece of equipment that requires regular maintenance or calibration.

The Transport Agency will:

• talk to you
• inspect your equipment
• observe you at work
• look at your inspection and certification volumes (to check that enough equipment is available)
• inspect where and how your equipment is stored
• inspect your Equipment record.

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 have easy access
• maintained in good condition.

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

The Transport Agency will:

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

Management of inspection and certification documents

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

• all inspection and certification documents are kept safe at all times and out of reach of the public
• unused controlled documents are always kept out of reach of the public and, outside business hours, are locked in a secured safe, locker, or strong cupboard or drawer
• all inspection and certification documents are filed so that they can be easily retrieved
• you keep sufficient stock of the inspection and certification documents needed for your inspection and certification work
• the loss or theft of any controlled documents is reported immediately to the Police and the Transport Agency using the Notification of lost or stolen controlled documents form in the Master records section at the back of this manual.

You keep an up-to-date Controlled document record.

The Transport Agency will:

• talk to you
• inspect your used and unused inspection and certification documents and the locations where you keep them
• inspect the way you file your inspection and certification documents
• inspect your Controlled document 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
• observe you 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 co-ordinated approach to managing yourself.

Your approach ensures that:

• certification decisions are made only by yourself and you hold current and appropriate Transport Agency appointment
• 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 an up-to-date Delegation record if you delegate any responsibilities such as:

• updating records
• updating technical information
• approved technicians as per VIRM requirements.

You display or make available upon request all Transport Agency appointments.

The Transport Agency will:

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

Management of time

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

This means you:

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

Management of competence

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

This means you:

• do not assess your level of competence, or
• make little or no effort to maintain your competence.

Your approach to managing your acompetence in all aspects of your inspection and certification work is barely adequate.

This means you:

• do not assess your level of competence on a regular basis, or
• make only limited efforts to maintain your competence at a high level

OR

You do not keep a Training record.

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

This means you usually:

• assess your level of competence on a regular basis, and
• make sure, for example by attending regular training courses, that your competence is maintained at a high level, ie you 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:

• keep your Training record up to date.

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

This means you consistently:

• assess your level of competence on a regular basis, and
• make sure, for example by attending regular training courses, that your competence is maintained at a high level, ie you are aware of, and are competent in dealing with, new legal requirements and updates to technical information new technologies and new equipment.

You keep an up-to-date Training record, listing any training you have received.

Management of facilities

Not applicable.

Not applicable.

Not applicable.

Not applicable.

Management of equipment

Your approach to managing your equipment is inadequate.

This means little or no equipment is:

• available in sufficient numbers for the volume of inspection and certification work carried out by your business, or
• stored as specified by the manufacturer or in locations where you have easy access, or
• used as intended, or
• maintained or calibrated as specified by the manufacturer or as required by the Transport Agency.

Your approach to managing your equipment is barely adequate.

This means you make sure equipment is available in sufficient numbers for the volume of inspection and certification work carried out by your business.

However, you often do not make sure equipment is:

• stored as specified by the manufacturer or in locations where you have easy access, or
• used as intended, or
• maintained or calibrated as specified by the manufacturer or as required by the Transport Agency

OR

You do not keep an Equipment record for some or any equipment that requires regular maintenance or calibration.

Your approach to managing your equipment is adequate.

This means you usually make sure equipment is:

• available in sufficient numbers for the volume of inspection and certification work carried out by your business, and
• stored as specified by the manufacturer and in locations where you have easy access, and
• actually used by you for its intended purpose, and
• maintained as specified by the manufacturer, and
• calibrated as specified by the manufacturer, or as required by the Transport Agency.

You keep an Equipment record for each piece of equipment that requires regular maintenance or calibration, but you do not always keep your Equipment record up to date.

Your approach to managing your equipment is well coordinated.

This means you consistently make sure equipment is:

• available in sufficient numbers for the volume of inspection and certification work carried out by your business, and
• stored as specified by the manufacturer and in locations where you have easy access, and
• actually used by you for its intended purpose, and
• maintained as specified by the manufacturer, and
• calibrated as specified by the manufacturer, or as required by the Transport Agency.

You keep an up-to-date Equipment record for each piece of equipment that requires regular maintenance or calibration.

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 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

OR

You do not keep a Technical information record.

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 have easy access.

However, you do not always:

• maintain your technical information in good condition, or
• keep your Technical information record 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
• stored so you have easy access, and
• maintained in good condition.

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

Management of inspection and certification documents

Your approach to managing your certification documents is inadequate.

This means you do not:

• keep inspection and certification documents safe, or
• keep unused controlled documents out of reach of the public, or
• lock unused controlled documents in a secured safe, locker, or strong cupboard or drawer outside business hours

OR

You lost controlled documents, or had controlled documents stolen, but did not report the loss or theft to the Police or the Transport Agency.

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

This means although you make some efforts to manage your certification documents, you often do not:

• keep inspection and certification documents safe, or
• keep unused controlled documents out of reach of the public, or
• lock unused controlled documents in a secured safe, locker, or strong cupboard or drawer outside business hours, or
• file your inspection and certification documents so that they can be easily retrieved, or
• keep sufficient stock of controlled documents

OR

You do not keep a Controlled document record.

Your approach to managing your certification documents is adequate.

This means you usually make sure that:

• inspection and certification documents are kept safe at all times, and
• unused controlled documents are always kept out of reach of the public and, outside business hours, are locked in a secured safe, locker, or strong cupboard or drawer, and
• all inspection and certification documents are filed so that they can be easily retrieved, and
• you keep sufficient stock of the inspection and certification documents needed for your inspection and certification work, and
• the loss or theft of any controlled documents is reported immediately to the Police and the Transport Agency but you do not always report the loss or theft to the Transport Agency using the Notification of lost or stolen controlled documents form in the Master records section at the back of this manual.

However, you do not always keep your Controlled document record up to date.

Your approach to managing your certification documents is well coordinated.

This means you consistently make sure that:

• inspection and certification documents are kept safe at all times, and
• unused controlled documents are always kept out of reach of the public and, outside business hours, are locked in a secured safe, locker, or strong cupboard or drawer, and
• all inspection and certification documents are filed so that they can be easily retrieved, and
• you keep sufficient stock of the inspection and certification documents needed for your inspection and certification work, and
• the loss or theft of any controlled documents is reported immediately to the Police and the Transport Agency on the Notification of lost or stolen controlled documents form in the Master records section at the back of this manual.

You keep an up-to-date Controlled document record.

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 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 digital photos.

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 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, and
• you have backup copies or hard copies of any electronic information relevant to your inspection and certification work, such as digital photos.

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 you and you hold a current and applicable Transport Agency appointment.

Your approach to managing your staff is barely adequate.

This means you consistently make sure that:

• certification decisions are made only by you and you hold a current and applicable Transport Agency appointment

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

• responsibilities are clearly defined and all staff know who is responsible for what
• there is effective communication and teamwork in your business at and across all levels and in all directions

OR

You do not keep a Delegation record.

Your approach to managing your staff is adequate.

This means you consistently make sure that:

• certification decisions are made only by you and you hold a current and applicable Transport Agency appointment

This means you usually make sure that:

• responsibilities are clearly defined and all staff know who is responsible for what
• there is effective communication and teamwork in your business at and across all levels and in all directions.

However, you do not:

• always keep your Delegation record up-to-date, or
• display or make available on request all Transport Agency appointments

Your approach to managing your staff is well coordinated.

This means you consistently make sure that:

certification decisions are made only by you and you hold a current and applicable Transport Agency appointment

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.

You keep an up-to-date Delegation record.

You display or make available on request all Transport Agency appointments

Management of time

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

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

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

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

Commitment to continuous improvement

You are committed to improving your inspection and certification work.

This means that you actively:

• identify problems and opportunities to improve
• assess the cause of problems and prioritise problems and opportunities
• address problems and opportunities according to priorities and available resources.

You keep an Improvement record and record problems and opportunities to improve. All follow-up activities have been recorded in the Improvement record.

The Transport Agency will:

• talk to you
• inspect your Improvement record.

Regular self-assessments

You regularly assess how well you 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
• 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

You 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
• 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 identified in the investigation of complaints have been recorded for follow-up.

Commitment to the PRS

You 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.

Commitment to continuous improvement

You and/or most of your staff show little or no commitment to improving your inspection and certification work.

This means you and most of your staff do not make efforts to identify problems and opportunities to improve. You are often not even aware of the problems you have.

You and most of your staff show some commitment to improving your inspection and certification work.

This means you are aware of:

• some problems and opportunities to improve, and
• the causes of the problems and what you need to do to address them.

However, although youf work around the problems, you regularly do not:

• record them in your Improvement record, or
• work actively to address them properly.

You show an adequate level of commitment to improving your inspection and 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.

However, you do not always:

• address the problems and opportunities as promptly as you could, or
• record all problems, opportunities and follow-ups in your Improvement record.

You 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
• record all problems, opportunities and follow-ups in your Improvement record.

Regular self-assessments

You do not assess how well you 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 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 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 regularly assess how well you 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), and
• carry out self-assessments before scheduled performance reviews, and
• document each self-assessment by completing a Self-assessment record, and
• record in your Improvement record problems or opportunities to improve that you identify in self-assessments.

Correct handling of complaints

You 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 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 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 are open to complaints, handle them correctly, and regard them as opportunities to improve.

This means you:

• display to your customers your complaints policy, including information on how to lodge a complaint and your customers’ right to complain to the Transport Agency, and
• handle complaints in accordance with Transport Agency requirements, and
• keep a Complaints record in which you record all verbal and written complaints, and
• record in your Improvement record any problems or opportunities to improve that you identify in the investigation of complaints.

Commitment to the PRS

You 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 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 reviewers, 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 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 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.

0

0+

1-

1

1+

2-

2

2+

3-

3

0.0

0.3

0.7

1.0

1.3

1.7

2.0

2.3

2.7

3.0

Scoring process
-------->

Total score
eg 2.3

1. Brakes

2

2.0

2. Steering

2+

2.3

3. Tyres, wheels and hubs

3-

2.7

4. Vehicle structure

2

2.0

5. Headlamps

2

2.0

6. Windscreen wash and wipe

2-

1.7

7. Mirrors

2

2

Technical performance

x 0.50 =

Administrative performance

x 0.20 =

Resources

x 0.10 =

Management

x 0.10 =

Performance improvement

x 0.10 =

Technical performance

2.4

x 0.50 =

1.2

Administrative performance

2.0

x 0.20 =

0.4

Resources

2.5

x 0.10 =

0.25

Management

2.0

x 0.10 =

0.2

Performance improvement

1.7

x 0.10 =

0.17

2.22

1

2.4

1.0

1.5

0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

–

–

–

–

–

–

–

–

–

Suspension for up to six months

Full review required after the suspension period.

–

The total score from the full review after the suspension period must improve to at least 1.5, with no category scoring less than 1.00.

First regular review following reinstatement will be after 6 months

1.0

1.1

1.2

1.3

1.4

–

–

–

–

–

Follow-up review (full review)
may be required within 2 months.

–

The total score from the follow-up review (full review) must improve to at least 1.5 with no category scoring less than 1.00. Otherwise, a suspension up to 6 months may apply.

1.5

1.6

1.7

1.8

1.9

2.0

1.00

1.10

1.20

1.30

1.40

1.50

Follow-up
may be required within 4 weeks for any element scored 1+ or less (Note 3).

6 months

7 months

8 months

9 months

10 months

12 months

If elements scoring 1+ or less do not improve to 2– or higher after the follow-up, the total score will be reduced by 0.2 points for each element not improved.

If, after the total score reduction, the total score is still 1.5 or lower, any element still scoring 1+ or less may require a second follow-up within 2 months.

If there are still elements scoring 1+ or less after the second follow-up, a full review may be required within 2 months.

A score of 2.0 or less indicates that performance may not be adequate. A letter will be sent expressing the Transport Agency’s expectation that performance improve to at least 2.6 by the next review.

2.1

2.2

2.3

2.4

1.60

1.70

1.80

1.90

13 months

15 months

16 months

17 months

2.5

2.6

2.7

2.8

2.9

2.00

–

18 months

19 months

20 months

22 months

23 months

In order to achieve a total score of 2.5 or higher, each element score, except for management category elements, must be 2– or higher.

If any element score (except for management category elements) is below 2–, the actual total score cannot exceed 2.4.

3.0

2.70

–

24 months

In order to achieve a total score of 3.0, consistency must be demonstrated by a total score of 2.5 or higher in the last regular review. Otherwise the total score becomes 2.9.