Print Download PDF

4 Management

Requirements

  What the Transport Agency expects of you How the Transport Agency will assess your performance
4.1
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:

4.2
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.
4.3
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 and the number of staff using the equipment
  • stored as specified by the manufacturer and in locations where you and your staff have easy access
  • actually used by you and your staff 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 and your staff
  • inspect your equipment
  • observe you and your staff 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.
4.4
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
  • 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.
4.5
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.

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

The Transport Agency will:

  • talk to you and your staff
  • 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.
4.6
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.
4.7
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 recordord, your Delegation record and other relevant records.
4.8
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 level 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.
Note 1

Does not apply to a one-person business if no inspection and certification work is carried out when the inspector is away.

Scores

  Score
0
1
2
3
4.1
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 level of competence, or
  • make little or no effort to maintain your and your staff’s competence (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 level 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:

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:

  • 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 are 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.

4.2
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, or
  • you do not display your Transport Agency site authorisation certificate where your customers can easily see it.

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, and
  • display your Transport Agency site authorisation certificate where your customers can easily see it.

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, and
  • display your Transport Agency site authorisation certificate where your customers can easily see it.
4.3
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 and the number of staff using it, or
  • stored as specified by the manufacturer or in locations where you and your staff 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 and the number of staff using it.

However, you often do not make sure equipment is:

  • stored as specified by the manufacturer or in locations where you and your staff 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 the number of staff using the equipment, and
  • stored as specified by the manufacturer and in locations where you and your staff have easy access, and
  • actually used by you and your staff 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 the number of staff using the equipment, and
  • stored as specified by the manufacturer and in locations where you and your staff have easy access, and
  • actually used by you and your staff 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.

4.4
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 and your staff have easy access.

However, you do not always:

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 and your staff have easy access, and
  • maintained in good condition.

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

4.5
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 (including VIN plates) 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 NZ 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 (including VIN plates) 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 or VIN plate register.

Your approach to managing your certification documents is adequate.

This means you usually make sure that:

  • inspection and certification documents (including VIN plates) 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 or VIN plate register up to date.

Your approach to managing your certification documents is well coordinated.

This means you consistently make sure that:

  • inspection and certification documents (including VIN plates) 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 and VIN plate register.

4.6
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 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 CAD drawings.
4.7
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 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 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
  • vehicles are driven only by drivers 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.

You keep a Staff record listing all staff carrying out inspection and 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.

4.8
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 level 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.