20339 version 2
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Conduct a compliance audit of a transport service operator
Level
6
Credits
8
Purpose
This unit standard is intended for people who conduct transport service
operator audits for the New Zealand Transport Agency (NZTA).
People credited with this unit standard are able to plan and conduct a
compliance audit of a transport service operator, and complete the
compliance audit report and make recommendations.
Subfield
Public Sector Services
Domain
Public Sector Compliance Management
Status
Registered
Status date
12 February 2010
Date version published
12 February 2010
Planned review date
31 December 2014
Entry information
Prerequisite: Unit 20338, Investigate non-compliance
with road transport legislation by a transport service
operator or driver, or demonstrate equivalent knowledge
and skills.
Accreditation
Evaluation of documentation and visit by NZQA and
industry.
Standard setting body (SSB)
The Skills Organisation
Accreditation and Moderation Action Plan (AMAP) reference
0121
This AMAP can be accessed at http://www.nzqa.govt.nz/framework/search/index.do.
Special notes
1
Performance of the elements of this unit standard must be in accordance with
legislation including but not limited to:
 Land Transport Act 1998
 Transport (Vehicle and Driver Registration and Licensing) Act 1986
 Road User Charges Act 1977
 Land Transport Rules (available at www.nzta.govt.nz).
 New Zealand Qualifications Authority 2016
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Any legislation or other requirement superseding any of the above will apply for the
purpose of assessment.
2
Definitions
Organisational requirements refer to instructions to staff on policy and procedures
which are documented, available in the workplace, and consistent with applicable
legislation and any other applicable compliance requirements.
Transport service operator, for the purpose of this unit standard, is as defined in the
Land Transport Act 1998.
Elements and performance criteria
Element 1
Plan a compliance audit of a transport service operator.
Performance criteria
1.1
Risk areas are identified and addressed in accordance with organisational
requirements.
Range
may include but is not limited to – political risk, potential physical
risk to public, personal safety.
1.2
Key steps in compliance audit are identified in accordance with organisational
requirements.
1.3
Timetable for compliance audit is established in accordance with organisational
requirements.
1.4
People to be contacted during compliance audit are identified in accordance
with organisational requirements.
1.5
Release of personnel, equipment, and resources is arranged in accordance with
organisational requirements.
1.6
Compliance audit is included in work plan in accordance with organisational
requirements.
Element 2
Conduct a compliance audit of a transport service operator.
Performance criteria
2.1
Compliance audit is initiated in accordance with organisational requirements.
2.2
Own conduct is in accordance with organisational requirements, and takes into
account personal, cultural, and ethical issues.
 New Zealand Qualifications Authority 2016
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2.3
Safety of self and others is ensured in accordance with organisational
requirements.
2.4
Available evidence is collected, documented, and preserved in accordance with
organisational requirements.
Range
2.5
may include but is not limited to – wage and employment records,
driving hours records, complaints registers, road user charges
records, manifest records, fuel records, driver details, vehicle
details, offending and fines history.
Evidence is analysed to determine relevance and admissibility and to identify
whether further evidence is required, in accordance with organisational
requirements.
Element 3
Complete the compliance audit report and make recommendations.
Performance criteria
3.1
Preparation and submission of the report is completed in accordance with
organisational requirements.
3.2
Recommendations in the report are consistent with organisational requirements.
Please note
Providers must be accredited by NZQA, or an inter-institutional body with delegated
authority for quality assurance, before they can report credits from assessment against
unit standards or deliver courses of study leading to that assessment.
Industry Training Organisations must be accredited by NZQA before they can register
credits from assessment against unit standards.
Accredited providers and Industry Training Organisations assessing against unit standards
must engage with the moderation system that applies to those standards.
Accreditation requirements and an outline of the moderation system that applies to this
standard are outlined in the Accreditation and Moderation Action Plan (AMAP). The
AMAP also includes useful information about special requirements for organisations
wishing to develop education and training programmes, such as minimum qualifications for
tutors and assessors, and special resource requirements.
Comments on this unit standard
Please contact The Skills Organisation info@skills.org.nz if you wish to suggest changes
to the content of this unit standard.
 New Zealand Qualifications Authority 2016