OIA 20383 Attachment 2 Application processing SOPs Redacted.pdf

PROCESSING APPLICATIONS
Standard Terms
How do I process a standard terms application?
Standard terms for 3 types of application can be found on our website here:
https://www.nzta.govt.nz/vehicles/how-the-motor-vehicle-register-affects-you/authorised-access-to-the-
register/who-should-and-shouldnt-apply-and-how-to-apply/
These cover the basic requirements for motor vehicle traders, fuel suppliers, and finance and insurance
companies. These are the most common types of applications.
Logging the application
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Applications may be received by post or by email to [email address]. Our first step is to create a folder
under the applicant’s legal company name to store documents relating to the application in InfoHub. This
must be done by an InfoHub folder administrator.
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The main s241 folder is
an
Internal link - Out  d t
of scopehere are folders for each year which we can store applications under. All
documents created and emails sent/received regarding the application need to be stored in this folder for
later reference.
To help sort the files, the name format for the application itself should be “#applicant name application”.
Subsequent files are entered with the date in YYYYMMDD format at the beginning of the name (e.g.
“20171015 credit check”).
Information
Entering the application into the applicant spreadsheet
Enter the application details into the applicant spreadsheet located here:
Internal link - Out of scope

Official
To ensure the correct details are recorded, locate the details in the Companies Register: https://companies-
register.companiesoffice.govt.nz/ You can find the NZBN, Company number, and correct legal name here.
the
If the applicant is a Motor Vehicle Trader, they should provide their trader number on the application. You
wil  need to check the details on the Motor Vehicle Traders Register here:
http://www.motortraders.govt.nz/cms/banner_template/MVTRSCHREG to ensure that the trader number is
valid and confirm that they are currently registered. If the number is not provided, you can search for the
details using their legal company name.
under
If the applicant is a Financial Service Provider, they should provide their FSP number on the application. You
wil  need to check the details on the Financial Service Providers Register here:
https://fsp-register.companiesoffice.govt.nz/ to ensure that the FSP number is valid and confirm that they
are currently registered. If the number is not provided, you can search for the details using their legal
company name.
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You wil  need to update their entry at various steps of the process (see column headers for what information
we enter).
Make an electronic copy of the application and store it in InfoHub
We need to store the application electronical y in InfoHub. If the application was received by mail, the
document should be scanned and saved as a PDF file.

The file can then be saved into the InfoHub folder with the naming format “#applicant name application”.
This will ensure it is easily found when there are many files in the applicant’s InfoHub folder. It will either be
at the top or bottom of the list when sorting files by name.
Review the application
Check the application and ensure that all questions have been answered sufficiently. Questions are legislated
under section 57 of the Land Transport (Motor Vehicle Registration and Licensing) Regulations 2011. The
s 9(2)(k) - Summary provided in Attachment 3  and Internal link to S241 authorisations - guidance for internal use - Withheld under 9(2)(h)   will
help if you are new to the process.

If we don’t have enough information to process their application or if questions have been clearly
misunderstood, we wil  need to email them and advise their application has been returned. Templated
wording can be found here (under “Application returned”): Internal link - Out of scope

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This wording asks them to submit a new application if they wish, and if so that they must expand on their
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answers and provide any supporting evidence. If you think that the applicant has not understood the
question, this template provides them some examples, while being careful not to provide the answer for
them.
You can check with the Compliance and Technical Officer if you are unsure about whether the application
should be returned before contacting the applicant.
Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.
Information
Debt check
Send an email to [email address] requesting a debt check for the applicant. You can use the
template here: Internal link - Out of scope

Official
Remember to record the result of this in the applicant spreadsheet and InfoHub. While very rare, if
significant debt is owed to Waka Kotahi then we should be satisfied that it is taken care of before the final
the
decision is given.
Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.  under
Send the application to our advising agencies
Before we can make a decision on the application, we must consult our advising agencies. Our advising
agencies are the Police and the offices of the Ombudsman and Privacy Commissioner
([email address]; [email address]; [email address];
[email address]; [email address]).
Use the template here and fill in the details highlighted in red:
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Internal link - Out of scope
Then attach the CA05 application form
completed by the applicant as well as any other relevant correspondence before sending the email. We give
a timeframe for them to review the application and respond to us of 5 working days.
Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.
Send acknowledgement

Unless we’ve already been in contact with the applicant about their application (e.g. to clarify their answers),
now is a good time to confirm that we have their application and let them know where we are at in the
process (e.g. we’re waiting for our advising agencies to comment before we make a final decision).
Use the template here and fill in the details highlighted in red:
Internal link - Out of scope

Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.
Complete the Assessment Sheet
Fil  out the S241 Assessment sheet. You can find the template here:
Internal link - Out of scope - Released in Attachment 1

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Save the details and file this in the application folder in Infohub.
Preparing the final decision
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Use the following template to draft a notice of final decision to grant or approve letter: Internal link - Out of scope

Save the document and file this in the application folder in Infohub.
Final decision approval
The final decision must be checked and signed by the Manager Exemptions & Registers Integrity. Email these
Information
to Melissa Burns to be considered and signed. Include the completed assessment sheet and final decision
letter as attachments. The Senior Manager will send a signed copy of the final decision to us by email.
Save a copy of the signed letter in pdf format.
Remember to include records of any letters, emails or other documents in InfoHub and update the
Official
spreadsheet as needed.
Update Motochek if required
the
If the applicant has a Motochek account,
Internal link - Out of scope

Final decision to applicant  under
Once we have the signed final decision, we can send the pdf signed copy to the applicant by email.
Remember to include copies of any standard terms that apply.
Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.
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Entering authorisation to public spreadsheet
Standard terms applicants can be entered into this spreadsheet as soon as we send the final decision away
(the relevant standard terms Gazette notice is entered to the spreadsheet).
Update the list of authorised parties
. Th
Internal link - Out
is
of scope spreadsheet is sent to our website team every second Friday
so the list on authorised parties on the public website is kept up to date for our portals.

Non-standard Terms
How do I process a non-standard terms application?
Anything outside of the fol owing terms would be considered non-standard:
https://www.nzta.govt.nz/vehicles/how-the-motor-vehicle-register-affects-you/authorised-access-to-the-
register/who-should-and-shouldnt-apply-and-how-to-apply/
Logging the application
Applications may be received by post or by email to [email address]. Our first step is to create a folder
1982
under the applicant’s name to store documents relating to the application in InfoHub. This must be done by
an InfoHub folder administrator.
Act
The main s241 folder is
an
Internal link - Out  d t
of scopehere are folders for each year which we can store applications under. All
documents created and emails sent/received regarding the application need to be stored in this folder for
later reference.
To help sort the files, the name format for the application itself should be “#applicant name application”.
Subsequent files are entered with the date in YYYYMMDD format at the beginning of the name (e.g.
“20171015 credit check”).
Entering the application into the applicant spreadsheet
Information
Enter the application details into the applicant spreadsheet located within the Internal link - Out of scope. You will
need to update their entry at various steps of the process (see column headers for what information we
enter).
Make an electronic copy of the application and store it in InfoH
Official ub
We need to store the application electronically in InfoHub. Unless the application was received by email, the
the
document should be scanned and saved as a PDF file.
The file can then be saved into the InfoHub folder with the naming format “#applicant name application”.
This will ensure it is easily found when there are many files in the applicant’s InfoHub folder. It will either be
at the top or bottom of the list when sorting files by name.
under
Check the application
Check the application and ensure that all questions have been answered sufficiently. Questions are legislated
under section 57 of the Land Transport (Motor Vehicle Registration and Licensing) Regulations 2011. The
s 9(2)(k) - Summary provided in Attachment 3  and Internal link to S241 authorisations - guidance for internal use - Withheld under 9(2)(h)   will
help if you are new to the process .

Released
If we don’t have enough information to process their application or if questions have been clearly
misunderstood, we wil  need to email them and advise their application has been returned. Templated
wording can be found here (under “Application returned”): Internal link - Out of scope

.
This wording asks them to submit a new application if they wish, and if so that they must expand on their
answers and provide any supporting evidence. If you think that the applicant has not understood the

question, this template provides them some examples, while being careful not to provide the answer for
them.
You can check with the Compliance and Technical Officer if you are unsure about whether the application
should be returned before contacting the applicant.
Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.

Debt check
Send an email to [email address] requesting a debt check for the applicant. You can use the
template here: Internal link - Out of scope

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Remember to record the result of this in the applicant spreadsheet and InfoHub. While very rare, if
significant debt is owed to Waka Kotahi then we should be satisfied that it is taken care of before the final
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decision is given.
Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.
Draft Terms and Conditions
Draft a set of terms and conditions using the Internal link - Out of scope

Information
If you have any concerns about the application or are uncertain of the wording for the purposes, prepare a
summary and connect in with the Compliance & Technical Advisor to discuss this.
Send the application to our advising agencies  Official
Before we can make a decision on the application, we must consult our advising agencies. Our advising
agencies are the Police and the offices of the Ombudsman and Privacy Commissioner
([email address]; [email address]; [email address];
the
[email address]; [email address]).
Use the template here and fill in the details highlighted in red:
Internal link - Out of scope
Then attach the CA05 application form
completed by the applicant as well as any other relevant correspondence, and the proposed terms and
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conditions you have drafted before sending the email. We give a timeframe for them to review the
application and respond to us of 10 working days.
Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.
Send acknowledgement
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Unless we’ve already been in contact with the applicant about their application (e.g. to clarify their answers),
now is a good time to confirm that we have their application and let them know where we are at in the
process (e.g. we’re waiting for our advising agencies to comment before we make a final decision).
Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.
Preparing a draft decision

Once the advising agencies have responded we need to prepare a draft decision for the applicant to provide
comment on. Use the notice of proposed decision template: Internal link - Out of scope

Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.
Prepare an assessment sheet
Complete the template here Internal link - Out of scope - Released in Attachment 1
Draft decision approval
The draft decision must be checked and signed by Manager of ERI. Email these to Melissa Burns to be
considered and signed, including the application form and the completed assessment sheet. The Manager
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will send a signed copy of the final decision to us by email.
Remember to include records of any letters, emails or other documents in InfoHub and update the
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spreadsheet as needed.
Draft decision to applicant
Once the draft decision is signed, we can send it to the applicant for their consideration.
The draft decision should be sent by email, and we should al ow 10 working days for the applicant to
comment. Al ow as much further time for comment as required if requested by the applicant.
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You can use the information in the wordbank to formulate your email: Internal link - Out of scope

Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.
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Comments from applicant on our draft decision
We initially allow 10 working days for the applican
the  t to comment but can allow as much further time for
comment as required if requested by the applicant.
If the applicant is happy with the draft decision or has not commented by the deadline, then we can move on
to the final decision. If the customer is not happy with the draft decision, you should discuss their response
under
with the Compliance and Technical Advisor and potentially also the Legal team before moving on to the final
decision (this may not necessarily fall in the applicant’s favour).
Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.
Preparing the final decision
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Use the following template to draft a final decision letter: Internal link - Out of scope

Preparing the Gazette notice
Authorisations made outside of the standard terms must be published in the New Zealand Gazette. Prepare
the Gazette notice using the template: Internal link - Out of scope

. Remember to include enough space for an electronic signature.

Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.
Add the terms and finalised terms and conditions to our website
Using the Internal link - Out of scope attach a PDF copy of the finalised terms and conditions (remember to
remove any “draft” watermarks and include the correct dates for the term) and email this to the Channels
team.
Final decision approval
The final decision and Gazette notice must be checked and signed by the Manager of Exemptions & Registers
Integrity if there have been any changes to the draft terms and conditions. Email these to Melissa Burns to
be considered and signed, including the applicant’s response to the draft decision. Melissa will then confirm
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approval of the final decision to us by email.
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Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.
Final decision to applicant
Once we have the signed final decision documents, we can send a copy to the applicant by email. Remember
to include copies of the terms and conditions that apply, and a link to these terms and conditions on our
website.
You can use the information in the wordbank to formulate your email to let the applicant k
Information  now about the
final decision: Internal link - Out of scope

Remember to include records of any letters, emails or other documents in InfoHub and update the
spreadsheet as needed.
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Gazette notice to Department of Internal Affairs
Login to the Customer Portal on the NZ Gazette website here: https://gazette.govt.nz/customer-portal/login
the
Email address: s 9(2)(k)
Password:s 9(2)(k)
Click on the Submit new notice button at the top of the page. Attach the notice in Word document format
under
and continue to fol ow the prompts on the page.
In the bil ing details section enter the cost code of WBS 80002264 MVR Printing Costs into the purchase
order box.

Confirming Gazette proof and possible invoice handling
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The Gazette team wil  send an automated email to the Section 241 inbox to advise once the notice has been
proofed. You need to login to the customer portal again as above and fol ow the instructions to confirm the
proof or make any adjustments needed. Once you have agreed to the proof this wil  be published and you
will get another automated email to confirm this has been completed. You can view the status of your
notices via the customer portal.
Entering authorisation to public spreadsheet

Once the Gazette notice is published, update the list of authorised parties.
Update the list of authorised parties
. Th
Internal link - Out
is
of scope spreadsheet is sent to our website team every second Friday
so the list on authorised parties on the public website is kept up to date for our portals.
This is the final step, so make sure the row for the applicant in the applicant spreadsheet is all filled in as
needed and marked as completed.
under the Official Information Act 1982
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