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Level 2
Credits 4
Purpose This unit standard is intended for people who work in the compliance and law enforcement industry. People credited with this unit standard are able, with supervision, to: establish a compliance breach, collect evidence to verify a compliance breach, and complete compliance breach documentation.
Subfield Compliance and Law Enforcement
Domain
Status
Status date
Date version published
Compliance and Regulatory Control
Registered
25 July 2007
25 July 2007
Planned review date
Entry information
31 December 2012
Open.
Accreditation Evaluation of documentation by NZQA and industry.
Standard setting body (SSB) The Skills Organisation
Accreditation and Moderation Action Plan (AMAP) reference 0046
This AMAP can be accessed at http://www.nzqa.govt.nz/framework/search/index.do.
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New Zealand Qualifications Authority 2020

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Special notes
Definitions
Brief of evidence refers to a document that clearly outlines all admissible evidence that a witness can give about the matter before the court.
Legislative requirements include the rules of evidence as covered by the Evidence Acts
1908 and 2006 and the Interpretation Act 1999 and, depending on the role of the person for whom credit is being sought, may include but are not limited to
– Human Rights Act
1993, Privacy Act 1993, Health and Safety in Employment Act 1992, Dog Control Act 1996
(including by-laws contained in section 20), and Biosecurity Act 1993.
Organisational requirements refer to instructions to staff on policy and procedures which are documented in memo or manual format and are available in the workplace. These include the application of legislation.
With supervision refers to the situation whereby the trainee develops and implements an action plan to establish, collect evidence, and write a report for a compliance breach in consultation with the supervisor.
Element 1
Establish a compliance breach with supervision.
Performance criteria
1.1 Provisions of the law that relate to a compliance breach are identified in accordance with organisational requirements.
1.2 Compliance breach is established in accordance with organisational requirements.
1.3 Establishment of a compliance breach is verified by the supervisor.
Element 2
Collect evidence to verify a compliance breach with supervision.
Range evidence includes but is not limited to
– interview of complainant, alleged offender, witnesses; physical evidence; observational records.
Performance criteria
2.1 Information required to substantiate a possible compliance breach is identified in accordance with organisational requirements.
2.2 Information collected is admissible in a judicial hearing in accordance with legislative requirements.
2.3 Evidence is collected in accordance with organisational requirements and the rules of evidence.
2.4 Evidence of a compliance breach is verified by the supervisor.
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Element 3
Complete compliance breach documentation with supervision.
Range documentation includes but is not limited to – evidence, summary of facts, recommendations.
Performance criteria
3.1 Collected evidence is documented in accordance with organisational requirements.
Range requirements include but are not limited to
– completeness; accuracy of dates, times, and sources; case history; impact report.
3.2 The brief of evidence links the offence and the alleged offender to the compliance breach.
3.3 The report includes recommendations on action to be taken in accordance with organisational requirements.
Range recommendations may include but are not limited to – prosecution, issue of compliance notice, discussion, negotiation with alleged offender.
3.4 Compliance breach documentation is verified by the supervisor.
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.
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New Zealand Qualifications Authority 2020