4243 version 5
28-Jun-16
1 of 3
COMPLIANCE AND REGULATORY
CONTROL
Prepare a prosecution file and brief
counsel
level:
5
credit:
5
planned review date:
February 2010
sub-field:
Compliance and Law Enforcement
purpose:
This unit standard is for people who work, or intend to work
as compliance inspectors, investigating officers, or
enforcement officers. People credited with this unit standard
are able to: prepare summary of facts; prepare prosecution
file; and brief counsel.
entry information:
Open.
accreditation option:
Evaluation of documentation and visit by NZQA, industry and
teaching professional in the same field from another
provider.
moderation option:
A centrally established and directed national moderation
system has been set up by The Skills Organisation.
special notes:
1
Assessment will be in relation to those laws,
regulations, bylaws, activities, procedures, and policies
defined by the compliance and/or regulatory
organisation relevant to the performance context.
2
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.
 New Zealand Qualifications Authority 2016
4243 version 5
28-Jun-16
2 of 3
COMPLIANCE AND REGULATORY
CONTROL
Prepare a prosecution file and brief
counsel
Elements and Performance Criteria
element 1
Prepare summary of facts.
performance criteria
1.1
Purpose of file is described.
1.2
Summary is completed in accordance with organisation's required format.
1.3
Evidence and facts that support charge are summarised.
1.4
Provision of legislation that describes ingredients of offence are stated.
1.5
Summarised history of investigation is completed.
element 2
Prepare prosecution file.
performance criteria
2.1
File is produced in organisation's format.
2.2
Evidence is recorded on file.
2.3
Information is factual, relevant to the case, and able to be readily assimilated by
intended reader.
2.4
Selected legislative action is justified in terms of observed facts and evidence.
2.5
Details of investigators involved in the case are provided in accordance with
organisation's requirements.
2.6
Information regarding previous instances of non-compliance is included in file.
 New Zealand Qualifications Authority 2016
4243 version 5
28-Jun-16
3 of 3
COMPLIANCE AND REGULATORY
CONTROL
Prepare a prosecution file and brief
counsel
element 3
Brief counsel.
performance criteria
3.1
Briefing is factual, relevant to the prosecution file, and able to be readily
assimilated by counsel.
3.2
Direct language, including legal terms, is used when responding to questions.
3.3
Briefing is completed in accordance with organisational 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.
Please Note
Providers must be accredited by the Qualifications Authority or a delegated interinstitutional body before they can register credits from assessment against unit standards
or deliver courses of study leading to that assessment.
Industry Training Organisations must be accredited by the Qualifications Authority 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 providers wishing to
develop education and training programmes, such as minimum qualifications for tutors and
assessors, and special resource requirements.
This unit standard is covered by AMAP 0046 which can be accessed at
http://www.nzqa.govt.nz/site/framework/search.html.
 New Zealand Qualifications Authority 2016