NZQA Expiring unit standard 26906 version 2 Page 1 of 4 Title Demonstrate knowledge of compliance investigations Level 4 Credits 4 Purpose This unit standard is intended for people who work in compliance roles in public sector organisations. People credited with this unit standard are able to explain: the purpose and principles of investigation in a compliance environment; the process of compliance investigations; and the attributes of a compliance investigator. Classification Public Sector Compliance > Public Sector Compliance Investigations Available grade Achieved Explanatory notes 1 Legislation applicable to this unit standard may include but is not limited to: Criminal Disclosure Act 2008; Evidence Act 2006; Privacy Act 1993; New Zealand Bill of Rights Act 1990; Local Government Official Information and Meetings Act 1987; Official Information Act 1982; Crimes Act 1961; and specific legislation mandating the powers and duties of a specific agency with respect to its compliance role and/or any other legislation applicable to a particular compliance situation (e.g. Fisheries Act 1996, Resource Management Act 1991). This unit standard is expiring Legislation includes any applicable subordinate legislation such as regulations, bylaws, and licence conditions. Any legislation superseding any of the above will apply for the purpose of assessment. 2 Demonstration of knowledge and skills must be consistent with any applicable code or codes of conduct such as the New Zealand State Services Code of Conduct, Standards of Integrity and Conduct (available from http://www.ssc.govt.nz) and/or any other organisation-specific code or codes of conduct. 3 Definitions Attributes, for the purpose of this unit standard, may include skills. Calls for service, for the purpose of this unit standard, relate to the receipt of information alleging non-compliance or requesting compliance assistance. Sources of calls for service may include but are not limited to – a complaint, an internal or external referral, a tip-off, anonymous information, a request for assistance from a compliance subject, an enquiry from a member of the public. The Skills Organisation SSB Code 100401 New Zealand Qualifications Authority 2016 NZQA Expiring unit standard 26906 version 2 Page 2 of 4 Compliance (role of) refers to the role, in a public sector organisation, of assessing compliance subjects’ levels of adherence with regulatory requirements and carrying out any appropriate intervention. Compliance environment refers to the physical, social, economic, political, and geographical environment that a public sector organisation’s compliance role is carried out in. Compliance investigation refers to the process of gathering and assessing information to determine facts and, thereby, to determine degree of compliance or otherwise. Compliance subject refers to a natural person or an entity that is subject, in a particular compliance context, to being regulated. Incident, for the purpose of this unit standard, refers to a situation that requires an immediate compliance response. Examples are – responding to a workplace accident, responding to a toxic spill, responding to a domestic incident, attending a crime, attending a crash, responding to poaching. Intelligence is information to which an interpretation has been applied following analysis of that information. Offence is a violation or breach of a law or rule. For the purpose of this unit standard, offences may incorporate any non-compliance with statute, Regulations, Bylaws, licence conditions, and other derivatives. Organisation refers to a public sector organisation, as listed in the Public Sector Directory at http://psd.govt.nz/list/index.php. Organisational requirements refer to instructions to staff on policies, procedures, and methodologies which are documented and are available in the workplace. Sanction (noun) is a penalty or other punishment imposed for a breach of the law. Outcomes and evidence requirements Outcome 1 Explain the purpose and principles of investigation in a compliance environment. This unit standard is Purpose of investigation is explained in terms of how it applies in a compliance environment. expiring Evidence requirements 1.1 1.2 Principles of investigation are explained in terms of how they apply in a compliance environment. Range 1.3 principles may include but are not limited to – ethical and lawful conduct, objectivity, establishment of truth, transparency, accountability, acting without fear or favour, thoroughness; explanation of five principles is required. Explanation is consistent with organisational requirements. The Skills Organisation SSB Code 100401 New Zealand Qualifications Authority 2016 NZQA Expiring unit standard 26906 version 2 Page 3 of 4 Outcome 2 Explain the process of compliance investigations. Evidence requirements 2.1 Explanation includes how compliance investigations may be initiated. Range 2.2 The compliance investigation process is explained in terms of key stages and their requirements, consistent with organisational requirements. Range 2.3 key stages – authorisation and scoping, planning, information gathering and analysis, assessment of truth and validity, establishment of facts, identification of offence or offences, decision making. Compliance investigations are explained in terms of determining recommendations and/or decisions. Range 2.4 may include but is not limited to – enquiries, calls for service, monitoring, incidents, intelligence. application of enforcement criteria; recommendations and/or decisions may include but are not limited to – non-prosecution sanction, prosecution, no action, seizure, further investigation, intelligence. The dynamic nature of compliance investigations is explained in terms of scope, scalability, and cyclic process. Outcome 3 This unit standard is attributes may include but are not limited to – open mindedness, thoroughness, ethical behaviour, integrity, sound judgement, discretion, fortitude; expiring explanation of five attributes is required. Explain the attributes of a compliance investigator. Range Evidence requirements 3.1 Attributes are explained in terms of how they apply in a compliance environment. 3.2 Attributes are explained in terms of how an investigation could be affected if these attributes are not applied. 3.3 Explanation is consistent with organisational requirements and the compliance organisation’s role. The Skills Organisation SSB Code 100401 New Zealand Qualifications Authority 2016 NZQA Expiring unit standard 26906 version 2 Page 4 of 4 Status information and last date for assessment for superseded versions Process Version Date Last Date for Assessment Registration 1 15 April 2011 31 December 2020 Review 2 18 February 2016 31 December 2020 Consent and Moderation Requirements (CMR) reference 0121 This CMR can be accessed at http://www.nzqa.govt.nz/framework/search/index.do. Please note Providers must be granted consent to assess against standards (accredited) by NZQA, before they can report credits from assessment against unit standards or deliver courses of study leading to that assessment. Industry Training Organisations must be granted consent to assess against standards by NZQA before they can register credits from assessment against unit standards. Providers and Industry Training Organisations, which have been granted consent and which are assessing against unit standards must engage with the moderation system that applies to those standards. Requirements for consent to assess and an outline of the moderation system that applies to this standard are outlined in the Consent and Moderation Requirements (CMRs). The CMR 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 at reviewcomments@skills.org.nz if you wish to suggest changes to the content of this unit standard. This unit standard is expiring The Skills Organisation SSB Code 100401 New Zealand Qualifications Authority 2016