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