NZQA Expiring unit standard
26917 version 2
Page 1 of 3
Title
Manage compliance investigations file documentation
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 describe
management of compliance investigations file documentation,
and manage compliance investigations file documentation.
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;
Public Records Act 2005;
Privacy Act 1993;
New Zealand Bill of Rights Act 1990;
Local Government Official Information and Meetings Act 1987;
Official Information Act 1982; and
specific legislation mandating the powers and duties of persons carrying out a
compliance role in an organisation 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).
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
Range
Evidence of a minimum of three investigation files, including paper and/or electronic
documentation, is required.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
4
26917 version 2
Page 2 of 3
Definitions
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 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.
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.
Outcomes and evidence requirements
Outcome 1
Describe management of compliance investigations file documentation.
Evidence requirements
1.1
Description explains types of records an organisation keeps for compliance
investigation files.
Range
1.2
Description explains good practice for managing compliance investigations file
documentation.
Range
1.3
may include but is not limited to – planning, job sheets,
correspondence, file notes, statements, reports, graphics, legal
advice, allegations.
classification of information, sequencing and organisation of
content, completeness of information, maintaining file integrity.
Description includes statutory obligations for managing compliance
investigations file documentation.
Range
requests for information; storage, disposal, and destruction.
Outcome 2
Manage compliance investigations file documentation.
Evidence requirements
2.1
Management of compliance investigations file documentation ensures logical
sequencing and ordering of content and completeness of information as well as
maintaining file integrity and security, in accordance with organisational
requirements.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26917 version 2
Page 3 of 3
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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016