NZQA Expiring unit standard
26915 version 2
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Title
Carry out investigations as a compliance officer
Level
5
Credits
15
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, as a compliance
officer, to: carry out the initial phase of investigations; carry out
the field phase of the investigations; and finalise the
investigations.
Classification
Public Sector Compliance > Public Sector Compliance
Investigations
Available grade
Achieved
Explanatory notes
1
Legislation and guidelines applicable to this unit standard may include but are not
limited to:
Criminal Disclosure Act 2008;
Evidence Act 2006;
Victims’ Rights Act 2002;
Privacy Act 1993;
New Zealand Bill of Rights Act 1990;
Children, Young Persons, and Their Families Act 1989;
Local Government Official Information and Meetings Act 1987;
Official Information Act 1982;
Crimes Act 1961;
Summary Proceedings Act 1957;
specific legislation mandating the powers and duties of a specific 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); and
Crown Law Office Prosecution Guidelines, 1 January 2010, available at
http://www.crownlaw.govt.nz/uploads/prosecution_guidelines.pdf.
Legislation includes any applicable subordinate legislation such as regulations,
bylaws, and licence conditions. Any legislation or guideline 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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
3
26915 version 2
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For the purpose of this unit standard the investigations must be for situations where:
 documentation plays an important role in establishing the facts;
 understanding is required of more complex rules than just clear and simple rules
that might apply to situations such as vermin risk from an overgrown section or an
inadequate handrail on a new deck; and
 evidence will not necessarily be clear in the first instance.
The characteristics of the investigation may include any of – being in response to a
complaint or other notification; the probability of low-level enforcement action or low
possibility of pursuing prosecution; some use of outside experts; low level of risk in
terms of, for example, liability or public exposure; not requiring peer review; shorter
timeframe; requiring a non-advanced level of critical thinking, analysis, planning, and
knowledge; probably not requiring the use of specialised tools.
Compliance investigations for situations more challenging than the above, and
designed for people who work in public sector compliance organisations as
investigators, typically at a senior level in a dedicated role, are addressed by Unit
26926, Conduct significant compliance investigations.
4
Range
Evidence of at least two investigations is required.
5
Definitions
Case refers to a problem or situation involving non-compliance, alleged noncompliance, or possible non-compliance requiring a regulatory response.
Case management system is the system that is established to plan, manage, record,
and review a case.
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.
Elements (of offences) are the underlying factors which are common or rudimentary
to any offence. They are:
1
A physical element, called 'the act', referred to as actus reus.
2
A mental element or state of mind, called 'the intent', referred to as mens rea.
Evidence refers to information given personally, or drawn from a document or exhibit,
which tends to prove or disprove a fact.
Field phase (of an investigation) refers to the active or operational phase of an
investigation, and does not preclude an entirely office-based investigation.
Forensic refers to the use of scientific methods in investigations.
Ingredients refer to the details or components of an offence which are unique to the
offence and which must be proven.
Intelligence is information to which an interpretation has been applied following
analysis of that information.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26915 version 2
Page 3 of 6
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 subordinate legislation.
Organisation refers to a public sector organisation, as listed in the Public Sector
Directory at http://psd.govt.nz/list/index.php. The terms other organisations and
another organisation apply to other public sector organisations and/or to non public
sector organisations.
Organisational requirements refer to instructions to staff on policies, procedures, and
methodologies which are documented and are available in the workplace.
Persons relevant to the investigation refer to persons (individuals and/or corporate
entities) that may include but are not limited to – complainants, witnesses, suspects,
next-of-kin, neighbours, legal representatives, experts, another organisation.
Scene refers to the physical place where an apparent offence is being or has been
committed and/or where any physical evidence leading to possible establishment of
an offence is located.
Suspect refers to a person suspected of breaching a rule or involved in breaching a
rule. Other terms used for suspect may include but are not limited to – duty holder,
potentially liable party (civil or criminal), person of interest, party who is the focus of
investigation or compliance action, responsible person, respondent, alleged
offender. A person may be a legal entity such as a limited liability company.
Outcomes and evidence requirements
Outcome 1
Carry out the initial phase of investigations as a compliance officer.
Evidence requirements
1.1
Investigation file is established in accordance with organisational requirements.
1.2
Existing intelligence and/or other information is researched and incorporated
into the investigation files in accordance with organisational requirements.
Range
1.3
Investigation methods and tasks are specified and prioritised to serve the needs
of the investigations.
Range
1.4
intelligence and/or other information may include but is not limited
to – the notification of offence, information associated with the
allegation or allegations, information on relevant surrounding
factors;
research methods may include but are not limited to – database
search, initial enquiries.
may include but is not limited to – security, communications,
intelligence, interviews, exercise of statutory powers, scene
examination, evidence collection and preservation.
Resources for the investigations are identified and accessed in accordance with
organisational requirements and needs of the investigations.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
Range
26915 version 2
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resources may include but are not limited to – human, physical,
financial, forensic or other expertise.
Outcome 2
Carry out the field phase of the investigations as a compliance officer.
Evidence requirements
2.1
Information is gathered and recorded in accordance with statutory powers,
needs of the investigation, and organisational requirements.
Range
may include but is not limited to – formal interviews of persons
relevant to the investigation, exercise of statutory powers, scene
examination, sampling, database searches, general enquiries.
2.2
All information obtained throughout the conduct of the investigation is assessed
to determine relevance and reliability and any evidence gaps, and is
documented in accordance with organisational requirements.
2.3
The relevance and reliability of information sources are assessed in accordance
with organisational requirements.
Range
information sources may include but are not limited to – witnesses,
complainants, informants, possible suspects, other organisations.
2.4
Evidence from obtained information is controlled and documents, and/or
exhibits, are processed and secured, in accordance with organisational
requirements.
2.5
Any adjustments to the conduct of the investigation are justified in terms of
meeting the investigation’s aims and objectives.
Range
adjustments may be in relation to but are not limited to – new
information, risk factors.
Outcome 3
Finalise the investigations as a compliance officer.
Evidence requirements
3.1
Liability is determined for suspects in terms of legislation, elements, and
ingredients related to the offence.
Range
The Skills Organisation
SSB Code 100401
considerations for determining liability may include but are not
limited to – jurisdiction; understanding of facts; relating law to
facts; identifying offences relevant to facts; categorising offences;
statutory and common law defences; identifying exemptions,
justifications and excuses.
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26915 version 2
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3.2
Decisions and/or recommendations regarding the investigation outcomes are
made in accordance with the organisation’s enforcement criteria.
3.3
Decisions and/or recommendations are forwarded to the relevant authorities for
consideration and/or any necessary enforcement action is initiated, in
accordance with organisational requirements.
3.4
All persons relevant to the conduct of the investigation are advised of
investigation outcomes in accordance with organisational requirements.
3.5
Investigation documentation produced is in the required format, meets
organisational requirements for grammar, language, and punctuation, and is
filed in accordance with organisational requirements.
3.6
Case management systems are updated to reflect the status of the investigation
in accordance with organisational requirements.
3.7
Investigation documentation and/or exhibits are returned, disposed of, and/or
retained in accordance with legal and organisational requirements.
Replacement information
This unit standard was replaced by unit standard 29204.
This unit standard is expiring. Assessment against the standard must take place by
the last date for assessment set out below.
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
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26915 version 2
Page 6 of 6
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 Learning State Limited qualifications@learningstate.govt.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