NZQA registered unit standard
Title
26933 version 1
Page 1 of 4
Prepare for and contribute to a civil appeal proceeding as a compliance investigator
Level
Purpose
5 Credits 20
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 investigator, to: prepare the file for a civil appeal proceeding; contribute to a civil appeal proceeding; and carry out postappeal procedures.
Classification Public Sector Compliance > Public Sector Compliance
Investigations
Available grade Achieved
Explanatory notes
1 Legislation, Rules, and guidelines applicable to this unit standard may include but are not limited to:
Privacy Act 1993;
New Zealand Bill of Rights Act 1990;
Local Government Official Information and Meetings Act 1987;
Official Information Act 1982;
District Courts Act 1947; 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);
District Courts Rules 2009;
High Court Rules, in Schedule 2 of Judicature Act 1908;
Court of Appeal (Civil) Rules 2005; and guidelines issued by tribunals or commissions.
Legislation includes any applicable subordinate legislation such as regulations, bylaws, and licence conditions. Any legislation, rules, or guidelines 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 2020

NZQA registered unit standard 26933 version 1
Page 2 of 4
3 This unit standard refers to a civil appeal as distinct from an appeal against a criminal conviction or sentence. Civil appeals may be heard by commissions, tribunals, or the court system.
4 Range
Evidence is required of preparation for and contribution to at least one civil appeal regarding a compliance case on behalf of one’s own compliance organisation. The civil appeal may be one initiated by the compliance organisation or by another party against the compliance organisation.
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.
Civil appeal , for the purpose of this unit standard, refers to a request by a compliance subject to a superior authority to overrule the decision, penalty, or award of a compliance organisation.
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 subject refers to a natural person or an entity that is subject, in a particular compliance context, to being regulated.
Exhibit refers to material evidence secured in the course of an investigation.
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.
Outcome 1
Prepare the file for a civil appeal proceeding as a compliance investigator.
Evidence requirements
1.1 The file is ordered and prepared in accordance with organisational requirements.
Range content may include but is not limited to – covering report; decision or decisions related to the appeal (in the case of appeals b y one’s own compliance organisation); subject details, including witness details; exhibit schedules; exhibits; case notes; job sheets; notebook notes; research information; seizure lists; affidavits; records of interview; administration information.
The Skills Organisation
SSB Code 100401

New Zealand Qualifications Authority 2020

NZQA registered unit standard 26933 version 1
Page 3 of 4
Outcome 2
Contribute to a civil appeal proceeding as a compliance investigator.
Evidence requirements
2.1 Liaison with parties involved in the civil appeal is conducted in accordance with needs of the case and organisational requirements.
Range parties may include but are not limited to
– appellant, respondent, decision-making body.
2.2 Any additional material required in relation to the civil appeal process is prepared in accordance with judicial and organisational requirements.
2.3 Any obligations to parties involved in the civil appeal are fulfilled and recorded in accordance with organisational and any judicial requirements.
Range parties may include but are not limited to – appellant, respondent, decision-making body.
2.4 Any aspects associated with witnesses are managed in accordance with organisational requirements and needs of the case.
Range aspects may include but are not limited to – familiarisation with judicial procedures, ensuring appearance at proceedings, safety, privacy, reimbursement.
2.5 Reporting on the proceeding required by one’s own compliance organisation is carried out in accordance with organisational requirements.
Outcome 3
Carry out post-appeal procedures as a compliance investigator.
Evidence requirements
3.1 Any judicial directions are complied with.
3.2 Parties relevant to the appeal are advised of appeal outcomes in accordance with organisational requirements.
3.3 Documentation and/or exhibits are returned, disposed of, or retained in accordance with legal and organisational requirements.
3.4 Case management system is updated, as required, in accordance with organisational requirements.
The Skills Organisation
SSB Code 100401

New Zealand Qualifications Authority 2020

NZQA registered unit standard 26933 version 1
Page 4 of 4
Planned review date 31 December 2015
Status information and last date for assessment for superseded versions
Process Version Date Last Date for Assessment
Registration 1 15 April 2011 N/A
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 info@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 2020