NZQA Expiring unit standard
26925 version 2
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Title
Plan and manage significant compliance investigations
Level
6
Credits
25
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, for significant
compliance investigations, to: develop plans; prepare and
manage resources; monitor and manage processes; manage
information; and review and finalise.
Classification
Public Sector Compliance > Public Sector Compliance
Investigations
Available grade
Achieved
Explanatory notes
1
This unit standard does not address the knowledge and skills required to carry out
significant compliance investigations that have been planned. These are covered by
unit standard 26926, Conduct significant compliance investigations.
2
Legislation applicable to this unit standard may include but is not limited to:
Criminal Disclosure Act 2008;
Evidence Act 2006;
Victims’ Rights Act 2002;
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;
Summary Proceedings Act 1957; 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.
3
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
26925 version 2
Page 2 of 6
4
A significant compliance investigation, for the purpose of this unit standard, is a
compliance investigation with characteristics that may include but are not limited to –
high probability of leading to prosecution or formal enforcement action; risk
assessment and/or reassessment; a reasonably high level of risk in terms of, for
example, liability or public exposure; peer review; use of outside experts; the
potential for escalation; revisiting of the case or situation; a longer timeframe than for
a routine investigation; a high level of critical thinking, analysis, planning, and
knowledge; use of specialised tools; the use of statutory powers.
5
Range
Evidence of at least two significant compliance investigations, planned and managed
in their entirety, is required.
6
Definitions
Case refers to a problem or situation involving non-compliance, alleged noncompliance, or possible non-compliance requiring a regulatory response.
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.
Forensic refers to the use of scientific methods in investigations.
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.
Security and evidential requirements are the requirements adopted by a compliance
organisation to keep information and exhibits secure against unauthorised access or
loss, and to ensure admissibility and reliability in a judicial proceeding. Evidential
requirements are a subset of these and relate to admissibility of evidence.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26925 version 2
Page 3 of 6
Outcomes and evidence requirements
Outcome 1
Develop plans for significant compliance investigations.
Evidence requirements
1.1
The purpose and objectives of the investigations are specified and linked to the
organisation’s mandate, purpose, direction, and priorities.
1.2
The process for case management is outlined in accordance with organisational
requirements.
Range
1.3
Tasks are specified, prioritised, and sequenced to serve the purpose and
objectives of the investigations.
Range
1.4
includes but is not limited to – understanding of facts; identifying
offences relevant to facts; categorising offences; deciding offences
to pursue; relating law to facts; considering any defences,
justifications, or excuses; reaching a conclusion; independent
review.
Resources are identified in accordance with organisational requirements and
are consistent with the purpose, objectives, and priorities of the investigations.
Range
1.6
tasks include monitoring the plans and may include but are not
limited to – security, communications, intelligence, investigation
methods, interviews, evidence collection and preservation.
Plans take into account steps for determining liability for the offences.
Range
1.5
may include but is not limited to – risk analysis, planning,
reporting, identifying officer-in-charge, intelligence, recordkeeping, resolution, review.
resources may include but are not limited to – human, physical,
financial, other public sector organisations, forensic or other
expertise.
Risks are analysed and are managed in the plans in accordance with
organisational requirements.
Range
may include but is not limited to – health and safety, financial,
political.
Outcome 2
Prepare and manage resources for the significant compliance investigations.
Evidence requirements
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
2.1
Resources are accessed and prepared in accordance with organisational
requirements and the purpose, objectives, and priorities of the investigations.
Range
2.2
26925 version 2
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resources may include but are not limited to – human, physical,
financial, outside expertise;
preparation may include – briefing personnel.
Resources are managed effectively and efficiently and in accordance with
organisational requirements and the purpose, objectives, and priorities of the
investigations.
Range
considerations for managing resources include but are not limited
to – contingencies, budget, task allocation, use of specialist
resources, resource allocation.
Outcome 3
Monitor and manage process for the significant compliance investigations.
Evidence requirements
3.1
Progress against the investigation plans is reviewed throughout the
investigations in accordance with the purpose, objectives, and priorities of the
investigations and the monitoring specified in the investigation plans.
Range
3.2
investigation plans – original and/or as adjusted.
Any adjustments to the plans are justified in terms of meeting the investigations’
purpose and objectives more effectively and/or efficiently than the original
plans.
Range
triggers for adjustment may include but are not limited to – new
information, changes in risk status, unforeseen circumstances,
changes of approach, problem resolution, innovation.
Outcome 4
Manage information relating to the significant compliance investigations.
Evidence requirements
4.1
Management of information ensures it is documented in accordance with
organisational requirements.
Range
The Skills Organisation
SSB Code 100401
results relate but are not limited to – accuracy, completeness,
timeliness, chronological order, security and evidential
requirements;
procedures for documenting may include but are not limited to –
notebooks, job sheets, investigations’ files, collation systems,
electronic databases.
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
4.2
26925 version 2
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Information is analysed in terms of its value to other parties in the compliance
environment, and is disseminated in accordance with organisational
requirements.
Outcome 5
Review and finalise the significant compliance investigations.
Evidence requirements
5.1
Investigation outcomes and practices are compared with intended outcomes,
and are analysed in terms of what did and did not work.
5.2
Opportunities for improved future practice are identified and recorded in
accordance with organisational requirements.
5.3
Post-investigation procedures are completed in accordance with organisational
requirements.
Range
excludes court process.
Replacement information
This unit standard and unit standard 26926 were
replaced by unit standard 29207.
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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26925 version 2
Page 6 of 6
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 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