NZQA Expiring unit standard
26926 version 2
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Title
Conduct significant compliance investigations
Level
6
Purpose
Credits
25
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: communicate and modify
operational direction, as required, throughout; conduct the
initial and field phases; and finalise.
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 persons carrying out a
compliance role in a specific organisation 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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26926 version 2
Page 2 of 7
2
This unit standard does not cover the knowledge and skills to plan and manage
significant compliance investigations; these are covered by unit standard 26925, Plan
and manage significant compliance investigations. Therefore, for the purpose of this
unit standard, the candidate is working to an investigation plan, whether or not this
plan has been developed by or with help from the candidate.
3
Outcome 1 relates to the ongoing management of the operational direction of the
investigation, while outcomes 2-4 relate to the process of conducting the
investigation.
4
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.
5
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 a
routine investigation; a high level of critical thinking, analysis, planning, and
knowledge; use of specialised tools; the use of statutory powers.
6
Range
Evidence of at least two significant investigations is required.
7
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.
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
26926 version 2
Page 3 of 7
Investigation plan, for the purpose of this unit standard, may be a written document
or documents and/or an approved organisational process.
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.
Other organisations refer to other compliance organisations with which one’s own
organisation interacts for compliance purposes and may also refer to any
organisation or service, other than a compliance organisation, which supports own
organisation’s compliance activity. Examples are a university service for expert
advice or witnesses, a forensic computer analyst, a transcribing service, a law firm, a
business consultancy, a process server.
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, other organisations.
Scene refers to the physical place where an apparent offence is 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
Communicate and modify operational direction, as required, throughout significant
compliance investigations.
Evidence requirements
1.1
Implementation of the investigations is in accordance with the investigation
plans.
Range
1.2
plans – original and/or as modified.
A process of continual assessment against the aims and objectives of the
investigations is applied to evaluate progress, and new operational directions
are implemented in response to changed circumstances.
Range
The Skills Organisation
SSB Code 100401
changed circumstances may include but are not limited to –
change in terms of critical evidence, withdrawal or reduction of
allocated resources;
allocated resources may include but are not limited to – human,
physical, financial, other organisations.
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
1.3
Any adjustments to the operational direction of the investigations are justified in
terms of meeting the investigations’ aims and objectives.
Range
1.4
26926 version 2
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adjustments may relate but are not limited to – new information,
risk factors.
Briefings and debriefings of all relevant personnel are conducted to ensure the
sharing of information and are in accordance with organisational requirements
and needs of the investigation.
Range
briefings and debriefings – formal and/or informal, oral and/or
written;
all relevant personnel may include but are not limited to – team
members, investigation supervisors, external organisations.
Outcome 2
Conduct the initial phases of the significant compliance investigations.
Evidence requirements
2.1
Commencements of the investigations are in accordance with the investigation
plans.
Range
2.2
Existing intelligence and/or other information is researched and incorporated
into the investigation files in accordance with organisational requirements.
Range
2.3
may include but is not limited to – the notification of offences,
information associated with the allegations, information that may
directly or indirectly bear on the investigations;
research methods may include – database search, initial
enquiries, discussion with colleagues.
Resources for the investigations are identified and accessed in accordance with
organisational requirements and the investigation plans.
Range
2.4
investigation plans – original and/or as modified.
investigation plans – original and/or as modified.
Preliminary enquiries are conducted 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
26926 version 2
Page 5 of 7
Outcome 3
Conduct the field phases of the significant compliance investigations.
Evidence requirements
3.1
Information is gathered and recorded in accordance with powers, needs of the
investigations, and organisational requirements.
Range
may include but is not limited to – formal interviews of persons
relevant to the investigation, exercise of statutory powers,
surveillance, electronic monitoring, testing, reconciling, external
data sets, forensic analysis, scene examination, sampling,
database searches, general enquiries.
3.2
All information obtained throughout the conduct of the investigations is
assessed to determine relevance, reliability, and any evidence gaps, and is
documented in accordance with organisational requirements.
3.3
The relevance and reliability of information sources are assessed in accordance
with organisational requirements.
Range
3.4
information sources may include but are not limited to – witnesses,
complainants, informants, possible suspects, other organisations.
Evidence from obtained information is controlled and documents and/or exhibits
are processed and secured, in accordance with organisational requirements.
Outcome 4
Finalise the significant compliance investigations.
Evidence requirements
4.1
Liability is determined for suspects in terms of legislation, elements, and
ingredients related to the offences.
Range
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;
considering statutory and common law defences; identifying
exemptions, justifications, and excuses.
4.2
Decisions and/or recommendations regarding the investigations’ outcomes are
made in accordance with the organisation’s enforcement criteria.
4.3
Decisions and/or recommendations are forwarded to the relevant authorities for
consideration and/or any necessary enforcement actions are initiated, in
accordance with organisational requirements.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26926 version 2
Page 6 of 7
4.4
All persons relevant to the conduct of the investigations are advised of
investigation outcomes in accordance with organisational and any legal
requirements.
4.5
Investigation documentation produced is in the required format, meets
requirements for grammar, language, and punctuation, and is filed, in
accordance with organisational requirements.
4.6
Case management systems are updated to reflect the status of the
investigations in accordance with organisational requirements.
4.7
Investigation documentation and/or exhibits are returned, disposed of, and/or
retained in accordance with legal and organisational requirements.
Replacement information
This unit standard and unit standard 26925 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.
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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26926 version 2
Page 7 of 7
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