NZQA registered unit standard
26932 version 1
Page 1 of 4
Title
Prepare for and oversee a prosecution as a compliance investigator
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, as a compliance
investigator, to: prepare an investigation file for court
appearance; oversee a prosecution; and carry out postprosecution procedures.
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;
Privacy Act 1993;
Health and Safety in Employment Act 1992;
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;
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. Children, Young Persons, and Their Families Act 1989);
Crown Law Office Prosecution Guidelines, 1 January 2010, available at
http://www.crownlaw.govt.nz/uploads/prosecution_guidelines.pdf; and
High Court guidelines for expert witnesses in Judicature Act 1908, Schedule 2 – High
Court Rules, Part 9, Subpart 5 – Experts.
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 registered unit standard
26932 version 1
Page 2 of 4
3
Range
Evidence of overseeing one prosecution is required.
4
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 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.
Evidential standards for presentation in court are standards in, or derived from, the
Evidence Act 2006 and from judicial direction.
Forensic refers to the use of scientific methods in investigations.
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
Prepare an investigation file for court appearance as a compliance investigator.
Evidence requirements
1.1
The file is ordered and prepared in accordance with organisational
requirements.
Range
1.2
content may include but is not limited to – covering report; subject
details, including witness details; exhibit schedules; exhibits; case
notes; disclosure schedules; job sheets; notebook notes; briefs of
evidence; research information; seizure lists; affidavits; records of
interview; decision to prosecute statements; administration
information; an information or informations; summary of facts.
The file meets legal and organisational requirements for disclosure.
Outcome 2
Oversee a prosecution as a compliance investigator.
Evidence requirements
2.1
Liaison with persons involved in the prosecution is conducted in accordance
with needs of the case and organisational requirements.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
2.2
26932 version 1
Page 3 of 4
Any additional documentation required in relation to the court process is
prepared in accordance with organisational requirements and evidential
standards for presentation in court.
Range
documentation includes further disclosure and may include but is
not limited to – brief or briefs of evidence; victim impact statement
or statements; visual aids; forensic reports; exhibit schedules;
chain of custody, covering report; subject details, including witness
details; exhibit schedules; exhibits; case notes; disclosure
schedules; job sheets; notebook notes; research information;
seizure lists; affidavits; records of interview; decision to prosecute
statements; administration information; an information or
informations; summary of facts; sentencing submissions.
2.3
Any requests for disclosure are fulfilled and recorded in accordance with legal
and organisational requirements.
2.4
Matters arising associated with the defendant are managed in accordance with
organisational requirements and needs of the case.
Range
2.5
Matters arising associated with witnesses are managed in accordance with
organisational requirements and needs of the case.
Range
2.6
may include but is not limited to – interference with witnesses,
arranging for monitoring of bail conditions, reducing risk of flight,
examining links with other offending.
may include but is not limited to – briefing on progress of case,
familiarisation with court procedures, ensuring appearance at
court, safety, privacy, witness fees.
Reporting on the prosecution required by one’s own compliance organisation is
carried out in accordance with organisational requirements.
Outcome 3
Carry out post-prosecution procedures as a compliance investigator.
Evidence requirements
3.1
Court directions are fulfilled on behalf of one’s own organisation, as applicable,
in accordance with court and organisational requirements.
3.2
Parties relevant to the prosecution are advised of prosecution outcomes in
accordance with organisational and any legal 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 2016
NZQA registered unit standard
Planned review date
26932 version 1
Page 4 of 4
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 2016