NZQA Expiring unit standard
26902 version 2
Page 1 of 4
Title
Produce and manage records in a compliance environment
Level
3
Credits
3
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 to describe
management of records in a compliance environment, and
produce and manage records in a compliance environment.
Classification
Public Sector Compliance > Public Sector Compliance
Operations
Available grade
Achieved
Entry information
Recommended skills
and knowledge
Unit 19906, Describe information and privacy legislation in
relation to the public sector, or demonstrate equivalent
knowledge and skills.
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;
Public Records Act 2005;
Electronic Transactions Act 2002;
Privacy Act 1993;
New Zealand Bill of Rights Act 1990;
Local Government Official Information and Meetings Act 1987;
Official Information Act 1982;
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); and
Crown Law Office Prosecution Guidelines, 1 January 2010, available at
http://www.crownlaw.govt.nz/uploads/prosecution_guidelines.pdf.
This unit standard is
expiring
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
26902 version 2
Page 2 of 4
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.
3
Definitions
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 subject refers to a natural person or an entity that is subject, in a
particular compliance context, to being regulated.
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
Describe management of records in a compliance environment.
Evidence requirements
1.1
1.2
Description identifies types of records a compliance organisation keeps for
compliance purposes and identifies their purposes, consistent with
organisational requirements.
This unit standard is
Description includes statutory
obligations for record management as applied in
expiring
a compliance organisation.
Range
may include but is not limited to – notebooks, file notes, job
sheets, correspondence, risk profiles, audit check sheets, audit
reports, financial records, analysis results, sampling data.
Range
obligations in relation to – requests for information; grounds for
withholding information; storage, disposal, and destruction.
Outcome 2
Produce records in a compliance environment.
Evidence requirements
2.1
All information relevant to one’s own compliance activity is recorded in
accordance with organisational requirements and needs of the activity.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26902 version 2
Page 3 of 4
2.2
Records are produced in accordance with organisational requirements, avoid
reference to one’s own personal views and non work-related matters, and are
free from bias.
2.3
Contemporaneous records are accurate, full, and objective, and written
statements are endorsed as accurate records in accordance with organisational
requirements.
2.4
Contemporaneous records minimise the likelihood of legal challenge.
considerations include but are not limited to absence of – gaps,
overwriting, obliterations, inconsistencies.
Range
2.5
Style is consistent across records produced and/or in accordance with
organisational requirements.
Outcome 3
Manage records in a compliance environment.
Evidence requirements
3.1
Management of the records is in accordance with legal and organisational
requirements and maintains their integrity and security.
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
This unit standard is
expiring
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
26902 version 2
Page 4 of 4
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 at reviewcomments@skills.org.nz if you wish to
suggest changes to the content of this unit standard.
This unit standard is
expiring
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016