NZQA Expiring unit standard
26903 version 2
Page 1 of 5
Title
Demonstrate knowledge of establishing and maintaining effective
relationships in a compliance environment
Level
3
Credits
4
Purpose
This unit standard is for people who work in compliance roles in
public sector organisations. People credited with this unit
standard are able to demonstrate knowledge of establishing
and maintaining effective relationships in a compliance
environment: with compliance subjects, within one’s own
organisation, with other organisations, and with interest groups.
Classification
Public Sector Compliance > Public Sector Compliance
Operations
Available grade
Achieved
Explanatory notes
1
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 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).
This unit standard is
expiring
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.
2
Demonstration of knowledge and skills must be consistent with any applicable code
or codes 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 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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26903 version 2
Page 2 of 5
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.
Formal written agreement, for the purpose of this unit standard, may include but is
not limited to – memorandum of understanding, service level agreement, partnering
agreement, internal memorandum.
Interest groups refer to non-regulatory organisations or community and other groups
that engage with compliance organisations in terms of achieving desired outcomes
involving compliance matters, and/or with which compliance organisations may
engage, not necessarily as compliance subjects, but in order to further the interests
of compliance. Examples of interest groups are NZ Forest and Bird Society, a
community board, a ratepayer group, an iwi group, a heritage trust, an advocacy
group.
Organisation refers to a public sector organisation, as listed in the Public Sector
Directory at http://psd.govt.nz/list/index.php.
Other organisations with which one’s own organisation cooperates, or may
cooperate, for compliance purposes refers to other compliance organisations and
may also refer to any organisation or service, other than a compliance organisation,
which supports own organisation’s compliance activity. Examples of these 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.
Organisational requirements refer to instructions to staff on policies, procedures, and
methodologies which are documented and are available in the workplace.
Relationships within one’s own compliance organisation refers to relationships with
persons and/or groups within one’s own organisation with whom one interacts in
terms of carrying out compliance activities.
Outcomes and evidence requirements
This unit standard is
expiring
Evidence requirements
Outcome 1
Demonstrate knowledge of establishing and maintaining effective relationships with
compliance subjects in a compliance environment.
1.1
Explanation of considerations relating to establishing and maintaining effective
relationships with compliance subjects is consistent with organisational
requirements.
Range
The Skills Organisation
SSB Code 100401
considerations may include but are not limited to – consistency,
impartiality, objectivity, and fairness; fullness and accuracy of
information conveyed; openness and specificity in terms of rights,
powers, obligations, and consequences; politeness and respect;
cultural sensitivity; engagement in negotiation within scope of
powers; provision of advice within scope of powers; risk
management.
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
1.2
26903 version 2
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Strategies for establishing and maintaining effective relationships with
compliance subjects are explained in terms of fulfilling one’s own compliance
role and responsibilities and meeting organisational priorities and requirements.
Range
evidence of two strategies is required.
Outcome 2
Demonstrate knowledge of establishing and maintaining effective relationships within
one’s own organisation in a compliance environment.
Evidence requirements
2.1
Persons and/or groups within one’s own organisation are identified, and the
relationships between them and oneself are explained in terms of one’s own
compliance role. Explanation is consistent with organisational requirements
and any applicable formal written agreements.
Range
explanation may be in terms of but is not limited to –
organisational structure, responsibilities and roles, critical
dependencies, boundaries, delegated authorities, skill sets, formal
versus informal access, problem resolution system or methods,
organisational and/or group culture.
2.2
The need to be supportive of compliance colleagues is explained in relation to
the compliance environment and its challenges, consistent with organisational
requirements.
2.3
Strategies for establishing and maintaining effective relationships within one’s
own organisation are explained in terms of fulfilling one’s own compliance role
and responsibilities and meeting organisational priorities and requirements.
evidence of two strategies is required.
This
unit standard is
Outcome 3
expiring
Demonstrate knowledge of establishing and maintaining effective relationships with other
Range
organisations in a compliance environment.
Evidence requirements
3.1
Other organisations with which one’s own organisation cooperates, or may
cooperate, for compliance purposes are identified, and the relationships
between them and one’s own organisation are explained in terms of
compliance. Explanation is consistent with organisational requirements and any
applicable formal written agreements.
Range
The Skills Organisation
SSB Code 100401
maximum of three organisations;
explanation may be in terms of but is not limited to –
organisational structures; powers, responsibilities, and roles;
resources; critical dependencies; boundaries; expertise; formal
versus informal access.
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26903 version 2
Page 4 of 5
3.2
The need to be supportive of other organisations is explained in relation to the
compliance environment and its challenges, consistent with organisational
requirements.
3.3
Strategies for establishing and maintaining effective relationships with other
organisations are explained in terms of fulfilling one’s own compliance role and
responsibilities and meeting organisational priorities and requirements.
Range
evidence of two strategies is required.
Outcome 4
Demonstrate knowledge of establishing and maintaining effective relationships with
interest groups in a compliance environment.
Evidence requirements
4.1
Interaction with interest groups is explained in relation to the compliance
environment and its challenges, consistent with organisational requirements
and any applicable formal written agreements.
explanation may be in terms of but is not limited to – maintaining
impartiality as a regulator, interest group’s purpose and priorities,
engagement of interest groups in problem solving, politeness and
respect, cultural sensitivity, provision of information, risk
management.
Range
4.2
Strategies for establishing and maintaining effective relationships with interest
groups are explained in terms of fulfilling one’s own compliance role and
responsibilities and meeting organisational priorities and requirements.
evidence of two strategies is required.
This
unit standard is
Status information and last date for
assessment for superseded versions
expiring
Range
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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26903 version 2
Page 5 of 5
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 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