NZQA registered unit standard
26909 version 1
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Title
Demonstrate knowledge of planning, management, control, and
leadership in relation to significant compliance operations
Level
4
Credits
5
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 provide an overview
of planning and management in relation to significant
compliance operations, and explain control and leadership for
significant compliance operations.
Classification
Public Sector Compliance > Public Sector Compliance
Operations
Available grade
Achieved
Explanatory notes
1
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.
2
A significant compliance operation is a planned significant event or coordinated
series of events over a short period that is intended to produce compliance results.
For the purpose of this unit standard compliance operations must not be compliance
investigations, but they may be operations associated with, or embedded in, an
investigation or investigations.
Characteristics of a significant compliance operation, for the purpose of this unit
standard, may include but are not limited to – involving a team of compliance staff;
involving coordination with another organisation or organisations; the probability of
leading to prosecution or formal enforcement action; requiring risk assessment
and/or reassessment; containing a high level of risk in terms of, for example, liability
or public exposure; requiring a high level of critical thinking, analysis, planning, and
knowledge; requiring the use of specialised tools; requiring the use of statutory
powers; and involving operational orders, assignment of control roles, and a
moderate to high likelihood of critical response.
Examples of significant compliance operations, for the purposes of this unit standard,
are – a drug swoop, a multi-agency operation, a coordinated traffic operation
involving multiple staff setting up strategic checkpoints to coincide with a major event
where speed and alcohol are likely, use of helicopter surveillance to monitor large
expanses of land to detect non-compliance.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
3
26909 version 1
Page 2 of 4
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 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.
Control refers to command or direction of an operation.
Organisation refers to a public sector organisation, as listed in the Public Sector
Directory at http://psd.govt.nz/list/index.php.
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.
Organisational requirements refer to instructions to staff on policies, procedures, and
methodologies which are documented and are available in the workplace.
SMEAC stands for situation, mission, execution, administration including logistics,
and commands. It is a planning framework used to develop and document
operational plans.
Outcomes and evidence requirements
Outcome 1
Provide an overview of planning and management in relation to significant compliance
operations.
Evidence requirements
1.1
The overview outlines initial problem solving and planning for significant
compliance operations.
Range
1.2
The overview includes the development of a detailed tactical plan and includes
the potential use of a planning framework as a preliminary planning tool.
Range
1.3
includes risk analysis.
purpose and objectives, case management, tasks, steps,
resources, risk management, operational orders, command roles;
planning framework – SMEAC or similar tool.
The overview includes resource preparation and management.
Range
The Skills Organisation
SSB Code 100401
may include but is not limited to – human, physical, financial, other
organisation or organisations.
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
1.4
26909 version 1
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The overview includes plan implementation.
Range
monitoring (including risk), review, adjustment.
1.5
The overview identifies documentation requirements, consistent with
organisational requirements.
1.6
The overview includes review and finalisation procedures, consistent with
organisational requirements.
Outcome 2
Explain control and leadership for significant compliance operations.
Evidence requirements
2.1
Explanation includes the control role, assignment to the role, and execution of
the role, and identifies qualities required and/or desirable for the role.
Range
execution includes procedural, decision making, immediate,
directive, tactical and may include critical incident management,
coercion.
2.2
Explanation includes the strategic exercise of leadership in the operational
context in relation to critical situations, and identifies qualities supportive of
leadership for significant compliance operations.
2.3
Explanation includes the relationships among management, control, and
leadership for significant compliance operations.
Planned review date
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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
26909 version 1
Page 4 of 4
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