NZQA Expiring unit standard
26910 version 2
Page 1 of 5
Title
Plan and manage compliance operations
Level
4
Credits
10
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: develop the plans
for compliance operations; prepare and manage resources for
the compliance operations; monitor and manage process for
the compliance operations; produce documentation relating to
the compliance operations; and review and finalise the
compliance operations.
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:
New Zealand Bill of Rights Act 1990;
Evidence Act 2006;
Privacy Act 1993;
Health and Safety in Employment Act 1992;
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 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).
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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26910 version 2
Page 2 of 5
3
Range
Evidence of at least two compliance operations, planned and managed in their
entirety, is required.
4
A compliance operation is a planned event or coordinated series of events over a
short period held in order 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 compliance operation, for the purpose of this unit standard, may
include but are not limited to – involving only oneself or a small team of compliance
staff; involving little or no coordination with other organisations; containing a
reasonably low level of risk in terms of, say, liability or public exposure; requiring a
moderate level of critical thinking, analysis, planning, and knowledge; not necessarily
requiring the use of statutory powers.
Examples of compliance operations, for the purpose of this unit standard, are –
notifying a cluster of businesses in a particular local industry of a compliance issue
and following up to check it at another time, monitoring recreational fishing along a
limited stretch of coast on a planned basis, and undertaking an audit programme.
5
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.
Intelligence is information to which an interpretation has been applied following
analysis of that information.
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
Develop the plans for compliance operations.
Evidence requirements
1.1
The purpose, objectives, and intended outcomes of the operations are specified
in the plans and linked to the organisation’s mandate and focus.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
1.2
The plans are consistent with organisational requirements.
Range
1.3
may include but is not limited to – planning documentation,
reporting, officer-in-charge, intelligence, record-keeping,
resolution, review.
Tasks are specified and prioritised in the plans to serve the purposes of the
operations.
Range
1.4
26910 version 2
Page 3 of 5
includes but is not limited to – monitoring the plan.
Resources are identified in accordance with organisational requirements and
are consistent with the purposes and objectives of the operations.
Range
resources may include but are not limited to – human, physical,
financial.
Outcome 2
Prepare and manage resources for the compliance operations.
Range
resources may include but are not limited to – human, physical, financial.
Evidence requirements
2.1
Resources are accessed and prepared in accordance with organisational
requirements and the purpose and objectives of the operations.
2.2
Resources are managed effectively and efficiently, and in accordance with
organisational requirements and the purpose and objectives of the operations.
Outcome 3
Monitor and manage process for the compliance operations.
Evidence requirements
3.1
Progress against the operations’ plans is reviewed throughout the operations in
accordance with the purpose and objectives of the operations and the
monitoring specified in the plans.
Range
3.2
plans – original and/or as adjusted.
Any adjustments to the plans are justified in terms of meeting the operations’
purposes and objectives more effectively and/or efficiently than the original
plans.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26910 version 2
Page 4 of 5
Outcome 4
Produce documentation relating to the compliance operations.
Evidence requirements
4.1
Documentation produced relating to compliance operations meets
organisational requirements.
includes format and may include but is not limited to – language,
accuracy.
Range
Outcome 5
Review and finalise the compliance operations.
Evidence requirements
5.1
Operations’ outcomes are compared with intended outcomes and are analysed
in terms of what did and did not work.
5.2
Opportunities for improved future practice are identified and recorded in
accordance with organisational requirements.
5.3
Post-operation procedures are completed in accordance with organisational
requirements.
Replacement information
This unit standard was replaced by unit standard 29195.
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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26910 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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016