NZQA Expiring unit standard
26911 version 2
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Title
Prepare for and conduct compliance checks
Level
4
Credits
4
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 explain compliance
checks as a compliance officer, and prepare for and conduct
compliance checks.
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:
Evidence Act 2006;
Privacy Act 1993;
New Zealand Bill of Rights Act 1990;
Local Government Official Information and Meetings Act 1987;
Official Information Act 1982; and
specific legislation mandating the powers and duties of a specific agency 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 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
Range
Evidence must be from at least three compliance checks which must be within the
scope of the candidate’s role and which require preparation. Types of compliance
checks may include but are not limited to – audit, patrol, surveillance, inspection,
compliance monitoring.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26911 version 2
Page 2 of 4
4
Employees of New Zealand Customs Service who conduct compliance checks are
directed to the following unit standards, which cover knowledge and skills unique to
that organisation.
 18249, Conduct a personal search as a Customs officer;
 18253, Conduct a baggage examination as a Customs officer;
 18257, Use surveillance to gather information relevant to Customs;
 18264, Conduct a patrol as a Customs officer;
 18623, Conduct an inspection of goods subject to the control of Customs;
 18626, Audit for Customs compliance;
 20881, Search a marine pleasure boat as a Customs officer; and
 20882, Search a ship as a Customs officer.
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 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.
Regulatory model is the model used by an organisation to describe its compliance
strategy.
Outcomes and evidence requirements
Outcome 1
Explain compliance checks as a compliance officer.
Evidence requirements
1.1
Explanation of the purpose of compliance checks is consistent with
organisational requirements.
1.2
Compliance checks are explained in terms of the organisation’s regulatory
model.
1.3
Compliance checks are explained in terms of one’s own compliance role and
associated powers.
Outcome 2
Prepare for compliance checks.
2.1
Preparation includes reviewing any held information that may have relevance
for the compliance checks.
Range
The Skills Organisation
SSB Code 100401
available information may include but is not limited to – status and
history of compliance subjects.
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26911 version 2
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2.2
Preparation includes confirming statutory authority and powers to act in relation
to the compliance checks.
2.3
Preparation identifies the requirements that the compliance checks relate to.
Range
2.4
Preparation includes plans for conducting compliance checks.
Range
2.5
requirements include statutory requirements and may include but
are not limited to – permit and licence conditions, consent
requirements, workplace health and safety standards, regulations,
rules, other obligations.
plans may include but are not limited to – prior notification, timing,
equipment required, support required, contingencies if issues are
detected.
Preparation is in accordance with organisational requirements.
Outcome 3
Conduct compliance checks.
Evidence requirements
3.1
Compliance checks are carried out methodically, thoroughly, and in accordance
with powers and organisational requirements.
3.2
As required, the compliance subjects are informed of any compliance issues
detected and explanations are sought, in accordance with organisational
requirements.
3.3
Compliance checks are recorded in accordance with organisational
requirements.
Range
3.4
may include but is not limited to – job sheet, report, entry into
database or databases, entry into reporting system.
As required, results of the compliance checks, including any remedial actions
required, are communicated to the compliance subjects, in accordance with
organisational requirements.
Replacement information
This unit standard was replaced by unit standard 29193
This unit standard is expiring. Assessment against the standard must take place by
the last date for assessment set out below.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26911 version 2
Page 4 of 4
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.
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