NZQA Expiring unit standard
26922 version 2
Page 1 of 4
Title
Carry out interventions in a compliance environment
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, in a compliance
environment, to carry out interventions, and evaluate the
interventions.
Classification
Public Sector Compliance > Public Sector Compliance
Operations
Available grade
Achieved
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;
Privacy Act 1993;
New Zealand Bill of Rights Act 1990;
Official Information Act 1982;
Crimes Act 1961;
Local Government Official Information and Meetings Act 1987;
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); and
Crown Law Office Prosecution Guidelines, 1 January 2010, available at
http://www.crownlaw.govt.nz/uploads/prosecution_guidelines.pdf.
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.
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 is required of at least three different examples of interventions within the
candidate’s role.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
4
26922 version 2
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 environment refers to the physical, social, economic, political, and
geographical environment that a public sector organisation’s compliance role is
carried out in.
Compliance notice is an administrative notice, made under statute, requiring that
some action be taken or ceased to achieve compliance. Examples are an abatement
notice, an improvement notice, a seizure notice, a production order.
Compliance subject refers to a natural person or an entity that is subject, in a
particular compliance context, to being regulated.
Intervention refers to any action, or set of actions, taken by a compliance officer to
encourage compliance or to hold a compliance subject accountable for
non-compliance. These may include non-sanction interventions as well as sanctions.
Non-sanction intervention refers to an intervention which is intended to result in
compliance, but without use of sanction. It can involve any of – informing and
assisting, deterring, directing a compliance subject.
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.
Sanction (noun) is a penalty or other punishment imposed for a breach of the law.
Outcomes and evidence requirements
Outcome 1
Carry out interventions in a compliance environment.
Range
may include but is not limited to – infringement notice, formal warning,
prosecution, formal directive, education, enforcement order, communication
response, renewal, suspension of licence, compliance notice, settlement.
Evidence requirements
1.1
Interventions chosen fit the organisation’s compliance model and needs of the
situation.
1.2
Interventions are carried out in accordance with powers and organisational
requirements.
1.3
The intervention actions taken, any responses of the compliance subjects, and
the results achieved at the times are recorded in accordance with organisational
requirements.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26922 version 2
Page 3 of 4
Outcome 2
Evaluate the interventions in a compliance environment.
Evidence requirements
2.1
Interventions are evaluated in accordance with organisational requirements.
2.2
Interventions are evaluated in terms of their effectiveness and efficiency in
achieving compliance.
evaluation may include but is not limited to – victim needs, public
interest, mitigating or reducing harm, informing compliance
subjects, reducing non-compliance.
Range
2.3
Evaluations of the interventions are recorded in accordance with organisational
requirements.
Replacement information
This unit standard was replaced by unit standard 29197.
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.
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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26922 version 2
Page 4 of 4
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