NZQA Expiring unit standard
26914 version 2
Page 1 of 5
Title
Make compliance decisions and/or recommendations for compliance
cases
Level
5
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 analyse offences for
compliance cases, and make and report compliance decisions
and/or recommendations for the compliance cases.
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;
Local Government Official Information and Meetings Act 1987;
Official Information Act 1982;
Crimes Act 1961;
Summary Proceedings Act 1957;
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); 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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26914 version 2
Page 2 of 5
3
Range
Evidence is required of three compliance cases, where the offence or offences are
fully analysed in terms of making compliance decisions and/or recommendations.
For the purpose of this unit standard a minimum of one and a maximum of three
offences for each of the three compliance cases are to be fully analysed in terms of
making compliance decisions and/or recommendations.
4
Definitions
Case refers to a problem or situation involving non-compliance, alleged noncompliance, or possible non-compliance requiring a regulatory response.
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 options may also be referred to by alternative terms, such as ‘treatments
for achieving compliance’, ‘tools for achieving compliance’, or ‘strategies for
achieving compliance’.
Compliance subject refers to a natural person or an entity that is subject, in a
particular compliance context, to being regulated.
Elements (of offences) are the underlying factors which are common or rudimentary
to any offence. They are:
1
A physical element, called 'the act', referred to as actus reus.
2
A mental element or state of mind, called 'the intent', referred to as mens rea.
Ingredients refer to the details or components of an offence which are unique to the
offence and which must be proven.
Offence is a violation or breach of a law or rule. For the purpose of this unit
standard, offences may incorporate any non-compliance with statute, Regulations,
Bylaws, licence conditions, and other subordinate legislation.
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.
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.
Sanction (noun) is a penalty or other punishment imposed for a breach of the law.
Suspect refers to a person suspected of breaching a rule or involved in breaching a
rule. Other terms used for suspect may include but are not limited to – duty holder,
potentially liable party (civil or criminal), person of interest, party who is the focus of
investigation or compliance action, responsible person, respondent, alleged
offender. A person may be a legal entity such as a company or partnership.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26914 version 2
Page 3 of 5
Outcomes and evidence requirements
Outcome 1
Analyse offences for compliance cases.
Evidence requirements
1.1
Outlines of the facts relating to the offences are produced in accordance with
organisational requirements.
Range
1.2
may include but is not limited to – background to offences,
documentation, enquiries and interviews conducted, participants,
synopsis or summary timeline, brief statement of the issue.
All offences relevant to the facts, and within jurisdictional scope, are identified in
accordance with organisational requirements.
Range
includes but is not limited to – offence or offences against
legislation and/or bylaws, jurisdiction (summary and/or indictable),
suspects, statutory restrictions, maximum penalty or penalties for
each offence.
1.3
All the offences are classified, as applicable, in terms of mens rea and strict
liability.
1.4
Decisions on offences to pursue are based on full consideration of relevant
factors.
Range
relevant factors include mens rea and/or strict liability classification
and may include but are not limited to – the organisation’s
compliance policies, priorities, and directions; remoteness of an
offence; time factors; resource availability; peer guidance; other
organisation’s legal interest in the case.
1.5
All elements of offences being pursued are defined and are established in terms
of ingredients for specifically cited legislation.
1.6
All elements and ingredients of offences being pursued are related to the facts
in terms of probative value to determine any further investigation required.
1.7
Justifications and/or excuses that could reasonably be used in defence and/or
mitigation are identified for the offences being pursued.
Range
The Skills Organisation
SSB Code 100401
justifications and/or excuses include common law defence and
may include but are not limited to – statutory defence, mitigating
factors raised in Crown Law Office Prosecution Guidelines, case
law particular to legislation.
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26914 version 2
Page 4 of 5
Outcome 2
Make and report compliance decisions and/or recommendations for the compliance cases.
Evidence requirements
2.1
The decisions and/or recommendations made are based on analysis of the
offences; consideration of evidential and public interest factors; and
consideration of the organisation’s compliance policies, priorities, and
directions; and are in accordance with delegated authority and/or authorisation.
decisions and/or recommendations identify – elements and
ingredients of the offences, any statutory defences, seriousness of
the offences, degree of culpability, prioritised range of compliance
options, likelihood of success of compliance options, evidential
and public interest factors as outlined in section 6 of the Crown
Law Office Prosecution Guidelines or similar related organisationapproved guidelines;
considerations behind the decisions and/or recommendations, and
which may be reflected in the decisions and/or recommendations,
may include but are not limited to – age of the offences, obscurity
of the law, prevalence of the offences and need for specific and
general deterrence, victim and complainant attitudes to the
offences, cooperation of the offender, likely consequences for the
offender.
Range
2.2
The decisions and/or recommendations made specify the offences, evidential
sufficiency, and any problems seen in pursuing prosecution or other actions to
gain compliance.
other actions may include but is not limited to – no action, issuing
statutory notice, further investigation, administrative sanction.
Range
2.3
The decisions and/or recommendations made highlight any issues that may
assist a future reader.
examples of issues – root causes for non-compliance, witness
problems, special help for witnesses, relevant previous offences,
evidence of propensity, existence and status of possible cooffenders.
Range
2.4
The decisions and/or recommendations are reported in the required format and
are filed, in accordance with organisational requirements.
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
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA Expiring unit standard
26914 version 2
Page 5 of 5
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