NZQA registered unit standard 26930 version 1 Page 1 of 5 Title Plan and manage significant compliance operations Level 6 Credits 15 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 plans for a significant compliance operation; prepare and manage resources for the operation; monitor and manage the execution of the operation; manage the production of documentation relating to the significant compliance operations; and review and finalise the operation. 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: 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 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 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 from at least two operations, planned and managed in their entirety, is required. The Skills Organisation SSB Code 100401 New Zealand Qualifications Authority 2016 NZQA registered unit standard 4 26930 version 1 Page 2 of 5 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. 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. Compliance investigation refers to the process of gathering and assessing information to determine facts and, thereby, to determine degree of compliance or otherwise. 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. 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. The Skills Organisation SSB Code 100401 New Zealand Qualifications Authority 2016 NZQA registered unit standard 26930 version 1 Page 3 of 5 Outcomes and evidence requirements Outcome 1 Develop plans for significant 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, purpose, direction, and priorities. 1.2 The planning is 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, prioritised, and sequenced to serve the purpose of the operations. Range monitoring the plans; may include but is not limited to – security, communications, intelligence, methods. 1.4 Plans specify steps in the operations. 1.5 Resources are identified in accordance with organisational requirements and are consistent with the purpose, objectives, and priorities of the operations. Range 1.6 resources may include but are not limited to – human, physical, financial, other organisation or organisations. Risks are analysed and are managed in the plans in accordance with organisational requirements. Outcome 2 Prepare and manage resources for the significant compliance operations. Evidence requirements 2.1 Resources are accessed and prepared in accordance with organisational requirements and the purpose, objectives, and priorities of the operations. Range The Skills Organisation SSB Code 100401 resources may include but are not limited to – human, physical, financial, other organisations, experts; preparation may include – briefing personnel. New Zealand Qualifications Authority 2016 NZQA registered unit standard 2.2 26930 version 1 Page 4 of 5 Resources are managed effectively and efficiently and in accordance with organisational requirements and the purpose and objectives of the operations. Range considerations include but are not limited to – contingencies, budget, task allocation, use of specialist resources, resource allocation. Outcome 3 Monitor and manage the execution of the significant compliance operations. Evidence requirements 3.1 Progress against the operations’ plans is reviewed throughout the operations in accordance with the purpose, objectives, and priorities of the operation and the monitoring specified in the plans. Range 3.2 plans – original and/or as adjusted. Any adjustments to the planned executions are justified in terms of meeting the operations’ purpose and objectives more effectively and/or efficiently than the original plans. Range factors that may require adjustments to be made may include but are not limited to – new information, changes in risk status, unforeseen circumstances, changes of approach, problem resolution, innovation. Outcome 4 Manage the production of documentation relating to the significant compliance operations. Evidence requirements 4.1 Management ensures documentation produced meets organisational requirements. Range includes format and may include but is not limited to – language, accuracy. Outcome 5 Review and finalise the significant compliance operations. Evidence requirements 5.1 Operational 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. The Skills Organisation SSB Code 100401 New Zealand Qualifications Authority 2016 NZQA registered unit standard 5.3 26930 version 1 Page 5 of 5 Post-operational procedures are completed in accordance with organisational requirements. 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. 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