NZQA registered unit standard
26897 version 1
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Title
Demonstrate knowledge of operating in a public sector regulatory
environment
Level
3
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 describe a regulatory
environment in relation to a compliance organisation, and
describe operating in a compliance role in a public sector
regulatory environment.
Classification
Public Sector Compliance > Public Sector Compliance
Operations
Available grade
Achieved
Explanatory notes
1
Legislation relevant to this standard may include but is not limited to:
Crown Entities Act 2004;
Local Government Act 2002;
Protected Disclosures Act 2000;
New Zealand Public Health and Disability Act 2000;
Privacy Act 1993;
Human Rights Act 1993;
State Sector Act 1988;
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 a specific organisation 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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
26897 version 1
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3
Operating in a public sector regulatory environment, for the purpose of this unit
standard, relates only to employees or agents of a compliance organisation operating
in a public sector regulatory environment.
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 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.
Regulatory environment refers to the social, political, and regulatory framework within
which compliance organisations operate.
Outcomes and evidence requirements
Outcome 1
Describe a regulatory environment in relation to a compliance organisation.
Evidence requirements
1.1
Description identifies the organisation’s compliance mandate and place within
the broader public sector.
Range
1.2
considerations relating to the organisation’s mandate include
compliance environment and legislative responsibilities and may
include but are not limited to – internal policies, service delivery
objectives, delegated authorities, resources, constraints, fiscal
responsibility;
place within the broader public sector – structures, functions,
accountabilities, key relationships.
Description includes the organisation’s approach to service delivery in terms of
working with other parties to further compliance.
Range
other parties may include but are not limited to – business units,
public sector organisations, community groups, iwi, media.
Outcome 2
Describe operating in a compliance role in a public sector regulatory environment.
Evidence requirements
2.1
Description identifies the source document or documents that specify standards
of integrity and conduct for people working in a public sector organisation.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
2.2
Description explains how aspects of integrity and conduct, media awareness,
and political sensitivity can be of heightened importance in a compliance role.
includes but is not limited to heightened importance in terms of –
mode or modes of interaction, roles and legal requirements,
objectives of interactions;
aspects of integrity and conduct may include but are not limited to
– handling information, fairness, political neutrality, respect for
rights, consistency, impartiality, reasonableness.
Range
2.3
26897 version 1
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Description explains the potential impact of one’s own activity outside of work
on personal effectiveness in working in a compliance environment.
activity outside of work may include but is not limited to – political
expression, social activity, associates, lawful and unlawful
behaviour.
Range
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