NZQA registered unit standard
26898 version 1
Page 1 of 3
Title
Demonstrate knowledge of regulatory approaches and a regulatory
model used in a compliance 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 regulatory
approaches, and describe a regulatory model currently used in
a compliance environment.
Classification
Public Sector Compliance > Public Sector Compliance
Operations
Available grade
Achieved
Explanatory notes
1
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.
2
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 pyramid may be referred to as ‘enforcement pyramid’.
Compliance subject refers to a natural person or an entity that is subject, in a
particular compliance context, to being regulated.
Key aspects are those aspects of an approach or model which, if excluded, would
make the approach or model incomplete.
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.
Regulatory approaches are approaches considered by compliance organisations as
effective and efficient for achieving compliance.
Regulatory model is the model used by a compliance organisation to describe its
compliance strategy.
Sanction (noun) is a penalty or other punishment imposed for a breach of the law.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
26898 version 1
Page 2 of 3
Outcomes and evidence requirements
Outcome 1
Describe regulatory approaches.
Range
regulatory approaches may include but are not limited to – intelligence-led,
compliance pyramid, voluntary compliance, decentralised regulation;
sources of regulatory approaches may include but are not limited to – Jerry
Ratcliffe, John Braithwaite, Valerie Braithwaite, Malcolm Sparrow;
evidence of two regulatory approaches is required.
Evidence requirements
1.1
The source of each regulatory approach is identified.
1.2
Descriptions of key aspects of each regulatory approach are in accordance with
the published works of the sources and/or their derivatives.
Outcome 2
Describe a regulatory model currently used in a compliance environment.
Evidence requirements
2.1
An organisation currently using the regulatory model is specified.
2.2
The compliance environment is described in terms of the organisation’s
compliance role and the physical, social, economic, political, and geographical
environment that the organisation’s compliance role is carried out in.
2.3
Key aspects of the model are defined and described in accordance with the
corporate language, definitions, and/or examples the organisation uses.
Range
2.4
may include but is not limited to – intelligence-led, compliance
pyramid, voluntary, assisted, directed, enforced, intelligence,
education, licensing, audit, investigations, sanctions, prosecutions,
information-based, enforcement-based, social norms.
Intended outcomes of the model are described in relation to the organisation’s
compliance role.
Range
Planned review date
The Skills Organisation
SSB Code 100401
intended outcomes may include but are not limited to – risk
management, voluntary compliance.
31 December 2015
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
26898 version 1
Page 3 of 3
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