NZQA registered unit standard
26899 version 1
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Title
Demonstrate knowledge of options for achieving compliance
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 options for
achieving compliance, and explain decision making for
selecting compliance options.
Classification
Public Sector Compliance > Public Sector Compliance
Operations
Available grade
Achieved
Entry information
Recommended skills
and knowledge
Unit 26898, Demonstrate knowledge of regulatory approaches
and a regulatory model used in a compliance environment, or
demonstrate equivalent knowledge and skills.
Explanatory notes
1
Where a candidate’s organisation does not use a particular option for achieving
compliance, information and/or examples from another compliance organisation or
organisations may be used.
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
Definitions
Achieve compliance or variant refers to a compliance subject becoming compliant
and/or compliance being maintained by a compliance subject, through voluntary
compliance and/or in response to intervention by a compliance organisation or
organisations.
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.
Options for achieving compliance (or 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’.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
26899 version 1
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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.
Regulatory model is the model used by a compliance organisation to describe its
compliance strategy.
Regulatory approaches describe approaches considered effective and efficient for
achieving compliance.
Outcomes and evidence requirements
Outcome 1
Describe options for achieving compliance.
Range
six different options covering a range of approaches for achieving compliance.
Evidence requirements
1.1
Options and their application are described in terms of their relationship to a
regulatory theory or theories and/or to a regulatory model.
1.2
Options are described in terms of how they may be applied in order to achieve
desired compliance outcomes.
1.3
Description explains options in terms of their potential effectiveness for
achieving compliance.
Outcome 2
Explain decision making for selecting compliance options.
Evidence requirements
2.1
Decision making for selecting compliance options is explained in terms of
compliance risk analysis.
Range
2.2
Decision making for selecting compliance options is explained in terms of
problem solving.
Range
2.3
may include but is not limited to – scale, likelihood, micro and
macro risk, consequences, prioritisation, organisational policy.
may include but is not limited to – desired compliance outcome,
context, driver or drivers and/or cause or causes of problem.
Decision making for selecting compliance options is explained in terms of
factors that influence selection of compliance options.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
factors may include but are not limited to – appropriateness to the
circumstances; size and type of risk; political, social, and/or
economic environment; attitude of compliance subject; level of
public interest; consistency of approach in similar circumstances;
effectiveness; efficiency; organisational resources; organisational
requirements including any enforcement criteria and/or policy.
Range
2.4
26899 version 1
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Explanation is consistent 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