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Title / Prepare for and contribute to a civil appeal proceeding as a compliance investigator
Level / 5 / Credits / 20
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, as a compliance investigator, to: prepare the file for a civil appeal proceeding; contribute to a civil appeal proceeding; and carry out post-appeal procedures.
Classification / Public Sector Compliance > Public Sector Compliance Investigations
Available grade / Achieved
Guidance Information
1Legislation, Rules, and guidelines applicable to this unit standard may include but are 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;
District Courts Act 1947;
specific legislation mandating the powers and duties of a specific 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);
District Courts Rules 2009;
High Court Rules, in Schedule 2 of Judicature Act 1908;
Court of Appeal (Civil) Rules 2005; and
guidelines issued by tribunals or commissions.
Legislation includes any applicable subordinate legislation such as regulations, bylaws, and licence conditions. Any legislation, rules, or guidelines superseding any of the above will apply for the purpose of assessment.
2Demonstration 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 and/or any other organisation-specific code or codes of conduct.
3This unit standard refers to a civil appeal as distinct from an appeal against a criminal conviction or sentence. Civil appeals may be heard by commissions, tribunals, or the court system.
4Range
Evidence is required of preparation for and contribution to at least one civil appeal regarding a compliance case on behalf of one’s own compliance organisation. The civil appeal may be one initiated by the compliance organisation or by another party against the compliance organisation.
5Definitions
Case refers to a problem or situation involving non-compliance, alleged non-compliance, or possible non-compliance requiring a regulatory response.
Case management system is the system that is established to plan, manage, record, and review a case.
Civil appeal, for the purpose of this unit standard, refers to a request by a compliance subject to a superior authority to overrule the decision, penalty, or award of a compliance organisation.
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.
Exhibit refers to material evidence secured in the course of an investigation.
Organisation refers to a public sector organisation, as listed in the Public Sector Directory at
Organisational requirements refer to instructions to staff on policies, procedures, and methodologies which are documented and are available in the workplace.
Outcomes and performance criteria
Outcome 1
Prepare the file for a civil appeal proceeding as a compliance investigator.
Performance criteria
1.1The file is ordered and prepared in accordance with organisational requirements.
Rangecontent may include but is not limited to – covering report; decision or decisions related to the appeal (in the case of appeals by one’s own compliance organisation); subject details, including witness details; exhibit schedules; exhibits; case notes; job sheets; notebook notes; research information; seizure lists; affidavits; records of interview; administration information.
Outcome 2
Contribute to a civil appeal proceeding as a compliance investigator.
Performance criteria
2.1Liaison with parties involved in the civil appeal is conducted in accordance with needs of the case and organisational requirements.
Rangeparties may include but are not limited to – appellant, respondent, decision-making body.
2.2Any additional material required in relation to the civil appeal process is prepared in accordance with judicial and organisational requirements.
2.3Any obligations to parties involved in the civil appeal are fulfilled and recorded in accordance with organisational and any judicial requirements.
Rangeparties may include but are not limited to – appellant, respondent, decision-making body.
2.4Any aspects associated with witnesses are managed in accordance with organisational requirements and needs of the case.
Rangeaspects may include but are not limited to – familiarisation with judicial procedures, ensuring appearance at proceedings, safety, privacy, reimbursement.
2.5Reporting on the proceeding required by one’s own compliance organisation is carried out in accordance with organisational requirements.
Outcome 3
Carry out post-appeal procedures as a compliance investigator.
Performance criteria
3.1Any judicial directions are complied with.
3.2Parties relevant to the appeal are advised of appeal outcomes in accordance with organisational requirements.
3.3Documentation and/or exhibits are returned, disposed of, or retained in accordance with legal and organisational requirements.
3.4Case management system is updated, as required, in accordance with organisational requirements.
This unit standard is expiring. Assessment against the standard must take place by the last date for assessment set out below.
Status information and last date for assessment for superseded versions
Process / Version / Date / Last Date for AssessmentRegistration / 1 / 15 April 2011 / 31 December 2020
Review / 2 / 26 July 2018 / 31 December 2020
Consent and Moderation Requirements (CMR) reference / 0121
This CMR can be accessed at
The Skills OrganisationSSB Code 100401 / New Zealand Qualifications Authority 2018