NZQA registered unit standard
29191 version 1
Page 1 of 4
Title
Conduct routine entry and exit control regulatory compliance
activities
Level
4
Purpose
Credits
10
This unit standard is for people currently employed as
regulatory compliance officers.
People credited with this unit standard are able to:
–
conduct entry and exit control activities in a regulatory
compliance organisation; and
–
record and communicate results of the entry and exit
control activities.
Classification
Public Sector Compliance > Public Sector Compliance
Operations
Available grade
Achieved
Explanatory notes
1
Definitions
Organisational requirements refer to instructions to staff on policies, procedures, and
methodologies which are documented and are available in the workplace.
Te Tiriti o Waitangi refers to the Māori language text of the Treaty.
Treaty of Waitangi refers to the English language text of the Treaty.
The Regulatory Compliance sector has a number of terms with specific usage. For
current definitions visit http://www.skills.org.nz/resources-for-training-providers/.
2
Legislation and standards relevant to this unit standard include but are not limited to:
Criminal Disclosure Act 2008;
Health and Safety in Employment Act 1992;
Health and Safety at Work Act 2015, with effect from 4 April 2016
Human Rights Act 1993;
Privacy Act 1993;
State Sector Act 1988;
Te Tiriti o Waitangi/Treaty of Waitangi/;
specific legislation mandating the powers and duties of a specific organisation with
respect to its regulatory compliance role and/or any other legislation applicable to a
particular regulatory compliance situation (e.g. Fisheries Act 1996, Resource
Management Act 1991);
and any subsequent amendments and replacements.
3
Range
a 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
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29191 version 1
Page 2 of 4
Conduct, Standards of Integrity and Conduct (available from
http://www.ssc.govt.nz) and/or any other agency specific code or codes of conduct
and/or ethics.
b Evidence is required from at least three different instances of entry and exit control
activities within the scope of the candidate’s role. In practice, and due to possible
restricted opportunities for carrying out both entry and exit activities, a candidate
may provide evidence from three entry activities, or three exit activities, or three
activities as a combination of both. The term ‘entry and exit’ is used in the title and
content of this unit standard to reflect sector usage.
Outcomes and evidence requirements
Outcome 1
Conduct entry and exit control activities in a regulatory compliance organisation.
Range
may include but is not limited to – probity checks, verification, documentation
audit, receipt of fees, issuing of approvals, granting licences, revoking or
suspending licences
Evidence requirements
1.1
Carry out entry and exit control activities in accordance with organisational
requirements.
1.2
Observe organisational standards of integrity and conduct required of people
working in a regulatory compliance role.
Range
1.3
Develop and maintain operational relationships with stakeholders.
Range
1.4
includes – regulated entities, colleagues in candidate’s own
organisation, other stakeholders in relation to one’s role (such as
colleagues in partner organisations, members of interest groups,
members of the public);
consistent with Te Tiriti o Waitangi/Treaty of Waitangi
requirements.
Follow safety procedures and wellbeing requirements.
Range
1.5
includes – personal awareness and management of ethical
dilemmas;
may include – code of conduct, State Sector Act 1988, lawful
conduct, integrity, objectivity, ethical behaviour.
may include but is not limited to – hazard identification, planning
and strategies consistent with organisational requirements, postincident recovery and reporting, personal wellbeing.
Communicate effectively with regulatory compliance stakeholders, using nonverbal, oral, and written communication, consistent with organisational
requirements.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29191 version 1
Page 3 of 4
communication includes – active listening, demonstrating
empathy, building rapport whilst maintaining appropriate
boundaries, use of questions to obtain and clarify information,
written communication.
Range
Outcome 2
Record and communicate results of the entry and exit control activities.
Range
the entry and exit control activities selected in Outcome 1.
Evidence requirements
2.1
Record entry and exit control activities results in accordance with organisational
requirements.
2.2
Communicate results of entry and exit control activities to regulated entities in
accordance with organisational requirements.
Planned review date
31 December 2020
Status information and last date for assessment for superseded versions
Process
Version Date
Last Date for Assessment
Registration
1
18 February 2016
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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29191 version 1
Page 4 of 4
Comments on this unit standard
Please contact The Skills Organisation at reviewcomments@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