NZQA registered unit standard
29193 Version 1
Page 1 of 3
Title
Conduct routine regulatory compliance checks
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:
–
prepare for compliance checks; and
–
carry out and record compliance checks.
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:
Evidence Act 2006;
Health and Safety in Employment Act 1992;
Health and Safety at Work Act 2015, with effect from 4 April 2016
New Zealand Bill of Rights Act 1990;
Privacy Act 1993;
Search and Surveillance Act 2012;
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
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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29193 Version 1
Page 2 of 3
b Evidence must be from at least three compliance checks within the scope of the
candidate’s role and which require preparation, and may include inspections,
audit, or monitoring.
Outcomes and evidence requirements
Outcome 1
Prepare for compliance checks.
Evidence requirements
1.1
Plan compliance checks in accordance with organisational and Treaty of
Waitangi/Te Tiriti o Waitangi requirements, and ensuring that the safety of
regulatory staff and others who may be impacted is appropriately considered.
Range
may include – prior notification, timing, equipment required,
support required, contingencies if issues are detected, reviewing
any held information, schedules, confirming statutory authority and
powers to act.
Outcome 2
Carry out and record compliance checks.
Evidence requirements
2.1
Carry out compliance checks in accordance with organisational requirements
and powers and ensuring that the safety of regulatory staff and others who may
be impacted is appropriately considered.
2.2
Communicate effectively with regulatory compliance stakeholders involved in
compliance check, using non-verbal, oral, and written communication,
consistent with organisational requirements.
Range
2.3
Develop and maintain operational relationships with stakeholders.
Range
2.4
communication includes – active listening, demonstrating
empathy, building rapport whilst maintaining appropriate
boundaries, use of questions to obtain and clarify information,
written communication.
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.
Demonstrate organisational standards of integrity and conduct required of
people working in a regulatory compliance role.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29193 Version 1
Page 3 of 3
2.5
Record compliance checks in accordance with organisational requirements.
2.6
Communicate results of compliance checks to regulated entities, consistent with
organisational requirements.
Replacement information
This unit standard replaced unit standard 26911
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.
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