NZQA registered unit standard 29195 Version 1
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Title Conduct routine regulatory compliance operations
Level
Purpose
4 Credits 10
This unit standard is for people currently employed as regulatory compliance officers.
People credited with this unit standard are able to:
– develop plans for the compliance operations;
– prepare and manage resources for the compliance operations;
– conduct the compliance operations;
– finalise and review the compliance operations; and
– produce documentation relating to the compliance operations.
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:
Children, Young Persons, and Their Families Act 1989;
Crimes Act 1961;
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;
Search and Surveillance Act 2012;
Te Tiriti o Waitangi/Treaty of Waitangi;
Trespass Act 1980; 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 2020

NZQA registered unit standard 29195 Version 1
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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 must be from at least two operations within the scope of the candidate’s role and which require preparation and are managed.
Outcome 1
Develop plans for the compliance operations.
Evidence Requirements
1.1 Specify the purpose, objectives, and intended outcomes of the operations, consistent with or ganisation’s mandate.
1.2 Identify and plan resources, and plan documentation, reporting, record keeping, tasks, and responsibilities, consistent with organisational requirements and operation focus.
Outcome 2
Prepare and manage resources for the compliance operations.
Evidence Requirements
2.1 Prepare and manage resources in accordance with candidate’s role and the plan, consistent with ethical and organisational requirements.
Range resources may include – human, physical; human resources may include
– regulated entities, other stakeholders in relation to one’s role (such as members of interest groups, members of the public); consistent with Te Tiriti o Waitangi/Treaty of Waitangi requirements.
Outcome 3
Conduct the compliance operations.
Evidence Requirements
3.1 Conduct the regulatory compliance operations in accordance with the plan, consistent with ethical, legal, and organisational requirements.
3.2 Manage resources during the compliance operations.
3.3
3.4
Monitor progress against the plan objectives.
Develop and maintain operational relationships with stakeholders.
The Skills Organisation
SSB Code 100401

New Zealand Qualifications Authority 2020

NZQA registered unit standard
Range
29195 Version 1
Page 3 of 4 includes – regulated entities, colleagues in candidate’s own organisation, other stakeholders in relation to candidate’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.
3.5 Communicate effectively with regulatory compliance stakeholders, using nonverbal, oral, and written communication, consistent with organisational requirements.
Range communication includes – active listening, demonstrating empathy, building rapport whilst maintaining appropriate boundaries, use of questions to obtain and clarify information, written communication.
Outcome 4
Finalise and review the compliance operations.
Evidence Requirements
4.1 Complete post-operation procedures in accordance with organisational requirements.
4.2 Identify opportunities for improved future practice.
Outcome 5
Produce documentation relating to the compliance operation.
Evidence Requirements
5.1 Produce documentation relating to the compliance operations consistent with organisational requirements.
Range format, accuracy, language.
Replacement information This unit standard replaced unit standard 26910.
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
The Skills Organisation
SSB Code 100401

New Zealand Qualifications Authority 2020

NZQA registered unit standard 29195 Version 1
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0121 Consent and Moderation Requirements (CMR) reference
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 2020