NZQA registered unit standard
29196 version 1
Page 1 of 4
Title
Conduct routine regulatory compliance investigations
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:
–
plan investigations as a regulatory compliance officer;
–
conduct the investigations;
–
evaluate the investigations;
–
finalise and review the investigations; and
–
produce documentation relating to the investigations.
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;
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;
State Sector Act 1988;
Te Tiriti o Waitangi/Treaty of Waitangi;
Trespass Act 1980;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
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29196 version 1
Page 2 of 4
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.
b Evidence must be from at least two investigations within the scope of the
candidate’s role and which require preparation.
Outcomes and evidence requirements
Outcome 1
Plan investigations as a regulatory compliance officer.
Evidence requirements
1.1
Plan methods and tasks to serve the needs of the investigations in accordance
with organisational requirements.
1.2
Observe organisational standards of conduct and integrity required of people
working in a regulatory compliance role.
Range
may include – code of conduct, State Sector Act 1988, lawful
conduct, integrity, objectivity, ethical behaviour.
Outcome 2
Conduct the investigations.
Evidence requirements
2.1
Carry out the investigations according to plan.
Range
original or revised.
2.2
Follow safety and wellbeing procedures according to organisational and/or
situational requirements.
2.3
Identify and access resources for the investigations.
2.4
Communicate effectively with regulatory compliance stakeholders, using nonverbal, oral, and written communication, consistent with organisational
requirements.
Range
2.5
communication includes – active listening, demonstrating
empathy, building rapport whilst maintaining appropriate
boundaries, use of questions to obtain and clarify information.
Develop and maintain operational relationships with stakeholders.
Range
The Skills Organisation
SSB Code 100401
may include – regulated entities, other stakeholders in relation to
one’s role (such as members of interest groups, members of the
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29196 version 1
Page 3 of 4
public), consistency with Te Tiriti o Waitangi/Treaty of Waitangi
requirements.
Outcome 3
Evaluate the investigations.
Evidence requirements
3.1
Evaluate the investigations to draw conclusions.
may include but is not limited to – information/evidence gained,
culpability of persons involved, actions not yet completed, further
action required.
Range
Outcome 4
Finalise and review the investigations.
Evidence requirements
4.1
Complete post-investigation procedures in accordance with organisational
requirements.
Range
4.2
excludes judicial proceedings.
Identify opportunities for improved future practice.
includes but is not limited to – success or otherwise of the
investigation plan.
Range
Outcome 5
Produce documentation relating to the investigations.
Evidence Requirements
5.1
Produce documentation relating to the investigations, consistent with
organisational requirements.
Range
format, accuracy, language.
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
The Skills Organisation
SSB Code 100401
18 February 2016
N/A
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29196 version 1
Page 4 of 4
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