NZQA registered unit standard
29197 Version 1
Page 1 of 3
Title
Carry out regulatory compliance interventions
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 carry out
regulatory compliance interventions.
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;
Criminal Disclosure Act 2008;
Criminal Procedure Act 2011;
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;
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
29197 Version 1
Page 2 of 3
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 of an intervention for each of three different situations, from the range of
interventions available to the candidate.
Outcomes and evidence requirements
Outcome 1
Carry out regulatory compliance interventions.
Range
may include but is not limited to – infringement notice, formal warning,
prosecution, formal directive, education, enforcement order, communication
response, negotiated actions, renewal, suspension of licence, compliance
notice, settlement, injunctions and seizing, or detaining property/persons.
Evidence Requirements
1.1
Carry out regulatory compliance interventions in accordance with any plans,
and consistent with ethical and organisational requirements.
Range
may include – code of conduct, State Sector Act 1988, lawful
conduct, integrity, objectivity.
1.2
Choose and/or recommend interventions, where the candidate has the
delegated authority, consistent with compliance model and the needs of the
situation.
1.3
Develop and maintain operational relationships with stakeholders.
Range
1.4
Communicate effectively with persons regarding the interventions, using nonverbal, oral and/or written communication, consistent with organisational
requirements.
Range
1.5
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.
communication may include but is not limited to – active listening,
demonstrating empathy, building rapport whilst maintaining
appropriate boundaries, use of questions to obtain and clarify
information.
Record actions taken, any responses of the regulated entities, and results
achieved at the time, consistent with organisational requirements.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29197 Version 1
Page 3 of 3
Replacement information
This unit standard replaced unit standard 26922.
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