NZQA registered unit standard
29198 version 1
Page 1 of 3
Title
Create and manage regulatory compliance records
Level
4
Purpose
Credits
5
This unit standard is for people currently employed as
regulatory compliance officers.
People credited with this unit standard are able to:
–
produce records in a regulatory compliance environment;
and
–
manage records in a regulatory compliance environment.
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.
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;
Evidence Act 2006;
Local Government Official Information and Meetings Act 1987;
Official Information Act 1982;
Privacy Act 1993;
Public Records Act 2005;
and any subsequent amendments and replacements.
3
Range
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.
Outcomes and evidence requirements
Outcome 1
Produce records in a regulatory compliance environmentEvidence Requirements
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29198 version 1
Page 2 of 3
1.1
Produce records from regulatory compliance activities, consistent with activity
outcomes and processes, organisational standards, and legal requirements.
1.2
Ensure contemporaneous records are accurate, full, and objective, and written
statements are endorsed as accurate records.
1.3
Produce records which are consistent in style and follow organisational
requirements.
1.4
Communicate effectively with regulatory compliance stakeholders using written
communication, consistent with organisational requirements.
Outcome 2
Manage records in a regulatory compliance environment.
Evidence Requirements
2.1
Manage records to ensure organisational requirements are met.
2.2
Manage records to ensure their integrity and security.
2.3
Manage records in accordance with legal requirements.
Range
Privacy Act 1993, Local Government Official Information and
Meetings Act 1987 or Official Information Act 1982, Public
Records Act 2005, New Zealand Bill of Rights Act 1990, Victims’
Rights Act 1990.
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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29198 version 1
Page 3 of 3
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