NZQA registered unit standard
29199 version 1
Page 1 of 3
Title
Demonstrate and apply knowledge of a risk-based approach to
regulatory compliance activities
Level
5
Purpose
Credits
5
This unit standard is for people currently employed as senior
regulatory compliance practitioners.
People credited with this unit standard are able to:
–
describe risk management in relation to regulatory
compliance activities; and
–
apply a risk-based approach to regulatory compliance
activities.
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:
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 or 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
Describe risk management in relation to regulatory compliance activities.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29199 version 1
Page 2 of 3
Evidence requirements
1.1
Describe the purpose, principles, and practice of risk management in a
regulatory compliance context, consistent with legal and organisational
requirements.
Outcome 2
Apply a risk-based approach to regulatory compliance activities.
Range
may include but is not limited to – targeting resources to achieve compliance
outcomes, applying an intelligence-led approach to solving regulatory
compliance problems, determining risk assessment criteria.
Evidence requirements
2.1
Identify and assess risks based on defined risk assessment criteria, consistent
with legal and organisational requirements.
2.2
Determine priorities for focusing compliance activities, consistent with legal and
organisational requirements.
2.3
Apply risk assessment to define the scope, focus, and conduct of regulatory
compliance activities, consistent with legal and organisational requirements and
taking into account the safety of regulatory staff and others.
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.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29199 version 1
Page 3 of 3
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