NZQA registered unit standard
29201 version 1
Page 1 of 3
Title
Plan, manage, and review regulatory compliance activities
Level
5
Purpose
Credits
15
This unit standard is for people currently employed as senior
regulatory compliance practitioners.
People credited with this unit standard are able to:
–
plan and manage regulatory comp0liance activities; and
–
review the 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:
Criminal Disclosure Act 2008;
Criminal Procedure Act 2011;
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;
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
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
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 instances of regulatory compliance activity.
Outcomes and evidence requirements
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29201 version 1
Page 2 of 3
Outcome 1
Plan and manage regulatory compliance activities.
Evidence requirements
1.1
Develop plans for regulatory compliance activities, consistent with ethical, legal,
and organisational requirements, and taking into account the safety of
regulatory staff and others.
Range
1.2
plans may include but are not limited to – justification, purpose,
intended outcomes, scope, roles and responsibilities, required
resources, risk analysis, intelligence needs linked to the
organisation’s requirements, assessment of information to hand to
determine purpose of activity and possible offences/noncompliance.
Manage resources in accordance with the plans, consistent with ethical, legal,
and organisational requirements, and taking into account the safety of
regulatory staff and others.
Range
resources may include but are not limited to – human, physical,
financial, partner agencies, experts.
1.3
Monitor progress against the plans in accordance with the purposes, objectives
and priorities of the activity, and consistent with legal and organisational
requirements.
1.4
Explain any adjustments to the plans in terms of meeting the purpose and
objectives of activity, consistent with ethical, legal, and organisational
requirements and taking into account the safety of regulatory staff and others.
1.5
Contribute to intelligence processes, where they exist, consistent with ethical,
legal, and organisational requirements.
1.6
Manage files and documentation, consistent with ethical, legal, and
organisational requirements.
Range
managing files and documentation includes ensuring
completeness of information, integrity, and security.
Outcome 2
Review the regulatory compliance activities.
Evidence requirements
2.1
Conclude, review, and evaluate the activity, identifying opportunities for
improved future practice and completing post-activity procedures, consistent
with ethical, legal, and organisational requirements and taking into account the
safety of regulatory staff and others.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
Range
29201 version 1
Page 3 of 3
review and evaluation includes comparing the outcomes to
intended outcomes.
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