NZQA registered unit standard
29203 version 1
Page 1 of 4
Title
Conduct and conclude regulatory compliance inspections
Level
5
Purpose
Credits
20
This unit standard is for people currently employed as senior
regulatory compliance practitioners.
People credited with this unit standard are able to:
–
conduct regulatory compliance inspections;
–
analyse evidence of compliance to arrive at findings of
the inspections;
–
identify interventions for achieving and/or improving
compliance; and
–
determine and report recommendations and/or
interventions based on findings of the inspections.
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
The term conformance may be used, if preferred, instead of compliance.
3
Legislation and standards relevant to this unit standard include but are not limited to:
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 and replacements.
4
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
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
29203 version 1
Page 2 of 4
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 inspections.
Outcomes and evidence requirements
Outcome 1
Conduct regulatory compliance inspections.
Evidence requirements
1.1
Conduct regulatory compliance inspections in accordance with inspection plans,
and consistent with ethical, legal, and organisational requirements, and taking
into account the safety of regulatory staff and others.
1.2
Gather and manage evidence and information using inspection practices and
techniques consistent with ethical, legal, and organisational requirements and
taking into account the safety of regulatory staff and others.
1.3
Contribute to intelligence processes, where they exist, consistent with ethical,
legal, and organisational requirements and taking into account the safety of
regulatory staff and others.
1.4
Create inspection documentation, consistent with ethical, legal, and
organisational requirements.
1.5
Conclude the inspections, consistent with ethical, legal, and organisational
requirements and taking into account the safety of regulatory staff and others.
Outcome 2
Analyse evidence of compliance to arrive at findings of the inspections.
Evidence requirements
2.1
Analyse the evidence gathered during the inspections to determine the findings
of the inspections, consistent with the objectives of the inspections.
2.2
Analyse any instances of non-compliance.
2.3
Identify any associated areas of risk.
2.4
Comply with the organisation’s regulatory compliance policies, priorities, and
directions.
Range
2.5
may include but is not limited to – the organisation’s regulatory
model, intervention decision-making criteria.
Determine findings that are, supported by facts, based on the analysis of
evidence, and are consistent with ethical, legal, and organisational
requirements.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
2.6
29203 version 1
Page 3 of 4
Contribute to intelligence processes, where they exist, consistent with ethical,
legal, and organisational requirements.
Outcome 3
Identify interventions for achieving and/or improving compliance.
Evidence requirements
3.1
Identify interventions for achieving and/or improving compliance, consistent with
ethical, legal, and organisational requirements.
Outcome 4
Determine and report recommendations and/or interventions based on findings of the
inspections.
Evidence requirements
4.1
Make recommendations and/or carry out interventions based on inspection
findings consistent with ethical, legal, and organisational requirements.
4.2
Specify the findings, recommendations and/or interventions, and any barriers to
achieving compliance.
4.3
Report the recommendations and/or interventions to stakeholders, consistent
with ethical, legal, and organisational requirements.
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
29203 version 1
Page 4 of 4
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