NZQA registered unit standard
26913 version 1
Page 1 of 4
Title
Respond to calls for service in a compliance environment
Level
4
Credits
8
Purpose
This unit standard is intended for people who work in
compliance roles in public sector organisations. People
credited with this unit standard are able to explain initial
response to calls for service in a compliance environment, and
respond to calls for service in a compliance environment.
Classification
Public Sector Compliance > Public Sector Compliance
Operations
Available grade
Achieved
Explanatory notes
1
Legislation applicable to this unit standard may include but is not limited to:
Criminal Disclosure Act 2008;
Evidence Act 2006;
Privacy Act 1993;
New Zealand Bill of Rights Act 1990;
Local Government Official Information and Meetings Act 1987;
Official Information Act 1982;
Crimes Act 1961; and
specific legislation mandating the powers and duties of a specific agency with respect
to its compliance role and/or any other legislation applicable to a particular
compliance situation (e.g. Fisheries Act 1996, Resource Management Act 1991).
Legislation includes any applicable subordinate legislation such as regulations,
bylaws, and licence conditions. Any legislation superseding any of the above will
apply for the purpose of assessment.
2
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 organisation-specific code or codes of conduct.
3
Range
Evidence of at least three calls for service that result in the candidate taking action to
respond is required.
The Skills Organisation
SSB Code 100401
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
26913 version 1
Page 2 of 4
4
For the purpose of this unit standard, a response to a call for service relates to
actions taken by a compliance officer, upon notification of the call, to satisfy the
service request. Satisfying the service request may mean gathering sufficient
information to determine further action.
5
Definitions
Assist, for the purpose of this unit standard, refers to providing help or support to a
compliance subject with the aim of encouraging compliance.
Calls for service, for the purpose of this unit standard, relate to the receipt of
information alleging non-compliance or requesting compliance assistance. Sources
of calls for service may include but are not limited to – a complaint, an internal or
external referral, a tip-off, anonymous information, a request for assistance from a
compliance subject, an enquiry from a member of the public.
Compliance (role of) refers to the role, in a public sector organisation, of assessing
compliance subjects’ levels of adherence with regulatory requirements and carrying
out any appropriate intervention.
Compliance environment refers to the physical, social, economic, political, and
geographical environment that a public sector organisation’s compliance role is
carried out in.
Compliance subject refers to a natural person or an entity that is subject, in a
particular compliance context, to being regulated.
Inform, for the purpose of this unit standard, refers to giving information to a
compliance subject with the aim of encouraging compliance.
Organisation refers to a public sector organisation, as listed in the Public Sector
Directory at http://psd.govt.nz/list/index.php.
Organisational requirements refer to instructions to staff on policies, procedures, and
methodologies which are documented and are available in the workplace.
Others may include but are not limited to colleagues from own and/or other
organisations, contractors, compliance subjects, potential or actual victims,
witnesses, members of the public including any bystanders, and emergency support
personnel.
Sanction (noun) is a penalty or other punishment imposed for a breach of the law.
Outcomes and evidence requirements
Outcome 1
Explain initial response to calls for service in a compliance environment.
Evidence requirements
1.1
Explanation includes assessment process for determining whether or not the
calls for service matter are within own organisation’s jurisdiction, consistent with
organisational requirements.
1.2
Explanation includes how calls for service not within own organisation’s
jurisdiction are redirected and explained to relevant parties, consistent with
organisational requirements.
Range
The Skills Organisation
SSB Code 100401
may include advice on rights, obligations, recourse to other
organisation or organisations, and/or redirection to another person
within own organisation.
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
26913 version 1
Page 3 of 4
1.3
Explanation includes how calls for service within jurisdiction are managed,
consistent with organisational requirements.
1.4
Explanation includes how calls for service are recorded, if required, consistent
with organisational requirements.
Outcome 2
Respond to calls for service in a compliance environment.
Evidence requirements
2.1
Intended responses to the calls for service are assessed, determined, planned,
prioritised, and communicated in accordance with organisational requirements.
assessment may include but is not limited to – previous
complaints, previous actions in regard to the compliance subject,
internal and external risk factors, safety for self and others,
organisational priorities, available resources, urgency.
Range
2.2
Responses to the calls for service are in accordance with organisational
requirements and needs of the situations.
may include but is not limited to – managing self and others safely,
appraising situation, establishing facts and circumstances,
identifying potential breaches, managing situation, managing
scene, collecting and/or securing evidence, identifying compliance
subjects and/or witnesses, interviewing, contemporaneous notetaking, liaising with other compliance personnel.
Range
2.3
Responses to the calls for service are completed in accordance with
organisational requirements and the needs of the situations.
may involve but is not limited to – no further action, plan further
action, handover to expert or experts or other third party,
communicate with relevant parties, gather and secure exhibits,
inform and/or assist, impose or recommend sanction or directive.
Range
2.4
Responses to the calls for service are documented in accordance with
organisational requirements.
Planned review date
31 December 2015
Status information and last date for assessment for superseded versions
Process
Version Date
Last Date for Assessment
Registration
1
The Skills Organisation
SSB Code 100401
15 April 2011
N/A
 New Zealand Qualifications Authority 2016
NZQA registered unit standard
26913 version 1
Page 4 of 4
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 info@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