Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

TLIX4033A Mapping and Delivery Guide
Apply technical regulatory framework compliance management systems

Version 1.0
Issue Date: May 2024


Qualification -
Unit of Competency TLIX4033A - Apply technical regulatory framework compliance management systems
Description This unit involves the skills and knowledge required to apply and validate technical regulatory framework compliance management systems, processes and procedures established by an organisation to fulfil its obligations and responsibilities under applicable compliance requirements. There are no specific licensing or certification requirements applicable to this unit.
Employability Skills This unit contains employability skills.
Learning Outcomes and Application This unit was developed for technical regulatory framework specialists working within materiel logistics but is applicable to any individual in this field of work.Typically these individuals must demonstrate the ability to work independently or as part of a team under direct and/or indirect supervision, use discretion and judgement, and take responsibility for the quality of their outputs. All activities are carried out in accordance with relevant organisational policy and procedures.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.
Prerequisites/co-requisites Not Applicable
Competency Field
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities 		Slides
PPT 		Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Prepare for compliance roles and responsibilities
  • Structure of the organisation is examined to identify the roles, authorities, accountabilities and responsibilities of the various managers and operational staff in maintaining compliance within the technical regulatory framework
  • Technical regulatory framework compliance requirements applicable to the work area/operational unit are identified, confirmed and interpreted
  • Specific responsibilities of the individual or team are identified and clarified
  • Feedback and performance indicators on the operation of the technical compliance management processes and procedures are reviewed and agreed with the manager/team leader
  • Appropriate briefings and training are undertaken to ensure jobholder is aware of roles and responsibilities within the planned technical regulatory framework compliance management system
       
Element: Apply technical compliance management system
  • Technical regulatory framework components of technical compliance management system are confirmed, and authorised procedures for their implementation are clarified
  • Resources for the application of technical regulatory framework compliance management system are accessed and utilised in accordance with organisational policy and procedures
  • Implementation plan and schedule are accessed and applied in collaboration with managers and operations staff and in accordance with relevant technical regulatory framework
  • Essential technical regulatory framework preconditions for any duty, function or activity are confirmed before proceeding with designated or assigned work
       
Element: Validate individual application of technical compliance management processes
  • Specified information on individual's role and responsibilities within technical compliance management system is gathered from appropriate sources
  • Feedback and performance indicator satisfaction data is prepared, reviewed and processed in accordance with agreed workplace practices
  • Problems in the application of technical compliance management system and in particular any breach of compliance requirements are identified and appropriate action is initiated to address the problems concerned
  • Reports on any identified breaches of compliance requirements and related action taken are prepared and processed to the responsible authority/stakeholder
  • Records of technical regulatory framework activities are maintained in accordance with approved systems requirements
       


Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required knowledge and skills, the range statement and the assessment guidelines for this Training Package.

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Assessment must confirm the ability to:

adhere to and apply relevant data collection, storage and retrieval requirements

apply knowledge of a technical regulatory framework compliance management system to assist in work and to guide problem solving

demonstrate understanding of personal role in relation to wider organisational or project context

Competency should be demonstrated over time and should be observed in a range of actual or simulated work contexts

Context of and specific resources for assessment

Competency should be assessed in the workplace or in a simulated workplace environment

Access is required to:

computer and relevant software

legislation, guidelines, procedures and protocols relating to technical regulatory framework compliance management system

plans

workplace documentation

Method of assessment

Assessment of this unit must be undertaken by a registered training organisation

Where possible, assessment should be supported by questions to assess required knowledge. Questioning techniques should suit the language and literacy levels of the candidate

Assessment methods should reflect workplace demands such as literacy and the needs of particular groups

Assessment methods suitable for valid and reliable assessment of this unit of competency may include a combination of methods such as:

authenticated evidence from the workplace and/or training programs

case studies

demonstration

feedback from supervisors and peers regarding the candidate's ability

observation

portfolios

projects

questioning

reviews or reports prepared by the candidate

scenarios

simulation or role plays

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

REQUIRED KNOWLEDGE AND SKILLS

This describes the essential knowledge and skills and their level required for this unit.

Required knowledge:

Configuration management

Elements of the technical regulatory framework compliance management systems including:

breach management policies and processes including the identification, classification, investigation, rectification and reporting of breaches in compliance requirements

compliance complaints handling systems

compliance related management information systems

compliance reporting procedures

continuous improvement processes for compliance including validation and review

corporate induction and training processes related to compliance

documentation of compliance requirements relevant to the specified work role/area

liaison procedures with relevant internal personnel on compliance related matters

processes for the internal promulgation of information on compliance requirements

reporting processes on compliance including reports on breaches and rectification action

specification of local work area compliance management functions, authorities, accountabilities and responsibilities under the technical regulatory framework

techniques and performance indicators for validating the individual application of a compliance system

Quantitative and qualitative data analysis techniques relevant to compliance applications

Relevant Australian Standards and international standards

Sources of data relevant to compliance, including environmental, sustainability issues

Techniques suitable for applying compliance related systems and activities

Required skills:

Apply technical regulatory framework knowledge relevant to work being performed

Identify the relationship between organisational goals and recognise how own work contributes to the achievement of those goals

Operate equipment and systems relevant to technical regulatory framework activities

Use appropriate information technology and software

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance.

Technical regulatory framework compliance requirements:

may include those authorised by the relevant technical regulatory framework and contained in implementation directions from internal authorities

will be based on:

codes of practice

environmental, sustainability policies and legislation

internal policies

organisational policy and procedures

standard operating procedures

standards

Technical regulatory framework components may include:

configuration management

design and design approval

engineering including engineering change

integrated logistics support

logistics

materiel sustainment

procurement

quality

Resources may include:

access to appropriate technical expertise

communication systems

facilities

financial

human resources

information technology capabilities and systems

infrastructure

time

transport

Specified information may include:

plans

project plans

standing instructions

standard operating procedures

work flow charts

work instructions

work procedures

Breaches may include:

penalties, which may include sanctions, suspension, loss of formal recognition or accreditation, and court determination in relation to criminal or civil cases

Public Service Act

relevant civil legislation and regulations

relevant commercial legislation and regulations

Responsible authority/stakeholder may include:

compliance management team (where relevant)

compliance specialists at the operational level

legal and business advisors and consultants with expertise in compliance management

project sponsors

representatives of professional associations and institutes relevant to the organisation's operations and sphere of business

senior management team

technical regulatory authorities

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Structure of the organisation is examined to identify the roles, authorities, accountabilities and responsibilities of the various managers and operational staff in maintaining compliance within the technical regulatory framework 
Technical regulatory framework compliance requirements applicable to the work area/operational unit are identified, confirmed and interpreted 
Specific responsibilities of the individual or team are identified and clarified 
Feedback and performance indicators on the operation of the technical compliance management processes and procedures are reviewed and agreed with the manager/team leader 
Appropriate briefings and training are undertaken to ensure jobholder is aware of roles and responsibilities within the planned technical regulatory framework compliance management system 
Technical regulatory framework components of technical compliance management system are confirmed, and authorised procedures for their implementation are clarified 
Resources for the application of technical regulatory framework compliance management system are accessed and utilised in accordance with organisational policy and procedures 
Implementation plan and schedule are accessed and applied in collaboration with managers and operations staff and in accordance with relevant technical regulatory framework 
Essential technical regulatory framework preconditions for any duty, function or activity are confirmed before proceeding with designated or assigned work 
Specified information on individual's role and responsibilities within technical compliance management system is gathered from appropriate sources 
Feedback and performance indicator satisfaction data is prepared, reviewed and processed in accordance with agreed workplace practices 
Problems in the application of technical compliance management system and in particular any breach of compliance requirements are identified and appropriate action is initiated to address the problems concerned 
Reports on any identified breaches of compliance requirements and related action taken are prepared and processed to the responsible authority/stakeholder 
Records of technical regulatory framework activities are maintained in accordance with approved systems requirements 

Forms

Assessment Cover Sheet

TLIX4033A - Apply technical regulatory framework compliance management systems
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

TLIX4033A - Apply technical regulatory framework compliance management systems

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: