Application
This unit was developed for technical regulatory framework specialists working within the materiel logistics area of Defence but is applicable to any individual in this field of work. Typically these individuals 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 policies and procedures. | |
Prerequisites
Not applicable.
Elements and Performance Criteria
ELEMENT | PERFORMANCE CRITERIA |
1. Determine applicable compliance requirements | 1.1 Information on current compliance requirements applicable to the organisation or project is obtained and interpreted 1.2 Each area of compliance requirement is reviewed in terms of relevant internal and external authorities, risks involved, ways of ensuring compliance, penalties for a breach of compliance, and areas and operations of the organisation most affected. 1.3 Differences in the responsibilities between executive and engineering/technical authority and their respective roles in the compliance process are identified and clarified 1.4 Most appropriate compliant management system which satisfies the technical regulatory framework and business needs is selected or mandated for implementation |
2. Identify and select appropriate compliant management system/s | 2.1 For each area of applicable compliance, an investigation is initiated to tailor a compliant management system that is consistent with the relevant technical regulatory framework, suitable for the organisation concerned and for controlling the risks involved 2.2 Tailoring options for a suitable compliant management system and its various components are reviewed and compared on the basis of established analytical criteria 2.3 Most appropriate compliant management system which satisfies the technical regulatory framework and business needs is selected for implementation |
3. Plan required compliant management system/s | 3.1 Components of the proposed compliant management system are identified and documented 3.2 Personnel requirements for the operation of the compliant management system are identified and appropriate staff are assigned or recruited 3.3 Management information system requirements for effective and efficient operation of the compliant management system are identified and documented 3.4 Complaints management system suitable for the organisation and its compliance responsibilities is selected for establishment 3.5 Strategy for the development of a compliance management culture is determined in collaboration with relevant internal and external personnel 3.6 Suitable processes and procedures for the identification and management of breaches in compliance requirements are identified and documented 3.7 Review and reporting requirements in the various areas of compliance are determined, and suitable processes and procedures are developed 3.8 Identified resources required for the development, implementation, review and maintenance of the proposed compliant management system are budgeted and assigned |
4. Document required compliant management system | 4.1 Specifications for the various components of the proposed compliant management system are documented in accordance with the relevant technical regulatory framework requirements 4.2 Action schedule for implementing, reviewing and maintaining planned compliant management system is documented, approved and disseminated to relevant internal and external personnel 4.3 Approval is sought from appropriate internal and external personnel or authorities prior to the establishment of the proposed compliant management system |
5. Establish planned compliant management system | 5.1 Managers and operations personnel are appointed and trained before assuming their compliance management responsibilities 5.2 Components of the compliant management system are monitored in collaboration with the assigned staff in accordance with the approved plan 5.3 Operation of the compliant management system is monitored in collaboration with assigned staff as per the approved plan 5.4 Periodic reviews of the compliant management system are conducted in collaboration with assigned staff as per the approved plan 5.5 Reports on the operation and review of the compliant management system are prepared in accordance with established procedures and other compliance obligations |
Required Skills
This describes the essential skills and knowledge and their level, required for this unit. |
Required Skills |
apply configuration management knowledge relevant to work being performed apply safety, legislative and statutory requirements consult with and negotiate with relevant groups and individuals to gain understanding and support for the plan interpret organisational role relevant to configuration management plans manage projects relate to people from a range of backgrounds with a range of abilities think strategically to identify and assess potential alliances and effective strategies |
Required Knowledge |
elements of the technical regulatory framework compliance management systems such as: 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 continuous improvement processes for compliance including monitoring, evaluation and review corporate induction and training processes related to compliance management documentation of compliance requirements relevant to the specified work role/area liaison procedures (with internal and external personnel) on compliance related matters processes for the internal and external promulgation of information on compliance requirements and a compliance program management system record-keeping systems required for compliance management reporting processes and procedures on compliance management including reports on breaches and rectification action specification of compliance management functions, accountabilities and responsibilities under the technical regulatory framework strategies for maintenance of a positive compliance culture within the organisation techniques and performance indicators for monitoring the operation of a compliance program/management system implementation processes monitoring processes performance measurement relevant to technical regulatory framework compliance management plans quantitative and qualitative data analysis techniques relevant to compliance related research relevant Australian Standards and international standards research methods and techniques suitable for compliance related research projects sources of data relevant to compliance research technical integrity i.e. an item's fitness for service, safety and compliance with regulations for the protection of the environment |
Evidence Required
The evidence guide provides advice on assessment and must be read in conjunction with the Performance Criteria, Required Skills and Knowledge, 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: apply, monitor and report on relevant implementation processes analyse data and information apply knowledge to plan and establish technical regulatory framework compliant management plans to assist in work and to guide problem solving. Consistency in performance 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 | Context of assessment Competency should be assessed in the workplace or simulated workplace environment. Specific resources for assessment Access is required to: computer and relevant software relevant legislation, guidelines, procedures and protocols plans workplace documentation relevant information on compliance requirements and options for compliant management systems relevant internal and external personnel appropriate computer resources for online searching, data processing and analysis, preparing and editing reports. |
Method of assessment | In a public safety environment assessment is usually conducted via direct observation in a training environment or in the workplace via subject matter supervision and/or mentoring, which is typically recorded in a competency workbook. Assessment is completed using appropriately qualified assessors who select the most appropriate method of assessment. Assessment may occur in an operational environment or in an industry-approved simulated work environment. Forms of assessment that are typically used include: direct observation interviewing the candidate journals and workplace documentation third party reports from supervisors written or oral questions. |
Range Statement
The Range Statement relates to the Unit of Competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording in the Performance Criteria is detailed below. | |
Compliance requirements are to include | Those contained in the organisational instructions and procedures Relevant legislation from all levels of government that impacts on business operations, especially in regard to occupational health and safety, and environmental issues |
Areas of compliance requirements may include | Authorisation of engineering and maintenance organisations Defect reporting Engineering change management Engineering delegations Internal evaluation Quality management systems Risk management Standards and specifications System design acceptance Technical data management Technical/design certification Technical investigation Technical support networks |
External and internal authorities may include | Design acceptance authorities Design acceptance authority representatives Design acceptance representatives Technical regulatory authorities |
Risks may include | Those which impact either directly or indirectly on the technical integrity of materiel for which the organisation or individual is responsible |
Penalties for a breach of compliance may include | Sanctions Suspension Loss of formal recognition or accreditation Court determinations in relation to criminal or civil cases Penalties for a breach of compliance are detailed in the relevant technical regulatory framework but include breaches of: Defence Force Discipline Act relevant civil legislation and regulation relevant commercial legislation and regulation Public Service Act |
Executive and engineering/technical authority may include | Executive authority based on an individual's place in the organisational hierarchy and focuses on making decisions that facilitate achievement of organisational tasks and governance responsibilities Engineering/technical authority, which focuses on the discharge of technical responsibilities as defined in the relevant technical regulatory framework |
Tailoring a compliant management system includes | Tailoring a compliant management system that never breaches the integrity or intent of the technical regulatory framework Identifying, analysing and selecting structures, procedures and processes which best translate the Technical regulatory framework requirements into application terms for specific business units, projects and activities |
Analytical criteria may include | Cost Effectiveness Efficiency Feasibility Match to organisational culture Suitability |
Components of the proposed compliant management system may include | Breach management processes Compliance complaints handling systems Compliance related management information systems Compliance reporting procedures Continuous improvement processes for compliance including monitoring, evaluation and review Corporate induction and training processes related to compliance management Documentation of compliance requirements relevant to the organisation Liaison procedures with relevant internal and external personnel on compliance related matters Processes for internal and external promulgation and promotion of information on compliance requirements and the compliance program/management system Record-keeping systems required for compliance management Reporting processes on compliance management including reports on breaches and rectification action Specification of compliance management accountabilities/responsibilities in the organisation Strategies for development of a positive compliance culture within the organisation Techniques and performance indicators for monitoring the operation of the compliant program/management system |
Personnel requirements may include | Satisfaction of competency profile requirements in terms of: engineering/technical authority technical/design certification project management capabilities and accreditation levels technical regulatory framework competencies and levels other required professional and technical qualifications |
Management information systems include | Complying with the requirements of the Archives Act 1983 Information survivability/redundancy requirements and strategies Legal/technical archival requirements Specified registers Systems providing the medium and visibility requirements for the information types Systems recording the range, nature and characteristics of the information to be managed Traceability requirements |
Complaints management system should include | Information from an aggrieved party which may technical or administrative in nature but which does not, without further investigation, relate to or indicate a breach of compliance Recording and progression of complaints to a logical and defensible outcome |
Compliance management culture is | Following development and maintenance strategies that may encompass inclusions in competency development programs (with a focus within continuing improvement programs and change management programs and other direct internal marketing campaigns) One in which compliance is a normal business strategy which is viewed by the workforce as a positive, logical and essential goal that is inherent in the discharge of job tasks To have all engineering and technical personnel consider the technical regulatory framework principles as a normal part of daily activities in terms of: assessing the technical risk associated with the task seeking to use the approved standards required for the task ensuring that personnel allocated to the task are competent and authorised to undertake the activity using approved processes and procedures the execution of the task certifying the work is as being correct on completion |
Personnel may only | Be assigned to delegated positions and functions for which they satisfy current competency profile and certification requirements |
Identification and management of breaches may include | Processes and procedures that cover proactive and reactive measures such as: criteria for specifications site visits and inspections provider accreditation or equivalent systems contract management and review arrangements internal review audit systems standard procedures for the investigation of and graduated response to non-compliance and breaches |
Review and reporting requirements may include | Those specified in the relevant technical regulatory framework together with elaboration or extensions of these considered to be necessary for the effective application of the technical regulatory framework to the specific or localised business circumstances |
Identified resources may include | Resources for development, implementation, review and maintenance of the compliant management system and are to include time, human, fiscal, physical and materiel resources |
Documenting compliant management systems may include | Relevant aspects of organisation/systems, people, processes and data |
Action schedule may include | Budgets for implementation, review and maintenance Internal and external reporting requirements and dates for implementation, review and maintenance Key responsibilities and activities for implementation, review and maintenance Resource acquisition and maintenance schedules Staff assignments including recruitment and training schedules Target outcomes, timelines and milestones |
Authorities may only | Grant approval for a proposed compliant management system in accordance with the relevant technical regulatory framework |
Sectors
Not applicable.
Employability Skills
This unit contains employability skills. | |
Pre-requisite Unit/s | Nil |
Licensing Information
Not applicable.