Assessor Resource

DEFCM309A
Implement and manage technical regulatory framework compliance

Assessment tool

Version 1.0
Issue Date: April 2024


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 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 policies and procedures.

This unit covers the competency required to implement, manage and monitor the range of external and internal technical regulatory framework compliance requirements and obligations that must be fulfilled by an organisation.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)

Prerequisites

Not applicable.

Employability Skills

This unit contains employability skills.



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 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 of technical regulatory framework compliance 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

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, 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.

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

Required Skills

apply safety, legislative and statutory requirements

apply technical regulatory framework compliance management knowledge relevant to work being performed

consult with and negotiate with relevant groups and individuals to gain understanding and support for the plan

interpret organisational role relevant to technical regulatory framework compliance 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 relevant 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

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.

Technical regulatory framework operational components may include:

Configuration management

Design and design approval

Engineering including engineering change

Integrated logistic support

Logistics

Procurement

Quality

Sustainment

Business arrangements may include:

Alliances

Contracted services

Design support networks

Technical support networks

Compliance requirements are those:

Drawn from the established technical regulatory framework and identified as being directly relevant to the particular circumstances under consideration

Internal authorities may include:

Engineering delegates

Executives

Managers

Technical experts

Sources of information on internal and external compliance requirements may include:

Organisational policies and procedures, internal policies, standard operating procedures, standards, codes of practice

Published material relevant to compliance held in either internal or external libraries

Relevant legislation from all levels of government that impacts on business operations, especially in regard to work health and safety, and environmental issues

Relevant legislation, regulations and licensing requirements pertinent to the organisation’s operations and sphere of business

Search resources may include:

Computer terminals linked to data sources either via the internet, internal networks, CD-ROMs, DVDs or other multimedia resources

Library resources and materials including compliance related books, journals, manuals, standards, CD-ROMs, DVDs and other multimedia resources

Published information on relevant legislation, regulations, licensing requirements, codes of practice, Australian Standards, etc.

Relevant technical regulatory framework dealing with compliance requirements and related compliant program/management systems

Relevant jurisdictional laws and regulations, and industry and organisational codes and standards may include:

External industry

International

Local

National

State/territory

Information on relevant compliance requirements may include:

Correspondence, emails and other written information provided by internal and external personnel contacted during search activities

Information downloadable from relevant internet websites

Newsletters, bulletins, information sheets and other similar periodic documentation distributed by relevant regulatory authorities and standards bodies

Published information on legislation, regulations, codes of practice, standards, licensing requirements, standard operating procedures, etc.

Records of conversations and meetings with relevant internal and external personnel

Relevant technical regulatory framework

Relevant internal stakeholders may include:

Chief executive officer

Compliance management team (where relevant)

Compliance specialists at the operational level

Project sponsors

Senior management team

Relevant external stakeholders may include:

Legal and business advisors and consultants with expertise in compliance management

Representatives of professional associations and institutes relevant to the organisation’s operations and sphere of business

Technical regulatory authorities

Breaches may include:

those detailed in the relevant technical regulatory framework/s such as:

Compliance to the relevant Technical regulatory framework

Defence Force Discipline Act

Penalties such as sanctions, suspensions, loss of formal recognition or accreditation and court determinations in relation to criminal or civil cases

Public Service Act

Relevant civil legislation and regulations

Relevant commercial legislation and regulations

Specified information management systems documentation may include:

Plans

Project plans

Standard operating procedures

Standing instructions

Work flow charts

Work instructions

Work procedures

Resources may include:

Access to appropriate technical expertise

Financial

Information technology capabilities and systems

Infrastructure

Personnel

Time

Transport

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
Range of technical regulatory framework operational components and relevant business arrangements of the organisation are identified and reviewed. 
Analysis of the technical regulatory framework operations and relevant business arrangements of the organisation is conducted and the functions, products and services that may be subject to compliance requirements are identified. 
Plan for determining relevant compliance requirements is developed and documented. 
Approval for the plan is obtained from the relevant internal authority. 
Search is carried out of sources of information on internal and external compliance requirements using appropriate search resources. 
Search of compliant requirements, scans across all relevant jurisdictional laws and regulations, and industry and organisational codes and standards are undertaken and related compliance requirements are identified. 
Gathered information on relevant compliance requirements is progressively reviewed in terms of its relevance to organisational operations, services and products. 
Ambiguities, uncertainties and problems experienced while interpreting identified compliance information are discussed and clarified with relevant internal or external stakeholders.. 
Relevant compliance requirements are identified, analysed and prioritised in terms of critical implications for the organisation, and the risks and consequences of possible breaches. 
Outcomes of the identification and interpretation activities are organised and documented in specified information management systems documentation. 
Specified information management systems documentation is approved by appropriate internal authority. 
Reports of relevant compliance requirements and assessed implications are prepared and communicated to relevant personnel performing specific compliance management functions. 
Components of the planned technical compliance management system are confirmed and proposed structures, procedures and budgetary arrangements for their implementation are clarified. 
Implementation plan and schedule are developed for the compliance management systems in collaboration with managers and operations staff in accordance with the relevant technical regulatory framework. 
Resources for the technical regulatory framework compliance management system are acquired and assigned in accordance with organisational policies and procedures . 
Appropriate briefings and training are arranged to ensure relevant stakeholders including managers and operations staff are aware of their roles and responsibilities within the planned technical regulatory framework compliance management system. 
Compliance management system is implemented in accordance with organisational plan. 
Agreed criteria for the operation of the technical compliance management system are determined. 
Specified information on the operation of the technical compliance management system is gathered from appropriate sources. 
Feedback and performance indicators on the operation of the technical compliance management system are reviewed in terms of agreed criteria. 
Problems in the operation of the technical compliance management system, in particular any breach of compliance requirements, are identified and appropriate action is taken to address problems. 
Where breaches in compliance requirements occur, specific timely action as detailed in the established compliance program is initiated and all relevant internal and external personnel are informed through the established reporting systems. 

Forms

Assessment Cover Sheet

DEFCM309A - Implement and manage technical regulatory framework compliance
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Assessment Record Sheet

DEFCM309A - Implement and manage technical regulatory framework compliance

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