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Elements and Performance Criteria

1. Determine applicable compliance requirements
   • Obtain and interpret information about current compliance requirements applicable to the organisation or project
   • Review each area of compliance required 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
   • Identify and clarify differences in responsibilities between executive and engineering/technical authority and their respective roles in the compliance process
   • Evaluate and select the most appropriate compliant management system that meets the technical regulatory framework and business needs
2. Identify and select appropriate compliant management system/s
   • Initiate an investigation to tailor a compliant management system for each area of applicable compliance that is consistent with the relevant technical regulatory framework, suitable for the organisation concerned and for controlling the risks involved
   • Review and compare tailoring options for a suitable compliant management system and its various components on the basis of established analytical criteria
   • Select the most appropriate compliant management system for implementation that satisfies the technical regulatory framework and business needs
3. Plan required compliant management system/s
   • Identify and document components of proposed compliant management system
   • Identify personnel requirements for operation of the compliant management system and assign or recruit appropriate staff
   • Identify and document management information system requirements for effective and efficient operation of the compliant management system
   • Select for establishment, the most suitable complaints management system for the organisation and its compliance responsibilities
   • Determine the strategy for the development of a compliance management culture in consultation with key stakeholders
   • Identify and document suitable processes and procedures to identify and manage breaches in compliance requirements
   • Determine review and reporting requirements across different areas of compliance, and develop suitable processes and procedures
   • Budget and assign resources required for the development, implementation, review and maintenance of the proposed compliant management system
4. Document required compliant management system
   • Document specifications for the various components of the proposed compliant management system in accordance with the relevant technical regulatory framework requirements
   • Document, approve and disseminate to relevant key stakeholders, a schedule for implementation, review and maintenance of the planned compliant management system
   • Seek approval from appropriate authorities prior to establishing the proposed compliant management system
5. Implement compliant management system
   • Appoint and train managers and operations personnel to undertake their compliance management responsibilities
   • Monitor components and operation of the compliant management system in collaboration with assigned staff in accordance with approved plan
   • Evaluate compliant management system in collaboration with assigned staff in accordance with approved plan
   • Prepare reports about the operation and evaluation of the compliant management system in accordance with compliance requirements and recommend remedial actions, as required

Range Statement

Range is restricted to essential operating conditions and any other variables essential to the work environment. Non-essential conditions may be found in the Companion Volume Implementation Guide.

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Performance Evidence

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria on at least one occasion and include: analysing data and information applying, monitoring and reporting on relevant implementation processes applying organisational policies and procedures consulting with and negotiating with relevant stakeholders determining applicable compliance requirements identifying and assessing potential alliances and effective strategies identifying and selecting appropriate compliant management system/s identifying, interpreting and analysing risk assessment requirements relevant to work performed implementing a compliant management system interpreting organisational role relevant to configuration management plans planning and implementing technical regulatory framework compliant management plans to assist in work and to guide problem solving.

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Knowledge Evidence

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria and include knowledge of: 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 elements of the technical regulatory framework compliance management systems liaison procedures with key stakeholders on compliance and compliance management systems performance measurement relevant to technical regulatory framework compliance management plans quantitative and qualitative data analysis techniques relevant to compliance related research record-keeping systems required for compliance management relevant organisational policies and procedures, and industry standards reporting processes and procedures for compliance management including reports on breaches and rectification action sources of data relevant to compliance research specification of compliance management functions, accountabilities and responsibilities under the technical regulatory framework strategies for maintenance of a positive compliance culture within the organisation technical integrity i.e. an item’s fitness for service, safety and compliance with regulations for the protection of the environment.

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