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

DEFCM312A Mapping and Delivery Guide
Plan and establish technical regulatory framework compliant management systems

Version 1.0
Issue Date: March 2024


Qualification -
Unit of Competency DEFCM312A - Plan and establish technical regulatory framework compliant management systems
Description This unit covers the competency required to plan and establish an appropriate technical regulatory framework compliant management system to enable an organisation to fulfil its obligations and responsibilities under applicable technical compliance requirements.This unit is intended to ensure that compliance is an integral part of normal business operations.
Employability Skills This unit contains employability skills.
Learning Outcomes and 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.
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: Determine applicable compliance requirements
  • Information on current compliance requirements applicable to the organisation or project is obtained and interpreted.
  • 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.
  • Differences in the responsibilities between executive and engineering/technical authority and their respective roles in the compliance process are identified and clarified.
  • Most appropriate compliant management system which satisfies the technical regulatory framework and business needs is selected or mandated for implementation.
       
Element: Identify and select appropriate compliant management system/s
  • 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.
  • Tailoring options for a suitable compliant management system and its various components are reviewed and compared on the basis of established analytical criteria.
  • Most appropriate compliant management system which satisfies the technical regulatory framework and business needs is selected for implementation.
       
Element: Plan required compliant management system/s
  • Components of the proposed compliant management system are identified and documented.
  • Personnel requirements for the operation of the compliant management system are identified and appropriate staff are assigned or recruited.
  • Management information system requirements for effective and efficient operation of the compliant management system are identified and documented.
  • Complaints management system suitable for the organisation and its compliance responsibilities is selected for establishment.
  • Strategy for the development of a compliance management culture is determined in collaboration with relevant internal and external personnel.
  • Suitable processes and procedures for the identification and management of breaches in compliance requirements are identified and documented.
  • Review and reporting requirements in the various areas of compliance are determined, and suitable processes and procedures are developed.
  • Identified resources required for the development, implementation, review and maintenance of the proposed compliant management system are budgeted and assigned.
       
Element: Document required compliant management system
  • Specifications for the various components of the proposed compliant management system are documented in accordance with the relevant technical regulatory framework requirements.
  • Action schedule for implementing, reviewing and maintaining planned compliant management system is documented, approved and disseminated to relevant internal and external personnel..
  • Approval is sought from appropriate internal and external personnel or authorities prior to the establishment of the proposed compliant management system.
       
Element: Establish planned compliant management system
  • Managers and operations personnel are appointed and trained before assuming their compliance management responsibilities.
  • Components of the compliant management system are monitored in collaboration with the assigned staff in accordance with the approved plan.
  • Operation of the compliant management system is monitored in collaboration with assigned staff as per the approved plan.
  • Periodic reviews of the compliant management system are conducted in collaboration with assigned staff as per the approved plan.
  • Reports on the operation and review of the compliant management system are prepared in accordance with established procedures and other compliance obligations.
       


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 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


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.

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

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 must 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 work 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 may include:

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 may 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 may 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

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
Information on current compliance requirements applicable to the organisation or project is obtained and interpreted. 
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. 
Differences in the responsibilities between executive and engineering/technical authority and their respective roles in the compliance process are identified and clarified. 
Most appropriate compliant management system which satisfies the technical regulatory framework and business needs is selected or mandated for implementation. 
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. 
Tailoring options for a suitable compliant management system and its various components are reviewed and compared on the basis of established analytical criteria. 
Most appropriate compliant management system which satisfies the technical regulatory framework and business needs is selected for implementation. 
Components of the proposed compliant management system are identified and documented. 
Personnel requirements for the operation of the compliant management system are identified and appropriate staff are assigned or recruited. 
Management information system requirements for effective and efficient operation of the compliant management system are identified and documented. 
Complaints management system suitable for the organisation and its compliance responsibilities is selected for establishment. 
Strategy for the development of a compliance management culture is determined in collaboration with relevant internal and external personnel. 
Suitable processes and procedures for the identification and management of breaches in compliance requirements are identified and documented. 
Review and reporting requirements in the various areas of compliance are determined, and suitable processes and procedures are developed. 
Identified resources required for the development, implementation, review and maintenance of the proposed compliant management system are budgeted and assigned. 
Specifications for the various components of the proposed compliant management system are documented in accordance with the relevant technical regulatory framework requirements. 
Action schedule for implementing, reviewing and maintaining planned compliant management system is documented, approved and disseminated to relevant internal and external personnel.. 
Approval is sought from appropriate internal and external personnel or authorities prior to the establishment of the proposed compliant management system. 
Managers and operations personnel are appointed and trained before assuming their compliance management responsibilities. 
Components of the compliant management system are monitored in collaboration with the assigned staff in accordance with the approved plan. 
Operation of the compliant management system is monitored in collaboration with assigned staff as per the approved plan. 
Periodic reviews of the compliant management system are conducted in collaboration with assigned staff as per the approved plan. 
Reports on the operation and review of the compliant management system are prepared in accordance with established procedures and other compliance obligations. 

Forms

Assessment Cover Sheet

DEFCM312A - Plan and establish technical regulatory framework compliant management systems
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Assessment Record Sheet

DEFCM312A - Plan and establish technical regulatory framework compliant management systems

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

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