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

DEFCPL007 Mapping and Delivery Guide
Implement and manage technical regulatory framework compliance

Version 1.0
Issue Date: April 2024


Qualification -
Unit of Competency DEFCPL007 - Implement and manage technical regulatory framework compliance
Description
Employability Skills
Learning Outcomes and Application This unit specifies the skills and knowledge 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.It includes clarifying the scope and level of technical regulatory framework activities by identifying, documenting and communicating compliance requirements. It also includes implementing and monitoring implementation of the technical compliance management system.This unit applies to technical regulatory framework specialists working within the materiel logistics area of Defence but is applicable to all individuals who work in this field.The skills and knowledge described in this unit must be applied within the legislative, regulatory and policy environment in which they are carried out. Organisational policies and procedures must be consulted and adhered to.Persons undertaking this unit 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.No licensing, legislative or certification requirements apply to this unit at the time of publication.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.

As a minimum, assessors must satisfy applicable regulatory requirements, which include requirements in the Standards for Registered Training Organisations current at the time of assessment.

As a minimum, assessment must satisfy applicable regulatory requirements, which include requirements in the Standards for Registered Training Organisations current at the time of assessment.

Assessment processes and techniques must be appropriate to the language, literacy and numeracy requirements of the work being performed and the needs of the candidate.

Assessment must occur in workplace operational situations. Where this is not appropriate, assessment must occur in simulated workplace operational situations that reflect workplace conditions.

Resources for assessment must include access to:

a range of relevant exercises, case studies and/or other simulations

relevant and appropriate materials, computer, software, legislation, guidelines, procedures and protocols relating to technical regulatory framework currently used in industry

applicable documentation including workplace procedures, regulations, codes of practice and operation manuals.
Prerequisites/co-requisites
Competency Field Compliance
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: Clarify scope and level of technical regulatory framework activities
  • Identify and review a range of technical regulatory framework operational components and relevant business arrangements of the organisation
  • Analyse technical regulatory framework operations and relevant business arrangements of the organisation and identify functions, products and services that may be subject to compliance requirements
  • Develop and document a plan for determining relevant compliance requirements
  • Obtain plan approval from relevant internal authority
       
Element: Identify compliance requirements
  • Carry out source search of information on internal and external compliance requirements using appropriate search resources
  • Search compliant requirements across relevant jurisdictional laws and regulations, and industry and organisational codes and standards and identify related compliance requirements
  • Gather and progressively review information about relevant compliance requirements in terms of relevance to identified organisational operations, services and products
  • Discuss and clarify ambiguities, uncertainties and problems experienced with relevant internal or external stakeholders
  • Identify, analyse and prioritise relevant compliance requirements in terms of critical implications for the organisation, and risks and consequences of possible breaches
       
Element: Document and communicate compliance requirements
  • Organise and document outcomes of identification and interpretation activities in specified information management systems
  • Obtain approval for specified information management systems documentation from appropriate internal authority
  • Prepare reports of relevant compliance requirements and assessed implications and communicate to relevant personnel performing specific compliance management functions
       
Element: Implement technical compliance management system
  • Confirm components of planned technical compliance management system, and clarify proposed implementation structures and procedures
  • Clarify budgetary arrangements for implementing planned technical compliance management system
  • Develop implementation plan and schedule for compliance management systems in collaboration with managers and operational requirements
  • Acquire and assign resources for approved technical regulatory framework compliance management system
  • Ensure all relevant stakeholders are informed of their roles and responsibilities within planned technical regulatory framework compliance management system
  • Implement compliance management system in accordance with organisational plan
       
Element: Monitor implementation of technical compliance management system
  • Determine agreed criteria for operation of technical compliance management system
  • Review feedback and performance indicators on operation of technical compliance management system in terms of agreed criteria
  • Identify problems in operation of technical compliance management system, in particular any breach of compliance requirements, and take appropriate action to address
  • Report identified breaches in compliance through established reporting systems
       


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.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1

Clarify scope and level of technical regulatory framework activities

1.1

Identify and review a range of technical regulatory framework operational components and relevant business arrangements of the organisation

1.2

Analyse technical regulatory framework operations and relevant business arrangements of the organisation and identify functions, products and services that may be subject to compliance requirements

1.3

Develop and document a plan for determining relevant compliance requirements

1.4

Obtain plan approval from relevant internal authority

2

Identify compliance requirements

2.1

Carry out source search of information on internal and external compliance requirements using appropriate search resources

2.2

Search compliant requirements across relevant jurisdictional laws and regulations, and industry and organisational codes and standards and identify related compliance requirements

2.3

Gather and progressively review information about relevant compliance requirements in terms of relevance to identified organisational operations, services and products

2.4

Discuss and clarify ambiguities, uncertainties and problems experienced with relevant internal or external stakeholders

2.5

Identify, analyse and prioritise relevant compliance requirements in terms of critical implications for the organisation, and risks and consequences of possible breaches

3

Document and communicate compliance requirements

3.1

Organise and document outcomes of identification and interpretation activities in specified information management systems

3.2

Obtain approval for specified information management systems documentation from appropriate internal authority

3.3

Prepare reports of relevant compliance requirements and assessed implications and communicate to relevant personnel performing specific compliance management functions

4

Implement technical compliance management system

4.1

Confirm components of planned technical compliance management system, and clarify proposed implementation structures and procedures

4.2

Clarify budgetary arrangements for implementing planned technical compliance management system

4.3

Develop implementation plan and schedule for compliance management systems in collaboration with managers and operational requirements

4.4

Acquire and assign resources for approved technical regulatory framework compliance management system

4.5

Ensure all relevant stakeholders are informed of their roles and responsibilities within planned technical regulatory framework compliance management system

4.6

Implement compliance management system in accordance with organisational plan

5

Monitor implementation of technical compliance management system

5.1

Determine agreed criteria for operation of technical compliance management system

5.2

Review feedback and performance indicators on operation of technical compliance management system in terms of agreed criteria

5.3

Identify problems in operation of technical compliance management system, in particular any breach of compliance requirements, and take appropriate action to address

5.4

Report identified breaches in compliance through established reporting systems

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 relevant implementation processes

applying relevant operational policies and procedures

clarifying scope and level of technical regulatory framework activities

consulting with and negotiating with relevant groups and individuals

documenting and communicating compliance requirements

identifying compliance requirements

identifying, interpreting and analysing risk assessment requirements relevant to technical regulatory framework

implementing technical compliance management system

interpreting organisational role relevant to technical regulatory framework compliance management plans

monitoring implementation of technical compliance management system.

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:

identification

classification

investigation

rectification

reporting breaches in compliance requirements

compliance related management information systems

continuous improvement processes for compliance including monitoring, evaluation and review

documentation of compliance requirements

elements of the technical regulatory framework compliance management systems

liaison procedures with relevant internal and external personnel on compliance related matters

processes for internal and external promulgation of information on compliance requirements and compliance program management system

quantitative and qualitative data analysis techniques relevant to compliance related research

relevant operational policies and procedures, and compliance standards

relevant technical regulatory framework compliance management

reporting processes and procedures on compliance management including:

breaches

rectification action

research methods and techniques suitable for compliance related research projects

sources of data relevant to compliance research

specification of compliance management functions, accountabilities and responsibilities under a technical regulatory framework

techniques and performance indicators for monitoring operation of a compliance program/management system.

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.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1

Clarify scope and level of technical regulatory framework activities

1.1

Identify and review a range of technical regulatory framework operational components and relevant business arrangements of the organisation

1.2

Analyse technical regulatory framework operations and relevant business arrangements of the organisation and identify functions, products and services that may be subject to compliance requirements

1.3

Develop and document a plan for determining relevant compliance requirements

1.4

Obtain plan approval from relevant internal authority

2

Identify compliance requirements

2.1

Carry out source search of information on internal and external compliance requirements using appropriate search resources

2.2

Search compliant requirements across relevant jurisdictional laws and regulations, and industry and organisational codes and standards and identify related compliance requirements

2.3

Gather and progressively review information about relevant compliance requirements in terms of relevance to identified organisational operations, services and products

2.4

Discuss and clarify ambiguities, uncertainties and problems experienced with relevant internal or external stakeholders

2.5

Identify, analyse and prioritise relevant compliance requirements in terms of critical implications for the organisation, and risks and consequences of possible breaches

3

Document and communicate compliance requirements

3.1

Organise and document outcomes of identification and interpretation activities in specified information management systems

3.2

Obtain approval for specified information management systems documentation from appropriate internal authority

3.3

Prepare reports of relevant compliance requirements and assessed implications and communicate to relevant personnel performing specific compliance management functions

4

Implement technical compliance management system

4.1

Confirm components of planned technical compliance management system, and clarify proposed implementation structures and procedures

4.2

Clarify budgetary arrangements for implementing planned technical compliance management system

4.3

Develop implementation plan and schedule for compliance management systems in collaboration with managers and operational requirements

4.4

Acquire and assign resources for approved technical regulatory framework compliance management system

4.5

Ensure all relevant stakeholders are informed of their roles and responsibilities within planned technical regulatory framework compliance management system

4.6

Implement compliance management system in accordance with organisational plan

5

Monitor implementation of technical compliance management system

5.1

Determine agreed criteria for operation of technical compliance management system

5.2

Review feedback and performance indicators on operation of technical compliance management system in terms of agreed criteria

5.3

Identify problems in operation of technical compliance management system, in particular any breach of compliance requirements, and take appropriate action to address

5.4

Report identified breaches in compliance through established reporting systems

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.

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
Identify and review a range of technical regulatory framework operational components and relevant business arrangements of the organisation 
Analyse technical regulatory framework operations and relevant business arrangements of the organisation and identify functions, products and services that may be subject to compliance requirements 
Develop and document a plan for determining relevant compliance requirements 
Obtain plan approval from relevant internal authority 
Carry out source search of information on internal and external compliance requirements using appropriate search resources 
Search compliant requirements across relevant jurisdictional laws and regulations, and industry and organisational codes and standards and identify related compliance requirements 
Gather and progressively review information about relevant compliance requirements in terms of relevance to identified organisational operations, services and products 
Discuss and clarify ambiguities, uncertainties and problems experienced with relevant internal or external stakeholders 
Identify, analyse and prioritise relevant compliance requirements in terms of critical implications for the organisation, and risks and consequences of possible breaches 
Organise and document outcomes of identification and interpretation activities in specified information management systems 
Obtain approval for specified information management systems documentation from appropriate internal authority 
Prepare reports of relevant compliance requirements and assessed implications and communicate to relevant personnel performing specific compliance management functions 
Confirm components of planned technical compliance management system, and clarify proposed implementation structures and procedures 
Clarify budgetary arrangements for implementing planned technical compliance management system 
Develop implementation plan and schedule for compliance management systems in collaboration with managers and operational requirements 
Acquire and assign resources for approved technical regulatory framework compliance management system 
Ensure all relevant stakeholders are informed of their roles and responsibilities within planned technical regulatory framework compliance management system 
Implement compliance management system in accordance with organisational plan 
Determine agreed criteria for operation of technical compliance management system 
Review feedback and performance indicators on operation of technical compliance management system in terms of agreed criteria 
Identify problems in operation of technical compliance management system, in particular any breach of compliance requirements, and take appropriate action to address 
Report identified breaches in compliance through established reporting systems 

Forms

Assessment Cover Sheet

DEFCPL007 - Implement and manage technical regulatory framework compliance
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

DEFCPL007 - Implement and manage technical regulatory framework compliance

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: