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Evidence Guide: DEFCPL007 - Implement and manage technical regulatory framework compliance

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

DEFCPL007 - Implement and manage technical regulatory framework compliance

What evidence can you provide to prove your understanding of each of the following citeria?

Clarify scope and level of technical regulatory framework activities

  1. Identify and review a range of technical regulatory framework operational components and relevant business arrangements of the organisation
  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
  3. Develop and document a plan for determining relevant compliance requirements
  4. Obtain plan approval from relevant internal authority
Identify and review a range of technical regulatory framework operational components and relevant business arrangements of the organisation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop and document a plan for determining relevant compliance requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Obtain plan approval from relevant internal authority

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify compliance requirements

  1. Carry out source search of information on internal and external compliance requirements using appropriate search resources
  2. Search compliant requirements across relevant jurisdictional laws and regulations, and industry and organisational codes and standards and identify related compliance requirements
  3. Gather and progressively review information about relevant compliance requirements in terms of relevance to identified organisational operations, services and products
  4. Discuss and clarify ambiguities, uncertainties and problems experienced with relevant internal or external stakeholders
  5. Identify, analyse and prioritise relevant compliance requirements in terms of critical implications for the organisation, and risks and consequences of possible breaches
Carry out source search of information on internal and external compliance requirements using appropriate search resources

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document and communicate compliance requirements

  1. Organise and document outcomes of identification and interpretation activities in specified information management systems
  2. Obtain approval for specified information management systems documentation from appropriate internal authority
  3. Prepare reports of relevant compliance requirements and assessed implications and communicate to relevant personnel performing specific compliance management functions
Organise and document outcomes of identification and interpretation activities in specified information management systems

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement technical compliance management system

  1. Confirm components of planned technical compliance management system, and clarify proposed implementation structures and procedures
  2. Clarify budgetary arrangements for implementing planned technical compliance management system
  3. Develop implementation plan and schedule for compliance management systems in collaboration with managers and operational requirements
  4. Acquire and assign resources for approved technical regulatory framework compliance management system
  5. Ensure all relevant stakeholders are informed of their roles and responsibilities within planned technical regulatory framework compliance management system
  6. Implement compliance management system in accordance with organisational plan
Confirm components of planned technical compliance management system, and clarify proposed implementation structures and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Clarify budgetary arrangements for implementing planned technical compliance management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement compliance management system in accordance with organisational plan

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor implementation of technical compliance management system

  1. Determine agreed criteria for operation of technical compliance management system
  2. Review feedback and performance indicators on operation of technical compliance management system in terms of agreed criteria
  3. Identify problems in operation of technical compliance management system, in particular any breach of compliance requirements, and take appropriate action to address
  4. Report identified breaches in compliance through established reporting systems
Determine agreed criteria for operation of technical compliance management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report identified breaches in compliance through established reporting systems

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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

Required Skills and Knowledge

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.

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.