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Evidence Guide: PUADEFCM312A - Plan and establish technical regulatory framework compliant management systems

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

 

PUADEFCM312A - Plan and establish technical regulatory framework compliant management systems

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

Determine applicable compliance requirements

  1. Information on current compliance requirements applicable to the organisation or project is obtained and interpreted
  2. 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.
  3. Differences in the responsibilities between executive and engineering/technical authority and their respective roles in the compliance process are identified and clarified
  4. Most appropriate compliant management system which satisfies the technical regulatory framework and business needs is selected or mandated for implementation
Information on current compliance requirements applicable to the organisation or project is obtained and interpreted

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Differences in the responsibilities between executive and engineering/technical authority and their respective roles in the compliance process are identified and clarified

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Most appropriate compliant management system which satisfies the technical regulatory framework and business needs is selected or mandated for implementation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and select appropriate compliant management system/s

  1. 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
  2. Tailoring options for a suitable compliant management system and its various components are reviewed and compared on the basis of established analytical criteria
  3. Most appropriate compliant management system which satisfies the technical regulatory framework and business needs is selected 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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Tailoring options for a suitable compliant management system and its various components are reviewed and compared on the basis of established analytical criteria

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Most appropriate compliant management system which satisfies the technical regulatory framework and business needs is selected for implementation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan required compliant management system/s

  1. Components of the proposed compliant management system are identified and documented
  2. Personnel requirements for the operation of the compliant management system are identified and appropriate staff are assigned or recruited
  3. Management information system requirements for effective and efficient operation of the compliant management system are identified and documented
  4. Complaints management system suitable for the organisation and its compliance responsibilities is selected for establishment
  5. Strategy for the development of a compliance management culture is determined in collaboration with relevant internal and external personnel
  6. Suitable processes and procedures for the identification and management of breaches in compliance requirements are identified and documented
  7. Review and reporting requirements in the various areas of compliance are determined, and suitable processes and procedures are developed
  8. Identified resources required for the development, implementation, review and maintenance of the proposed compliant management system are budgeted and assigned
Components of the proposed compliant management system are identified and documented

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Personnel requirements for the operation of the compliant management system are identified and appropriate staff are assigned or recruited

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Management information system requirements for effective and efficient operation of the compliant management system are identified and documented

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complaints management system suitable for the organisation and its compliance responsibilities is selected for establishment

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Strategy for the development of a compliance management culture is determined in collaboration with relevant internal and external personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Suitable processes and procedures for the identification and management of breaches in compliance requirements are identified and documented

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review and reporting requirements in the various areas of compliance are determined, and suitable processes and procedures are developed

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identified resources required for the development, implementation, review and maintenance of the proposed compliant management system are budgeted and assigned

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document required compliant management system

  1. Specifications for the various components of the proposed compliant management system are documented in accordance with the relevant technical regulatory framework requirements
  2. Action schedule for implementing, reviewing and maintaining planned compliant management system is documented, approved and disseminated to relevant internal and external personnel
  3. Approval is sought from appropriate internal and external personnel or authorities prior to the establishment of the proposed 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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Action schedule for implementing, reviewing and maintaining planned compliant management system is documented, approved and disseminated to relevant internal and external personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Approval is sought from appropriate internal and external personnel or authorities prior to the establishment of the proposed compliant management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish planned compliant management system

  1. Managers and operations personnel are appointed and trained before assuming their compliance management responsibilities
  2. Components of the compliant management system are monitored in collaboration with the assigned staff in accordance with the approved plan
  3. Operation of the compliant management system is monitored in collaboration with assigned staff as per the approved plan
  4. Periodic reviews of the compliant management system are conducted in collaboration with assigned staff as per the approved plan
  5. Reports on the operation and review of the compliant management system are prepared in accordance with established procedures and other compliance obligations
Managers and operations personnel are appointed and trained before assuming their compliance management responsibilities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Components of the compliant management system are monitored in collaboration with the assigned staff in accordance with the approved plan

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Operation of the compliant management system is monitored in collaboration with assigned staff as per the approved plan

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Periodic reviews of the compliant management system are conducted in collaboration with assigned staff as per the approved plan

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Reports on the operation and review of the compliant management system are prepared in accordance with established procedures and other compliance obligations

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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.

Method of assessment

In a public safety environment assessment is usually conducted via direct observation in a training environment or in the workplace via subject matter supervision and/or mentoring, which is typically recorded in a competency workbook.

Assessment is completed using appropriately qualified assessors who select the most appropriate method of assessment.

Assessment may occur in an operational environment or in an industry-approved simulated work environment. Forms of assessment that are typically used include:

direct observation

interviewing the candidate

journals and workplace documentation

third party reports from supervisors

written or oral questions.

Required Skills and Knowledge

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

Range Statement

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 are to 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 occupational 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 includes

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 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 should 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