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Evidence Guide: TLIX4033 - Apply technical regulatory framework compliance 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

 

TLIX4033 - Apply technical regulatory framework compliance management systems

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

Prepare for compliance roles and responsibilities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Structure of the organisation is examined to identify roles, authorities, accountabilities and responsibilities of various managers and operational staff, in maintaining compliance within the technical regulatory framework

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Technical regulatory framework compliance requirements applicable to work area/operational unit are identified, confirmed and interpreted

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Own or team specific responsibilities are identified and clarified

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Feedback and performance indicators on the operation of the technical compliance management processes and procedures are reviewed and agreed with manager/team leader

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Appropriate briefings and training are participated in to ensure jobholder is aware of roles and responsibilities within planned technical regulatory framework compliance management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Apply technical compliance management system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Technical regulatory framework components of technical compliance management system are confirmed, and authorised procedures for their implementation are clarified

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Resources for applying technical regulatory framework compliance management system are accessed and utilised in accordance with organisational policy and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implementation plan and schedule are accessed and applied in collaboration with managers and operations staff, in accordance with relevant technical regulatory framework

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Essential technical regulatory framework preconditions for any duty, function or activity are confirmed before proceeding with designated or assigned work

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Validate individual application of technical compliance management processes

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Specified information on own role and responsibilities within technical compliance management system is gathered from appropriate sources

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Feedback and performance indicator satisfaction data is prepared, reviewed and processed in accordance with agreed workplace practices

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Problems in applying technical compliance management system and in particular, breach of compliance requirements, are identified and appropriate action is initiated to address problems concerned

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Reports on identified breaches of compliance requirements and related action taken are prepared and processed to responsible authority/stakeholder

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Records of technical regulatory framework activities are maintained in accordance with approved systems requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

Elements describe the essential outcomes.

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

1

Prepare for compliance roles and responsibilities

1.1

Structure of the organisation is examined to identify roles, authorities, accountabilities and responsibilities of various managers and operational staff, in maintaining compliance within the technical regulatory framework

1.2

Technical regulatory framework compliance requirements applicable to work area/operational unit are identified, confirmed and interpreted

1.3

Own or team specific responsibilities are identified and clarified

1.4

Feedback and performance indicators on the operation of the technical compliance management processes and procedures are reviewed and agreed with manager/team leader

1.5

Appropriate briefings and training are participated in to ensure jobholder is aware of roles and responsibilities within planned technical regulatory framework compliance management system

2

Apply technical compliance management system

2.1

Technical regulatory framework components of technical compliance management system are confirmed, and authorised procedures for their implementation are clarified

2.2

Resources for applying technical regulatory framework compliance management system are accessed and utilised in accordance with organisational policy and procedures

2.3

Implementation plan and schedule are accessed and applied in collaboration with managers and operations staff, in accordance with relevant technical regulatory framework

2.4

Essential technical regulatory framework preconditions for any duty, function or activity are confirmed before proceeding with designated or assigned work

3

Validate individual application of technical compliance management processes

3.1

Specified information on own role and responsibilities within technical compliance management system is gathered from appropriate sources

3.2

Feedback and performance indicator satisfaction data is prepared, reviewed and processed in accordance with agreed workplace practices

3.3

Problems in applying technical compliance management system and in particular, breach of compliance requirements, are identified and appropriate action is initiated to address problems concerned

3.4

Reports on identified breaches of compliance requirements and related action taken are prepared and processed to responsible authority/stakeholder

3.5

Records of technical regulatory framework activities are maintained in accordance with approved systems requirements

Required Skills and Knowledge

Elements describe the essential outcomes.

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

1

Prepare for compliance roles and responsibilities

1.1

Structure of the organisation is examined to identify roles, authorities, accountabilities and responsibilities of various managers and operational staff, in maintaining compliance within the technical regulatory framework

1.2

Technical regulatory framework compliance requirements applicable to work area/operational unit are identified, confirmed and interpreted

1.3

Own or team specific responsibilities are identified and clarified

1.4

Feedback and performance indicators on the operation of the technical compliance management processes and procedures are reviewed and agreed with manager/team leader

1.5

Appropriate briefings and training are participated in to ensure jobholder is aware of roles and responsibilities within planned technical regulatory framework compliance management system

2

Apply technical compliance management system

2.1

Technical regulatory framework components of technical compliance management system are confirmed, and authorised procedures for their implementation are clarified

2.2

Resources for applying technical regulatory framework compliance management system are accessed and utilised in accordance with organisational policy and procedures

2.3

Implementation plan and schedule are accessed and applied in collaboration with managers and operations staff, in accordance with relevant technical regulatory framework

2.4

Essential technical regulatory framework preconditions for any duty, function or activity are confirmed before proceeding with designated or assigned work

3

Validate individual application of technical compliance management processes

3.1

Specified information on own role and responsibilities within technical compliance management system is gathered from appropriate sources

3.2

Feedback and performance indicator satisfaction data is prepared, reviewed and processed in accordance with agreed workplace practices

3.3

Problems in applying technical compliance management system and in particular, breach of compliance requirements, are identified and appropriate action is initiated to address problems concerned

3.4

Reports on identified breaches of compliance requirements and related action taken are prepared and processed to responsible authority/stakeholder

3.5

Records of technical regulatory framework activities are maintained in accordance with approved systems requirements

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:

adhering to and applying relevant data collection, storage and retrieval requirements

applying technical regulatory framework compliance management system knowledge to work being performed and to guide problem solving

applying technical regulatory framework knowledge relevant to work being performed

identifying relationships between organisational goals and recognising how own work contributes to achieving these goals

operating equipment and systems relevant to technical regulatory framework activities

using appropriate information technology and software.

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:

configuration management

elements of technical regulatory framework compliance management systems including:

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

compliance reporting procedures

continuous improvement processes for compliance including validation and review

corporate compliance induction and training processes

documentation of compliance requirements relevant to the specified work role/area

liaison procedures with relevant internal personnel on compliance related matters

processes for internal promulgation of information on compliance requirements

reporting processes on compliance including reports on breaches and rectification action

specification of local work area compliance management functions, authorities, accountabilities and responsibilities under a technical regulatory framework

techniques and performance indicators for validating individual application of a compliance system

own role in relation to wider organisational or project context

quantitative and qualitative data analysis techniques relevant to compliance applications

relevant Australian Standards and international standards

sources of data relevant to compliance, including environmental and sustainability issues

technical regulatory framework compliance requirements that are based on:

codes of practice

environmental, sustainability policies and legislation

internal policies

organisational policy and procedures

standard operating procedures

standards

techniques suitable for applying compliance related systems and activities.

Range Statement

Range is restricted to essential operating conditions and any other variables essential to the work environment.

Non-essential conditions can be found in the Companion Volume Implementation Guide.