Unit of competency Outline
Date retreived
24/07/2026 12:04 AM AWST
24/07/2026 12:04 AM AWST
Whilst all efforts are made to provide accurate and timely information from the relevant source/documentation, please be aware that the information supplied may not be the most current version. The accuracy of the detail has not been confirmed by the Department and therefore should not be relied upon without first confirming the contents.
Plan and establish technical regulatory framework compliant management systems
Plan and establish technical regulatory framework compliant management systems
Unit of competency
National Code
DEFCM312A
DEFCM312A
State Code
AVU91
AVU91
TGA Status
Replaced
Replaced
DTWD Status
Replaced
Replaced
State Implementation and Classification
Approved Date
Field of Education
080311 - International Business
Original Release Date
Nominal Hours
0
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.
Notes
Elements and Performance Criteria
1. Determine applicable compliance requirements
- 1.1 Information on current compliance requirements applicable to the organisation or project is obtained and interpreted.
- 1.2 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.
- 1.3 Differences in the responsibilities between executive and engineering/technical authority and their respective roles in the compliance process are identified and clarified.
- 1.4 Most appropriate compliant management system which satisfies the technical regulatory framework and business needs is selected or mandated for implementation.
2. Identify and select appropriate compliant management system/s
- 2.1 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.
- 2.2 Tailoring options for a suitable compliant management system and its various components are reviewed and compared on the basis of established analytical criteria.
- 2.3 Most appropriate compliant management system which satisfies the technical regulatory framework and business needs is selected for implementation.
3. Plan required compliant management system/s
- 3.1 Components of the proposed compliant management system are identified and documented.
- 3.2 Personnel requirements for the operation of the compliant management system are identified and appropriate staff are assigned or recruited.
- 3.3 Management information system requirements for effective and efficient operation of the compliant management system are identified and documented.
- 3.4 Complaints management system suitable for the organisation and its compliance responsibilities is selected for establishment.
- 3.5 Strategy for the development of a compliance management culture is determined in collaboration with relevant internal and external personnel.
- 3.6 Suitable processes and procedures for the identification and management of breaches in compliance requirements are identified and documented.
- 3.7 Review and reporting requirements in the various areas of compliance are determined, and suitable processes and procedures are developed.
- 3.8 Identified resources required for the development, implementation, review and maintenance of the proposed compliant management system are budgeted and assigned.
4. Document required compliant management system
- 4.1 Specifications for the various components of the proposed compliant management system are documented in accordance with the relevant technical regulatory framework requirements.
- 4.2 Action schedule for implementing, reviewing and maintaining planned compliant management system is documented, approved and disseminated to relevant internal and external personnel..
- 4.3 Approval is sought from appropriate internal and external personnel or authorities prior to the establishment of the proposed compliant management system.
5. Establish planned compliant management system
- 5.1 Managers and operations personnel are appointed and trained before assuming their compliance management responsibilities.
- 5.2 Components of the compliant management system are monitored in collaboration with the assigned staff in accordance with the approved plan.
- 5.3 Operation of the compliant management system is monitored in collaboration with assigned staff as per the approved plan.
- 5.4 Periodic reviews of the compliant management system are conducted in collaboration with assigned staff as per the approved plan.
- 5.5 Reports on the operation and review of the compliant management system are prepared in accordance with established procedures and other compliance obligations.
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
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
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
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
Replaced By
| State Code | National Code | Title | Type |
|---|---|---|---|
| BBC49 | DEFCPL008 | Plan and establish technical regulatory framework compliant management systems | Unit of competency |
