Lead and manage people
D1.HML.CL10.03
D2.TRM.CL9.06
Assessor Manual
Lead and manage
people
D1.HML.CL10.03
D2.TRM.CL9.06
Assessor Manual
Project Base
William Angliss Institute of TAFE
555 La Trobe Street
Melbourne 3000 Victoria
Telephone:
(03) 9606 2111
Facsimile:
(03) 9670 1330
Acknowledgements
Project Director:
Project Manager
Chief Writer:
Subject Writer:
Editor:
DTP/Production:
Wayne Crosbie
Jim Irwin
Alan Hickman
Alan Hickman
Jim Irwin
Daniel Chee, Mai Vu, Cindy Curran
The Association of Southeast Asian Nations (ASEAN) was established on 8 August 1967. The Member
States of the Association are Brunei Darussalam, Cambodia, Indonesia, Lao PDR, Malaysia,
Myanmar, Philippines, Singapore, Thailand and Viet Nam.
The ASEAN Secretariat is based in Jakarta, Indonesia.
General Information on ASEAN appears online at the ASEAN Website: www.asean.org.
All text is produced by William Angliss Institute of TAFE for the ASEAN Project on “Toolbox
Development for Front Office, Food and Beverage Services and Food Production Divisions”.
This publication is supported by the Australian Government’s aid program through the ASEANAustralia Development Cooperation Program Phase II (AADCP II).
Copyright: Association of Southeast Asian Nations (ASEAN) 2015.
All rights reserved.
Disclaimer
Every effort has been made to ensure that this publication is free from errors or omissions. However,
you should conduct your own enquiries and seek professional advice before relying on any fact,
statement or matter contained in this book. The ASEAN Secretariat and William Angliss Institute of
TAFE are not responsible for any injury, loss or damage as a result of material included or omitted
from this course. Information in this module is current at the time of publication. Time of publication is
indicated in the date stamp at the bottom of each page.
Some images appearing in this resource have been purchased from stock photography suppliers
Shutterstock and iStockphoto and other third party copyright owners and as such are non-transferable
and non-exclusive. Clip arts, font images and illustrations used are from the Microsoft Office Clip Art
and Media Library. Some images have been provided by and are the property of William Angliss
Institute.
Additional images have been sourced from Flickr and SXC and are used under Creative Commons
licence:http://creativecommons.org/licenses/by/2.0/deed.en
File name: AM_Lead_and_manage_people_270115
Table of contents
Competency Based Assessment (CBA) – An Introduction for Assessors .......................... 1
Competency standard ..................................................................................................... 11
Oral questions................................................................................................................. 17
Written questions ............................................................................................................ 23
Answers to written questions .......................................................................................... 37
Observation checklist ...................................................................................................... 54
Third Party Statement ..................................................................................................... 58
Competency recording sheet .......................................................................................... 60
© ASEAN 2015
Assessor Manual
Lead and manage people
© ASEAN 2015
Assessor Manual
Lead and manage people
Competency Based Assessment (CBA) – An introduction for assessors
Competency Based Assessment (CBA) –
An Introduction for Assessors
Assessment is the process of identifying a participant’s current knowledge, skills and
attitudes sets against all elements of competency within a unit of competency.
Suggested Assessment Methods
For each unit of competency a number of assessment tools have been identified
including:

Work Projects

Oral Questions

Written Questions

Third Party Statements

Observation Checklists.
Instructions and Evidence Recording Sheets have been identified in this Assessment
Manual for use by Assessors.
Alternative Assessment Methods
Whilst the above mentioned assessment methods are suggested assessment methods,
the assessor may use an alternate method of assessment taking into account:
a) The nature of the unit
b) The strengths of participants
c) The number of participants in the class
d) Time required to complete assessments
e) Time dedicated to assessment
f)
Equipment and resources required.
Alternate assessment methods include:

Practical demonstrations

Practical demonstrations in simulated work conditions

Problem solving

Portfolios of evidence

Critical incident reports

Journals

Oral presentations

Interviews

Videos

Visuals/slides/audiotapes

Case studies
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Competency Based Assessment (CBA) – An introduction for assessors

Log books

Projects and Role plays

Group projects

Recognition of Prior Learning.
Whilst there is no specific instruction or evidence collection documents for all the
alternative assessment methods, assessors can record competency in the ‘Other’ section
within the ‘Competency Recording Sheet’.
Selection of Assessment Methods
Each assessor will determine the combination of Assessment Methods to be used to
determine Competency for each Competency Unit on a student by student basis.
‘Sufficient’ evidence to support the ‘Pass Competent’/’Not Yet Competent’ decision must
be captured.
In practice this means a minimum of 2 – 3 Assessment Methods for each candidate for
each Competency Element is suggested.
At least one method should provide evidence of practical demonstration of competence.
The following assessment methods deemed to provide evidence of practical
demonstration of competence include:

Practical Work Projects

Third Party Statement

Observation Checklist.
Assessing Competency
Competency based assessment does not award grades, but simply identifies if the
participant has the knowledge, skills and attitudes to undertake the required task to the
specified standard.
Therefore, when assessing competency, an assessor has two possible results that can be
awarded:

‘Pass Competent’ (PC)

‘Not Yet Competent’ (NYC).
Pass Competent (PC)
If the participant is able to successfully answer or demonstrate what is required, to the
expected standards of the performance criteria, they will be deemed as ‘Pass Competent’
(PC).
The assessor will award a ‘Pass Competent’ (PC) if they feel the participant has the
necessary knowledge, skills and attitudes in all assessment tasks for a unit.
Not Yet Competent’ (NYC)
If the participant is unable to answer or demonstrate competency to the desired standard,
they will be deemed to be ‘Not Yet Competent’ (NYC).
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Competency Based Assessment (CBA) – An introduction for assessors
This does not mean the participant will need to complete all the assessment tasks again.
The focus will be on the specific assessment tasks that were not performed to the
expected standards.
The participant may be required to:
a) Undertake further training or instruction
b) Undertake the assessment task again until they are deemed to be ‘Pass Competent’.
Regional Qualifications Framework and Skills Recognition System
The ‘Regional Qualifications Framework and Skills Recognition System’, also known as
the ‘RQFSRS’ is the overriding educational framework for the ASEAN region.
The purpose of this framework is to provide:

A standardised teaching and assessment framework

Mutual recognition of participant achievement across the ASEAN region. This includes
achievement in individual Units of Competency or qualifications as a whole.
The role of the ‘RQFSRS’ is to provide, ensure and maintain ‘quality assurance’ across all
countries and educational providers across the ASEAN region
Recognition of Prior Learning (RPL)
Recognition of Prior Learning is the process that gives current industry professionals who
do not have a formal qualification, the opportunity to benchmark their extensive skills and
experience against the standards set out in each unit of competency/subject.
This process is a learning and assessment pathway which encompasses:

Recognition of Current Competencies (RCC)

Skills auditing

Gap analysis and training

Credit transfer.
Code of Practice for Assessors
This Code of Practice provides:

Assessors with direction on the standard of practice expected of them

Candidates with assurance of the standards of practice expected of assessors

Employers with assurance of the standards maintained in the conduct of assessment.
The Code detailed below is based on the International Code of Ethics and Practice (The
National Council for Measurement in Education [NCME]):

The differing needs and requirements of the person being assessed, the local
enterprise and/or industry are identified and handled with sensitivity

Potential forms of conflict of interest in the assessment process and/or outcomes are
identified and appropriate referrals are made, if necessary

All forms of harassment are avoided throughout the planning, conducting, reviewing
and reporting of the assessment outcomes

The rights of the candidate are protected during and after the assessment
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Competency Based Assessment (CBA) – An introduction for assessors

Personal and interpersonal factors that are not relevant to the assessment of
competency must not influence the assessment outcomes

The candidate is made aware of rights and process of appeal

Evidence that is gathered during the assessment is verified for validity, reliability,
authenticity, sufficiency and currency

Assessment decisions are based on available evidence that can be produced and
verified by another assessor

Assessments are conducted within the boundaries of the assessment system policies
and procedures

Formal agreement is obtained from both the candidate and the assessor that the
assessment was carried out in accordance with agreed procedures

The candidate is informed of all assessment reporting processes prior to the
assessment

The candidate is informed of all known potential consequences of decisions arising
from an assessment, prior to the assessment

Confidentiality is maintained regarding assessment results

The assessment results are used consistently with the purposes explained to the
candidate

Opportunities are created for technical assistance in planning, conducting and
reviewing assessment procedures and outcomes.
Instructions and Checklist for Assessors
Instructions
General instructions for the assessment:

Assessment should be conducted at a scheduled time that has been notified to the
candidate

Facilitators must ensure participants are made aware of the need to complete
assessments and attend assessment sessions

If a participant is unable to attend a scheduled session, they must make arrangements
with the Assessor to undertake the assessment at an alternative time

At the end of the assessment the Assessor must give feedback and advise the
participant on their PC/NYC status

Complete the relevant documentation and submit to the appropriate department.
Preparation

Gain familiarity with the Unit of Competency, Elements of Competency and the
Performance Criteria expected

Study details assessment documentation and requirements

Brief candidate regarding all assessment criteria and requirements.
Briefing Checklist

Begin the assessment by implementing the following checklist and then invite the
candidate to proceed with assessment.
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Checklist for Assessors
Prior to the assessment I have:
Tick ()
Remarks
Ensured the candidate is informed about the venue and schedule
of assessment.
Received current copies of the performance criteria to be
assessed, assessment plan, evidence gathering plan, assessment
checklist, appeal form and the company’s standard operating
procedures (SOP).
Reviewed the performance criteria and evidence plan to ensure I
clearly understood the instructions and the requirements of the
assessment process.
Identified and accommodated any special needs of the candidate.
Checked the set-up and resources for the assessment.
During the assessment I have:
Introduced myself and confirmed identities of candidates.
Put candidates at ease by being friendly and helpful.
Explained to candidates the purpose, context and benefits of the
assessment.
Ensured candidates understood the assessment process and all
attendant procedures.
Provided candidates with an overview of performance criteria to
be assessed.
Explained the results reporting procedure.
Encouraged candidates to seek clarifications if in doubt.
Asked candidates for feedback on the assessment.
Explained legal, safety and ethical issues, if applicable.
After the assessment I have:
Ensured candidate is given constructive feedback.
Completed and signed the assessment record.
Thanked candidate for participating in the assessment.
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Competency Based Assessment (CBA) – An introduction for assessors
Instructions for Recording Competency
Specifications for Recording Competency
The following specifications apply to the preparation of Evidence Gathering Plans:

A Competency Recording Sheet must be prepared for each candidate to ensure and
demonstrate all Performance Criteria and Competency Elements are appropriately
assessed. This Sheet indicates how the Assessor will gather evidence during their
assessment of each candidate

This Competency Recording Sheet is located at the end of the Assessment Plan

It is the overriding document to record competency

The Assessor may vary the Competency Recording Sheet to accommodate practical
and individual candidate and/or workplace needs

Assessor must place a tick () in the ‘Assessment Method’ columns to identify the
methods of assessment to be used for each candidate

Multiple Competency Elements/Performance Criteria may be assessed at the one
time, where appropriate

The assessor and participant should sign and date the Competency Recording Sheet,
when all forms of evidence and assessment have been completed

The assessor may provide and feedback or clarify questions which the participant may
have in regards to the assessment grade or findings

All documents used to capture evidence must be retained, and attached to the
Competency Recording Sheet for each candidate for each Competency Unit.
Instructions for Different Assessment Methods
Specifications for Work Project Assessment
These guidelines concern the use of work projects.
The work projects identified in the Training Manuals involve a range of tasks, to be
performed at the discretion of the Assessor.
Work project tasks can be completed through any form of assessment as identified in the
Trainer and Trainee Manuals and stated at the start of this section.
Assessors should follow these guidelines:

Review the Work Projects at the end of each ‘Element of Competency’ in the Trainee
Manual to ensure you understand the content and what is expected

Prepare sufficient resources for the completion of work activities including:

Time – whether in scheduled delivery hours or suggested time participants to
spend outside of class hours

Resources – this may involve technical equipment, computer, internet access,
stationery and other supplementary materials and documents

Prepare assessment location (if done in class) making it conducive to assessment

Explain Work Projects assessment to candidate, at the start of each Element of
Competency. This ensures that participants are aware of what is expected and can
collate information as delivery takes place
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
Assessors can use the following phrase as a guide (where an ‘X’ is identified, please
input appropriate information):
“At the end of each Element of Competency there are Work Projects which must be
completed. These projects require different tasks that must be completed.
These work projects are part of the formal assessment for the unit of competency
titled X:

You are required to complete these activities:
a) Using the ‘X’ method of assessment
b) At ‘X’ location
c) You will have ‘X time period’ for this assessment


You are required to compile information in a format that you feel is appropriate to
the assessment

Do you have any questions about this assessment?”
Commence Work Project assessment:

The assessor may give time for participants to review the questions at this time to
ensure they understand the nature of the questions. The assessor may need to
clarify questions

Participants complete work projects in the most appropriate format

Participants must submit Work Project evidence to the assessor before the
scheduled due date

Assessor must assess the participant’s evidence against the competency standards
specified in each Element of Competency and their own understanding. The assessor
can determine if the participant has provided evidence to a ‘competent’ standard

Transcribe results/details to Competency Recording Sheet

Forward/file assessment record.
Specifications for Oral Question Assessment
These guidelines concern the use of oral questioning.
Assessors should follow these guidelines.

Prepare Assessment Record for Oral Questioning. One record for each candidate:

Enter Student name

Enter Assessor name

Enter Location

Familiarise self with Questions to be asked

Prepare assessment location (table and chairs) making it conducive to assessment

Explain Oral Questioning assessment to candidate, using the following phrase as a
guide (where a ‘X’ is identified, please input appropriate information):
“These oral questions are part of the formal assessment for the unit of competency
titled X.
There are X questions and you are required to answer all of them to the best of your
ability and I will record whether or not you have answered correctly.
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Competency Based Assessment (CBA) – An introduction for assessors
We have 60 minutes for this assessment.


I will give you feedback at the end of the assessment

Do you have any questions about this assessment?”
Commence Oral Questioning assessment:

Complete Assessment Record for the Oral Questioning by:
a) Ticking PC or NYC, as appropriate
b) Entering ‘Remarks’ as required
c) Completing Oral Questioning within 60 minutes

Complete Oral Questioning and provide feedback to candidate

Transcribe results/details to Competency Recording Sheet

Forward/file assessment record.
Specifications for Written Question Assessment
These guidelines concern the use of written questioning.
Assessors should follow these guidelines:

Familiarise self with Questions and Answers provided

Print and distribute copies of ‘Written Questions’ for participants. Ideally this should
take place with adequate time for participants to answer all questions before the
expected due date

Explain Written Questioning assessment to candidate, using the following phrase as a
guide (where a ‘X’ is identified, please input appropriate information):
“These written questions are part of the formal assessment for the unit of competency
titled X.
There are X questions and you are required to answer all of them to the best of your
ability.
You may refer to your subject materials, however where possible try to utilise your
existing knowledge when answering questions.
Where you are unsure of questions, please ask the Assessor for further instruction.
This may be answering the question orally or asking the assessor to redefine the
question.
We have X time for this assessment:

The due date for completion of this assessment is X

On this date you must forward the completed questions to the assessor by X time
on the date of X

Do you have any questions about this assessment?”

The assessor may give time for participants to review the questions at this time to
ensure they understand the nature of the questions. The assessor may need to clarify
questions

Participants may record written answers (where possible)

Participants must submit the written answers to the assessor before the scheduled
due date
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Competency Based Assessment (CBA) – An introduction for assessors

Assessor must assess the participant’s written answers against the model answers
provided as a guide, or their own understanding. The assessor can determine if the
participant has answered the questions to a ‘competent’ standard

Transcribe results/details to Competency Recording Sheet

Forward/file assessment record.
Specifications for Observation Checklist
These specifications apply to the use of the Observation Checklist in determining
competency for candidates.
Only an approved assessor is authorised to complete the Observation Checklist.
The assessor is required to observe the participant, ideally in a simulated environment or
their practical workplace setting and record their performance (or otherwise) of the
competencies listed on the Observation Checklist for the Competency Unit.
To complete the Observation Checklist the Assessor must:

Insert name of candidate

Insert assessor name

Insert identify of location where observations are being undertaken

Insert date/s of observations – may be single date or multiple dates

Place a tick in either the ‘Yes’ or ‘No’ box for each listed Performance Criteria to
indicate the candidate has demonstrated/not demonstrated that skill

Provide written (and verbal) feedback to candidate – as/if appropriate

Sign and date the form

Present form to candidate for them to sign and date

Transcribe results/details to Competency Recording Sheet for candidate

Forward/file Observation Checklist.
This source of evidence combines with other forms of assessment to assist in determining
the ‘Pass Competent’ or ‘Not Yet Competent’ decision for the participant.
Specifications for Third Party Statement
These specifications relate to the use of a relevant workplace person to assist in
determining competency for candidates.
The Third Party Statement is to be supplied by the assessor to a person in the workplace
who supervises and/or works closely with the participant.
This may be their Supervisor, the venue manager, the Department Manager or similar.
The Third Party Statement asks the Supervisor to record what they believe to be the
competencies of the participant based on their workplace experience of the participant.
This experience may be gained through observation of their workplace performance,
feedback from others, inspection of candidate’s work etc.
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Competency Based Assessment (CBA) – An introduction for assessors
A meeting must take place between the Assessor and the Third Party to explain and
demonstrate the use of the Third Party Statement.
To complete the Third Party Verification Statement the Assessor must:

Insert candidate name

Insert name and contact details of the Third Party

Tick the box to indicate the relationship of the Third Party to the candidate

Present the partially completed form to the Third Party for them to finalise

Collect the completed form from the Third Party

Transcribe results/details to Competency Recording Sheet for candidate

Forward/file Third Party Statement.
The Third Party must:


Record their belief regarding candidate ability/competency as either:

Pass Competent = Yes

Not Yet Competent = No

Unsure about whether candidate is competent or not = Not Sure
Meet briefly with the assessor to discuss and/or clarify the form.
This source of evidence combines with other forms of assessment to assist in determining
the ‘Pass Competent’ or ‘Not Yet Competent’ decision for the candidate.
A separate Third Party Statement is required for each Competency Unit undertaken by
the candidate.
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Competency standard
Competency standard
UNIT TITLE: LEAD AND MANAGE PEOPLE
UNIT NUMBER: D1.HML.CL10.03
NOMINAL HOURS: 65
D2.TRM.CL9.06
UNIT DESCRIPTOR: This unit deals with the skills and knowledge required to lead and manage people in a range of settings within the hotel
and travel industries.
ELEMENTS AND PERFORMANCE CRITERIA
UNIT VARIABLE AND ASSESSMENT GUIDE
Element 1. Model high standards of
performance and behaviour
Unit Variables
1.1 Make individual performance a positive
role model to team
1.2 Show support for and commitment to
enterprise goals in day-to-day work
performance
1.3 Treat people with integrity, respect and
empathy
Element 2. Develop team commitment and
co-operation
2.1 Develop and clearly communicate plans
and objectives in consultation with the
team
2.2 Make plans and objectives consistent with
enterprise goals
The Unit Variables provide advice to interpret the scope and context of this unit of
competence, allowing for differences between enterprises and workplaces. It relates to the
unit as a whole and facilitates holistic assessment.
This unit applies to all industry sectors that lead and manage people within the labour
divisions of the hotel and travel industries and may include:
Food and Beverage Service
Food Production
Travel Agencies
Tour Operation
Team may be:

Project-based

Permanent teams

Paid workers

Volunteers
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Competency standard
2.3 Communicate expectations, roles and
responsibilities in a way that encourages
individuals/teams to take responsibility for
their work

Work role team

Peers

Subordinates.
2.4 Encourage teams and individuals to
develop innovative approaches to work
Plans and objectives may be short, medium or long-term and relate to:

Sales targets
2.5 Identify, encourage, value and recognise
and reward team members

Performance targets for a particular project

Increased productivity

Meeting Key Performance Indicators (KPIs).
2.6 Model and encourage open and supportive
communication styles within the team
2.7 Seek and share information from the wider
environment with the team
Recognise and reward team members may include:

Informal acknowledgment

Acknowledgment of individual good performance to the whole team
Element 3. Manage team performance

Presentation of awards
3.1 Assess the skills of team members and
provide opportunities for individual
development

Written report to management

Incentive initiatives.
2.8 Represent team interests appropriately in
the wider environment
3.2 Monitor team performance to ensure
progress towards achievement of goals
3.3 Delegate tasks and responsibilities
appropriately
3.4 Provide mentoring and coaching support to
team members
3.5 Recognise and reward team achievements
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Information from the wider environment, which may affect the team, may include:

Overall enterprise objectives

Rationale for management decisions

Changes in enterprise policies

Marketing information and targets

Business performance information including financial

Technology updates
Competency standard

Plans for new equipment

Training developments.
Opportunities for individual development may include:

Internal training/professional development

External training/professional development

Change in job responsibilities

Opportunity for greater autonomy or responsibility

Formal promotion

Coaching

Mentoring

Allocating responsibility for plans or objectives.
Assessment Guide
The following skills and knowledge must be assessed as part of this unit:

Knowledge about different leadership styles and the characteristics of effective
leadership

Ability to understand and apply principles of teamwork including characteristics of
effective teams, organisation of teams, potential team problems and the benefits of
effective teamwork

Knowledge of the role and theories of motivation and its application to different
workplace contexts

Ability to understand workplace conflict, typical causes including cultural differences and
how they impact on the role of leaders

Knowledge of organisational structure and group dynamics
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Competency standard

Knowledge of legislative issues that impact on team management including equal
employment opportunity, diversity, anti-discrimination and unfair dismissal.
Linkages To Other Units

Work effectively with colleagues and customers

Work in a socially diverse environment

Manage and implement small projects

Develop and implement a business plan

Plan and establish systems and procedures.
Critical Aspects of Assessment
Evidence of the following is essential:

Demonstrated ability to apply knowledge of leadership, motivation and teamwork
principles to build positive team spirit and effectively manage overall team performance

Demonstrated ability to adopt an ongoing team-leading role to a team whose overall
performance is the responsibility of the candidate.
Context of Assessment
This unit may be assessed on or off the job
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
Assessment must relate to the individual’s work area, job role and area of responsibility

Assessment activities that require that candidate to monitor and manage team
performance

Assessment activities that require the candidate to apply knowledge of leadership,
motivation and teamwork principles to monitor and manage team performance.
Competency standard
Resource Implications
Training and assessment to include access to a real or simulated workplace that provides
the candidate with an opportunity to demonstrate application of knowledge of leadership,
motivation and teamwork principles in a specific travel and hotel industry context; and
access to workplace standards, procedures, policies, guidelines, tools and current financial
data and regulations.
Assessment Methods
The following methods may be used to assess competency for this unit:

Case studies

Observation of practical candidate performance

Oral and written questions

Portfolio evidence

Problem solving

Third party reports completed by a supervisor

Project and assignment work.
Key Competencies in this Unit
Level 1 = competence to undertake tasks effectively
Level 2 = competence to manage tasks
Level 3 = competence to use concepts for evaluating
Key Competencies
Level
Examples
Collecting, organising and
analysing information
3
Analysing sales figures to assess team
performance
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Competency standard
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Communicating ideas and
information
3
Explaining and discussing the rationale for
a management decision that affects the
team
Planning and organising activities
3
Organising and administering regular team
meetings
Working with others and in teams
3
Providing guidance to the team on
handling change in the workplace
Using mathematical ideas and
techniques
2
Calculating sales targets
Solving problems
2
Resolving conflict within the team
Using technology
1
Using email or other technology to ensure
regular communication with the team
Oral questions
Oral questions
Student name
Assessor name
Location/venue
Unit of competency
Lead and manage people
D1.HML.CL10.03
D2.TRM.CL9.06
Instructions
1. Ask student questions from the attached list to confirm knowledge, as
necessary
2. Place tick in boxes to reflect student achievement (Pass Competent
‘PC’ or Not Yet Competent ‘NYC’)
3. Write short-form student answer in the space provided for each
question.
Response
Questions
PC
NYC
1. Describe how you have made your personal performance a positive role
model for others in the workplace.


2. Give an example of how you have shown support for and to
organisational goals in your day-to-day work performance.


© ASEAN 2015
Assessor Manual
Lead and manage people
17
Oral questions
Questions
Response
PC
NYC
3. What do you do in your work that proves/demonstrates you treat other
workers with integrity, respect and empathy?


4. Describe one plan you have developed for a workplace team and
explain how you shared that plan with the team.


5. How do you ensure the plans and objectives you prepare for workplace
teams are consistent with the broader organisational plans/goals?


18
© ASEAN 2015
Assessor Manual
Lead and manage people
Oral questions
Response
Questions
PC
NYC
6. When communicating expectations, roles and responsibilities to workers
what do you do to encourage individuals/teams to take responsibility for
their work?


7. Give me two examples of action you have taken to encourage
teams/individuals to take develop innovative approaches to their work.


8. What have you done in the workplace to reward and recognise
individuals (as distinct to teams) for their work?


© ASEAN 2015
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Lead and manage people
19
Oral questions
Questions
Response
PC
NYC
9. What do you do to model and encourage open and supportive
communication styles within your workplace teams?


10. Describe three examples occasions where you have shared information
from the wider environment with work-based teams.


11. Describe a time when you represented the interests of one of your
workplace teams to management or to an external stakeholder.


20
© ASEAN 2015
Assessor Manual
Lead and manage people
Oral questions
Response
Questions
PC
NYC
12. Describe two occasions where you assessed team members and
identified a need for development: what assessment did you do? What
opportunity for development did you provide?


13. How do you monitor the performance of work-based teams?


14. Identify a task/responsibility you might delegate in the workplace and
demonstrate how you would delegate it: what would you do and say?


© ASEAN 2015
Assessor Manual
Lead and manage people
21
Oral questions
Questions
Response
PC
NYC
15. Describe a situation where you provided workplace mentoring or
coaching to a staff member: what was the context? Why did you need to
provide it? How did you provide it?


16. What have you done in the workplace to reward and recognise teams
(as distinct to individuals) for their work?


22
© ASEAN 2015
Assessor Manual
Lead and manage people
Written questions
Written questions
Lead and manage people –
D1.HML.CL10.03
D2.TRM.CL9.06
Student Name: __________________________________________________________
Answer all the following questions and submit to your Trainer.
1.
Give four reasons businesses use teams.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
2.
List six characteristics related to effective teams.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
3.
Why is it important for a manager to manage themselves in relation to being a role
model for others?
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
© ASEAN 2015
Assessor Manual
Lead and manage people
23
Written questions
4.
List five characteristics of a good workplace leader.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
5.
Name three activities which can help a manager manage their time more effectively.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
6.
In your own words describe the difference between leadership and management.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
7.
Identify and describe two types of personal power.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
24
© ASEAN 2015
Assessor Manual
Lead and manage people
Written questions
8.
Identify six ways a manager/leader can demonstrate their support for and
commitment to enterprise goals in their daily work.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
9.
Illustrate three ways a manager/leader can demonstrate they are treating staff with
integrity.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
10.
Give three ways a manager/leader can show respect towards their staff.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
© ASEAN 2015
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Lead and manage people
25
Written questions
11.
What is the key for managers in relation to treating workers fairly?
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
12.
Give five reasons why managers/leaders need to plan their actions.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
13.
Identify four areas/topics a manager may develop plans for.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
14.
Identify five key components of a performance plan a manager might develop.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
26
© ASEAN 2015
Assessor Manual
Lead and manage people
Written questions
15.
Name four opportunities a manager has to share performance plans with teams.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
16.
Describe four points to note to ensure departmental plans align with enterprise
goals.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
17.
Differentiate between ‘goal’, ‘strategy’ and ‘tactic’.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
18.
In relation to setting goals, what does the acronym ‘SMARTER’ stand for?
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
© ASEAN 2015
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Lead and manage people
27
Written questions
19.
In relation to communicating expectations, roles and responsibilities to staff identify
three options a manager can use.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
20.
Briefly differentiate between an ‘autocratic’ leader and a ‘democratic’ leader.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
21.
Give five key characteristics of charismatic leaders.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
28
© ASEAN 2015
Assessor Manual
Lead and manage people
Written questions
22.
Briefly distinguish between ‘transactional’ leaders and ‘transformational’ leaders.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
23.
Identify five topics/issues which need to be addressed when communicating
expectations, roles and responsibilities to staff.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
24.
List ten ways in which leaders can encourage development of ideas for innovation.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
© ASEAN 2015
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Lead and manage people
29
Written questions
25.
What two broad categories of staff input should rewards acknowledge?
____________________________________________________________________
____________________________________________________________________
26.
Give three examples of reward and recognition for team members which a manager
might use.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
27.
Identify and briefly describe the five stages of team development.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
28.
Describe four ways a manager can create an environment which is supportive of
team members.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
30
© ASEAN 2015
Assessor Manual
Lead and manage people
Written questions
29.
Identify four ways a manager might communicate with staff.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
30.
Give six examples of information from the wider environment which managers
should seek and share with teams.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
31.
Give three examples of the ‘wider environment’ managers should seek information
from to share with their teams.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
32.
Give five reasons managers/leaders need to share information from the wider
environment with their teams.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
© ASEAN 2015
Assessor Manual
Lead and manage people
31
Written questions
33.
Describe four standard options managers have for communicating/sharing
information from the wider environment with teams.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
34.
A manager must decide if they want to support the boss or their team: discuss.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
35.
What three critical areas need to be considered when assessing staff/teams?
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
36.
Define what is meant by the term ‘training gap’.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
37.
What are the five drivers of need in Maslow’s theory of hierarchical needs?
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
32
© ASEAN 2015
Assessor Manual
Lead and manage people
Written questions
38.
What are the three categories of need in ERG theory of motivation?
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
39.
Briefly describe the expectancy theory of motivation.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
40.
In your own words describe the ‘empowerment’ concept of motivation.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
© ASEAN 2015
Assessor Manual
Lead and manage people
33
Written questions
41.
Identify six guidelines for managers to motivate staff.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
42.
List the five basic applications for job design in relation to motivation.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
43.
Name four opportunities for individual development within the workplace.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
44.
Give five reasons managers/leaders need to monitor team performance.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
34
© ASEAN 2015
Assessor Manual
Lead and manage people
Written questions
45.
Identify five simple and effective ways for a manager to monitor team performance.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
46.
What are the three main causes of workplace conflict?
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
47.
Identify the five major ways of handling workplace conflict.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
48.
List six points to consider when delegating tasks and responsibilities to team
members/staff as part of their standard allocated workplace activities.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
© ASEAN 2015
Assessor Manual
Lead and manage people
35
Written questions
49.
Identify three real benefits to managers in delegating management-level work and
responsibilities to other staff.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
50.
Describe four points to note when delegating management-level tasks to others.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
51.
Differentiate between ‘mentoring’ and ‘coaching’ as ways of providing support to
team members.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
36
© ASEAN 2015
Assessor Manual
Lead and manage people
Answers to written questions
Answers to written questions
Lead and manage people –D1.HML.CL10.03
D2.TRM.CL9.06
The following are model answers only – Trainers/Assessors must use discretion when
determining whether or not an answer provided by a Student is acceptable or not.
1.
2.
3.
Give four reasons businesses use teams

They create esprit de corps – among employees

They allow management to think strategically – and not get caught up in the
day-to-day operating decisions

They speed up decision making – in the workplace and in operational
areas/matters

They facilitate workplace diversity – which is seen as bring multiple benefits
through the inclusion of a wide variety of skills, attitudes and knowledge

They increase performance and productivity – through the elimination of waste,
duplication, enhancement of creativity and generation of flexibility and
cooperation.
List six characteristics related to effective teams

Clear goals

Relevant skills

Mutual trust

Unified commitment

Good communication

Negotiating skills

Appropriate leadership

Internal and external support.
Why is it important for a manager to manage themselves in relation to being a
role model for others?
Answer must relate to fact teams/staff will watch manager and copy/reflect back to
them the behaviour and attitudes they see the manager displaying.
© ASEAN 2015
Assessor Manual
Lead and manage people
37
Answers to written questions
4.
List five characteristics of a good workplace leader
5.

Have the trust of staff, and in turn, trust them

Show respect for the abilities and opinions of staff

Have the ability to motivate staff

Be passionate, and committed to work

Be prepared to delegate work

Be able to create a cooperative team

Have a strong and clear sense of work goals and objectives

Help others achieve their personal goals

Communicate effectively with others, explaining issues as appropriate

Share information, concerns and praise.
Name three activities which can help a manager manage their time more
effectively
6.

Having a clear idea of what is important and what must be dealt with
immediately

Having procedures to deal with common and predictable situations

Delegating tasks to other staff

Using prevention rather than cure

Grouping all similar activities in the same time space

Making on-the-spot decisions

Becoming comfortable with saying ‘No’

Coming in to work a bit earlier.
In your own words describe the difference between leadership and
management
No model answer but response should focus on differences/qualities as identified by
Capowski.
7.
Identify and describe two types of personal power.
38

Expert power – results from a person being an expert in terms of their skill,
experience or knowledge in a specialist area

Referent power – comes from the leader’s personal characteristics which
command a subordinate’s identification, respect and admiration.
© ASEAN 2015
Assessor Manual
Lead and manage people
Answers to written questions
8.
9.
Identify six ways a manager/leader can demonstrate their support for and
commitment to enterprise goals in their daily work

Verbally stating their support – for whatever management introduces as
initiatives of sets of workplace goals

Explaining initiatives to staff – telling them why the initiatives are positive and
highlighting the dangers which may flow from failing to successfully/effectively
introducing the changes

Keeping negative comments contained to management meetings behind closed
doors – where staff/employees cannot hear the dissention

Providing necessary resources and training – to help ensure the initiatives and
goals can be attained/implemented

Setting departmental/workplace targets – for individual staff which enable
achievement of the required goals

Monitoring related action on a day-to-day basis – through observation and
discussion and checking of relevant records and performance and other data

Checking compliance levels – with what is required in a high-profile manner

Talking with staff – about their problems and successes regularly as part of
everyday workplace management

Setting an agenda item for each enterprise goal as a standing item in each
staff/departmental meeting – so the importance of the goal is demonstrated to
employees on an ongoing basis

Mentioning issues to do with the gaols at other times – such as staff briefings,
staff de-briefing sessions and during chance meetings with staff

Celebrating successes – when KPIs and/or other targets are achieved

Involving staff – in how they can assist in goal attainment.
Illustrate three ways a manager/leader can demonstrate they are treating staff
with integrity

Being honest with them – and telling them things the way they really are but with
tact and sensitivity

It means being truthful (within internal limitations of confidentiality and privacy)
about things

Being sincere – and not saying one thing and meaning or doing another

Not promising things – which cannot be delivered or about which there is no
intention to provide

Not taking the credit for the work of others – and making sure those who
deserve it get the raise they are entitled to.
© ASEAN 2015
Assessor Manual
Lead and manage people
39
Answers to written questions
10.
11.
Give three ways a manager/leader can show respect towards their staff.

Realising and appreciating the work staff do – and making sure they know their
efforts have been recognised and are appreciated

Acknowledging their talents, effort and commitment to the organisation – this
orientation realises staff are human beings rather than simply numbers or
inanimate resources

Allowing individuals to be different – in terms of their lifestyle choices and factors
associated with race, religions, culture, age, gender and other issues

Talking to them and treating them in an appropriate manner – and not speaking
to them or dealing with them as inferior peo0ple despite the fact they are (in
terms of the structure of the business) sub-ordinates.
What is the key for managers in relation to treating workers fairly?
Answer must address not playing favourites and sharing the ‘good’ and ‘bad’
jobs/tasks event/equally between workers.
12.
40
Give five reasons why managers/leaders need to plan their actions.

Establishes an integrated, coordinated effort and gives direction to people

Reduces the negative impact of change – through the preparation of strategies
to manage/cope with the introduction of change

Minimises repetition and waste – by ensuring elimination of duplication and the
streamlining of procedures

Reduces levels of uncertainty – as the plans show staff what is expected of
everyone with roles and responsibilities under the plans

Focuses on specific targets – and directs employee effort toward outcomes
which combine to achieve the desired result/outcome

Enables all decisions to be rationalised – in accordance with an over-arching
goal

Sets standards of performance – to enable evaluation and control.
© ASEAN 2015
Assessor Manual
Lead and manage people
Answers to written questions
13.
14.
15.
Identify four areas/topics a manager may develop plans for

Sales targets – described in terms of volume/number of units or in monetary
terms

Performance targets for a particular project – such as ‘increasing sales by 10%
by the end of the quarter’

Increased productivity – for example, requiring more units to be produced in the
same time or increased sales to be achieved by the same staff numbers

Achieving KPIs – as they relate to specific goals: KPIs may be seen as steppingstones/indicators along the way to achieving the final goal/plan

Organisational strategies – showing what needs to be done, by whom and when
in order for the business to attain the outcomes it has decided to achieve

Operational activities – covering the day-to-day SOPs required in order to
deliver the products and services the organisation needs to provide

Task management – outlining what needs to be done in order the established
strategies can be effectively and successfully implemented

Contingency management – setting down the actions to be taken in the event
nominated circumstances arise where SOPs will not apply.
Identify five key components of a performance plan a manager might develop

Basic information

Action

Resources

Timelines

Allocation of work/responsibilities.
Name four opportunities a manager has to share performance plans with
teams

Holding a specific staff meeting – convened solely/specifically to present/discuss
the plan

Talking about it at regular staff briefings/de-briefings – held as part of normal
operating practice each day/shift

Posting a notice – on the staff notice board

Sending electronic copies of the plan – via email

Distributing hard copies of the plan – at meetings.
© ASEAN 2015
Assessor Manual
Lead and manage people
41
Answers to written questions
16.
17.
18.
19.
42
Describe four points to note to ensure departmental plans align with
enterprise goals.

Aligns with the Mission of the business – as stated in the Mission Statement

Supports the stated Vision of the organisation – as contained in the Vision
Statement for the business

Reflects the public Value Statement – made by the business

Accords with strategic and business plans – of the organisation

Helps achieve/maintain the desired image of the business – as required by
management

Helps achieve/maintain the desired market position of the business – in the
marketplace.
Differentiate between ‘goal’, ‘strategy’ and ‘tactic’.

A goal is the objective – it is what is to be achieved, the ‘expected’ outcome

A strategy is the general plan to enable the goal to be reached/achieved

A tactic is a technique which will be used within the strategy to enable the
strategy to achieve the goal.
In relation to setting goals, what does the acronym ‘SMARTER’ stand for?

S – goals need to be Specific

M – goals need to be Measurable

A – goals need to be Assignabl

R – goals must be Realistic

T – goals should also be Track-able

E – goals should be Evaluated

R – goals need to be Reviewed.
In relation to communicating expectations, roles and responsibilities to staff
identify three options a manager can use

Job descriptions

Inductions and orientations

Staff meetings.
© ASEAN 2015
Assessor Manual
Lead and manage people
Answers to written questions
20.
Briefly differentiate between an ‘autocratic’ leader and a ‘democratic’ leader
An autocratic leader is one who:

Centralises authority

Relies only on legitimate reward and coercive power.
Under this style of management employees perform well as long as the leader is
present.
A democratic leader is different in that they:
21.
22.

Delegate authority to others

Encourage participation

Rely on expert and referent power to influence others.
Give five key characteristics of charismatic leaders

Self-confidence – charismatic leaders have complete confidence in their
judgement and ability

Vision – they have an idealised goal that proposes a future better than the status
quo the greater the disparity between these two, the more likely the follower will
attribute extraordinary vision to the leader

Ability to articulate their vision – they are able to clarify and state the vision in
terms which are understandable to others: this demonstrates an understanding
of the followers’ needs and hence acts as a motivating force

Strong convictions about the vision – charismatic leaders are perceived as being
strongly committed, willing to take on high personal risk, incur high costs and
engage in self-sacrifice to achieve their vision

Behaviour which is out of the ordinary – they engage in behaviour perceived as
being novel, unconventional and counter to norms; when successful, these
behaviours evoke surprise and admiration in followers

Appearance as a change agent – charismatic leaders are perceived as initiating
change rather than as caretakers of the status quo

Environment sensitivity – they are able to make realistic assessments of the
environmental constraints and resources needed to bring about change.
Briefly distinguish between ‘transactional’ leaders and ‘transformational’
leaders

Transactional leaders are leaders who guide or motivate their followers in the
direction of already set goals by making them clear and explaining task
requirements

Transformational leaders are leaders who inspire people beyond their own goals
through individual consideration and charisma.
© ASEAN 2015
Assessor Manual
Lead and manage people
43
Answers to written questions
23.
44
Identify five topics/issues which need to be addressed when communicating
expectations, roles and responsibilities to staff

Nature and scope of the work to be done – including identification of relevant
workplace practices and organisational policies

Relationships with others in the workplace – identifying those with authority in
relevant areas, methods of communication used in the business, common
issues necessitating communication and cooperation

Independent areas of activity – describing the scope of authority for the
individual and proscribing the exact nature, roles and dimensions of each
discreet area so there is absolute clarity about the function of each area and
how it fits with and contributes to the overall performance of the organisation

Roles of leaders and managers – including description of their individual role in
terms of providing information, making decisions, planning and organising work
activities, and staff monitoring

Communication – this is vital in every organisation and the need for ongoing
communication between staff members and between staff and management
must be emphasised. Opportunities to communicate should be highlighted as
well as the communication channels used by the business

Reporting requirement – most staff will have only verbal reporting requirements
(such as during briefing and debriefing sessions or in staff meetings): where
staff have additional formal/written reporting obligations these must be explained
and examples of what is required should be provided to guide their reporting.
© ASEAN 2015
Assessor Manual
Lead and manage people
Answers to written questions
24.
List ten ways in which leaders can encourage development of ideas for
innovation

Asking for ideas – encouraging staff to make suggestions about better ways of
doing things

Describing the criteria which need to be met – for a suggestion to be regarded
as ‘viable’.

Having an ‘open door’ policy regarding suggestions – to encourage staff to
discuss suggestions at any time without the need to make an appointment or
wait for a nominated time

Sharing ideas – encouraging others to alert team members to the potential of
new technologies

Being prepared to trial/test new ideas – this demonstrates management is
prepared to try new ideas as opposed to insisting the old ones are adhered to

Making ‘innovation’ a standing topic at all staff meetings – so it is continually
being flagged as an important thing, and so staff have regular opportunities to
make contributions

Creating ‘innovation teams’ – whose task is to address a particular issue

Training staff in the use/application of creative thinking techniques – such as
brainstorming, lateral thinking, ‘Six thinking hats’

Seeking information and ideas from non-traditional places – such as other
departments, other businesses (including the competition), trade shows, internet
research

Thanking people for their contributions – even where their ideas do not translate
into standing practice/SOPs

Creating an environment which is supportive of innovation – and is prepared to
try new ideas and not criticise or ‘punish’ those who try something new which
fails to work as hoped, promised or intended

There needs to be a culture which values effort as much as it values
outcomes/results, and an environment where staff feel comfortable to contribute
ideas for change and are comfortable in identifying areas/activities which need
improvement or attention

Rewarding people – for contributions and for effort in this regard: see next
section

Taking the time and effort to explain to someone who contributed an idea why
their idea was not implemented – as opposed to appearing to simply ignore the
suggestion: getting back to people and explaining why their idea was deemed
‘not viable’ shows the idea was considered but rejected on certain grounds

This should encourage further contributions/suggestions while providing
additional context regarding criteria which need to be met for innovations to be
implemented

Ensuring the person responsible for suggesting/developing an effective new
approach/idea receives the credit for doing so – rather than the manager taking
the credit.
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Answers to written questions
25.
26.
27.
28.
46
What two broad categories of staff input should rewards acknowledge?

Endeavour

Outcomes.
Give three examples of reward and recognition for team members which a
manager might use

Informal acknowledgment of the work which has been done

Acknowledgment of individual good performance to the whole team

Presentation of internal organisational awards – which focus on/relates to the
work which has been done.

Written report to management – this is an internal report top senior management
identifying those who have done good work, describing what they have done,
their effort and the outcomes/results they have achieved.

Incentive initiatives – these are rewards/bonuses of some sort for staff when
they achieve nominated goals or targets.
Identify and briefly describe the five stages of team development

Forming – this first stage occurs immediately after the team has been put
together and is a period of orientation and getting acquainted

Storming – here, different personalities emerge and conflict creates a general
sense of disunity

Norming – in this phase conflict between team members is resolved, team
harmony and unity is developed and team norms and values are established

Performing – this is where the major focus is in problem solving to accomplish
the team tasks/objectives

Adjourning – where the team is disbanded upon task completion: applicable
where teams are formed to achieve a short-term task.
Describe four ways a manager can create an environment which is supportive
of team members

Invite team members to question the opinions and thoughts held

Do not ‘shoot the messenger’

Create an environment where it is OK to make mistakes

Walk the talk

Offer help and advice

Put ‘issues’ in perspective – most staff do many, many things right and relatively
few things wrong.
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Lead and manage people
Answers to written questions
29.
30.
31.
Identify four ways a manager might communicate with staff

Individual, one-on-one talks – these can/should range from the casual and social
chit-chat through to the structured yet informal talk where you need to convey
certain information about a task/objective

Formal, group meetings – these are very time effective and should be scheduled
for every team

Formal meetings also send a message the team is important and warrants such
attention and time

Non-verbal communication – never underestimate the value of body language
throughout the working day

Written communications – whilst more impersonal in nature, it is better to have
this type of communication than to have none at all.
Give six examples of information from the wider environment which managers
should seek and share with teams

Overall enterprise objectives

Rationale for management decisions

Changes in enterprise policies

Marketing information and targets

Business performance information

Technology updates

Plans for new equipment

Training developments.
Give three examples of the ‘wider environment’ managers should seek
information from to share with their teams.

From higher-level management/Board meetings

From other departments

From market research undertaken by the business

From administration

From customers

From the competition

From industry events.
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Answers to written questions
32.
33.
34.
Give five reasons managers/leaders need to share information from the wider
environment with their teams

Demonstrates their commitment to the team

Indicates their willingness to help the team

Shows faith in the ability of the team to use the information provided and (where
necessary) keep it confidential

Assists them achieve their identified goals.

Demonstrate involvement with their teams

Supports the work of the organisation

Gives a wider and more detailed context and framework for decision making and
action.
Describe four standard options managers have for communicating/sharing
information from the wider environment with teams

Discussing matters face-to-face with team members at staff/team meetings and
briefing sessions

Using hard copy handouts detailing relevant information

Emailing information to employees

Posting notices on the staff notice board

Making entries in the ‘Communications Book’.
A manager must decide if they want to support the boss or their team:
discuss
Answer must address need for balance and harmony as opposed to supporting one
side or the other.
35.
36.
What three critical areas need to be considered when assessing staff/teams?

Skills

Knowledge

Attitude.
Define what is meant by the term ‘training gap’.
The training gap is the difference, for each person, between what the organisation
requires them to do, and what it is they can actually do.
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Answers to written questions
37.
38.
39.
What are the five drivers of need in Maslow’s theory of hierarchical needs?

Physiological needs: which refer to standard food, drink, shelter and sexual
satisfaction needs plus other requirements within an organisation, such as
adequate heating, cooling, air quality and base salary to ensure survival

Safety needs: such as security and protection from physical and emotional harm
at work, including needs for safety in the workplace, fringe benefits and job
security

Social needs: relating to affection, belongingness, acceptance and friendship; on
the job this includes a desire for good relationships with co-workers, participation
in a work group and a positive relationship with superiors

Esteem needs: includes internal esteem factors such as self-respect, autonomy
and achievement, and external esteem factors such as status, recognition and
attention; within the organisation this is a motivation for recognition, increased
responsibility, high status and credit for contribution

Self-actualisation needs: centres on growth, achieving one’s potential and selffulfilment; the drive to become what one is capable of becoming.
What are the three categories of need in ERG theory of motivation?

Existence needs – which are the needs for physical well-being

Relatedness needs – which are the needs for satisfactory relationships with
others

Growth needs – which focus on the development of human potential and the
desire for personal growth and increased competence.
Briefly describe the expectancy theory of motivation.
Expectancy theory says motivation depends on an individual’s expectations about
their ability to perform tasks and receive desired rewards.
It focuses on the thinking processes individuals use to achieve rewards.
Expectancy theory is based on:

An individual’s effort = the effort-performance linkage

An individual’s performance = the performance-reward linkage

The desirability of outcomes associated with high performance = attractiveness.
The effort-performance linkage is the probability, perceived by the individual that a
certain amount of effort will lead to performance.
The performance-reward linkage is the degree to which the individual believes
performing at a particular level will lead to the achievement of a certain outcome.
Attractiveness is the importance the individual places on the reward or outcome that
can be achieved on the job. This considers the goals and needs of the individual.
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49
Answers to written questions
40.
In your own words describe the ‘empowerment’ concept of motivation.
Empowerment is the handing down of power to employees in an organisation.
This power heightens motivation for achieving tasks because people improve their
own effectiveness, choosing how to do a task using their creativity.
Empowering employees means giving them the ability to act more freely and
independently in their jobs through providing them with:
41.
42.
50

Information

Knowledge

Power

Rewards.
Identify six guidelines for managers to motivate staff

Recognise individual differences – and try to cater for them

Match people to jobs – not vice versa

Use goals – people tend to work better if they know what it is they are trying to
achieve

Ensure goals are perceived as attainable – do not set goals considered
impossible

Individualise rewards – tailor-make them where possible to reflect effort or
results and to meet individual preferences

Link rewards to performance – those who do better, get more

Check the system for equity – all team members should have an equal chance
of achieving their goals and obtaining a reward

Do not ignore money – money is an excellent motivator

Ensure what is used to motivate people has value – in the eyes of those being
motivated.
List the five basic applications for job design in relation to motivation.

Job simplification

Job rotation

Job enlargement

Job enrichment

Job characteristics model.
© ASEAN 2015
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Lead and manage people
Answers to written questions
43.
44.
45.
Name four opportunities for individual development within the workplace.

Training – internal and/or external as well as other means of PD

Change in job responsibilities – to create interest (help avoid boredom) and to
diversify the experiences workers are exposed to and can learn from

Opportunity for greater autonomy or responsibility – giving the individual a
greater sense of being able to determine their own way of working and/or a fuller
sense of fulfilment and achievement

Formal promotion

Chance to perform in a higher position – in a caretaker mode whilst the
incumbent is away

Becoming a mentor for someone – as acknowledgement of their experience and
capacity to nurture others

Leading a training session – for another department or group of new staff as
reward/recognition of personal expertise and competency

Being sent to a conference or similar – as the establishment’s representative.
Give five reasons managers/leaders need to monitor team performance

Allows evaluation of team/performance plans

Demonstrates involvement in workplace activities

Shows interest in individuals and the team

Enables identification of issues requiring attention at the earliest opportunity

Helps identify the need for assistance

Provides part of the basis for future planning and action

Supplies evidence to be used for reward and recognition.
Identify five simple and effective ways for a manager to monitor team
performance

Watching staff/teams as they undertake activities

Talking to customers/guests

Talking to staff/team members

Talking to other managers and/or supervisors

Analysing plans

Monitoring the budgets

Inspecting the workplace.
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Answers to written questions
46.
47.
48.
52
What are the three main causes of workplace conflict?

Communication differences

Structural differences

Personal differences.
Identify the five major ways of handling workplace conflict.

Avoidance

Accommodation

Forcing

Compromise

Collaboration.
List six points to consider when delegating tasks and responsibilities to team
members/staff as part of their standard allocated workplace activities

Be clear about all the tasks to be done – and all the work and responsibilities to
be delegated

If appropriate, explain why the task has to be done, why the responsibility is
being delegated, and why it has to be done in the way specified – clear
communication (as is so often the case in so many other areas) is critical here
too

Choose the right time to inform staff/the staff member of the work which has
been delegated to them – and do not hurry the explanation/delegation as this
will sound as if something is being ‘covered up’

Provide whatever instructions are necessary to get the delegated work done – in
the correct/logical sequence, explaining any/all of the steps

Provide training and/or demonstration – as required so the staff are supported in
what they are being expected to do

Continually check if the employee has any questions – and encourage them to
ask questions ensuring it is understood questions are expected

Continually check the staff member genuinely understands what is being
said/shown to them – ask them questions or get them to paraphrase a point, or
get them to demonstrate what is actually required

Give them positive feedback – people operate better from a level of optimism
and a history characterised by success, so make them positive and confident.
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Lead and manage people
Answers to written questions
49.
50.
51.
Identify three real benefits to managers in delegating management-level work
and responsibilities to other staff

It frees managers up – to do other things

It gives staff experience at managerial type tasks and responsibilities – providing
them with additional skills and potentially more interesting work

It promotes a team approach by sharing tasks and responsibilities amongst
everyone – it signals the manager has faith in their work, efforts and decisions

It supports the career advancement of staff – wise staff will realise they have to
be able to take orders before they can give them, and they will also regard
delegation as an opportunity to show their worth to others.
Describe four points to note when delegating management-level tasks to
others

Only delegate to those staff who are interested in taking on the work and
responsibilities – these may be staff who have confided they are seeking
promotion, looking for advancement or willing to accept more responsibility

Delegate interesting and varied work and responsibilities, not just the boring and
unpopular tasks – it is unfair just to palm off the tedious and repetitive tasks to
others: if staff do not appreciate the tasks delegated to them in the first instance
they will be unlikely to want extra work later on

Make sure the work and responsibilities are suitable and achievable – do not
‘force’ staff into doing things they are not cut out for, or which they have said
they are unsuitable for: where there are issues of security, confidentiality or
commercially sensitive areas it may be best not to delegate

Provide necessary training and support – this means ensuring the person to
whom work is delegated is encouraged and provided with all the necessary
resources to do the job

Inform other staff of the delegation before the delegated work and
responsibilities have started – this makes sure everyone knows what is going
on, and provides a basis of legitimacy for the person to whom the work is
delegated

Review progress at agreed times – so both parties know everything is
progressing satisfactorily: it also gives the staff member a formal chance to ask
questions and share experiences

Be available for questions and queries at all times – staff who have agreed to
take on additional duties must never feel they are on their own or they have
been abandoned.
Differentiate between ‘mentoring’ and ‘coaching’ as ways of providing
support to team members.
Answer should address the skills-based acquisition nature of coaching as opposed
to the reflective, contemplative and developmental (sounding board) nature of
mentoring.
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53
Observation checklist
Observation checklist
Student name
Assessor name
Location/venue
Unit of competency
Lead and manage people
D1.HML.CL10.03
D2.TRM.CL9.06
Dates of observation
Instructions
1. Over a period of time observe the student completing each
of the following tasks:
a) :
b) Develop team commitment and co-operation
c) Manage team performance
2. Enter the date on which the tasks were undertaken
3. Place a tick in the box to show they completed each aspect
of the task to the standard expected in the enterprise
4. Complete the feedback sections of the form, if required.
Did the candidate
Yes
No
Make individual performance a positive role model to team


Show support for and commitment to enterprise goals in day-to-day work
performance


Treat people with integrity, respect and empathy


Element 1: Model high standards of performance and behaviour
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Observation checklist
Did the candidate
Yes
No
Develop and clearly communicate plans and objectives in consultation with
the team


Make plans and objectives consistent with enterprise goals


Encourage teams and individuals to develop innovative approaches to work


Identify, encourage, value and recognise and reward team members


Model and encourage open and supportive communication styles within the
team


Seek and share information from the wider environment with the team


Represent team interests appropriately in the wider environment


Assess the skills of team members and provide opportunities for individual
development


Monitor team performance to ensure progress towards achievement of goals


Delegate tasks and responsibilities appropriately


Provide mentoring and coaching support to team members


Recognise and reward team achievements


Element 2: Develop team commitment and co-operation
Element 3: Manage team performance
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Observation checklist
Feedback to student and trainer/assessor
Strengths:
Improvements needed:
General comments:
Candidate signature
Date
Assessor signature
Date
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Observation checklist
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57
Third party statement
Third Party Statement
Student name:
Name of third party:
Relationship to
student:
Contact no:
 Employer
 Supervisor
 Colleague
 Other
Please specify:_______________________________________________
Please do not complete the form if you are a relative, close friend or have a conflict of
interest]
Unit of competency:
Lead and manage people
D1.HML.CL10.03
D2.TRM.CL9.06
The student is being assessed against industry competency standards and we are seeking
your support in the judgement of their competence.
Please answer these questions as a record of their performance while working with you.
Thank you for your time.
Do you believe the trainee has demonstrated the following
skills?
Yes
No
Not
sure
Models high standards of workplace performance and behaviour by
providing a positive role model, showing support for and commitment
to organisational goals and treating people with integrity, respect and
empathy



Develops team plans to align with organisational goals



Communicates team goals to motivate staff and encourage
participation and innovation



Supports and collaborates with teams to facilitate their efforts



Assesses and develops team member skills



Monitors team performance



Delegates to teams/individuals



Provides mentoring and coaching to teams/individuals



Recognises and rewards team achievements



(tick the correct response]
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Third party statement
Comments/feedback from Third Party to Trainer/Assessor:
Third party signature:
Date:
Send to:
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59
Competency recording sheet
Competency recording sheet
Name of Student
Name of Assessor/s
Unit of Competency
Lead and manage people
Date assessment commenced
Date assessment finalised
Assessment decision
Follow up action required
(Insert additional work and
assessment required to achieve
competency)
Comments/observations by
assessor/s
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Pass Competent / Not Yet Competent (Circle one)
D1.HML.CL10.03
D2.TRM.CL9.06
Competency recording sheet
Place a tick () in the column to reflect evidence obtained to determine Competency of the student for each Performance Criteria.
Element and Performance Criteria
Observation
of skills
3rd Party
Statement
Oral
Questions
Written
Questions
Work
Projects
Other
Element 1: :
Make individual performance a positive role model to
team
Show support for and commitment to enterprise goals
in day-to-day work performance
Treat people with integrity, respect and empathy
Element 2: Develop team commitment and cooperation
Develop and clearly communicate plans and
objectives in consultation with the team
Make plans and objectives consistent with enterprise
goals
Encourage teams and individuals to develop
innovative approaches to work
Identify, encourage, value and recognise and reward
team members
Model and encourage open and supportive
communication styles within the team
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61
Competency recording sheet
Place a tick () in the column to reflect evidence obtained to determine Competency of the student for each Performance Criteria.
Element and Performance Criteria
Observation
of skills
3rd Party
Statement
Oral
Questions
Seek and share information from the wider
environment with the team
Represent team interests appropriately in the wider
environment
Element 3: Manage team performance
Assess the skills of team members and provide
opportunities for individual development
Monitor team performance to ensure progress
towards achievement of goals
Delegate tasks and responsibilities appropriately
Provide mentoring and coaching support to team
members
Recognise and reward team achievements
Candidate signature:
Date:
Assessor signature:
Date:
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Written
Questions
Work
Projects
Other
Competency recording sheet
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