ILM Level 3 Diploma in Management (QCF)
601/3240/1
Contents
Qualification Overview: ILM Level 3 Diploma in Management
Mandatory Group A Unit Specifications
Optional Group B Unit Specifications
Optional Group C Unit Specifications
Page
3
6
15
48
IMPORTANT NOTE: This document should read in conjunction with the ILM QCF CFA
Qualifications Part A General Information Document
2
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ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
3
QUALIFICATION(S) OVERVIEW:
Purpose of the qualification
ILM Level 3 Diploma in Management (QCF)
The new ILM Level 3 Diploma in Management will allow practising or
potential first line managers to develop their management skills, gaining
the knowledge, skills and understanding required to demonstrate their
occupational competence against the related areas of the 2012 CFA
National Occupational Standards (NOS) for Leadership and
management.
This qualification builds upon the 2010 ILM Level 3 NVQ in
Management by replacing it as the new competence based management
qualification. The new Diploma also contains elements of knowledge to
enable learners to gain the underpinning knowledge to succeed in their
management role.
Broadening the skills, knowledge and behaviours in a more flexible and
practical way related to today’s leadership and management practices
were varied and non routine management tasks are required by first line
managers within a defined area of responsibility, some limited opportunity
for taking decisions, managing budgets and responsibility for achieving
specific results by using resources effectively through allocating work to
team members, colleagues or contractors.
Progression routes
Successful candidates may expect to benefit from enhanced career
prospects within management and leadership.
Successful candidates at Level 3, may progress on to a higher level QCF
NVQ – either in management or another appropriate occupational area –
provided that their circumstances allow for competence to be
demonstrated against the appropriate national occupational standards.
Alternatively, candidates may choose to progress to a vocationally related
programme – in management and leadership or another appropriate
occupational area. This option may be preferable where the opportunity to
demonstrate competence at a higher level within management is not yet
present, but the candidate wishes to begin development and acquisition
of relevant knowledge, skills and understanding.
Credit Value
55
Induction
2 hours
Tutorial Support
At least 7 hours
Guided Learning Hours
284-371
To be completed within
3 years
Structure
Candidates must complete all
units from Mandatory Group A
with a combined credit value of
31, a minimum of 17 credits from
Optional Units Group B and a
maximum of 7 credits from
Optional Units Group C. A
minimum of 41 credits must be
achieved through the completion
of units at Level 3 or above.
CFA Ref.
M&L 9
Please note some units are
barred against each other.
Please see table overleaf for
details.
3
M&L 11
Mandatory Units Group A
Manage Personal and Professional
Development
Manage Team Performance
Credit Value
M&L 15
Principles of Leadership and Management*
8
M&L 24
Principles of People Management*
6
B&A 59
Principles of Business*
10
4
Optional Units Group B
M&L 10
Promote Equality, Diversity and Inclusion in
the Workplace
3
M&L 12
M&L 13
4
M&L 14
Manage Individuals’ Performance
Manage Individuals’ Development in the
Workplace
Chair and Lead Meetings
M&L 16
Encourage Innovation
4
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
3
3
4
M&L 17
Manage Conflict In a Team
5
M&L 18
Procure Products and/or Services
5
M&L 19
Implement Change
5
M&L 20
4
M&L 21
Implement and Maintain Business Continuity
Plans and Processes
Collaborate with Other Departments
M&L 22
Support Remote or Virtual Teams
4
M&L 23
Participate in a Project
3
M&L 25
Develop and Maintain Professional Networks
3
M&L 27
Develop and Implement an Operational Plan
5
M&L 28
Encourage Learning and Development
3
M&L 31
Discipline and Grievance Management
3
M&L 32
Develop Working Relationships with
Stakeholders
Manage Physical Resources
4
4
M&L 36
Manage the Impact of Work Activities on the
Environment
Prepare for and Support Quality Audits
M&L 37
Conduct Quality Audits
3
M&L 38
Manage a Budget
4
M&L 40
Manage a Project
7
M&L 41
Manage Business Risk
6
M&L 42
Manage Knowledge in an Organisation
5
M&L 43
Recruitment, Selection and Induction
Practice
Manage Redundancy and Redeployment
6
Optional Units Group C
Credit Value
B&A 35
Buddy a Colleague to Develop their Skills
3
B&A 41
6
B&A 42
Contribute to the Improvement of Business
Performance
Negotiate in a Business Environment
B&A 43
Develop a Presentation
3
B&A 44
Deliver a Presentation
3
B&A 46
6
CS 30
Contribute to the Development and
Implementation of an Information System
Resolve Customers’ Problems
CS 31
Resolve Customers’ Complaints
4
CS 32
5
B&A 39
Gather, Analyse and Interpret Customer
Feedback
Employee Rights and Responsibilities*
2
B&A 69
Health and Safety Procedures in the
Workplace
Manage Events
CS 36
Review the Quality of Customer Service
4
M&L 34
M&L 35
M&L 44
Barred units
This unit
Participate in a Project (M&L 23)
⃰ indicates a knowledge unit
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
3
4
3
6
4
4
2
6
Is barred against this unit
Manage a Project (M&L 40)
5
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ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
6
ILM Level 3 Diploma in Management
Mandatory Group A
UNIT SPECIFICATIONS
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
7
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Be able to identify
personal and professional
development
requirements
Manage Personal and Professional Development
M&L 9
3
3
12
T/506/2952
This unit aims to develop the knowledge and skills required to manage
personal and professional development. Upon completion of this unit,
learners will be able to identify personal and professional development
requirements and fulfil a personal and professional development plan.
Learners will also be able to maintain a personal and professional
development plan ensuring its relevance.
Assessment Criteria
The learner can:
1.1 Compare sources of information on
professional development trends and their validity
1.2 Identify trends and developments that influence the need for
professional development
1.3 Evaluate their own current and future personal and
professional development needs relating to the role, the team
and the organisation
2.
Be able to fulfil a
personal and
professional development
plan
2.1 Evaluate the benefits of personal and professional
development
2.2 Explain the basis on which types of development actions
are selected
2.3 Identify current and future likely skills, knowledge and
experience needs using skills gap analysis
2.4 Agree a personal and professional development plan that
is consistent with business needs and personal objectives
2.5 Execute the plan within the agreed budget and timescale
2.6 Take advantage of development opportunities made
available by professional networks or professional bodies
3.
Be able to maintain the relevance
of a personal and professional
development plan
3.1 Explain how to set Specific, Measurable, Achievable, Realistic
and Time-bound (SMART) objectives
3.2 Obtain feedback on performance from a range of valid sources
3.3 Review progress toward personal and professional
objectives
3.4 Amend the personal and professional development plan in
the light of feedback received from others
Additional Information about the Unit
Unit expiry date
Details of the relationship between the unit
and relevant national occupational standards or other
professional standards or curricula (if appropriate)
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
31 August 2017
Management & Leadership (2012) National
Occupational Standards:
•
CFAM&LAA2 Develop your knowledge,
skills and competence
•
CFAM&LAA1 Manage yourself
Skills CFA Assessment Strategy Competence
units (S/NVQ)
Skills CFA
15.3
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
8
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the
management of team
performance
2.
Be able to allocate
and assure the quality
of work
3.
Be able to manage
communications within
a team
Manage Team Performance
M&L 11
3
4
21
A/506/1821
This unit aims to develop the knowledge and skills required to manage the
performance of a team. Upon completion of this unit, learners will have
developed an understanding of the management of team performance.
Learners will be able to allocate and assure the quality of work and manage
communications within a team.
Assessment Criteria
The learner can:
1.1 Explain the use of benchmarks in managing performance
1.2 Explain a range of quality management techniques to manage team
performance
1.3 Describe constraints on the ability to amend priorities and plans
2.1 Identify the strengths, competences and expertise of team
members
2.2 Allocate work on the basis of the strengths, competences and
expertise of team members
2.3 Identify areas for improvement in team members’ performance,
outputs and standards
2.4 Amend priorities and plans to take account of changing
circumstances
2.5 Recommend changes to systems and processes to improve the
quality of work
3.1 Explain to team members the lines of communication and authority
levels
3.2 Communicate individual and team objectives, responsibilities and
priorities
3.3 Use communication methods that are appropriate to the topics,
audience and timescales
3.4 Provide support to team members when they need it
3.5 Agree with team members a process for providing feedback on work
progress and any issues arising
3.6 Review the effectiveness of team communications and make
improvements
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or
Occupational Standards:
other professional standards or curricula (if
• CFAM&LDB2 Allocate work to team members
appropriate)
• CFAM&LDB3 Quality assure work in your team
Assessment requirements or guidance specified
by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
Skills CFA Assessment Strategy Competence units
(S/NVQ)
Skills CFA
15.3
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
9
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the principles
of effective decision
making
2.
Understand leadership
styles and models
Principles of Leadership and Management*
M&L 15
3
8
50
F/506/2596
This unit aims to develop knowledge and understanding regarding
leadership and management and introduces learners to the associated key
principles. Upon completion of this unit, learners will have an
understanding of the principles of effective decision making, leadership
styles and models and performance management. Learners will also have
an understanding of the role, functions and processes of management.
Assessment Criteria
The learner can:
1.1 Explain the importance of defining the objectives, scope and success
criteria of the decisions to be taken
1.2 Assess the importance of analysing the potential impact of decision
making
1.3 Explain the importance of obtaining sufficient valid information to
enable effective decision making
1.4 Explain the importance of aligning decisions with business
objectives, values and policies
1.5 Explain how to validate information used in the decision making
process
1.6 Explain how to address issues that hamper the achievement of
targets and quality standards
2.1 Explain the difference in the influence of managers and leaders on
their teams
2.2 Evaluate the suitability and impact of different leadership styles in
different contexts
2.3 Analyse theories and models of motivation and their application in
the workplace
3.1 Analyse a manager’s responsibilities for planning, coordinating and
controlling work
3.2 Explain how managers ensure that team objectives are met
3.3 Explain how a manager’s role contributes to the achievement of an
organisation’s vision, mission and objectives
3.4 Analyse theories and models of management
3.5 Explain how the application of management theories guide a
manager’s actions
3.6 Explain the operational constraints imposed by budgets
4.1 Explain the relationship between business objectives and
4. Understand performance
performance measures
measurement
4.2 Explain the features of a performance measurement system
4.3 Explain how to set Key Performance Indicators (KPIs)
4.4 Explain the tools, processes and timetable for monitoring and
reporting on business performance
4.5 Explain the use of management accounts and management
information systems in performance management
4.6 Explain the distinction between outcomes and outputs
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards
Occupational Standards:
or other professional standards or curricula (if
• CFAM&LBA2 Provide leadership in your area of
appropriate)
responsibility
3.
Understand the role,
functions and processes of
management
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
10
•
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
CFAM&LDB4 Manage people’s performance at
work
N/A
Skills CFA
15.3
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
11
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the principles
of workforce management
Principles of People Management*
M&L 24
3
6
34
R/506/1937
This unit aims to develop knowledge and understanding regarding people
management and introduces learners to the principles underpinning the
management of people. Upon completion of this unit, learners will have
developed an understanding of workforce management, team building and
dynamics, and equality of opportunity, diversity and inclusion. Learners will
also have developed an understanding of performance management,
training and development and reward and recognition.
Assessment Criteria
The learner can:
1.1 Explain the relationship between Human Resources (HR) functions
and other business functions
1.2 Explain the purpose and process of workforce planning
1.3 Explain how employment law affects an organisation’s HR and
business policies and practices
1.4 Evaluate the implications for an organisation of utilising different types
of employment contracts
1.5 Evaluate the implications for an individual of different types of
employment contracts
2.
Understand equality of
opportunity, diversity and
inclusion
2.1 Explain an organisation’s responsibilities and liabilities under
equality legislation
2.2 Explain the benefits that effective equality of opportunity, diversity
and inclusion policies bring to individuals and organisations
2.3 Explain the language and behaviour that support commitment to
equality of opportunity, diversity and inclusion
2.4 Explain how to measure diversity within an organisation
3.
Understand team building
and dynamics
3.1 Explain the difference between a group and a team
3.2 Outline the characteristics of an effective team
3.3 Explain the techniques of building a team
3.4 Explain the techniques to motivate team members
3.5 Explain the importance of communicating targets and objectives to a
team
3.6 Examine theories of team development
3.7 Explain common causes of conflict within a team
3.8 Explain techniques to manage conflict within a team
4. Understand performance
management
4.1 Identify the characteristics of an effective performance management
system
4.2 Explain the uses of Specific, Measurable, Achievable, Realistic and
Time-bound (SMART) objectives and priorities
4.3 Describe best practice in conducting appraisals
4.4 Explain the factors to be taken into account when managing
people’s wellbeing and performance
4.5 Explain the importance of following disciplinary and grievance
processes
5. Understand training and
development
5.1 Explain the benefits of employee development
5.2 Explain the advantages and limitations of different types of training
and development methods
5.3 Explain the role of targets, objectives and feedback in employee
development
5.4 Explain how personal development plans support the training and
development of individuals
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
12
5.5 Explain how to make use of planned and unplanned learning
opportunities to meet individuals’ preferred learning styles
5.6 Explain how to support individuals’ learning and development
6.1 Describe the components of ‘total reward’
6.2 Analyse the relationship between motivation and reward
6.3 Explain different types of pay structures
6.4 Explain the risks involved in the management of reward schemes
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit Management & Leadership (2012) National
Occupational Standards:
and relevant national occupational
standards or other professional standards
• CFAM&LBA7 Promote equality of opportunity, diversity
or curricula (if appropriate)
and inclusion
• CFAM&LDB1 Build teams
• CFAM&LDB4 Manage people’s performance at
work
• CFAM&LDB8 Manage conflict in teams
• CFAM&LDC2 Support individuals’
learning and development
• CFAM&LDC5 Help individuals address problems
affecting their performance
6. Understand
reward and
recognition
Assessment requirements or guidance
specified by a sector or regulatory
body (if appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the
unit
Availability
for use
N/A
Skills CFA
15.3
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
13
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Principles of Business*
B&A 59
3
10
74
D/506/1942
This unit aims to develop knowledge and understanding regarding
business and introduces learners to the key principles of business. Upon
completion of this unit, learners will develop an understanding of a variety
of business principles, including business markets, business innovation
and growth, and sales and marketing. Learners will also present
knowledge of financial management and business budgeting.
Learning Outcomes
Assessment Criteria
The learner will:
The learner can:
1. Understand business markets 1.1 Explain the characteristics of different business markets
1.2 Explain the nature of interactions between businesses within a
market
1.3 Explain how an organisation’s goals may be shaped by the market in
which it operates
1.4 Describe the legal obligations of a business
2. Understand business
innovation and growth
2.1 Define business innovation
2.2 Explain the uses of models of business innovation
2.3 Identify sources of support and guidance for business
innovation
2.4 Explain the process of product or service development
2.5 Explain the benefits, risks and implications associated with innovation
3. Understand financial
management
3.1 Explain the importance of financial viability for an organisation
3.2 Explain the consequences of poor financial management
3.3 Explain different financial terminology
4. Understand business
4.1 Explain the uses of a budget
budgeting
4.2 Explain how to manage a budget
5. Understand sales and
5.1 Explain the principles of marketing
marketing
5.2 Explain a sales process
5.3 Explain the features and uses of market research
5.4 Explain the value of a brand to an organisation
5.5 Explain the relationship between sales and marketing
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
and relevant national occupational standards or
other professional standards or curricula (if
appropriate)
Assessment requirements or guidance
N/A
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.2
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
14
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ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
15
ILM Level 3 Diploma in Management
Optional Units Group B
UNIT SPECIFICATIONS
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
16
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the
organisational aspects of
equality, diversity and
inclusion in the workplace
2.
Understand the personal
aspects of equality,
diversity and inclusion in
the workplace
Promote Equality, Diversity and Inclusion in the Workplace
M&L 10
3
3
15
T/506/1820
This unit aims to develop the knowledge and skills required to promote
equality, diversity and inclusion in the workplace. Upon completion of this unit,
learners will have developed an understanding of both the organisational and
personal aspects of equality, diversity and inclusion in the workplace. Learners
will utilise this knowledge in supporting equality, diversity and inclusion in the
workplace.
Assessment Criteria
The learner can:
1.1 Explain the difference between equality, diversity and inclusion
1.2 Explain the impact of equality, diversity and inclusion across aspects of
organisational policy
1.3 Explain the potential consequences of breaches of equality legislation
1.4 Describe nominated responsibilities within an organisation for
equality, diversity and inclusion
2.1 Explain the different forms of discrimination and harassment
2.2 Describe the characteristics of behaviour that supports equality, diversity
and inclusion in the workplace
2.3 Explain the importance of displaying behaviour that supports equality,
diversity and inclusion in the workplace
3.1 Ensure colleagues are aware of their responsibilities for equality,
diversity and inclusion in the workplace
3.2 Identify potential issues relating to equality, diversity and inclusion in
the workplace
3.3 Adhere to organisational policies and procedures, and legal and ethical
requirements when supporting equality, diversity and inclusion in the
workplace
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or other
Occupational Standards:
professional standards or curricula (if appropriate)
• CFAM&LBA7 Promote equality of opportunity,
diversity and inclusion
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if appropriate)
units (S/NVQ)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
3. Be able to support
equality, diversity and
inclusion in the workplace
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
17
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the
management of
underperformance in the
workplace
Manage Individuals’ Performance
M&L 12
3
4
20
J/506/1921
This unit aims to develop the knowledge and skills required to manage
individuals’ performance. Upon completion of this unit, learners will have
developed an understanding of the management of underperformance in the
workplace and will be able to manage individuals’ performance in the workplace.
Assessment Criteria
The learner can:
1.1 Explain typical organisational policies and procedures on discipline,
grievance and dealing with underperformance
1.2 Explain how to identify causes of underperformance
1.3 Explain the purpose of making individuals aware of their
underperformance clearly but sensitively
1.4 Explain how to address issues that hamper individuals’ performance
1.5 Explain how to agree a course of action to address underperformance
2. Be able to manage
individuals ‘performance in
the workplace
2.1 Agree with team members Specific, Measurable, Achievable, Realistic
and Time-bound (SMART) objectives that align to organisational
objectives
2.2 Delegate responsibility to individuals on the basis of their expertise,
competence, skills, knowledge, and development needs
2.3 Apply motivation techniques to maintain morale
2.4 Provide information, resources and on-going mentoring to help individuals
meet their targets, objectives and quality standards
2.5 Monitor individuals’ progress towards objectives in accordance with
agreed plans
2.6 Recognise individuals’ achievement of targets and quality standards
2.7 Adhere to organisational policies and procedures, and legal and ethical
requirements when managing individuals’ performance in the workplace
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards
Occupational Standards:
or other professional standards or curricula (if
• CFAM&LDB4 Manage people’s performance at work
appropriate)
• CFAM&LDC2 Support individuals’
• learning and development
• CFAM&LDC3 Mentor individuals
• CFAM&LDC5 Help individuals address problems
affecting their performance
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
18
Title
Manage Individuals’ Development in the Workplace
Skills CFA Reference
M&L 13
Level
3
Credit Value
3
GLH
10
Unit Reference No.
L/506/1922
Unit aim(s)
Learning Outcomes
This unit aims to develop the knowledge and skills required to manage
individuals’ development in the workplace. Upon completion of this unit,
learners will be able to carry out performance appraisals and support the
learning and development of individual team members.
Assessment Criteria
The learner will:
The learner can:
1.
Be able to carry out
performance
appraisals
2.
Be able to support the
learning and
development of
individual team members
1.1
1.2
1.3
1.4
Explain the purpose of performance reviews and appraisals
Explain techniques to prepare for and carry out appraisals
Provide a private environment in which to carry out appraisals
Carry out performance reviews and appraisals in accordance with
organisational policies and procedures
1.5 Provide clear, specific and evidence-based feedback sensitively
1.6 Agree future actions that are consistent with appraisal findings and
identified development needs
2.1 Describe training techniques that can be applied in the workplace
2.2 Analyse the advantages and disadvantages of learning and
development interventions and methods
2.3 Explain organisational learning and development policies and
resource availability
2.4 Review individuals’ learning and development needs at regular intervals
2.5 Suggest learning and development opportunities and interventions that
are likely to meet individual and business needs
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or
Occupational Standards:
other professional standards or curricula (if
 CFAM&LDC1 Identify individuals’ learning needs and
appropriate)
styles
 CFAM&LDC2 Support individuals’ learning and
development
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
classification system
15.3
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
19
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Chair and Lead Meetings
M&L 14
3
3
10
Y/506/1924
This unit aims to develop the knowledge and skills required to chair and lead
meetings. Upon completion of this unit, learners will be able to prepare to lead
meetings, chair and lead meetings and deal with post-meeting matters.
Learning Outcomes
Assessment Criteria
The learner will:
The learner can:
1.1 Identify the type, purpose, objectives, and background to a meeting
1. Be able to prepare to lead
meetings
1.2 Identify those individuals expected, and those required to attend a
meeting
1.3 Prepare for any formal procedures that apply to a meeting
1.4 Describe ways of minimising likely problems in a meeting
1.5 Take action to ensure that meeting documentation is prepared correctly
and distributed to the agreed people within the agreed timescale
2.1 Follow business conventions in the conduct of a meeting
2. Be able to chair and
lead meetings
2.2 Facilitate meetings so that everyone is involved and the optimum
possible consensus is achieved
2.3 Manage the agenda within the timescale of the meeting
2.4 Summarise the agreed actions, allocated responsibilities,
timescales and any future arrangements
3.1
Take
action to ensure that accurate records of a meeting are
3. Be able to deal with postproduced
and distributed in the agreed format and timescale
meeting matters
3.2 Take action to ensure that post-meeting actions are completed
3.3 Evaluate the effectiveness of a meeting and identify points for future
improvement
Additional Information about the Unit
Unit expiry date
31 August 2017
Management & Leadership (2012) National Occupational
Details of the relationship between the unit
Standards:
and relevant national occupational standards or
other professional standards or curricula (if

CFAM&LDD6 Lead meetings to achieve objectives
appropriate)
Skills CFA Assessment Strategy Competence units (S/NVQ)
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
20
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Be able to identify
opportunities for
innovation
Encourage Innovation
M&L 16
3
4
14
J/506/2292
This unit aims to develop the knowledge and skills required to encourage
innovation. Upon completion of this unit, learners will be able to identify
opportunities for innovation and generate and test ideas for innovation and
improvement. Learners will also be able to implement innovative ideas and
improvements.
Assessment Criteria
The learner can:
1.1 Analyse the advantages and disadvantages of techniques used to
generate ideas
1.2 Explain how innovation benefits an organisation
1.3 Explain the constraints on their own ability to make changes
1.4 Agree with stakeholders terms of reference and criteria for evaluating
potential innovation and improvement
1.5 Engage team members in finding opportunities to innovate and
suggest improvements
1.6 Monitor performance, products and/or services and developments in
areas that may benefit from innovation
1.7 Analyse valid information to identify opportunities for innovation and
improvement
2.
Be able to generate and
test ideas for innovation
and improvement
2.1 Generate ideas for innovation or improvement that meet the agreed
criteria
2.2 Test selected ideas that meet viability criteria
2.3 Evaluate the fitness for purpose and value of the selected ideas
2.4 Assess potential innovations and improvements against the
agreed evaluation criteria
3.
Be able to implement
innovative ideas and
improvements
3.1 Explain the risks of implementing innovative ideas and
improvements
3.2 Justify conclusions of efficiency and value with evidence
3.3 Prepare costings and schedules of work that will enable efficient
implementation
3.4 Design processes that support efficient implementation
Additional Information about the Unit
Unit expiry date
Details of the relationship between the unit
and relevant national occupational standards or
other professional standards or curricula (if
appropriate)
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
31 August 2017
Management & Leadership (2012) National
Occupational Standards:
•
CFAM&LCA1 Identify and evaluate opportunities
for innovation and improvement
Skills CFA Assessment Strategy Competence
units (S/NVQ)
Skills CFA
15.3
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
21
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the principles
of conflict management
Manage Conflict Within a Team
M&L 17
3
5
25
K/506/1927
This unit aims to develop the knowledge and skills required to manage conflict
within a team and introduces learners to the key principles of conflict
management. Upon completion of this unit, learners will be able to reduce the
potential for conflict within a team and will also be able to deal with conflict
within a team.
Assessment Criteria
The learner can:
1.1 Evaluate the suitability of different methods of conflict management
in different situations
1.2 Describe the personal skills needed to deal with conflict between other
people
1.3 Analyse the potential consequences of unresolved conflict within a
team
1.4 Explain the role of external arbitration and conciliation in conflict
resolution
2. Be able to reduce the
potential for conflict
within a team
2.1 Communicate to team members their roles, responsibilities, objectives
and expected standards of behaviour
2.2 Explain to team members the constraints under which other
colleagues work
2.3 Review systems, processes, situations and structures that are likely to
give rise to conflict in line with organisational procedures
2.4 Take action to minimise the potential for conflict within the limits of
their own authority
2.5 Explain how team members’ personalities and cultural backgrounds
may give rise to conflict
3.
3.1
3.2
3.3
3.4
Be able to deal with
conflict within a team
Assess the seriousness of conflict and its potential impact
Treat everyone involved with impartiality and sensitivity
Decide on a course of action that offers optimum benefits
Explain the importance of engaging team members’ support for the
agreed actions
3.5 Communicate the actions to be taken to those who may be affected by it
3.6 Adhere to organisational policies and procedures, legal and ethical
requirements when dealing with conflict within a team
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or
Occupational Standards:
other professional standards or curricula (if
• CFAM&LDB8 Manage conflict in teams
appropriate)
• CFAM&LDD5 Manage conflict in the broader work
environment
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
Skills CFA Assessment Strategy Competence units (S/NVQ)
Skills CFA
15.3
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
22
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Be able to identify
procurement
requirements
2.
Be able to select suppliers
Procure Products and/or Services
M&L 18
3
5
35
M/506/1928
This unit aims to develop the knowledge and skills required to procure products
and/or services. Upon completion of this unit, learners will be able to identify
procurement requirements, select suppliers and buy products and/or services.
Assessment Criteria
The learner can:
1.1 Explain current and likely future procurement requirements
1.2 Decide whether the purchase of products and/or services offers the
organisation best value
1.3 Evaluate ethical and sustainability considerations relating to procurement
1.4 Justify the decision to buy products and/or services with evidence of an
analysis of risk, costs and benefits
2.1
2.2
2.3
2.4
2.5
Explain the factors to be taken into account in selecting suppliers
Explain organisational procurement policies, procedures and standards
Explain the effect of supplier choice on the supply chain
Use appropriate media to publicise procurement requirements
Confirm the capability and track record of suppliers and their products
and/or services
2.6 Select suppliers that meet the procurement specification
3. Be able to buy products
and/or services
3.1 Explain the action to be taken in the event of problems arising
3.2 Agree contract terms that are mutually acceptable within their own scope of
authority
3.3 Record agreements made, stating the specification, contract terms and
any post-contract requirements
3.4 Adhere to organisational policies and procedures, legal and ethical
requirements
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards
Occupational Standards:
or other professional standards or curricula (if
• CFAM&LED1 Decide whether to produce or buy in
appropriate)
products and/or services
• CFAM&LED2 Procure products and/or services
• CFAM&LED3 Select suppliers through a tendering
process
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
23
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the principles
of change management
Implement Change
M&L 19
3
5
28
T/506/1929
This unit aims to develop the knowledge and skills required to implement change
and introduces learners to the key principles of change management. Upon
completion of this unit, learners will be able to plan and manage the
implementation of change. After having implemented change, learners will also be
able to evaluate the effectiveness of the implementation of change plans.
Assessment Criteria
The learner can:
1.1 Explain the importance of effective leadership when implementing change
1.2 Explain the role of internal and external stakeholders in the management of
change
1.3 Evaluate the suitability of change management models for different
contexts
1.4 Explain how to assess the business risks associated with change
1.5 Assess the need for contingency planning when implementing change
1.6 Assess the need for crisis management when implementing change
1.7 Explain the different types of barriers to change and how to deal with these
1.8 Explain how to evaluate change management projects
2.1 Explain the need for change
2.2 Explain the potential consequences of not implementing change
2.3 Explain the roles and responsibilities of a change management project
team
2.4 Develop a plan that includes Specific, Measurable, Achievable, Realistic
and Time-bound (SMART) objectives and resources
2.5 Brief team members on their roles and responsibilities and the objectives of
the change
2.6 Gain acceptance to the need for change from team members and other
stakeholders
3.1
Explain organisational escalation processes for reporting problems
3. Be able to manage the
implementation of a
3.2 Analyse the advantages and disadvantages of monitoring techniques
change plan
3.3 Implement the plan within the agreed timescale
3.4 Provide support to team members and other stakeholders according to
identified needs
3.5 Monitor the progress of the implementation against the plan
3.6 Manage problems in accordance with contingency plans
4.1 Assess the suitability of techniques used to analyse the effectiveness of
4. Be able to evaluate the
change
effectiveness of the
4.2
Collate valid feedback and information from stakeholders
implementation of
4.3
Analyse feedback and information against agreed criteria
change plans
4.4 Identify areas for future improvement
4.5 Communicate the lessons learned with those who may benefit
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit Management & Leadership (2012) National
and relevant national occupational
Occupational Standards:
standards or other professional standards
• CFAM&LCA2 Plan change
or curricula (if appropriate)
• CFAM&LCA3 Engage people in change
• CFAM&LCA4 Implement change
• CFAM&LCA5 Evaluate change
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory
units (S/NVQ)
2. Be able to plan the
implementation of change
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
24
body (if appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the
subject/sector classification system
Name of the organisation submitting the
unit
Availability for use
Skills CFA
15.3
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
25
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Be able to plan for the
implementation of business
continuity plans and
processes
2.
Be able to implement
business continuity plans
and processes
3.
Be able to maintain the
fitness for purpose of ongoing business continuity
plans and processes
Implement and Maintain Business Continuity Plans and Processes
M&L 20
3
4
25
K/506/1930
This unit aims to develop the knowledge and skills required to implement and
maintain business continuity plans and processes. Upon completion of this
unit, learners will be able to plan and execute the implementation of business
continuity plans and processes. Learners will also be able to maintain the
fitness for purpose of on-going business continuity plans and process.
Assessment Criteria
The learner can:
1.1 Describe the components of a business continuity plan
1.2 Explain the uses of a business continuity plan
1.3 Explain the features of different business continuity planning models
1.4 Explain the potential consequences of inadequate business continuity
plans and processes
1.5 Confirm the required aim, scope and objectives of business continuity
plans
1.6 Engage stakeholders in developing business continuity plans and
processes
1.7 Identify business-critical products and/or services and the activities
and resources that support them
2.1 Develop a framework for business continuity management
2.2 Recommend resources that are proportionate to the potential impact of
business disruption
2.3 Communicate the importance and requirements of business
continuity plans and processes to stakeholders
2.4 Meet their own objectives within the plan
3.1 Provide training for staff who may be affected
3.2 Validate and test the strength of business continuity plans and
processes
3.3 Update plans and processes in the light of feedback from business
continuity exercises and other sources of information
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or
Occupational Standards:
other professional standards or curricula (if
• CFAM&LBB2 Develop, maintain and evaluate
appropriate)
business continuity plans and arrangements
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
26
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand how to
collaborate with other
departments
2. Be able to identify
opportunities for
collaboration with other
departments
Collaborate with Other Departments
M&L 21
3
3
14
M/506/1931
This unit aims to develop the knowledge and skills required to collaborate with
other departments. Upon completion of this unit, learners will understand how
to collaborate with other departments and be able to identify opportunities for
collaboration and consequently collaborate with other departments.
Assessment Criteria
The learner can:
1.1 Explain the need for collaborating with other departments
1.2 Explain the nature of the interaction between their own team and other
departments
1.3 Explain the features of effective collaboration
1.4 Explain the potential implications of ineffective collaboration with other
departments
1.5 Explain the factors relating to knowledge management that should be
considered when collaborating with other departments
2.1 Analyse the advantages and disadvantages of collaborating with other
departments
2.2 Identify with which departments collaborative relationships should be
built
2.3 Identify the scope for and limitations of possible collaboration
3.1 Agree Service Level Agreements (SLAs), objectives and priorities of
collaborative arrangements
3.2 Work with other departments in a way that contributes to the achievement
of organisational objectives
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or
Occupational Standards:
other professional standards or curricula (if
• CFAM&LDD3 Develop and sustain collaborative
appropriate)
relationships with other departments
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
3. Be able to collaborate
with other departments
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
27
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Be able to assess the
support needed by remote or
virtual teams
2.
Be able to support remote or
virtual teams
Support Remote or Virtual Teams
M&L 22
3
4
18
A/506/1933
This unit aims to develop the knowledge and skills required to support remote or
virtual teams. Upon completion of this unit, learners will be able to assess the
support needed by remote or virtual teams and consequently support remote or
virtual teams.
Assessment Criteria
The learner can:
1.1 Identify the resource requirements for providing communication tools
and processes for remote or virtual working
1.2 Specify effective tools and processes that are capable of supporting
remote or virtual teams
1.3 Identify processes and systems that will enable people to connect to
information and knowledge remotely and securely
1.4 Plan how to assure the safety of staff in remote teams
2.1
2.2
2.3
2.4
2.5
2.6
Provide guidelines, training, information and coaching to support
remote or virtual teams
Identify areas for improvement from monitoring processes and
information
Facilitate interactive collaboration amongst stakeholders
Take action to ensure that team members adhere to regulatory,
professional and commercial requirements
Take action to ensure that data security and confidentiality issues
arising from remote or virtual working are addressed
Take action to ensure that records management issues arising
from remote or virtual working are addressed
Additional Information about the Unit
Unit expiry date
Details of the relationship between the unit
and relevant national occupational standards or
other professional standards or curricula (if
appropriate)
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
31 August 2017
Management & Leadership (2012) National
Occupational Standards:
• CFAM&LDB6 Support remote/virtual
teams
Skills CFA Assessment Strategy Competence
units (S/NVQ)
Skills CFA
15.3
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
28
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand how to manage a
project
2.
Be able to support the
delivery of a project
Participate in a Project
M&L 23
3
3
19
F/506/1934
This unit aims to develop the knowledge and skills required to participate in a
project. Upon completion of this unit, learners will understand how to manage a
project and will be able to support the delivery of a project.
Assessment Criteria
The learner can:
1.1 Explain the features of a project business case
1.2 Explain the stages of a project lifecycle
1.3 Explain the roles of people involved in a project
1.4 Explain the uses of project-related information
1.5 Explain the advantages and limitations of different project monitoring
techniques
1.6 Analyse the interrelationship of project scope, schedule, finance, risk,
quality and resources
2.1
2.2
2.3
2.4
2.5
2.6
Fulfil their role in accordance with a project plan
Collect project-related information in accordance with project plans
Use appropriate tools to analyse project information
Report on information analysis in the agreed format and timescale
Draw issues, anomalies and potential problems to the attention of
project managers
Adhere to organisational policies and procedures, legal and ethical
requirements in supporting the delivery of a project
Additional Information about the Unit
Unit expiry date
Details of the relationship between the unit
and relevant national occupational standards or
other professional standards or curricula (if
appropriate)
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
31 August 2017
Management & Leadership (2012) National
Occupational Standards:
• CFAM&LFA5 - Manage projects
Skills CFA Assessment Strategy Competence
units (S/NVQ)
Skills CFA
15.3
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
29
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the principles
of effective networking
Develop and Maintain Professional Networks
M&L 25
4
3
15
J/506/1949
This unit aims to develop the knowledge and skills required to develop and
maintain professional networks and introduces learners to key principles
underpinning effective networking. Upon completion of this unit, learners will be
able to identify, develop, and maintain professional networks.
Assessment Criteria
The learner can:
1.1 Describe the interpersonal skills needed for effective networking
1.2 Explain the basis on which to choose networks to be developed
1.3 Evaluate the role of shared agendas and conflict management in
relationship-building
1.4 Evaluate the role of the internet in business networking
1.5 Assess the importance of following up leads and actions
1.6 Analyse ethical issues relating to networking activities
2.
Be able to identify
professional
networks for
development
2.1 Identify potential networks for professional development from an analysis
of their benefits compared with individual needs and aspirations
2.2 Shortlist networks for development against defined criteria
2.3 Assess the benefits and limitations of joining and maintaining selected
network(s)
3.
Be able to maintain
professional networks
3.1 Identify the potential for mutual benefit with network members
3.2 Promote their own skills, knowledge and competence to network
members
3.3 Provide information, services or support to network members where the
potential for mutual benefit has been identified
3.4 Establish the boundaries of confidentiality
3.5 Agree guidelines for the exchange of information and resources
3.6 Take action to ensure that participation in networks reflects current
and defined future aspirations and needs
3.7 Make introductions to people with common or complementary interest
to and within networks
Additional Information about the Unit
Unit expiry date
Details of the relationship between the unit
and relevant national occupational standards or
other professional standards or curricula (if
appropriate)
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
31 August 2017
Management & Leadership (2012) National
Occupational Standards
• CFAM&LAA3 Develop and maintain your
professional networks
Skills CFA Assessment Strategy Competence
units (S/NVQ)
Skills CFA
15.3
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
30
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the
principles of
operational
planning
2. Be able to develop an
operational plan
3.
Be able to implement an
operational plan
Develop and Implement an Operational Plan
M&L 27
4
5
24
Y/506/1955
This unit aims to develop the knowledge and skills required to develop and
implement an operational plan and introduces learners to the key principles
underpinning operational planning. Upon completion of this unit, learners will
be able to develop, implement, and evaluate an operational plan.
Assessment Criteria
The learner can:
1.1 Evaluate the use of risk analysis techniques in operational planning
1.2 Explain the components of an operational plan
1.3 Analyse the relationship between strategic and operational plans
1.4 Evaluate the use of planning tools and techniques in the operational
planning process
1.5 Explain how to carry out a cost-benefit analysis
2.1 Identify Specific, Measurable, Achievable, Realistic and Time-bound
(SMART) objectives and Key Performance Indicators (KPIs)
2.2 Identify evaluation mechanisms appropriate to the plan
2.3 Take action to ensure that plans are consistent with organisational
strategy, objectives, values, policies and procedures
2.4 Develop proportionate and targeted plans to manage identified risks
2.5 Take action to ensure that plans complement and maximise synergy with
other business areas
2.6 Adhere to organisational policies and procedures, legal and ethical
requirements
3.1 Implement plans within agreed budgets and timescales
3.2 Communicate the requirements of the plans to those who will be
affected
3.3 Revise plans in the light of changing circumstances in accordance
with strategic objectives and identified risks
4. Be able to evaluate the
effectiveness of an
operational plan
4.1 Conduct periodic reviews of the progress and effectiveness of the plans,
using information from a range of sources
4.2 Report on the effectiveness of operational plans in the appropriate
format
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or
Occupational Standards:
other professional standards or curricula (if
• CFAM&LBA9 Develop operational plans
appropriate)
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
31
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the principles
of learning and
development
2.
Be able to support
individuals’ learning and
development
Encourage Learning and Development
M&L 28
4
3
16
M/506/1962
This unit aims to develop the knowledge and skills required to encourage
learning and development and introduces learners to the key principles
underpinning learning and development. Upon completion of this unit, learners
will be able to support and evaluate individual’s learning and development.
Assessment Criteria
The learner can:
1.1 Assess the role of continuous professional development (CPD) in
identifying and meeting individuals’ learning and development for
current and future business needs
1.2 Analyse the advantages and limitations of different learning and
development methods
1.3 Explain how to identify individuals’
learning and development needs
1.4 Evaluate the role of self-reflection in learning and development
2.1 Promote the benefits of learning to people in own area of
responsibility
2.2 Support individuals in identifying their current and likely future learning
and development needs from a range of information sources
2.3 Agree with individuals the learning activities to be undertaken,
ensuring they are within agreed budgets and consistent with business
needs
2.4 Summarise agreed learning objectives, learning activities, review
mechanisms and success criteria in a personal development plan
2.5 Create an environment that encourages and promotes learning and
development
2.6 Provide opportunities for individuals to apply their developing
competence in the workplace
3.1 Analyse information from a range of sources on individuals’
performance and development
3.2 Evaluate the effectiveness of different learning and development
methods
3.3 Agree revisions to personal development plans in the light of
feedback
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit and
Management & Leadership (2012) National
Occupational Standards:
relevant national occupational standards or other
professional standards or curricula (if appropriate)
• CFAM&LDC1 Identify individuals’
learning needs and styles
• CFAM&LDC2 Support individuals’
learning and development
Assessment requirements or guidance
specified by a sector or regulatory body (if
Skills CFA Assessment Strategy Competence units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
3.
Be able to evaluate
individuals’ learning and
development
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
32
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the principles
supporting the management
of discipline and grievance
cases
2.
Be able to manage a
disciplinary case
Discipline and Grievance Management
M&L 31
4
3
26
A/506/1981
This unit aims to develop the knowledge and skills required for discipline and
grievance management. Upon completion of this unit, learners will have
developed an understanding of the key principles supporting the management
of discipline and grievance cases and will be able to manage disciplinary cases
and grievances.
Assessment Criteria
The learner can:
1.1 Explain the difference between a discipline case and a grievance case
and the implications for their management
1.2 Explain sources of advice and expertise on discipline and grievance
1.3 Explain the legal obligations of employers and the rights of employees
in relation to discipline and grievance cases
1.4 Explain organisational procedures for the management of discipline
and grievance cases
1.5 Explain the communication techniques to be used in the management
of discipline and grievance cases
1.6 Explain the types of behaviours that are likely to result in disciplinary
proceedings
1.7 Explain the types of actions that are likely to lead to a grievance
1.8 Explain how to carry out investigations into discipline and grievance
cases
1.9 Analyse the effect of well managed and poorly managed discipline and
grievance cases
1.10 Explain how the outcomes of discipline and grievance cases can be
managed
2.1 Inform an individual that they are subject to disciplinary
proceedings within agreed timescales
2.2 Explain to an individual the reasons why they are subject to disciplinary
proceedings
2.3 Provide evidence that supports the case for disciplinary proceedings
2.4 Develop a case to support an individual who is subject to disciplinary
proceedings
2.5 Keep detailed and accurate records of agreements, actions and events
for disciplinary cases
2.6 Adhere to organisational policies and procedures, legal and ethical
requirements when managing a disciplinary case
3.1 Identify the nature of a grievance
3.2 Investigate the seriousness and potential implications of a
grievance
3.3 Adhere to organisational procedures when managing a grievance
3.4 Evaluate the effectiveness of how a grievance has been managed
3.5 Agree measures to prevent future reoccurrences of grievances
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit and
Management & Leadership (2012) National
Occupational Standards :
relevant national occupational standards or other
professional standards or curricula (if appropriate)
• CFAM&LDA7 Initiate and follow grievance
3.
Be able to manage a
grievance
procedures
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
33
Assessment requirements or guidance specified by a
sector or regulatory body (if appropriate)
Support for the unit from an SSC or other appropriate
body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
Skills CFA Assessment Strategy Competence
units (S/NVQ)
Skills CFA
15.3
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
34
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand working
relationships with
stakeholders
2. Be able to determine the
scope for collaboration with
stakeholders
3.
Be able to develop
productive working
relationships with
stakeholders
4.
Be able to evaluate
relationships with
stakeholders
Develop Working Relationships with Stakeholders
M&L 32
4
4
20
F/506/1982
This unit aims to develop the knowledge and skills required to develop working
relationships with stakeholders. Upon completion of this unit, learners will have
developed an understanding of working relationships with stakeholders and will
be able to determine the scope for collaboration with stakeholders. Learners will
also be able to develop productive working relationships with stakeholders and
consequently evaluate stakeholder relationships.
Assessment Criteria
The learner can:
1.1 Analyse stakeholder mapping techniques
1.2 Explain how influencing skills and techniques can be used to enhance
the relationship with stakeholders
1.3 Explain how expectation management and conflict resolution
techniques are applied to stakeholder management
1.4 Analyse the advantages and limitations of different types of stakeholder
consultation
1.5 Evaluate the risks and potential consequences of inadequate
stakeholder consultation
2.1 Identify the stakeholders with whom relationships should be
developed
2.2 Explain the roles, responsibilities, interests and concerns of
stakeholders
2.3 Evaluate business areas that would benefit from collaboration with
stakeholders
2.4 Evaluate the scope for and limitations of collaborating with different
types of stakeholder
3.1 Create a climate of mutual trust and respect by behaving openly and
honestly
3.2 Take account of the advice provided by stakeholders
3.3 Minimise the potential for friction and conflict amongst stakeholders
4.1 Monitor relationships and developments with stakeholders
4.2 Address changes that may have an effect on stakeholder
relationships
4.3 Recommend improvements based on analyses of the
effectiveness of stakeholder relationships
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or Occupational Standards:
other professional standards or curricula (if
• CFAM&LDD2 Develop and sustain productive working
appropriate)
relationships with stakeholders
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
35
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Be able to identify the need
for physical resources
2.
Be able to obtain physical
resources
Manage Physical Resources
M&L 34
4
4
26
K/506/1989
This unit aims to develop the knowledge and skills required to manage
physical resources. Upon completion of this unit, learners will be able to
identify the need for physical resources, obtain physical resources, and
manage the use of physical resources.
Assessment Criteria
The learner can:
1.1 Identify resource requirements from analyses of organisational needs
1.2 Evaluate alternative options for obtaining physical resources
1.3 Evaluate the impact on the organisation of introducing physical
resources
1.4 Identify the optimum option that meets operational requirements for
physical resources
2.1 Develop a business case for physical resources that is supported by
evidence, cost estimates, contingency arrangements and an analysis
of likely benefits
2.2 Obtain authorisation and financial commitment for the required
expenditure
2.3 Negotiate best value from contracts in accordance with organisational
standards and procedures
2.4 Adhere to organisational policies and procedures, legal and ethical
requirements when obtaining physical resources
2.5 Check that the physical resources received match those ordered
3.1 Take action to ensure physical resources are used in accordance with
manufacturers’ instructions
3.2 Evaluate the efficiency of physical resources against agreed
criteria
3.3 Recommend improvements to the use of physical resources and
associated working practices
3.4 Analyse the benefits of effective equipment in the conservation of
energy and the environment
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or
Occupational Standards:
other professional standards or curricula (if
• CFAM&LEB2 Obtain physical resources
appropriate)
• CFAM&LEB3 Manage physical resources
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
3.
Be able to manage the use of
physical resources
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
36
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand how to support
environmentally-friendly
working practices
2. Be able to organise work
so as to minimise the
impact on the environment
3.
Manage the Impact of Work Activities on the Environment
M&L 35
4
4
30
J/506/2907
This unit aims to develop the knowledge and skills required to manage the
impact of work activities on the environment. Upon completion of this unit,
learners will understand how to support environmentally-friendly working
practises. Learners will also be able to organise work so as to minimise the
impact on the environment and will also be able to manage the environmental
impact of the use of resources.
Assessment Criteria
The learner can:
1.1 Explain how to carry out an environmental impact analysis
1.2 Compare sources of specialist advice on environmentally-friendly
working practices
1.3 Analyse the business and environmental benefits of effective energy
management policies
1.4 Explain the health and safety requirements for the use and disposal of
resources and waste
2.1 Analyse potentially adverse effects on the environment caused by work
activities
2.2 Evaluate the effectiveness of methods of improving environmental
sustainability in an organisation
2.3 Implement plans and procedures to adapt work practices to make
them more environmentally-friendly
2.4 Develop a system for colleagues to recommend improvements to make
work practices more environmentally-friendly
Be able to manage the
environmental impact of
the use of resources
3.1 Explain when to obtain specialist environmental management advice
3.2 Explain where to seek specialist environmental management advice
3.3 Determine the environmental impact of the use of different physical
resources
3.4 Develop procedures for the disposal of waste and unwanted resources in
a way that minimises the impact on the environment
3.5 Evaluate the effectiveness of organisational environmental policies and
procedures
3.6 Adhere to organisational policies and procedures, legal and ethical
requirements
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or Occupational Standards:
other professional standards or curricula (if
• CFAM&LEB4 Manage the environmental and social
appropriate)
impacts of your work
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
37
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the principles
underpinning the
management of quality
2.
Be able to prepare for quality
audits
Prepare For and Support Quality Audits
M&L 36
4
3
17
K/506/1992
This unit aims to develop the knowledge and skills required to prepare for and
support quality audits and introduces learners to the key principles
underpinning the management of quality. Upon completion of this unit,
learners will be able to prepare for and support quality audits.
Assessment Criteria
The learner can:
1.1 Analyse the principles of quality management
1.2 Analyse the purpose and requirements of a range of quality standards
1.3 Analyse the advantages and limitations of a range of quality techniques
1.4 Assess how the management of quality contributes to the achievement
of organisational objectives
2.1 Establish the quality requirements applicable to the work being
audited
2.2 Confirm that documentation is complete
2.3 Confirm that any previously agreed actions have been implemented
2.4 Make available information requested in advance by auditors
3.
Be able to support quality
audits
3.1 Provide access to information on request within scope of the audit
3.2 Agree actions and timescales with auditors that will remedy nonconformance or non-compliance
3.3 Identify instances where business processes, quality standards
and/or procedures could be improved
3.4 Develop a quality improvement plan that addresses the issues raised
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit and
Management & Leadership (2012) National
relevant national occupational standards
Occupational Standards:
or other professional standards or curricula (if
• CFAM&LFE3 Prepare for and participate in
appropriate)
quality audits
Assessment requirements or guidance specified
Skills CFA Assessment Strategy Competence units (S/NVQ)
by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
38
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the principles
underpinning the
management of quality
2.
Be able to prepare to carry
out quality audits
3.
Be able to conduct quality
audits
Conduct Quality Audits
M&L 37
4
3
21
T/506/1994
This unit aims to develop the knowledge and skills required to conduct quality
audits and introduces learners to the key principles underpinning the
management of quality. Upon completion of this unit, learners will be able to
prepare for and conduct quality audits.
Assessment Criteria
The learner can:
1.1 Analyse the principles of quality management
1.2 Analyse the purpose and requirements of a range of quality standards
1.3 Analyse the advantages and limitations of a range of quality techniques
1.4 Assess how the management of quality contributes to the achievement
of organisational objectives
2.1 Establish the quality requirements applicable to the work being
audited
2.2 Develop a plan for a quality audit
2.3 Prepare the documentation needed to undertake a quality audit
2.4 Specify data requirements to those who will support the audit
3.1 Confirm that any previously agreed actions have been implemented
3.2 Analyse information against agreed quality criteria
3.3 Identify instances where business processes, quality standards
and/or procedures could be improved
3.4 Agree actions and timescales that will remedy non-conformance or
non- compliance
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or
Occupational Standards:
other professional standards or curricula (if
• CFAM&LFE4 Carry out quality audits
appropriate)
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
39
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand how to identify
financial requirements
Manage a Budget
M&L 38
4
4
26
A/506/1995
This unit aims to develop the knowledge and skills required to manage a
budget. Upon completion of this unit, learners will have developed an
understanding of how to identify financial requirements and be able to set and
manage budgets and evaluate the use of a budget.
Assessment Criteria
The learner can:
1.1 Explain how to calculate the estimated costs of activities, resources and
overheads needed to achieve objectives
1.2 Analyse the components of a business case to meet organisational
requirements
1.3 Analyse the factors to be taken into account to secure the support of
stakeholders
1.4 Describe the business planning and budget-setting cycle
2. Understand how to set budgets
2.1
2.2
2.3
2.4
3. Be able to manage a budget
3.1
3.2
3.3
3.4
Explain the purposes of budget-setting
Analyse the information needed to enable realistic budgets to be set
Explain how to address contingencies
Explain organisational policies and procedures on budget-setting
Use the budget to control performance and expenditure
Identify the cause of variations from budget
Explain the actions to be taken to address variations from budget
Propose realistic revisions to budget, supporting recommendations
with evidence
3.5 Provide budget-related reports and information within agreed
timescales
3.6 Explain the actions to be taken in the event of suspected instances of
fraud or malpractice
4. Be able to evaluate the use
4.1 Identify successes and areas for improvement in budget
of a budget
management 4.1 Identify successes and areas for improvement in budget manag
4.2 Make recommendations to improve future budget setting
and management
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or
Occupational Standards:
other professional standards or curricula (if
• CFAM&LEA1 Identify and justify requirements for
appropriate)
financial resources
• CFAM&LEA4 Manage budgets
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
40
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Manage a Project
M&L 40
4
7
38
R/506/1999
This unit aims to develop the knowledge and skills required to manage a project.
Upon completion of this unit, learners will have developed an understanding of the
management of a project and will be able to plan, manage and evaluate a project.
Learning Outcomes
Assessment Criteria
The learner will:
The learner can:
1.1
Explain how to carry out a cost-benefit analysis for a project
1. Understand the
management of a
1.2
Evaluate the use of risk analysis techniques
project
1.3
Evaluate project planning and management tools and techniques
1.4
Evaluate the impact of changes to project scope, schedule, finance, risk,
quality and resources
1.5
Analyse the requirements of project governance arrangements
2. Be able to plan a project 2.1 Analyse how a project fits with an organisation’s overall vision, objectives,
plans and programmes of work
2.2 Agree the objectives and scope of proposed projects with stakeholders
2.3 Assess the interdependencies and potential risks within a project
2.4 Develop a project plan with Specific, Measurable, Achievable, Realistic
and Time-bound (SMART) objectives, Key Performance Indicators (KPIs)
and evaluations mechanisms appropriate to the plan
2.5
Develop proportionate and targeted plans to manage identified risks and
contingencies
2.6 Apply project lifecycle approaches to the progress of a project
3. Be able to manage a
3.1 Allocate resources in accordance with the project plan
project
3.2 Brief project team members on their roles and responsibilities
3.3 Implement plans within agreed budgets and timescales
3.4 Communicate the requirements of the plans to those who will be affected
3.5 Revise plans in the light of changing circumstances in accordance with
project objectives and identified risks
3.6 Keep stakeholders up to date with developments and problems
3.7 Complete close-out actions in accordance with project plans
3.8 Adhere to organisational policies and procedures, legal and ethical
requirements when managing a project
4. Be able to evaluate the
4.1 Conduct periodic reviews of the progress and effectiveness of a project
effectiveness of a project
using information from a range of sources
4.2 Evaluate the effectiveness of capturing and managing project-related
knowledge
4.3 Report on the effectiveness of plans
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or other Occupational Standards:
professional standards or curricula (if appropriate)
• CFAM&LFA5 Manage projects
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
41
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the
management of
business risk
Manage Business Risk
M&L 41
4
6
27
L/506/2004
This unit aims to develop the knowledge and skills required to manage
business risk. Upon completion of this unit, learners will have developed an
understanding of the management of business risk, and will be able to
address and mitigate business risk.
Assessment Criteria
The learner can:
1.1 Explain what is meant by business risk
1.2 Analyse business risk identification theories and models
1.3 Explain measures and techniques to mitigate business risk
1.4 Explain their own level of authority in managing risk
2. Be able to address business
risk
2.1 Monitor work in line with organisational risk procedures
2.2 Identify potential risks using agreed risk criteria
2.3 Assess identified risks, their potential consequences and the
probability of them happening
2.4 Communicate to stakeholders the likelihood of the risk occurring and
its potential consequences
2.5 Explain organisational business risk management policies
3. Be able to mitigate business
3.1 Develop risk management plans and processes that are proportionate to
risk
the risk and the available resources
3.2 Implement risk management plans in accordance with organisational
requirements
3.3 Monitor on-going risk-related developments and amend plans in the
light of changing circumstances
3.4 Keep stakeholders informed of any developments and their possible
consequences
3.5 Evaluate the effectiveness of actions taken, identifying possible future
improvements
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or
Occupational Standards:
other professional standards or curricula (if
• CFAM&LBB1 Manage risks to your organisation
appropriate)
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
42
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the
principles of
knowledge
management
2. Be able to identify
knowledge to be managed
within an organisation
Manage Knowledge in an Organisation
M&L 42
4
5
34
A/506/2032
This unit aims to develop the knowledge and skills required to manage
knowledge in an organisation and introduces learners to the key principles
underpinning knowledge management. Upon completion of this unit, learners
will be able to identify knowledge to be managed within an organisation, and
consequently manage knowledge within an organisation.
Assessment Criteria
The learner can:
1.1 Explain the concept, scope and importance of knowledge management
1.2 Explain the concept of intellectual property
1.3 Identify the business drivers that lead to effective knowledge
management
1.4 Explain the risks associated with knowledge management and their
potential implications
1.5 Explain the importance of engaging others and communicating
knowledge management issues and activities
1.6 Explain best practice principles and techniques for effective
knowledge management
1.7 Describe strategies to manage tacit and explicit knowledge
2.1 Identify the criteria against which knowledge will be managed
2.2 Engage colleagues in identifying the knowledge to be managed
3. Be able to manage knowledge
within an organisation
3.1 Implement actions in accordance with the knowledge management
plan
3.2 Adhere to security processes for the collection, storage and retrieval
of knowledge
3.3 Evaluate the extent to which current knowledge management systems
and processes are fit for purpose
3.4 Recommend improvements to processes and systems to manage
knowledge
3.5 Assess the likely impact and implications of the loss of knowledge
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Management & Leadership (2012) National
and relevant national occupational standards or other
Occupational Standards:
professional standards or curricula (if appropriate)
• CFAM&LEC2 Manage information, knowledge
and communication systems
• CFAM&LEC3 Develop knowledge and make
it available
Assessment requirements or guidance specified by
Skills CFA Assessment Strategy Competence units
a sector or regulatory body (if
(S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.3
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
43
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Recruitment, Selection and Induction Practice
M&L 43
4
6
33
R/506/2909
This unit aims to develop the knowledge and skills required for recruitment,
selection and induction practice. Upon completion of this unit, learners will have
developed an understanding of the key principles and theories underpinning
recruitment, selection and induction practice and will be able to recruit, select and
induct people into an organisation.
Learning Outcomes
Assessment Criteria
The learner will:
The learner can:
1. Understand the principles
1.1 Explain workforce planning techniques
and theories
1.2 Describe the information needed to identify recruitment requirements
underpinning recruitment,
1.3 Assess the impact of an organisation’s structure and culture on its
selection and induction
recruitment and selection policies and practices
practice
1.4 Analyse the factors involved in establishing recruitment and selection
criteria
1.5 Evaluate the suitability of different recruitment and selection methods for
different roles
1.6 Analyse patterns of employment that affect the recruitment of staff
1.7 Explain the factors to be taken into account when developing job
specifications, personal specifications and job advertisements
1.8 Explain the induction process
1.9 Explain the relationship between human resource processes and the
induction processes
2.1 Determine current staffing needs
2. Be able to recruit people
into an organisation
2.2 Identify current skills needs from identified staffing needs
2.3 Identify future workforce needs
2.4 Develop a resourcing plan that addresses identified needs within
budgetary limitations
2.5 Evaluate the cost-effectiveness of different methods of recruitment for an
identified role
2.6 Explain how recruitment policies and practices meet legal and ethical
requirements
2.7 Select the most appropriate method of recruitment for identified roles
3.1 Plan assessment processes that are valid and reliable
3. Be able to select
appropriate people for
3.2 Provide those involved in the selection process with sufficient information
the role
to enable them to make informed decisions
3.3 Justify assessment decisions with evidence
3.4 Inform applicants of the outcome of the process in line with organisational
procedures
3.5 Evaluate the effectiveness of the selection process
3.6 Adhere to organisational policies and procedures, legal and ethical
requirements when carrying out selection assessments
4.1 Develop induction materials that meet operational and new starters’ needs
4. Be able to induct people
into an organisation
4.2 Explain organisational policies, procedures and structures to new starters
4.3 Explain to new starters their role and responsibilities
4.4 Explain to new starters their entitlements and where to go for help
4.5 Assess new starters’ training needs
4.6 Confirm that training is available that meets operational and new starters’
needs
4.7 Provide support that meets new starters’ needs throughout the induction
period
Additional Information about the Unit
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
44
Unit expiry date
Details of the relationship between the unit
and relevant national occupational standards or
other professional standards or curricula (if
appropriate)
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
31 August 2017
Management & Leadership (2012) National
Occupational Standards:
• CFAM&LDA1 Plan the workforce
• CFAM&LDA2 Recruit, select and retain people
• CFAM&LDA3 Induct individuals into their roles
Skills CFA Assessment Strategy Competence
units (S/NVQ)
Skills CFA
15.3
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
45
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the
management of
redundancy
2.
Understand the principles
of redeployment
Manage Redundancy and Redeployment
M&L 44
4
6
39
M/506/2044
This unit aims to develop the knowledge and skills required to manage
redundancy and redeployment. Upon completion of this unit, learners will have
developed an understanding of the management of redundancy and the
principles of redeployment and will be able to manage redundancy and the
redeployment of staff.
Assessment Criteria
The learner can:
1.1 Explain the legal requirements that relate to the management of
redundancy
1.2 Explain the conditions required for a redundancy and their implications
1.3 Explain possible ways of avoiding redundancies
1.4 Explain the factors involved in identifying the pool for redundancy
selection
1.5 Explain the factors involved in developing an appeals process
1.6 Explain the process for planning and managing a redundancy
1.7 Evaluate the implications of voluntary and compulsory redundancy on
individuals
1.8 Evaluate the implications of voluntary and compulsory redundancy for
organisations
1.9 Evaluate the type of information required by staff who are retained
1.10 Evaluate the type of information required by staff who are made
redundant
1.11 Assess the role of outplacement in redundancy
2.1 Explain the concept of redeployment
2.2 Explain the legal requirements that relate to the management of
redeployment
2.3 Explain the process for planning and managing a redeployment
2.4 Evaluate the type of information required by staff who are retained
2.5 Evaluate the type of information required by staff who are redeployed
2.6 Evaluate the benefits and limitations to an organisation of redeployment
2.7 Assess the role of project management techniques in the management of
redeployment
3. Be able to manage a
redundancy
3.1 Evaluate the available options for avoiding a redundancy and their
implications
3.2 Develop a redundancy plan and timetable that addresses redundancy
objectives
3.3 Take action to ensure that redundancy payments are calculated
accurately
3.4 Use an appropriate method for communicating the outcome of a
redundancy decision
3.5 Make agreed support services available to those who have been made
redundant
4. Be able to manage the
4.1 Explain to redeployees the reasons, purpose and benefits of
redeployment
redeployment of staff
4.2 Develop a redeployment plan that addresses agreed objectives
4.3 Use an appropriate method for communicating about redeployment
4.4 Make agreed support services available to those being redeployed
4.5 Adhere to organisational policies and procedures, legal and ethical
requirements for the redeployment of staff
Additional Information about the Unit
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
46
Unit expiry date
Details of the relationship between the unit
and relevant national occupational standards or
other professional standards or curricula (if
appropriate)
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other appropriate
body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
31 August 2017
Management & Leadership (2012) National
Occupational Standards:
• CFAM&LDA4 Manage the redeployment
of people
• CFAM&LDA5 Manage redundancies
Skills CFA Assessment Strategy Competence
units (S/NVQ)
Skills CFA
15.3
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
47
THIS PAGE IS INTENTIONALLY BLANK
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
48
ILM Level 3 Diploma in Management
Optional Units Group C
UNIT SPECIFICATIONS
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
49
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand how to buddy a
colleague
Buddy a Colleague to Develop their Skills
B&A 35
2
3
19
M/506/1895
This unit aims to develop the knowledge and skills required to buddy a
colleague to develop their skills. Upon completion of this unit, learners will
be able to develop a plan to buddy a colleague and then put that plan into
action by supporting a buddy colleague in carrying out work activities.
Assessment Criteria
The learner can:
1.1 Describe what is expected of a buddy
1.2 Explain techniques to give positive feedback and
constructive criticism
1.3 Explain techniques to establish rapport with a buddy
2. Be able to plan to buddy a
colleague
2.1 Agree which aspects of a colleague’s
work may benefit from buddying
2.2 Confirm organisational requirements for standards of
behaviour, presentation, communication and performance
of a buddy colleague
2.3 Agree a schedule of meetings that minimise disruption
to business
2.4 Agree Specific, Measurable, Achievable, Realistic and Timebound (SMART) buddying objectives
3.
3.1 Remain unobtrusive while a buddy colleague carries out
their work activities
3.2 Provide examples of how to carry out tasks correctly
3.3 Identify instances of good practice and areas for
improvement through observation
3.4 Praise a buddy colleague on well completed tasks
3.5 Give constructive feedback on ways in which a buddy could
improve performance
3.6 Offer a buddy hints and tips based on personal experience
Be able to support a buddy
colleague carrying out work
activities
Additional Information about the Unit
Unit expiry date
Details of the relationship between the unit and relevant
national occupational standards
or other professional standards or curricula (if
appropriate)
Assessment requirements or guidance
specified by a sector or regulatory body (if appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
31 August 2017
Occupational Standards:
 CFACSD5249 Buddy a colleague to
develop their customer service skills
Skills CFA Assessment Strategy Competence
units (S/NVQ)
Skills CFA
15.2
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
50
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the principles
of resolving business
problems
Contribute to the Improvement of Business Performance
B&A 41
3
6
33
D/506/1911
This unit aims to develop the knowledge and skills required to contribute to
the improvement of business performance. Upon completion of this unit,
learners will have developed an understanding of the key principles
associated with resolving business problems and an understanding of
improvement techniques and processes. Learners will be able to apply this
knowledge when solving problems in business and when contributing to
the improvement of business activities
Assessment Criteria
The learner can:
1.1 Explain the use of different problem- solving techniques
1.2 Explain the organisational and legal constraints relating to problemsolving
1.3 Describe the role of stakeholders in problem-solving
1.4 Describe the steps in the business decision-making process
1.5 Analyse the implications of adopting recommendations and
implementing decisions to solve business problems
2.
Understand improvement
techniques and
processes
2.1 Describe the purpose and benefits of continuous improvement
2.2 Analyse the features, use and constraints of different continuous
improvement techniques and models
2.3 Explain how to carry out a cost-benefit analysis
2.4 Explain the importance of feedback from customers and other
stakeholders in continuous improvement
3.
Be able to solve problems
in business
3.1 Identify the nature, likely cause and implications of a problem
3.2 Evaluate the scope and scale of a problem
3.3 Analyse the possible courses of action that can be taken in
response to a problem
3.4 Use evidence to justify the approach to problem-solving
3.5 Develop a plan and success criteria that are appropriate to the nature
and scale of a problem
3.6 Obtain approval to implement a solution to a problem
3.7 Take action to resolve or mitigate a problem
3.8 Evaluate the degree of success and scale of the implications
of a solved problem
4. Be able to contribute to
the improvement of
activities
4.1 Identify the nature, scope and scale of possible contributions to
continuous improvement activities
4.2 Measure changes achieved against existing baseline data
4.3 Calculate performance measures relating to cost, quality and
delivery
4.4 Justify the case for adopting improvements identified with
evidence
4.5 Develop standard operating procedures and resource plans that
are capable of implementing agreed changes
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Business & Administration (2013) National
and relevant national occupational standards or other Occupational Standards:
professional standards or curricula (if appropriate)
 CFABAH122 Assist in improving
organisational performance
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if appropriate)
units (S/NVQ)
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
51
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
Skills CFA
15.2
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
52
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the principles
underpinning negotiation
Negotiate in a Business Environment
B&A 42
3
4
18
H/506/1912
This unit aims to develop the knowledge and skills required to negotiate in a
business environment and introduces learners to the principles underpinning
negotiation. Upon completion of this unit, learners will be able to prepare for
business negotiations and carry out business negotiations.
Assessment Criteria
The learner can:
1.1 Describe the requirements of a negotiation strategy
1.2 Explain the use of different negotiation techniques
1.3 Explain how research on the other party can be used in negotiations
1.4 Explain how cultural differences might affect negotiations
2.
Be able to prepare
for business
negotiations
2.1
2.2
2.3
2.4
Identify the purpose, scope and objectives of the negotiation
Explain the scope of their own authority for negotiating
Prepare a negotiating strategy
Prepare fall-back stances and compromises that align with the
negotiating strategy and priorities
2.5 Assess the likely objectives and negotiation stances of the other
party
2.6 Research the strengths and weaknesses of the other party
3.
Be able to carry
out business
negotiations
3.1 Carry out negotiations within responsibility limits in a way that
optimises opportunities
3.2 Adapt the conduct of the negotiation in accordance with changing
circumstances
3.3 Maintain accurate records of negotiations, outcomes and agreements
made
3.4 Adhere to organisational policies and procedures, and legal and
ethical requirements when carrying out business negotiations
Additional Information about the Unit
Unit expiry date
Details of the relationship between the unit
and relevant national occupational standards or
other professional standards or curricula (if
appropriate)
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
31 August 2017
Business & Administration (2013) National
Occupational Standards:
 CFABAG124 Negotiate in a business
environment
Skills CFA Assessment Strategy Competence
units (S/NVQ)
Skills CFA
15.2
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
53
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand how to develop
a presentation
2.
Develop a Presentation
B&A 43
3
3
11
K/506/1913
This unit aims to develop the knowledge and skills required to develop a
presentation. Upon completion of this unit, learners will understand best
practice in developing presentations and will be able to develop a structured
presentation.
Assessment Criteria
The learner can:
1.1 Explain best practice in developing presentations
1.2 Explain who needs to be consulted on the development of a
presentation
1.3 Explain the factors to be taken into account in developing a
presentation
1.4 Analyse the advantages and limitations of different communication
media
Be able to develop a
presentation
2.1 Identify the purpose, content, style, timing and audience for a
presentation
2.2 Select a communication media that is appropriate to the nature of a
presentation, message and audience
2.3 Tailor a presentation to fit the timescale and audience’s needs
2.4 Prepare a presentation that is logically structured, summarises the
content and addresses the brief
2.5 Take action to ensure that a presentation adheres to organisational
guidelines and policies
2.6 Develop materials that support the content of a presentation
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Business & Administration (2013) National
and relevant national occupational standards or other Occupational Standards:
professional standards or curricula (if appropriate)
 CFABAA617 Develop a presentation
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.2
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
54
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Deliver a Presentation
B&A 44
3
3
17
M/506/1914
This unit aims to develop the knowledge and skills required to deliver a
presentation. Upon completion of this unit, learners will be able to prepare
for and deliver a presentation.
Learning Outcomes
Assessment Criteria
The learner will:
The learner can:
1. Understand the principles
1.1 Analyse the advantages and limitations of different methods of, and
underpinning the delivery of
media for, making presentations
presentations
1.2 Explain how the type and size of the audience affects the delivery
of a presentation
1.3 Explain the factors to be taken into account in developing
contingency plans when delivering presentations
1.4 Explain voice projection and timing techniques when delivering
presentations
1.5 Explain the factors to be taken into account in responding to
questions from an audience
1.6 Explain different methods for evaluating the effectiveness of a
presentation
2. Be able to prepare to
2.1 Confirm the layout of the venue and correct functioning of
deliver a presentation
equipment and resources prior to making a presentation
2.2 Develop contingency plans for potential equipment and resource
failure
2.3 Take action to ensure that the presentation fits the time slot available
3. Be able to deliver a
3.1 Speak clearly and confidently, using language that is appropriate
presentation
for the topic and the audience
3.2 Vary their voice tone, pace and volume appropriately when delivering
a presentation
3.3 Use body language in a way that reinforces messages
3.4 Use equipment and resources effectively when delivering a
presentation
3.5 Deliver a presentation within the agreed timeframe
3.6 Respond to questions in a way that meets the audience’s
needs
3.7 Evaluate the effectiveness of a presentation
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Business & Administration (2013) National
and relevant national occupational standards or other Occupational Standards:
professional standards or curricula (if appropriate)
 CFABAA623 Deliver a presentation
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.2
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
55
Contribute to the Development and Implementation of an
Information System
Skills CFA Reference
B&A 36
Level
3
Credit Value
6
GLH
21
Unit Reference No.
A/506/1916
Unit aim(s)
This unit aims to develop the knowledge and skills required to contribute to
the development and implementation of an information system. Upon
completion of this unit learners will have developed an understanding of the
design and implementation of an information system. Learners will be able
to contribute to both the development and implementation of an information
system.
Learning Outcomes
Assessment Criteria
The learner will:
The learner can:
1. Understand the design and
1.1 Explain the types of information to be managed by a system
implementation of an
1.2 Explain how information will be used and by whom
information system
1.3 Explain who needs to be consulted in the design and
implementation of an information system and why
1.4 Explain the impact of legal and organisational security and
confidentiality requirements for the design and implementation of
an information system
2. Be able to contribute to the
2.1 Confirm the purpose, use and features of an information system
development of an
2.2 Identify the information that will be managed by the system
information system
2.3 Confirm requirements for reporting information
2.4 Recommend the functions that will be used to manipulate and
report information
2.5 Develop guidance for the use of an information system that is
accurate and easy to understand
2.6 Recommend user access and security levels for the information
system
2.7 Make contributions to the development of an information system that
are consistent with business objectives and values and within
budgetary constraints
2.8 Participate in system tests in accordance with the specification
3.1 Implement the information system in accordance with the plan,
3. Be able to contribute to the
minimising disruption to business
implementation of an
3.2 Confirm that staff are trained to use the system prior to its launch
information system
3.3 Resolve or report problems or faults with the information system within
the limits of their own authority
3.4 Adhere to organisational policies and procedures, and legal and ethical
requirements in the implementation of an information system
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Business & Administration (2013) National
and relevant national occupational standards or Occupational Standards:
other professional standards or curricula (if
 CFABAD111 Support the design and development of
appropriate)
information system
Title
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
Skills CFA Assessment Strategy Competence units (S/NVQ)
Skills CFA
15.2
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
56
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the monitoring
and resolution of customers’
problems
Resolve Customers’ Problems
CS 30
3
4
19
K/506/2169
This unit aims to develop the knowledge and skills required to resolve
customers’ problems. Upon completion of this unit, learners will be able to
deal with customers’ problems.
Assessment Criteria
The learner can:
1.1 Assess the suitability of a range of techniques for monitoring
customer problems
1.2 Explain how to use the resolution of customers’ problems to
improve products and/or services
1.3 Explain how the successful resolution of customers’ problems
contributes to customer loyalty and enhanced
business performance
1.4 Explain the features of negotiating techniques used to resolve
customers’ problems
2. Be able to deal with
customers’ problems
2.1 Confirm the nature and cause of customers’ problems
2.2 Explain when customers’ problems
should be treated as complaints
2.3 Explain the benefits to customers and the organisation of the
options available to solve problems
2.4 Explain the drawbacks to customers and the organisation of the
options
available to solve problems
2.5 Explain to customers the options for resolving their problems
2.6 Agree solutions that meet customers’ and organisational
requirements within their own levels of authority
2.7 Inform colleagues of the nature of problems and actions taken
2.8 Evaluate the effectiveness of the resolution of customers’
problems
2.9 Adhere to organisational policies and procedures, legal and
ethical requirements when dealing with customers’ problems
Additional Information about the Unit
Unit expiry date
August 31 2017
Details of the relationship between the unit
Customers Service (2013) National
and relevant national occupational standards or
Occupational Standards:
other professional standards or curricula (if
 CFACSC5 Monitor and solve customer
appropriate)
service problems
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
Skills CFA Assessment Strategy Competence units
(S/NVQ)
Skills CFA
15.2
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
57
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the monitoring
and resolution of customers’
complaints
Resolve Customers’ Complaints
CS 31
3
4
22
R/506/2151
This unit aims to develop the knowledge and skills required to resolve
customers’ complaints. Upon completion of this unit, learners will be able to
deal with customers’ complaints.
Assessment Criteria
The learner can:
1.1 Assess the suitability of a range of monitoring techniques for
customers’ complaints
1.2 Explain how to identify those complaints that should prompt a review of
the service offer and service delivery
1.3 Explain negotiating techniques used to resolve customers’ complaints
1.4 Explain conflict management techniques used in dealing with upset
customers
1.5 Explain organisational procedures for dealing with customer
complaints
1.6 Explain when to escalate customers’ complaints
1.7 Explain the cost and regulatory implications of admitting liability on
the basis of a customer complaint
1.8 Explain the advantages and limitations of offering compensation or
replacement products and/or services
2. Be able to deal with
customers’ complaints
2.1 Confirm the nature, cause and implications of customers’ complaints
2.2 Take personal responsibility for dealing with complaints
2.3 Communicate in a way that recognises customers’ problems and
understands their points of view
2.4 Explain the advantages and limitations of different complaint
response options to customers
2.5 Explain the advantages and limitations of different complaint
response options to the organisation
2.6 Keep customers informed of progress
2.7 Agree solutions with customers that address the complaint and which
are within the limits of their own authority
2.8 Record the outcome of the handling of complaints for future reference
2.9 Adhere to organisational policies and procedures, legal and ethical
requirements when dealing with customers’ complaints
Additional Information about the Unit
Unit expiry date
August 31 2017
Details of the relationship between the unit
Customers Service (2013) National
and relevant national occupational standards
Occupational Standards:
or other professional standards or curricula (if
 CFACSC7 Process customer service complaints
appropriate)
 CFACSC8 Handle referred customer complaints
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.2
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
58
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand how to
gather, analyse
and interpret
customer feedback
2.
Be able to plan the
collection of
customer feedback
on customer
service issues
3.
Be able to gather
customer feedback
Gather, Analyse and Interpret Customer Feedback
CS 32
3
5
24
D/506/2170
This unit aims to develop the knowledge and skills required to gather, analyse
and interpret customer feedback. Upon completion of this unit, learners will be
able to plan the collection of customer feedback, gather customer feedback, and
analyse and interpret customer feedback to inform recommendations for
improvements.
Assessment Criteria
The learner can:
1.1 Describe methods of collecting data for customer research
1.2 Explain random sampling techniques used to collect data
1.3 Explain how to evaluate bias in non- random samples
1.4 Explain the principles of questionnaire design
1.5 Assess the suitability of a range of techniques to analyse customer
feedback
1.6 Explain techniques used to monitor the quality of data collected
1.7 Explain the use of software to record and analyse customer feedback
1.8 Explain the validation issues associated with customer feedback
1.9 Explain the importance of anonymising comments from customers who do
not wish to be identified
2.1 Identify the objectives of collecting customer feedback
2.2 Justify the reasons for selecting different data collection methods
2.3 Develop a data collection and analysis plan that specifies the sampling
frame, data collection and recording methods and timeframe
3.1 Collect customer feedback using the sampling frame identified in a
customer service plan
3.2 Record data in a way that makes analysis straightforward
3.3 Verify that all data is handled in line with legal, organisational and ethical
policies and procedures
4. Be able to analyse
and interpret
customer
feedback to
recommend
improvements
4.1 Use data analysis methods to identify patterns and trends in customer
feedback
4.2 Use the findings of a data analysis to identify areas for improvement to
customer service
4.3 Present the findings of an analysis in the agreed format
4.4 Recommend improvements in response to the findings of an analysis
Additional Information about the Unit
Unit expiry date
August 31 2017
Details of the relationship between the unit
Customers Service (2013) National
and relevant national occupational standards or other
Occupational Standards:
professional standards or curricula (if appropriate)

CFACSD12 Gather, analyse
and interpret customer feedback
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.2
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
59
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the role of
organisations and
industries
2.
Employee Rights and Responsibilities*
B&A 39
2
2
16
L/506/1905
This unit aims to develop the knowledge needed to understand their
employee rights and responsibilities. Upon completion of this unit, learners
will have developed an understanding of the role of organisations and
industries, as well as gaining an understanding and awareness of
employers’ expectations and employees’ rights and obligations.
Assessment Criteria
The learner can:
1.1 Explain the role of their own occupation within an organisation and
industry
1.2 Describe career pathways within their organisation and industry
1.3 Identify sources of information and advice on an industry,
occupation, training and career pathway
1.4 Describe an organisation’s principles of
conduct and codes of practice
1.5 Explain issues of public concern that affect an organisation and
industry
1.6 Describe the types, roles and responsibilities of representative bodies
and their relevance to their own role
Understand employers’
expectations and
employees’ rights and
obligations
2.1 Describe the employer and employee statutory rights and
responsibilities that affect their own role
2.2 Describe an employer’s expectations for employees’ standards of
personal presentation, punctuality and behaviour
2.3 Describe the procedures and documentation that protect
relationships with employees
2.4 Identify sources of information and advice on employment rights
and responsibilities
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
and relevant national occupational standards or other
professional standards or curricula (if appropriate)
Assessment requirements or guidance specified by a sector
N/A
or regulatory body (if appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
Skills CFA
15.2
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
60
Title
Health and Safety Procedures in the Workplace
Level
2
Credit Value
2
GLH
16
Unit Reference No.
T/505/4673
Learning Outcomes
Assessment Criteria
The learner will:
The learner can:
1. Know health and safety
procedures in the workplace.
1.1 Define the main responsibilities for health and safety in the
workplace of the following:
a) employers
b) employees
1.2 Describe two health and safety laws affecting the workplace
1.3 Define the importance of following health and safety
procedures in the workplace
1.4 Define the types of information or support available in relation
to a specified aspect of health and safety in the workplace.
2.
2.1
2.2
2.3
2.4
Be able to carry out tasks with
regard to health and safety in
the workplace
Carry out a risk assessment of a specified workplace activity
Use equipment or tools safely in the workplace
Describe how to prevent accidents in the workplace
Assess how own health and safety practices could be
improved
Additional Information about the Unit
Unit expiry date
Details of the relationship between the unit
and relevant national occupational standards or other
professional standards or curricula (if appropriate)
Assessment requirements or guidance specified by a
sector or regulatory body (if appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
31 May 2018
N/A
NOCN
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
61
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand the
management of an
event
2.
Be able to manage
the planning of an
event
3. Be able to manage an
event
Manage Events
B&A 69
4
6
49
M/506/1959
This unit aims to develop the knowledge and skills required to manage events.
Upon completion of this unit, learners will develop an understanding of the
management of an event, and will be able to manage events at all stages,
including the planning stage, the execution stage and the follow-up stage.
Assessment Criteria
The learner can:
1.1 Explain how organisational objectives will be met by an event
1.2 Explain the flexibilities and constraints
of an event’s budget
1.3 Evaluate the use of project management techniques in event
management
1.4 Analyse how models of contingency and crisis management can be applied
to event management
1.5 Analyse the use of Customer Relationship Management (CRM)
systems to attract attendees
1.6 Evaluate the application of the principles of logistics to event
management
1.7 Describe the insurance requirements of an event
2.1 Identify the purpose of an event and the key messages to be
communicated
2.2 Identify target attendees for an event
2.3 Assess the impact of an event on an organisation and its stakeholders
2.4 Establish requirements for resources, location, technical facilities, layout,
health and safety
2.5 Identify how event-related risks and contingencies will be managed
2.6 Develop an event plan that specifies objectives, success and evaluation
criteria
2.7 Make formal agreements for what will be provided, by whom and when
2.8 Determine methods of entry, security, access and pricing
3.1 Manage the allocation of resources in accordance with the event
management plan
3.2 Respond to changing circumstances in accordance with contingency plans
3.3 Deliver agreed outputs within the timescale
3.4 Manage interdependencies, risks and problems in accordance with the
event management plan
3.5 Comply with the venue, insurance and technical requirements
3.6 Apply the principles and good practice of customer care when managing
an event
3.7 Adhere to organisational policies and procedures, legal and ethical
requirements when managing an event
4. Be able to follow up
an event
4.1 Ensure that all post-event leads or actions are followed up
4.2 Optimise opportunities to take actions that are likely to further business
objectives
4.3 Evaluate the effectiveness of an event against agreed criteria
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Business & Administration (2013) National
and relevant national occupational standards or other
Occupational Standards:
professional standards or curricula (if appropriate)

CFABAA312 Organise and co-ordinate
event
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
62
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from an SSC or other
appropriate body (if required)
Location of the unit within the subject/sector
classification system
Name of the organisation submitting the unit
Availability for use
Skills CFA Assessment Strategy Competence
units (S/NVQ)
Skills CFA
15.2
Skills CFA
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
63
Title
Skills CFA Reference
Level
Credit Value
GLH
Unit Reference No.
Unit aim(s)
Learning Outcomes
The learner will:
1. Understand how to
review the quality of
customer service
2.
Be able to plan the
measurement of
customer service
3.
Be able to evaluate the
quality of customer
service
Review the Quality of Customer Service
CS 36
4
4
20
F/506/2176
This unit aims to provide the knowledge and skills required to review the
quality of customer service. Upon completion of this unit, learners will be
able to plan the measurement of customer service and evaluate the
quality of customer service.
Assessment Criteria
The learner can:
1.1 Explain the value of measuring the quality of customer service
1.2 Analyse the criteria for and factors involved in setting customer
service standards
1.3 Explain how to construct representative samples
1.4 Analyse methods of validating information and information sources
1.5 Explain how to set and use customer service performance metrics
1.6 Explain the use of customer feedback in the measurement of
customer service
1.7 Analyse the advantages and disadvantages of a range of data
analysis methods
2.1 Identify the features of customer service against which customer
satisfaction can be measured
2.2 Select data collection methods that are valid and reliable
2.3 Specify monitoring techniques that measure customer satisfaction
2.4 Establish evaluation objectives and Key Performance Indicators
(KPIs) in the measurement of customer service
2.5 Specify the information to be collected
3.1 Validate the information collected to identify useable data
3.2 Use information analysis methods that are appropriate to the nature
of the information collected
3.3 Identify instances of effective customer service, shortfalls and gaps
from the information analysis against agreed criteria
3.4 Develop recommendations that address identified areas for
improvement supported by evidence
Additional Information about the Unit
Unit expiry date
31 August 2017
Details of the relationship between the unit
Customers Service (2013) National
and relevant national occupational standards or Occupational Standards:
other professional standards or curricula (if
• CFACSB14 Review the quality of customer
appropriate)
service
Assessment requirements or guidance
Skills CFA Assessment Strategy Competence
specified by a sector or regulatory body (if
units (S/NVQ)
appropriate)
Support for the unit from an SSC or other
Skills CFA
appropriate body (if required)
Location of the unit within the subject/sector
15.2
classification system
Name of the organisation submitting the unit
Skills CFA
Availability for use
Shared
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
64
THIS PAGE IS INTENTIONALLY BLANK
ILM Qualification Specifications – V2 June 2014
Level 3 Diploma in Management (QCF)
65
T/505/4673 Health and Safety Procedures in the Workplace
Learning Outcome
Assessment Criteria
Guidelines and range
The candidate provides evidence that they understand:
1. Know health and
1.1 Define the main responsibilities Candidates must show an awareness of health and safety procedures in relation
safety procedures for health and safety in the
to their role and organisational requirements.
in the workplace.
workplace of the following:
a) employers
Employers have a ‘duty of care’ to ensure as far as possible your health, safety
b) employees
and welfare while you are at work.
a) Responsibilities of employers for anyone employing five or more people
include:
 Control risks and prevent risks to health where possible by making the
workplace safe
 Ensure that plant and machinery is safe to use and regularly maintained
 Provide personal protective and safety equipment for employees
 Tell you about any potential hazards for the work you do and give
information, instructions , training and supervision where required
 Take responsibility for any visitors to their premises such as customers,
suppliers and the general public
 Provide adequate first aid facilities and set up emergency plans,
including the right warning signs
b) Responsibilities of employees include:
 Taking reasonable care of your own and others’ health and safety,
making sure that you understand and follow the company’s health and
safety policies
 Not misusing any equipment that is provided for safety purposes
 Cooperating with your employer by wearing protective clothing and if
appropriate, removing jewellery or covering long hair
 Reporting any injuries, strains or illnesses suffered as a result of your
work
 Informing your employer of any medication that you are taking, if working
with, driving or operating machinery
In this criterion the learner is required to define the main responsibilities for
health and safety in the workplace of employers and employees
66
1.2 Describe two health and safety
laws affecting the workplace
Examples include:
 The Health and Safety at Work, etc. Act, 1974
 The Control of Substances Hazardous to Health Regulations 2002
(COSHH)
 etc.
In this criterion the learner is required to describe the key features of two health
and safety laws affecting the workplace
1.3 Define the importance of
following health and safety
procedures in the workplace
1.4 Define the types of information
or support available in relation to a
specified aspect of health and
safety in the workplace.
In this criterion the learner is required to define the importance of following
health and safety procedures in the workplace
Sources include, for example:
 The employer
 The Health and Safety Executive (HSE)
 Trade Union resource centres
 Websites offering key booklets, such as HSE: Information about
health and safety at work [2.9.14]
In this criterion the learner is required to define three types of information or
support available in relation to a specified aspect of health and safety in the
workplace.
Evidence may be supplied by:
 Induction training, professional discussion, questioning, witness statements, reflective account, report on gathering, analysing and
interpreting information relevant to the role on Health and Safety Law and Regulations.
2. Be able to carry out 2.1 Carry out a risk assessment of A Risk assessment is carried out in order to identify sensible measures to control
tasks with regard to
a specified workplace activity
risks in your workplace. Five steps are:
health and safety in
 Identify the hazards
the workplace.
 Identify the persons at risk
 Evaluate the level of risk
 Implement controls to remove or reduce risk
 Record and monitor ( for 5 employees and over)
In this criterion the learner is required to provide evidence that he or she has
correctly carried out a risk assessment of a specified work place activity
2.2 Use equipment or tools safely
in the workplace
In this criterion the learner is required to provide evidence that he or she has
used two or more pieces of equipment or tools safely in the workplace
67
2.3 Describe how to prevent
accidents in the workplace
In this criterion the learner is required to describe the key features of how to
prevent accidents in the workplace
2.4 Assess how own health and
safety practices could be improved
In this criterion the learner is required to assess how own health and safety
practices could be improved
Evidence may be supplied by:
 observation
 witness testimony
 professional discussion
 questioning
 reflective account
 knowledge base content*
 customer/ supplier feedback
 organisational policies and procedures* and organisational codes of practice.
Note:
This unit is about ensuring that you have been provided with information and training, understand and work in a safe
environment, observing health and safety procedures at all times by using safe working practices.
Here the candidate will require to be observed when carrying out tasks and using equipment and tools safely.
*Internal/organisational documentation need not be held in the candidate’s portfolio but held in the workplace with
reference made to where it can be found and its relevance to the criteria.
68
T/505/4673 Gweithdrefnau Iechyd a Diogelwch yn y Gweithle
Deilliannau Dysgu
Meini Prawf Asesu
Canllawiau ac ystod
Mae’r ymgeisydd yn darparu tystiolaeth ei fod yn deall:
1. Gwybod
1.1 Diffinio prif gyfrifoldebau iechyd Mae’n rhaid i ymgeiswyr ddangos ymwybyddiaeth o weithdrefnau iechyd a
gweithdrefnau
a diogelwch yn y gweithle ar gyfer
diogelwch mewn perthynas â’u rôl a gofynion sefydliadau.
iechyd a
y canlynol:
diogelwch yn y
a) cyflogwyr
Mae gan gyflogwyr ‘ddyletswydd gofal’ i sicrhau eich iechyd, eich diogelwch a’ch
gweithle.
b) gweithwyr cyflogedig
lles i’r graddau mwyaf posibl tra rydych yn y gwaith.
a) Cyfrifoldebau cyflogwyr i unrhyw un sy’n cyflogi pump neu fwy o bobl
gan gynnwys:
 Rheoli risgiau ac atal risgiau i iechyd lle y bo’n bosibl drwy wneud y
gweithle yn ddiogel
 Sicrhau bod peiriannau a chyfarpar yn ddiogel i’w defnyddio ac yn cael
eu cynnal a’u cadw’n rheolaidd
 Darparu cyfarpar personol a diogelwch ar gyfer gweithwyr cyflogedig
 Rhoi gwybod i chi am unrhyw beryglon posibl sy’n gysylltiedig â’ch
gwaith a rhoi gwybodaeth, cyfarwyddiadau, hyfforddiant a
goruchwyliaeth lle y bo angen
 Bod yn gyfrifol am unrhyw ymwelwyr i’w safleoedd fel cwsmeriaid,
cyflenwyr a’r cyhoedd
 Darparu cyfleusterau cymorth cyntaf digonol a rhoi cynlluniau argyfwng
ar waith, gan gynnwys yr arwyddion rhybuddio cywir
b) Mae cyfrifoldebau gweithwyr cyflogedig yn cynnwys:
 Cymryd gofal rhesymol am eich iechyd a’ch diogelwch eich hun ac eraill,
gan sicrhau eich bod yn deall polisïau iechyd a diogelwch eich cwmni ac
yn eu dilyn
 Peidio â chamddefnyddio unrhyw gyfarpar a ddarperir at ddibenion
diogelwch
 Cydweithredu â’ch cyflogwr drwy wisgo dillad diogelwch ac os yw’n
briodol, tynnu gemwaith neu orchuddio gwallt hir
 Adrodd am unrhyw anafiadau, ac unrhyw fathau o straen neu salwch a
ddioddefwyd o ganlyniad i’ch gwaith
 Hysbysu eich cyflogwr o unrhyw feddyginiaeth yr ydych yn ei chymryd,
os ydych yn gweithio â pheiriannau, yn eu gyrru neu’n eu gweithredu
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddiffinio’r prif gyfrifoldebau iechyd a
diogelwch yng ngweithle cyflogwyr a gweithwyr cyflogedig.
69
1.2 Disgrifio dwy gyfraith iechyd a
diogelwch sy’n effeithio ar y
gweithle
Mae enghreifftiau’n cynnwys:
 Deddf Iechyd a Diogelwch yn y Gwaith etc 1974
 Rheoliadau Rheoli Sylweddau Peryglus i Iechyd (COSHH)
 ac ati
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddisgrifio prif nodweddion dwy
gyfraith iechyd a diogelwch sy’n effeithio ar y gweithle
1.3 Diffinio pwysigrwydd dilyn
gweithdrefnau iechyd a diogelwch
yn y gweithle
1.4 Diffinio’r math o wybodaeth
neu gymorth sydd ar gael mewn
perthynas ag agwedd benodol ar
iechyd a diogelwch yn y gweithle.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddiffinio pwysigrwydd dilyn y
gweithdrefnau iechyd a diogelwch canlynol yn y gweithle
Mae ffynonellau’n cynnwys, er enghraifft:
 Y cyflogwr
 Yr Awdurdod Gweithredol Iechyd a Diogelwch (HSE)
 Canolfannau adnoddau Undebau Llafur
 Gwefannau sy’n cynnig llyfrynnau allweddol, fel HSE:
Gwybodaeth am Iechyd a Diogelwch yn y Gwaith [2.9.14]
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddiffinio tri gwahanol fath o
wybodaeth neu gymorth sydd ar gael mewn perthynas ag agwedd benodol ar
iechyd a diogelwch yn y gweithle.
Gellir defnyddio’r canlynol fel tystiolaeth:
 Hyfforddiant sefydlu, trafodaeth broffesiynol, cwestiynu, datganiadau gan dystion, cofnod myfyriol, adrodd ar gasglu, dadansoddi a
dehongli gwybodaeth sy’n berthnasol i Gyfraith a Rheoliadau Iechyd a Diogelwch.
2. Gallu cwblhau
2.1 Cynnal asesiad risg o
Cynhelir asesiad risg er mwyn nodi mesurau call i reoli risgiau yn eich gweithle.
tasgau mewn
weithgaredd penodol yn y gweithle Dyma’r pum cam:
perthynas ag iechyd a
 Nodi’r peryglon
diogelwch yn y
 Nodi’r unigolion sydd mewn perygl
gweithle.
 Gwerthuso lefel y risg
 Rhoi rheolaethau ar waith er mwyn diddymu neu leihau risg
 Cofnodi a monitro (ar gyfer 5 a mwy o weithwyr cyflogedig )
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod ef neu hi
wedi cynnal asesiad risg cywir o weithgaredd penodol yn y gweithle
2.2 Defnyddio cyfarpar neu offer
yn ddiogel yn y gweithle
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod ef neu hi
wedi defnyddio dau ddarn o gyfarpar neu offer yn ddiogel yn y gweithle.
70
2.3 Disgrifio sut i atal damweiniau
yn y gweithle
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddisgrifio prif nodweddion sut i atal
damweiniau yn y gweithle
2.4 Asesu sut y gellir gwella eich
Yn y maen prawf hwn, mae gofyn i’r dysgwr asesu sut y gellir gwella ei arferion
arferion iechyd a diogelwch eich
iechyd a diogelwch ei hun
hun
Gellir defnyddio’r canlynol fel tystiolaeth:
 arsylwi
 tystiolaeth gan dystion
 trafodaeth broffesiynol
 cwestiynu
 cofnod myfyriol
 cynnwys y sylfaen wybodaeth*
 adborth cwsmeriaid/ cyflenwyr
 polisïau a gweithdrefnau sefydliad* a chodau ymarfer sefydliad.
Dalier sylw:
Mae’r uned hon yn ymwneud â sicrhau eich bod wedi cael gwybodaeth a hyfforddiant, a’ch bod yn deall yr amgylchedd a
bod yr amgylchedd yn ddiogel, a’ch bod yn rhoi sylw i weithdrefnau iechyd a diogelwch bob amser drwy ddefnyddio
arferion gweithio diogel.
Yma bydd angen arsylwi ar yr ymgeisydd wrth iddo/iddi gwblhau tasgau, a defnyddio cyfarpar ac offer yn ddiogel.
*Dylid cadw dogfennau mewnol/y sefydliad yn y gweithle yn hytrach nag ym mhortffolio’r ymgeisydd gan nodi lle y gellir
dod o hyd iddynt a pha mor berthnasol ydynt i’r meini prawf.
71
B&A 39: EMPLOYEE RIGHTS AND RESPONSIBILITIES
Centre Number :
Learner Registration No :
Centre Name :
Learner Name:
Learning Outcome / Section 1: Understand the role of organisations and industries
Assessment Guidance
Assessment Criteria (AC)
AC 1.1

 Explain the role of
their own occupation 
within
an
organisation
and
industry

Assessor feedback on AC
[comments not necessary in
every box]
An ‘occupation’ is a term that is generally taken to mean a career, profession,
or vocation to which an individual is particularly attracted to.
Organisations are classified into industry sectors, and examples of industry
sectors include engineering and construction, hospitality and leisure,
entertainment and media, retail and consumer, etc.
You are required to explain how your occupation contributes to your
organisation and to your industry.
Answer:
Pass or Referral

AC 1.2
 Describe
career
pathways
within 
their
organisation
and industry
A career pathway describes how an employee might progress his or her
career through, for example, formal education or training, informal learning
and developing personal skills and interests.
You are required to describe the key features of one career pathway within
your organisation and one separate and distinct career pathway within your
industry.
Answer:
Pass or Referral
72

AC 1.3
 Identify sources of
information
and 
advice
on
an
industry, occupation,
training and career
pathway
Information and advice on an industry, occupation, training and career
pathway is readily available from a wide variety of sources, and can, for
example, be easily accessed online or by visiting employment agencies.
You are required to identify two relevant and appropriate sources of
information and advice on each of the following:
o an industry
o an occupation
o training
o career pathways
Answer:
Pass or Referral

AC 1.4
 Describe
an
organisation’s

principles of conduct
and codes of practice

An organisation’s principles of conduct defines the behaviour expected from
its employees, and will generally make reference to, for example, acting
ethically and with integrity.
Codes of practice are used to regulate an occupation or profession and
provide practical advice. For example, under the Construction (Design and
Management) Regulations 2007 the Approved Code of Practice (ACOP) has
special legal status and gives practical advice for all those involved in
construction work.
You are required to describe the key features of an organisation’s principles
of conduct and two codes of practice.
Answer:
Pass or Referral
AC 1.5

 Explain issues of
public concern that
affect
an
The public has expressed concern on a number of issues in recent years over
the behaviour or activities of particular organisations and industries,
including the behaviour of the banking industry and individual banks, food
standards, and the standards of care provided in residential care homes.
73
organisation
industry
and 
You are required to describe the poor practices of one organisation and one
industry in order to explain why those poor practices have become issues of
public concern that affect the organisation and the industry.
Answer:
Pass or Referral
AC 1.6

 Describe the types,
roles
and
responsibilities
of
representative
bodies and their
relevance to their
own role


There are a number of representative bodies relevant to employee rights and
responsibilities, including:
o Trade unions
o Government bodies
o Works Committees
o Employer/Employee forums
o Professional Associations
o etc.
You are required to describe the roles and responsibilities of three different
types of representative bodies.
You are then required to describe how each of the three different types of
representative bodies is relevant to own role.
Answer:
Pass or Referral
Section comments (optional):
Verification comments (optional):
Learning Outcome / Section 2 Understand employers’ expectations and employees’ rights and obligations
Assessment Criteria (AC)
Assessment Guidance
Assessor feedback on AC
[comments not necessary in
every box]
74
AC 2.1

 Describe
the
employer
and
employee statutory 
rights
and
responsibilities that
affect their own role

Employers and employees have statutory rights and responsibilities relating to
such areas as Health and Safety, Terms and Conditions of Employment,
Equal Opportunities, and the right to be paid a Minimum Wage.
The Health and Safety at Work Acts, for example, set out responsibilities and
rights for both employers and employees, and there are also specific
regulations about the ways in which potentially harmful substances should be
used and stored.
You are required to describe how the main features of two employer and
employee statutory rights and responsibilities affect own role.
Answer:
Pass or Referral

AC 2.2
 Describe
an
employer’s
expectations
for
employees’
standards of personal

presentation,
punctuality
and
behaviour
Most, if not all, employers will provide some formal guidance for such things
as productivity, behaviour (including honesty and loyalty) and punctuality,
and, depending upon the organisation and the industry, employer
expectations will also usually extend to providing guidelines on, for example,
interaction with customers, dress code, and use of company property (such
as office equipment).
You are required to describe the main features of an employer’s expectations
for employees’ standards of personal presentation, punctuality and
behaviour.
Answer:
Pass or Referral

AC 2.3
 Describe
the
procedures
and
documentation that
protect relationships 
with employees
The CIPD notes that ‘Disciplinary and grievance procedures are frameworks
which provide clear and transparent structures for dealing with difficulties
which may arise as part of the working relationship from either the
employer’s or employee’s perspective.
These procedures are necessary to ensure that everybody is treated in the
same way in similar circumstances, to deal with issues fairly and reasonably,
and to ensure that employers are compliant with current legislation and
75
follow the relevant Acas Code of Practice’
http://www.cipd.co.uk/hr-resources/factsheets/discipline-grievances-atwork.aspx
 You are required to describe the main features of procedures and
documentation that protect relationships with employees, ensuring they are
compliant with current legislation and follow the relevant Acas Code of
Practice.
Answer:
Pass or Referral
 Information and advice on employment rights and responsibilities can be
AC 2.4
collected from a variety of sources, including the Government, Citizens
 Identify sources of
Advice and ACAS.
information
and
advice
on  You are required to identify three sources of information and advice on
employment rights and responsibilities.
employment rights
and responsibilities
Answer:
Pass or Referral
Section comments (optional):
Verification comments (optional):
Assessor’s Decision
Outcome (delete as applicable): Signature of Assessor:
PASS / REFERRAL
Date:
Quality Assurance Use
Outcome (delete as applicable): Signature of QA:
PASS / REFERRAL
Date of QA check:
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B&A 35 Buddy a colleague to develop their skills
Learning Outcome
1.
Understand how
to buddy a
colleague
Assessment Criteria
1.1 describe what is expected of a
buddy
explain techniques to give positive
feedback and constructive criticism
1.3
explain techniques to
establish rapport with a
buddy.
Guidelines and range
The candidate provides evidence that they understand:
Buddy
Your role may be to show a new member of staff where different departments
are within the building, how to complete certain regular tasks etc.
Feedback eg
 Information specific
 Issue focused
 Based on observations
 ‘Sandwich’ strategy i.e. positive/negative/positive
 Person to person
 Timely
Techniques:

Be approachable

Look for things you have in common

Hone your listening skills

Develop active listening

Have empathy

Reflect and clarify

Use open body language
Evidence may be supplied by
 report, professional discussion and questioning
2. Be able to plan to
2.1 agree which aspects of a
buddy a colleague.
colleague’s work may benefit
from buddying
2.2 confirm organisational
requirements for:
a. standards of behaviour
b. presentation
c. communication
d. performance
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of a buddy colleague
2.3 agree a schedule of meetings
that minimise disruption to
business.
2.4 agree:
a. specific
b. measurable
c. achievable
d. realistic
e. time-bound
(SMART) buddying objectives
Evidence may be supplied by
 observation, witness testimony, professional discussion and reflective account
3. Be able to support 3.1 remain unobtrusive while a
a buddy colleague
buddy colleague carries out
carrying out work
their work activities
activities
3.2 provide examples of how to
carry out tasks correctly
3.3 identify instances of good
practice and areas for
improvement through
observations
3.4 praise a buddy colleague on
well completed tasks
3.5 give constructive feedback on
ways in which a buddy could
improve performance offer a
buddy hints and tips based on
personal experience.
3.6 offer a buddy hints and tips
based on personal experience.
Evidence may be supplied by
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
observation, witness testimony, professional discussion and reflective account
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M&L 9 Manage personal & professional development
Learning Outcome
Assessment Criteria
1.Be able to identify
personal and
professional
development
requirements
1.1 Compare sources of
information on professional
development trends and their
validity
Guidelines and range
The candidate provides evidence that they understand:
Sources of information on professional development trends in their own profession/industry
Such sources could include publications and other information from:






Professional bodies
Professional networks
Trade associations
Organisation's employee development department
Training organisations
Internet
Any comparison would look at strengths/ weaknesses, advantages/disadvantages of each
source.
In this criterion the learner is required to compare sources of information on professional
development trends, and their validity, using at least two sources of information.
1.2 Identify trends and
developments that influence the
need for professional development
Information on trends and developments in their own profession, industry or organisation that
could influence the need for professional development. These could include changes in :
 Systems or technology
 Market changes
 Competition
 Legislation
In this criterion the learner is required to identify at least two trends and/or developments that
could influence the need for professional development. These should be described.
1.3 Evaluate their own current
and future personal and
professional development
needs relating to the role , the
team and the organisation
Information gathered in ACs 1.1. and 1.2 can be used to identify current and future knowledge,
skills and experience needs relating to their role, team and organisation. Information sources on
current and future needs could also include performance appraisals, job description, business
plans, and team objectives.
An evaluation would look at current knowledge, skills and experience levels and the extent to
which they satisfy current and potential future needs. This will form the basis for the skills gap
analysis in AC2.3
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In this criterion the learner is required to provide evidence of evaluating their own current and
future personal and professional development needs relating to their role, the team and
organisation
2. Be able to fulfil a
personal and
professional
development plan
2.1 Evaluate the benefits of
personal and professional
development
Information gathered in the previous ACs can be used to identify the benefits of the personal
and professional development required. An evaluation should include both the benefits and
potential costs – financial, personal etc.
In this criterion the learner is required to provide evidence of evaluating the
benefits of personal and professional development
2.2 Explain the basis on which
types of development action are
selected
Identify the different types of development methods available to address the needs identified in
section 1.3 including:
 Training courses – including different providers and different learning methods and
technologies
 Coaching
 Mentoring
Use those learning needs, learning and development opportunities and preferred learner styles
to select the most appropriate training and development actions for the needs identified.
In this criterion the learner is required to select the type of development action(s)
required and explain the basis on which the selection was made
2.3 Identify future and current likely
skills, knowledge and experience
needs using skills gap analysis
Use information gathered on future and current skills, knowledge and experience to prepare a
skills gap analysis. This will form the basis of a development plan (AC 2.4).
In this criterion the learner is required to provide a skills gap analysis that will
form the basis of their development plan
2.4 Agree a personal and
professional plan that is
consistent with business needs
and personal objectives
Agree with relevant parties such as line manager, training and development department and
budget holder, a personal development plan which contains SMART objectives(see AC3.1),
resources , timescales, and review mechanisms
In this criterion the learner is required to prepare and agree a correct and appropriate
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development plan and present this as evidence
2.5 Execute the plan within the
agreed budget and time scales
2.6 Take advantage of
development opportunities
made available by professional
networks or professional bodies
3. Be able to maintain
the relevance of a
personal and
professional
development plan
3.1 Explain how to set specific,
measureable, achievable,
realistic and time-bound
(SMART) objectives
Executing the personal development requires personal commitment to completing the personal
development plan within agreed budget and timescales.
In this criterion the learner is required to execute the development plan within the agreed budget
and timescales
Professional networks and other sources of support for development needs can be identified
and used to support the development plan.
In this criterion the learner is required to provide evidence of how they have used professional
networks and other sources of support when completing their development plan
Development objectives set should follow the SMART model





Specific: Clear, unambiguous, straightforward, understandable
Measurable: Related to quantified or qualitative performance measures
Achievable: With known resources
Realistic: Linked to business needs
Time-bound: Building-in completion date and review dates
In this criterion the learner is required to explain how objectives set in 2.4 satisfy
the SMART model
3.2 Obtain feedback on
performance from a range of valid
sources
Feedback from others is important to assess performance improvements achieved as a result of
personal and professional development. This feedback could come from a number of sources
including line manager, customers, and team members. This feedback can be formal, as in a
performance review, or informal, as in observations or comments made. Organisational
performance indicators, customer/ employee surveys etc., could also be used.
In this criterion the learner is required to provide evidence of feedback from at
least two valid sources to demonstrate whether or not the training development
plan that is being implemented is effective in improving performance
3.3 Review progress toward
Review mechanisms in the development plan prepared and implemented in ACs 2.4 and 2.5
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personal and professional
objectives
can be used to review progress towards personal and professional objectives
3.4 Amend the personal and
professional development plan
in the light of feedback received
from others
The personal professional development plan being implemented will need to be amended in
light of feedback received or learner’s own observations from the review
In this criterion the learner is required to provide evidence that progress against the
development plan has been reviewed and the outcome of that review
In this criterion the learner is required to provide evidence that they have amended their
development plan in light of feedback received from others ( See ACs 3.2. and 3.3)
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M&L 11 Manage team performance
Learning Outcome
Assessment Criteria
1. Understand the
management of
team performance
1.1 Explain the use of
benchmarks in managing
performance
Guidelines and range
The candidate provides evidence that they understand:
Benchmarking is the process of taking performance metrics from the team and
comparing the results with those of other teams or with industry best practice.
‘Gaps’ or problems with performance can be identified and performance
improvements achieved through investigating causes and identifying the best
solutions. Targets for performance improvement can be set and plans
implemented to achieve those targets.
In this criterion the learner is required to explain the use of benchmarking in
managing performance. The explanation should include examples of
performance measures that can used as part of this process.
1.2 Explain a range of quality
management techniques to
manage team performance
There are three basic principles that form the basis of a total quality
management system
 Focus on the customer
 Understanding the process
 All employees committed to quality and excellence.
Techniques designed to manage quality are based on these three principles;
Focus on the customer.
 Customers’ (internal and external) needs and expectations are identified
 Performance standards are set that reflect those needs and
expectations
Understand the process
 The process of producing the product or service the customer requires is
understood and there is a commitment to continuously improve that
process
All employees are committed to excellence and quality
 Employees are involved and committed to a culture of quality
 Communication and team work is effective
 Skills are developed
The organisation’s quality management system will set this out in detail and may
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also be externally accredited.
There are a large number of techniques that can be used to manage quality. A
few examples include
 Performance measures and standards.
 Benchmarking
 Process analysis and re-engineering
 Continuous improvement
 Employee involvement
 Variation Risk Management
 Six Sigma approaches
 etc
In this criterion the learner is required explain a range of quality management
techniques and how they could be used in team performance management.
1.3 Describe constraints on
the ability to amend priorities
and plans
The team leader’s ability to manage and improve team performance will be
limited by his or her own authority and ability to influence others. There may be
restrictions in terms of organisational policy; there may be financial, resource, or
time constraints, or team members themselves may be reluctant to participate
and to accept change.
In this criterion the learner is required to describe two or more constraints that
could limit his or her ability to amend priorities and plan.
2. Be able to allocate
and assure quality of
work
2.1 Identify the strengths,
competences and expertise of
team members
The following factors all affect team performance:
 Clarity of team objectives
 How work is allocated
 Team dynamics – cohesion, working relationships, conflict handling
 Ability and willingness of team to self –manage
 Quality of leadership
 Level of skills
 Systems and resources available.
The team leader’s understanding of these factors forms a vital part of managing
to assure quality.
The team leader must be able to identify the competences and skills required of
the job and identify the strengths, competences and expertise of team members
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in terms of those requirements. He or she should also be aware of team
members’ experience, interest and motivation.
Such judgments should be objective, fair and based on specific evidence. They
may be incorporated into a team skills matrix or the individual’s appraisal.
2.2 Allocate work on the basis of
the strengths, competences and
expertise of team members
In this criterion the learner is required to provide evidence of
identifying the strengths, competences and expertise of team
members.
Work allocation should be fair and equal and should take into consideration a
number of factors:
 Experience and ability
 Motivation and interest
 Availability
It is also important to consider what skills need to be developed and to allow
opportunities for this. Balancing interesting and boring jobs is important for
motivation.
When allocating work the team leader needs to provide clear instructions and
specific performance requirements, including timescales.
In this criterion the learner is required to provide evidence that work
has been correctly and appropriately allocated on the basis of the
strengths, competences and expertise of team members
2.3 Identify areas for improvement
in team members’ performance
outputs and standards
Monitoring performance of the team against performance measures and
standards should highlight any areas where team members’ performance does
not meet output and standards.
In this criterion the learner is required to provide evidence of
identifying areas for improvement in team members ’ performance
outputs and standards.
2.4 Amend priorities and plans
to take into account changing
circumstances
On the basis of areas for improvement identified in 2.3. the team leader may
need to take corrective action, including amending priorities and plans.
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Alternative approaches may be required to the system or process being used
through changing:
 Task method
 Work allocation
 Timescales
 Access and use of equipment or supplies
 Training
2.5 Recommend changes to
systems and processes to
improve quality of work
3. Be able to manage
communications within
the team
3.1 Explain to team members
the lines of communication and
authority levels
In this criterion the learner needs to provide evidence of how plans and priorities
have been amended to take into account changing circumstances.
As a result of identifying the need for improvement, the team leader should
involve the team in applying a simple improvement technique to:
 Identify the nature of the problem
 Gather information into the causes and solutions to the problem
 Decide on the most suitable course of action
 Plan and implement the solution
 Decide how to monitor the outcome to ensure that the problem has been
solved
If outside the team leader’s authority to change, these recommendations should
be made to the appropriate senior manager.
In this criterion the learners needs to provide evidence of making
recommendations for changes in systems and processes as identified in 2.3 and
2.4 to improve the quality of work.
Communication plays a key role in effective team performance management in:
 Gaining commitment through the communication of the organisation’s
vision and strategy
 Gaining commitment through communication of the teams objectives,
targets and performance requirements
 Enabling empowerment and involvement in performance improvement
 Enabling more effective team working through greater cohesiveness and
exchange of ideas amongst team members
 Enabling coaching and mentoring to improve team skills
 Improving motivation
 Providing a stronger sense of leadership
Organisations will have defined lines of communication with roles,
responsibilities and authority levels. This is usually represented in diagrammatic
form.
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3.2 Communicate individual and
team objectives, responsibilities
and priorities
In this criterion the learner is required to explain the team’s lines of
communication and authority levels.
Effective communication of individual and team objectives, responsibilities and
priorities should show the use of effective communication techniques by
communicating requirements:
 At the right time
 Clearly and specifically
 In language that can be understood by the receiver.
Feedback should be sought to ensure that the communication has been
understood.
Communication may be in writing and/or through team or individual briefing,
depending on situation and complexity, and objectives should be SMART.
3.3 Use communication
methods that are appropriate to
the topic, audience and
timescales
In this criterion the learner is required to provide evidence of having
correctly and appropriately communicated individual and team
objectives, responsibilities and priorities.
There are a number of written and verbal/spoken techniques that can be used.
Non-verbal, visual material may also help to clarify the message.
The technique to be used will depend on locations, complexity of information,
normal company practice and the need for feedback.
In this criterion the learner is required provide evidence of how the
communication methods they have used in 3.2 are appropriate to the topic,
audience and timescales
3.4 Provide support to team
members when they need it
As part of the managing team performance, the team leader is required to
provide support to team members in achieving objectives and performance
standards. This could take the form of supporting team members to develop
skills or to adapt to changes. This is often achieved through coaching or
mentoring.
In this criterion the learner is required to provide evidence of providing correct
and appropriate support to at least two team members.
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3.5 Agree with team members a
process for providing feedback
on work progress and any issues
arising
The team leader needs to provide feedback to team members on work progress
and other issues. Feedback from team members to the team leader is also
required. This process could include the use of written performance data and/or
spoken feedback on a one to one, or one full team basis. Feedback given should
be objective and based on factual information.
Feedback on performance on a regular basis is appreciated by all team
members- especially positive feedback - so they know where they stand.
3.6 Review the effectiveness of
team communications and make
improvements
In this criterion the learner is required to provide evidence that he or she has
agreed with team members a correct and appropriate process for providing
feedback on work progress and any issues arising.
In order to improve performance, the team leader should review the
effectiveness of team communications. Opinions of team members and line
manager could be useful in doing this.
The review should be structured around the criteria for good team
communications including:
 Team members receive all organisational information in line with
organisational policy
 Individual and team objectives, responsibilities and work plans are
communicated clearly to the team and at the correct time
 Communication principles are followed in the presentation of information
and appropriate communication techniques are used.
 Feedback on work progress is sought and given following good practice
guidelines
 Communication is used to support team members by answering
queries, addressing issues of team dynamics and providing coaching
and mentoring support as required
In this criterion the learner is required to provide evidence of completing a review
of the effectiveness of team communications and making improvements.
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M&L15: PRINCIPLES OF LEADERSHIP AND MANAGEMENT
Centre Number :
Learner Registration No :
Centre Name :
Learner Name:
Learning Outcome / Section 1: Understand the principles of effective decision making
Assessment Guidance
Assessment Criteria (AC)
AC 1.1
Explain the importance
of defining the
objectives, scope and
success criteria of the
decisions to be taken
Assessor feedback on AC
[comments not necessary in every box]
The first stage in any decision making process is to set a clear and precise
definition of your objective or goal when making a decision. Most decisions
involve solving a problem so you need to know your success criteria or, in other
words, how you will know or measure if the problem is solved.
You should identify a situation where a decision is required, probably as the
solution to a problem, and prepare a definition including your objective, scope
and success criteria.(You might want to look at A.C1.6 and chose a situation
where a business target or quality standard is not being achieved)
Answer:
Pass or Referral
AC 1.2
Assess the importance of
analysing the potential
impact of decision
making
.
All decisions you make will have an impact. The decision could affect you
and others and involve changes that may not be liked. The decision could
have time and cost implications. There are risks involved in any decision.
There may also be consequences if a decision is not made. Using the
definition for AC1.1 as an example, explain the potential impact of the
decision to be made
Answer:
Pass or Referral
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AC 1.3
Explain the importance
of obtaining sufficient
valid information to
enable effective decision
making
Decisions involve understanding the context of the decision, for example the
possible causes of a problem, and identifying two or more optional courses of
action. If there was only one option no decision would be necessary. This involves
gathering sufficient valid information. The more complex the decision and the
greater its potential impact the more important this becomes. Using your
definition from AC1.1 decide how you would set about gathering information.
There may also be some tools or techniques you think you could use
Answer:
Pass or Referral
AC 1.4
Explain the importance
of aligning decisions with
business objectives,
values and policies
Any decisions made in a business context will need to be aligned with the
requirements of the business This may mean that some options, although valid,
would not be acceptable. For example, options involving expenditure when
budgets are tight. You need to explain any organisational constraints that could
affect a decision and the suitability of the possible options. You could continue to
use your example from above to illustrate your explanation
Answer:
Pass or Referral
AC 1.5
Explain how to validate
information used in the
decision making process
All options for will have advantages and disadvantages in terms of achieving your
objectives. Making the best decision involves analysing the options and selecting
the option that, based on information, is likely to be the most effective. There are
techniques that can be used to help in this analysis. Explain how you will use this
process to make a judgement that is valid and based on fact rather than opinion
Answer:
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Pass or Referral
AC 1.6
Explain how to address
issues that hamper the
achievement of targets
and quality standards
Addressing situations where targets or quality standards are not being met will
involve following a problem solving / decision making process. In a situation such
as this you are likely to involve team members and other stakeholders in the
process. There are a number of tools and techniques that can be used to aid the
process.
The process to be followed is:
 Recognise and define the problem and objective
 Research causes and identify options.
 Make a decision by comparing and contrasting the options and their
consequences
 Plan and Implement the option(s)
 Evaluate the results
Explain how you could use this process to solve a problem and explain the
techniques that could be used. Basing this on an actual situation would be a good
way to provide examples for your explanation
Pass or Referral
Answer:
Section comments (optional):
Verification comments (optional):
Learning Outcome / Section 2: Understand leadership styles and models
Assessment Criteria (AC)
Assessment Guidance
91
Assessor feedback on AC
[comments not necessary in every
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box]
AC 2.1
Explain the difference in
the influence on
managers and leaders on
their teams
Managers and leaders can be compared in a number of ways based on their role
and characteristics. Although leaders are not necessarily managers it is generally
accepted that managers should possess leadership skills. Outline the main
differences between leaders and managers and use this comparison to explain
how they influence others.
Answer:
Pass or Referral
AC 2.2
Evaluate the suitability
and impact of different
leadership styles in
different contexts
Leadership refers to the ability to influence and motivate others to act in
particular ways in order to achieve specific goals. Situational leadership models
show that different leadership styles are required for different individuals, teams
and situations.
Describe a recognised model of situational leadership and how the different
styles are applied. Use examples to illustrate your description and to explain how
the model works in different contexts.
Answer:
Pass or Referral
AC 2.3
Analyse theories and
models of motivation and
their application the
workplace
Individuals and teams are influenced by different motivational needs which they
seek to satisfy. There are a number of theories and models that explain how this
happens and how this can be used to increase levels of motivation in the
workplace. You need to choose at least two different motivation models, and
describe their key features and likely effectiveness in differing workplace
situations
Answer:
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Pass or Referral
Section comments (optional):
Verification comments (optional):
Learning outcome / Section 3: Understand the role, functions and processes of management
Assessment Guidance
Assessment Criteria (AC)
AC 3.1
Analyse a manager’s
responsibilities for
planning, co-ordinating
and controlling work
Assessor feedback on AC
[comments not necessary in every
box]
Take each of these three main functions of management:



Planning
Co-ordinating
Controlling
Using examples, describe the key features of each of these functions and how
they contribute to achieving team and organisational objectives
Answer:
Pass or Referral
AC 3.2
Explain how managers
A simple model to show how managers ensure that team objectives are met
consist of these steps:
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ensure that team
objectives are met




Communicate work objectives and plans for achieving objectives
Provide support and guidance
Monitor and evaluate progress
Recognise achievement
Take each of these steps and explain, with examples, some of the activities
likely to be involved
Answer:
Pass or Referral
AC 3.3
Explain how a manager’s
role contributes to the
achievement of an
organisation’s vision,
mission and objectives
Managers achieve the organisation’s vision, mission and objectives through
planning, organizing, staffing, directing and controlling. They design systems and
they set and follow policies and procedures. This also includes setting
performance standards and performance measures and monitoring achievement.
Chose at least two of these roles - excluding those already covered in AC.3.1 and explain how each would contribute to the achievement of the organisation’s
vision, mission and objectives
Answer:
Pass or Referral
AC 3.4
Analyse theories and
models of management
The overarching purpose of management is to achieve the organisation’s vision
mission and objectives. To do this they need to bring together the organisation’s
resources, including people, effectively and efficiently. There are a number of
models or theories that have been developed over the years that assist managers
in deciding the best way to achieve this.
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Many of these theories and models relate to the style of management used and
the extent to which the manager controls all work activity or allows greater
freedom of choice and action by employees. This can be seen as spectrum from
the autocratic highly controlling manager to the laissez-faire manager who
delegates extensively. Choose one of the theories that look at this spectrum of
control, describe the model and how it can be applied. Look at the advantages
and disadvantages of the model
Chose two different theories or models of management and describe their key
features. Identify the strengths and weaknesses of each.
Pass or Referral
Answer:
AC 3.5
Explain how the
application of
management theories
guide a manager’s
actions
Understanding what managers do and the ways it can be done means that you
can assess and reflect on the effectiveness of your own management skills and
behaviours in order to make improvements in the way you manage. You need to
explain this. One way to illustrate your answer would be to assess yourself
against a recognised management model and identify areas for improvement.
Answer:
Pass or Referral
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AC 3.6
Most organisations have making a profit as a key objective and none can operate
Explain the operational for any length of time at a loss. The way that this is achieved is through careful
constraints imposed by financial planning designed to control the use of resources. Explain what a
budgets
budget is and how it is used to control activities within the business. Illustrate
this explanation by referring to the use of a budget for a specific business
function.
Answer:
Pass or Referral
Section comments (optional):
Verification comments (optional):
Learning outcome / Section 4 : Understanding performance measurement
Indicative Content
Assessment Criteria (AC)
AC 4.1
Explain the relationship
between business
objectives and
performance measures
Assessor feedback on AC
[comments not necessary in every
box]
The use of objectives as a way to manage the organisation requires a system
whereby those objectives are converted into standards of performance.
Performance metrics can then be set based on those standards and these can be
used to compare the desired standard with the actual achievement. Gaps can be
identified and corrective measures taken.
Explain the meaning of each of these terms with examples:




Business objectives
Performance standards
Performance metrics
Continuous improvement
Answer:
Pass or Referral
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AC 4.2
Explain the features of a
performance
measurement system
Using the terms described in AC4.1, explain how they can be linked to form a
performance measurement system. Also include in your explanation how the
data from a performance measurement system can be used
Answer:
AC 4.3
Explain how to set KPIs
Pass or Referral
KPIs represent the performance standards defined by the organisation. Explain
the term KPI. Illustrate your explanation with at least two examples explaining
their relevance to business objectives.
Answer:
Pass or Referral
AC 4.4
Explain the tools,
processes and timetable
for monitoring and
reporting on business
performance
Business performance management involves the collection and reporting of large
volumes of information from a wide range of sources such as financial and nonfinancial process results, customer results, employee results and societal results.
Software systems are frequently used to support this. One approach to managing
this process is the use of the balanced scorecard.
Describe a simple balanced scorecard model for use in planning, monitoring and
reporting on business performance and explain how it would be used
Answer:
Pass or Referral
AC 4.5
Explain the use of
management accounts
Management information systems are designed to assist managers in managing
more effectively and efficiently through making informed business decisions.
Management accounting systems are one type of information system that
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and management
information systems in
performance
management
provides specific financial and accounting information.
Briefly describe some information that would be provided by a management
accounting system. Also describe some information that would be provided by
another – non- financial – management information system. Explain how this
information could be used by a manager to assist decision making.
Pass or Referral
Answer:
AC 4.6
Explain the difference
between outcomes and
outputs
‘Output’ is the actual tangible product or service resulting from a business
process. ’Outcome’ represents the results, effects, or changes that come from
the outputs. Explain the difference by giving two examples of measurable
outputs from a process. Then explain what might be the ‘outcomes’ of those
outputs highlighting the differences
Pass or Referral
Answer:
Section comments (optional):
Verification comments (optional):
Assessor’s Decision
Outcome (delete as applicable): Signature of Assessor:
PASS / REFERRAL
Date:
Quality Assurance Use
Outcome (delete as applicable): PASS Signature of QA:
/ REFERRAL
Date of QA check:
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M&L24: PRINCIPLES OF PEOPLE MANAGEMENT
Centre Number :
Learner Registration No :
Centre Name :
Learner Name:
Learning Outcome / Section 1: Understand the principles of work force management
Assessment Guidance
Assessment Criteria (AC)
AC 1.1
Explain the relationship
between the Human
Resources (HR) functions
and other business
functions


Assessor feedback on AC
[comments not necessary in every box]
You need to give details of a number of the roles and responsibilities
undertaken by Human Resources functions e.g. recruitment.
You need explain, using examples, how these roles and responsibilities relate
to other business functions in achieving organisational objectives
Answer:
Pass or Referral
AC 1.2
Explain the purpose and
process of workforce
planning.
.


You need to define the purpose workforce planning
You need to explain the stages in the process of workforce planning using
examples
Answer:
Pass or Referral
AC 1.3
Explain how employment
law affects an
organisation’s HR and
business policies and
practices

You need to explain, through examples, how complying with requirements of
at least two different forms of employment legislation ( for example,
employment rights, health and safety, or equality) is achieved through
company policy, procedures and practices
Answer:
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Pass or Referral

AC 1.4
Evaluate the implications

for an organisation of
utilising different types of

employment contract
You will need to define at least two different types of employment contract
and describe their main features
You need to evaluate the effectiveness of these contracts by examining their
advantages and disadvantages for the organisation
You need to decide which employment situations/relationships these
contracts are most suited to. Use examples to support your decision
Answer:
Pass or Referral
AC 1.5
Evaluate the implications
for an individual of
different types of
employment contract


You need to evaluate the effectiveness of these employment contracts by
examining their advantages/ disadvantages for the individual. It is suggested
you use the types of contract described in 1.4. If you use a different type of
contract be sure to include a description the main features
You need to decide what factors that might cause an individual to prefer a
specific type of employment contact to suit their purposes
Answer:
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101
Pass or Referral
Section comments (optional):
Verification comments (optional):
Learning Outcome / Section 2: Understand equality of opportunity, diversity and inclusion
Assessment Guidance
Assessment Criteria (AC)
AC 2.1
Explain the organisation’s
responsibilities and
liabilities under equality
legislation


You need to explain, using examples, the organisation’s responsibilities as set
out in the Equality Act 2010
You need to explain what liabilities would be faced by an organisation failing
to comply with this legislation
Answer:
101
Assessor feedback on AC
[comments not necessary in
every box]
102
Pass or Referral
AC 2.2
Explain the benefits that
effective equality of
opportunity, diversity
and inclusion policies
bring to individuals and
organisations


You need to explain the benefits of effective equality of opportunity AND
diversity AND inclusion policies, using examples of relevant policies.
Your explanation of the benefits of these policies should include more than
one benefit for the individual and more than one benefit for organisation and
be illustrated with examples.
Answer:
Pass or Referral
AC 2.3
Explain the language and
behavior that support
commitments to equality
of opportunity, diversity
and inclusion

You need to explain how language AND behaviour supports commitments to
equality of opportunity, diversity and inclusion. You should illustrate your
explanation with examples of both positive and negative language, and
positive and negative behaviour and their potential impact.
Answer:
Pass or Referral
AC2.4
Explain how to measure
diversity within an
organisation
Measuring of diversity can involve the use of quantitative, representative
date – age, gender, racial origin – linked to recruitment, promotion, access
to and take-up of training opportunities etc.
It can also involve the use of qualitative information – employee satisfaction
surveys, analysis of employee complaints/grievances, observations of
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language and behaviour etc.

You need to explain the technique(s) you think would be appropriate for use
in a particular organisation
Answer:
Pass or Referral
Section comments (optional):
Verification comments (optional):
Learning Outcome / Section 3: Understand team building and dynamics
Assessment Guidance
Assessment Criteria (AC)
AC 3.1
Explain the difference
between a group and a
team
Assessor feedback on AC
[comments not necessary in
every box]
Both ‘groups’ and ‘teams’ are collections of people but there are a number of
characteristics that make them different.

You need to explain what these differences are and illustrate your answer
with examples
Answer:
Pass or Referral
AC 3.2
Outline the
characteristics of an
A team shares a common goal or objective and there are a number of other
characteristics that will make the team effective in achieving that goal or
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effective team
objective.

You need to outline what you believe those characteristics are.
Answer:
Pass or Referral
AC 3.3
Explain the techniques of
building a team
Having identified the characteristics of an effective team rather than merely a
group or collection of people, you need to understand how those characteristics
can be developed. There are a number of techniques that can be used.

You need to identify and explain how to use at least two of these
techniques.
Answer:
Pass or Referral
AC 3.4
Explain techniques to
motivate team members
For a team to be effective its members must be willing and motivated to
achieving the team’s objectives. If a team members are not motivated to achieve
this the team’s effectiveness will be reduced. Individuals are all influenced by
different motivational needs that they seek to satisfy and there are a number of
theories that explain how this occurs.

You should chose at least one of these recognised motivation theories and
describe the main features. Explain what techniques can be used to motivate
team members and when and why they will be effective. Examples will help
you to illustrate your answer
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Answer:
Pass or Referral
AC 3.5
Explain the importance
of communicating targets
and objectives to a team
One of the key defining factors of an effective team is that they share a common
goal or objective and are aware of targets they are working towards. There are a
number of ways in which these can be communicated to them by the
organisation. On the other hand inappropriate communication of lack of
communication can produce negative effects

You need to explain the main ways targets and objectives can be
communicated to a team and why this is important The impact of
inappropriate communication should also be included in your explanation
Answer:
Pass or Referral
AC 3.6
Examine the theories of
team development
As a group of people become a team at start to work effectively together the
team will normally pass through a number of ‘stages’ and there are theories that
describe these.
 You should use a model to describe the characteristics of these stages
Answer:
Pass or Referral
AC 3.7
Explain common causes
Conflict exists in a team when different individuals hold different views or
opinions and cannot reach a common agreement. There are a number of factors
that can lead to this.
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of conflict within a team

You need to explain the factors that can cause conflict to occur.
Use examples to illustrate your answer
Answer:
Pass or Referral
AC 3.8
Explain techniques to
manage conflict within a
team
There are a number of theories of models that show how conflict in a team can
be managed or resolved.


You need describe the main features of one of these theories or models.
You need to explain how to apply the techniques they suggest. Showing how
these could be applied to a conflict situation that you have experienced
should illustrate this explanation well.
Answer:
Pass or Referral
Section comments (optional):
Verification comments (optional):
Learning Outcome / Section 4: Understand performance management
Assessment Criteria (AC)
AC 4.1
Identify the
characteristics of an
effective performance
management system
Assessment Guidance
Performance management is a holistic process of bringing together many
activities that collectively contribute to the effective management of people.
The ultimate aim of such a system is to improve overall organisational
performance There are number of characteristics in an effective system.
Amongst these are:
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Assessor feedback on AC
[comments not necessary in
every box]
107






Objective and target setting
Employee development
Appraising and measuring performance
Giving feedback
Motivation and reward
Managing underperformance

You should briefly describe each characteristic from the above and show
how they would make up an effective performance management system
Answer:
Pass or Referral
AC 4.2
Explain the uses of
specific, measurable,
achievable, realistic and
time bound (SMART)
objectives and priorities
An ‘objective’ is a specific result that a person or system aims to achieve within a
time frame and with available resources
Objectives provide focus and clear direction, and should be SMART:
 Specific: Clear, unambiguous, straightforward, understandable
 Measurable: Related to quantified or qualitative performance measures
 Achievable: With known resources
 Realistic: Linked to business needs
 Time-bound: Building-in completion date and review dates
Some objectives will need to be completed before others usually based on their
urgency and importance. This determines their level of priority.

You need to explain when such objectives should be used in performance
management and give at least one example of a SMART objective to be used
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Explain whether this should be seen as a short term or long term objective
and why.
Answer:
Pass or Referral
AC 4.3
Describe best practice in
conducting appraisals
Performance appraisal is part of performance management; it is operational,
uses data and information and relates to individuals.
Best practice in appraisal should focus on:
 Preparation and planning
 Assessing performance
 Giving feedback
 Positive reinforcement
 Agreement on future planning

You should use each of the above headings and any others you feel
appropriate to describe good practice in conducting an appraisal
Answer:
Pass or Referral
AC 4.4
Explain the factors to be
taken into account when
managing people’s
wellbeing and
An organisation has a moral and legal responsibility to secure the well- being of
employees.
Research indicates that well-being of staff can have a major impact on their
performance.
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performance
If wellbeing is undermined negative effects can include:
Sickness and absenteeism
 Errors
 Poor customer service
 Negative atmosphere
 High staff turnover.
To provide more positive approach to promoting wellbeing for employees
organisations should consider:






Effectiveness of employee communication
Employee work/ life balance
Farness of employment terms and conditions
Job security
Training and development
Stress management and counselling
You need to identify at least two factors that may cause employee wellbeing to
be undermined and their possible effects. Identify and explain ways that
employers can offset these effects
Answer:
AC 4.5
Explain the importance
of following disciplinary
and grievance processes
In handling underperformance disciplinary and grievance processes may need to
be followed. You will need to identify and briefly describe the key stages in such
a process and explain why it is important that these be followed.
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Pass or Referral
110
Answer:
Pass or Referral
Section comments (optional):
Verification comments (optional):
Learning outcome / Section 5 : Understanding training and development
Assessment Criteria (AC)
Assessment Guidance
AC 5.1
Explain the benefits of
employee development
Employee development refers to the joint initiative between employer and
employee to develop new or improved knowledge and skills - both personal and
professional – through the provision of learning opportunities. Properly planned
and organised this process delivers benefits for the organisation and the
individual.

Assessor feedback on AC
[comments not necessary in
every box]
You should Identify and explain at least two of these potential benefits for
the organisation and two for the individual. Use examples to illustrate your
explanation
Answer:
Pass or Referral
AC 5.2
Explain the advantages
and limitations of
different types of training
and development
methods
There are a number of different training and development methods that are
available. These include:



Training – on or off the job
Coaching
Mentoring
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


Job rotation, secondment and work shadowing
Action learning sets – where a small group of individuals engage regularly
to solve problems at work by sharing ideas and solutions.
Learning delivered through and distance or e-learning.
Choose at least two different training and development methods and explain
their advantages and limitations. Use examples to illustrate your explanation
Answer:
.
Pass or Referral
AC 5.3
Explain the role of
targets, objectives and
feedback in employee
development
Successful training and development requires the identification of current and
future training and development needs – for both individuals and the business.
These should be in line with company objectives and agreed by relevant
stakeholders.
Those needs should be defined in terms of targets and objectives and
incorporated into training and development plans for both teams and
individuals.
The ‘target’ is the overall goal or outcome desired.
‘Objectives’ are the activities that need to be completed if the target is to be
achieved. The SMART model should be applied
‘Feedback’ is the process of monitoring progress being made in the achievement
of objectives. This involves identifying achievements and areas that still needing
improvement. Feedback can be formal or informal and is essential for the
reinforcement of learning

You need to identify a training need for an individual and explain how this
can be translated into targets and objectives. Illustrating your explanation
with examples would clarify this.
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
You also need explain the role that feedback will play in the successful
achievement of targets and objectives
Answer:
AC 5.4
Explain how personal
development plans
support the training and
development of
individuals
Pass or Referral
Personal development plans incorporate targets/goals and objectives and
identify the specific actions to be taken with timescales. Resource requirements
and milestones in the plan may also be included. The plan should provide for the
opportunity for monitoring and review and for the learner to receive feedback at
appropriate intervals

You should select a specific model of a development plan and explain the
purpose of the elements of the plan in achieving individual training and
development.
Answer:
Pass or Referral
AC 5.5
Explain how to make use
of planned and
unplanned learning
opportunities to meet
individuals’ preferred
learning styles
Learning and development can be planned as activities on the development
plan.
However there occasions when situations occur that are not planned or
predictable and that present the need or offer the opportunity for individuals to
‘learn’ as a result of reflective learning or action learning
It is also important to acknowledge that not everyone learns in the same way.
Some people learn from seeing something being done, others prefer to learn by
doing something themselves. There are a number of models of learning styles
and it is useful to know which style(s) of learning suit you best so that you can
build this into your development plans. You should also know the preferred
learning styles of others whose training and development you need to organise
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

You need identify and explain a situation where you felt that you gained
new knowledge and skills but not as a result of any pre-planned learning and
development activity. Explain how and why this learning occurred.
Briefly describe a simple learning styles model and explain how this can be
used to identify learning opportunities for yourself and others both planned
and unplanned
Answer:
Pass or Referral
AC 5.6
Explain how to support
individuals’ learning and
development
Apart from identifying training needs, and preparing and implementing training
and development plans, there are a number of other ways in which the line
manager can support individual and team development. Research indicates the
effectiveness of formal training programmes is substantially increased by onthe- job support.
Such support includes:
 Providing work based learning opportunities and resources including time
 Providing feedback and guidance
 Providing or arranging for coaching
 Providing or arranging for mentoring

You should select at least two from the above list and explain how they can
be used to support individuals’ learning and development. Use examples to
illustrate you explanation
Answer:
Pass or Referral
Section comments (optional):
Verification comments (optional):
Learning outcome / Section 6 : Understanding reward and recognition
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Assessment Guidance
Assessment Criteria (AC)
AC 6.1
Describe the components
of ‘total reward’
Assessor feedback on AC
[comments not necessary in
every box]
Total reward looks at the package of both intrinsic and extrinsic rewards an
employee receives. The component parts are financial reward, employee
benefits, and non- financial benefits such as recognition.

You need to describe what might be included in each of these three
components
Answer:
Pass or Referral
AC 6.2
Analyse the relationship
between motivation and
reward
Employee rewards can be linked to the motivational needs of individual
employees.

You need to identify the motivational needs of individuals – perhaps based
on the motivation model(s) you used in section 3 and show how these link to
the different components of a total reward system to show how motivation
and reward are connected
Answer:
Pass or Referral
AC 6.3
Explain different types of
pay structure
Pay structures refer to the collection of pay grades levels and bands the link
related jobs so the organisations can develop a competitive, fair and transparent
system of reward that is affordable for the organisation. The commonest
structures are individual pay rates/ ranges, graded structures, and pay spines.
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However there are other variations.

You need to explain the basic elements of at least two different types of
structure and Show how they relate to examples from your own experience.
Answer:
Pass or Referral
AC 6.4
Explain the risks involved
in the management of
reward schemes
There are a number of potential risks related to the management of any reward
scheme. These could be legal, strategic or could relate to employee motivation.

You need to identify and explain at least two of these risks. Use examples to
illustrate your explanation
Answer:
Pass or Referral
Section comments (optional):
Verification comments (optional):
Assessor’s Decision
Outcome (delete as applicable): Signature of Assessor:
PASS / REFERRAL
Date:
Quality Assurance Use
Outcome (delete as applicable): PASS Signature of QA:
/ REFERRAL
Date of QA check:
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B&A 59: PRINCIPLES OF BUSINESS
Centre Number :
Learner Registration No :
Centre Name :
Learner Name:
Learning Outcome / Section 1: Understand business markets
Assessment
Criteria
(AC)
AC 1.1
 Explain the characteristics
of different business
markets
Assessment Guidance


Assessor feedback on AC
[comments not necessary in every box]
Business markets buy goods and services for further processing or for use in
their own production process, and differ from consumer markets in terms of:
o Market structure and demand
o The nature of the buying unit
o The types of decisions
o The decision-making process
You are required to explain the characteristics of two or more different
business markets
Answer:
Pass or Referral
AC 1.2
 Explain the nature of
interactions
between
businesses
within
a
market


The interactions between businesses within a business market will depend
upon a variety of factors, including:
o Buying decisions
o The buying process, and who participates in the buying process
o Influences upon buyers
o How businesses make their buying decisions
You are required to explain the nature of two or more interactions between
businesses within a business market
Answer:
Pass or Referral
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AC 1.3
 Explain
how
an
organisation’s goals may
be shaped by the market
in which it operates




Businesses do not operate alone and in isolation; they are affected by
changes that happen inside the organisation itself (internal factors) and
changes that happen outside the organisation (external factors).
Internal factors include:
o Management
o Organisational culture
o Products and processes
o Resources
o location
External factors may be:
o Political
o Economic
o Social
o Technological
o Legal
o Environmental
You are required to explain how two external factors may shape an
organisation’s goals in the market in which it operates. (Goals are outcomes
that define what an organisation is trying to achieve)
Answer:
Pass or Referral
AC 1.4
 Describe
the
legal
obligations of a business


The most common business structures in the UK private sector include:
o Sole Trader
o Partnership
o Private Limited Company (Ltd.)
o Public Limited Company (PLC)
o Co-operatives
o Franchises
You are required to describe the legal obligations of two different types of
business
Answer:
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Pass or Referral
Section comments (optional):
Verification comments (optional):
Learning Outcome / Section 2: Understand business innovation and growth
Assessment
(AC)
AC 2.1
 Define
innovation
Criteria
business
Assessment Guidance

Assessor feedback on AC
[comments not necessary in every box]
You are required to provide a correct definition of ‘business innovation’
Answer:
Pass or Referral
AC 2.2
 Explain the
models
of
innovation
uses of
business


There are a variety of models of business innovation, and perhaps the two
most straightforward models are ‘Technology-Push’ and ‘Market-Pull’
You are required to explain how two models of business innovation are used
Answer:
Pass or Referral
AC 2.3
 Identify sources of support
and guidance for business
innovation

You are required to identify two or more sources of support and guidance for
business innovation
Answer:
Pass or Referral
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AC 2.4
 Explain the process of
product
or
service
development



Product or service development is the process by which an existing product or
service is improved or modified, or a new product or service is developed, to
keep up with trends in the marketplace and customer preferences and buying
behaviours.
New Product Development (NPD) is described as going through eight stages:
o Idea Generation
o Idea Screening
o Concept Development and Testing
o Marketing Strategy and Development
o Business Analysis
o Product Development
o Test Marketing
o Commercialisation
You are required to use the eight stages of NPD to explain the process of
product or service development
Answer:
Pass or Referral
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AC 2.5
 Explain the benefits, risks
and
implications
associated with innovation





Innovation is inherently risky as it is a complex process with many stages,
usually requiring investment of time and money before the perceived benefits
of the innovation are realised.
The benefits associated with innovation include:
o Profit/Margins increase
o New business opportunities
o New markets
o Competitive advantage
o etc.
the risks associated with innovation include:
o The product is not accepted by the market
o Initial high investment and long payback period
o etc.
implications associated with innovation include:
o it may be necessary to move resources away from existing products
or services
o New skills may be required to implement the innovation
o etc.
You are required to explain two benefits, two risks and two implications
associated with innovation. (You may wish to use examples to illustrate your
answer.)
Answer:
Pass or Referral
Section comments (optional):
Verification comments (optional):
Learning Outcome / Section 3 Understand financial management
Assessment
(AC)
Criteria
Assessment Guidance
120
Assessor feedback on AC
[comments not necessary in every box]
121
AC 3.1
 Explain the importance of
financial viability for an
organisation



Financial viability is the ability of an organisation to generate or attract
sufficient income to meet its operating expenses and financial obligations and
still have sufficient funds for future growth
An organisation that is not financially viable may be operating at a loss, or
may have difficulty paying its debts, and may not survive an unexpected event
that reduced its income.
You are required to explain the importance of financial viability for an
organisation
Answer:
Pass or Referral
AC 3.2
 Explain the consequences
of
poor
financial
management


Poor financial management is the main cause of business failure, and occurs
when financial information about the business is not collected and analysed
regularly in order to monitor income and expenditure, maintain control over
creditors and debtors, and enable business decisions to be based on sound
financial information.
You are required to explain the consequences of poor financial management
(You may find it useful to illustrate your answer with examples.)
Answer:
Pass or Referral
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AC 3.3
 Explain different financial
terminology



‘Financial terminology’ is the language used by, for example, accountants and
financial institutions, and a good understanding of financial terms is necessary
in business.
Some of the most important financial terms are to be found in the following:
o Profit and Loss Account
o Balance Sheet
o Cashflow Statement
You are required to explain the meaning of:
o Two different financial terms found in the Profit and Loss Account
o Two different financial terms found in the Balance Sheet
o Two different financial terms found in the Cashflow Statement
Answer:
Pass or Referral
Section comments (optional):
Verification comments (optional):
Learning Outcome / Section 4: Understand business budgeting
Assessment
(AC)
Criteria
Assessment Guidance
122
Assessor feedback on AC
[comments not necessary in every box]
123
AC 4.1
 Explain the uses of a
budget




A budget is a plan of action (not a statement of fact) expressed in financial
terms that is drawn up before the period to which it relates
Budgets are drawn up for a specified period, usually one year, and examples
include:
o Sales budget
o Production budget
o Research and Development budget
o Training budget
o Departmental costs budget
o Cash budget
Advantages of budgets are that they facilitate:
o Coordination and teamwork
o Communication
o Planning
o Control
o Motivation
You are required to explain the three uses of a budget. (You may wish to use
an example of a budget you are familiar with to illustrate your answer.)
Answer:
Pass or Referral
AC 4.2
 Explain how to manage a
budget



Budget management is primarily concerned with monitoring and comparing
actual expenditure to date against planned expenditure for the same period in
order to identify, analyse and explain any positive or negative variances
An action plan may need to be developed to address significant variances,
depending upon the organisation’s policies and procedures for budget
management.
You are required to explain how to manage a budget (You may wish to use an
example that you are familiar with to illustrate your answer.)
Answer:
Pass or Referral
Section comments (optional):
Verification comments (optional):
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124
Learning Outcome / Section 5: Understand sales and marketing
Assessment
Criteria
(AC)
AC 5.1
 Explain the principles of
marketing
Assessment Guidance




Assessor feedback on AC
[comments not necessary in every box]
‘Marketing’ involves a range of processes across the organisation that
combine to satisfy customer needs.
A key principle of marketing is that an organisation’s marketing tools work
together in a ‘marketing mix’ to affect the market place
The marketing mix comprises Product, Price, Promotion and Place, and is
known as the ‘4Ps’
You are required to provide a clear and correct explanation of the principles of
marketing (You may wish to use the marketing mix to illustrate your answer.)
Answer:
Pass or Referral
AC 5.2
 Explain a sales process



A sales process is an approach to selling a product or service, and there are a
number of models that set out this process as a series of ‘steps’
One such model is the ‘7-step model’:
o initial contact
o Planning the sale
o Identifying and questioning
o Needs assessment
o Presentation
o Meeting objections
o Gaining commitment
o Follow-up
You are required to provide a clear and correct explanation of a sales process
(You may wish to use the 7-step model to illustrate your answer.)
Answer:
Pass or Referral
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AC 5.3
 Explain the features and
uses of market research



Market research may be quantitative or qualitative, and market research is a
key element in ensuring that an organisation has a clear marketing focus in
everything that it does in order to meet the needs and expectations of
customers.
Features of market research include:
o Comprehensive in scope, i.e. addresses all aspects of the
marketing mix
o Uses statistics and statistical analysis
o Is a continuous process
o Used as a decision-making tool
o etc.
You are required to explain two or more features of market research and two
or more uses of market research.
Answer:
Pass or Referral
AC 5.4
 Explain the value of a
brand to an organisation



‘Brand’ may be defined as ‘a name, term, sign, symbol, design or a
combination of these, which is used to identify the goods or services of one
seller or group of sellers and to differentiate them from those of competitors’.
(Kotler, et al (1996) ‘Principles of Marketing’)
Kotler et al note that benefits of brands for an organisation include:
o Easier processing of orders and tracking down problems
o Legal protection
o Attracting a loyal and profitable set of customers
o Easier segmentation of markets
o etc.
You are required to explain how two or more features of a ‘brand’ work to add
value to an organisation
Answer:
Pass or Referral
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AC 5.5
 Explain the relationship
between
sales
and
marketing


Marketing is a range of processes across the organisation that combine to
satisfy customer needs (AC 5.1), whilst the sales process is an approach to
selling a product or a service (AC 5.2)
Both are necessary to the success of a business, and selling is a key
component of the Marketing Mix.
Answer:
Pass or Referral
Section comments (optional):
Verification comments (optional):
Assessor’s Decision
Signature of Assessor:
Outcome (delete as applicable):
PASS / REFERRAL
Date:
Quality Assurance Use
Signature of QA:
Outcome (delete as applicable):
PASS / REFERRAL
Date of QA check:
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M&L 10 Promote equality, diversity and inclusion in the workplace
Learning
Assessment Criteria
Guidelines and range
Outcome
The candidate provides evidence that they understand:
1. Understand the 1.1 Explain the difference
Equality is a quality of being the same in value or status among all people. In order to achieve
organisational
between equality,
equality, people must be fair and respect differences in their values and status.
aspects
diversity and inclusion
Equality in Employment is regulated by a combination of UK Laws and UK regulations leading
of equality,
to the Equal Opportunities and Discrimination (Equality Act 2010).The act contains a number of
diversity and
key concepts now known as ‘protected characteristics’:
inclusion in
 Age
the workplace
 Disability
 Gender reassignment
 Marriage and civil partnership
 Pregnancy and maternity
 Race
 Religion of belief
 Sex
 Sexual orientation
The act and more recent amendments and provisions, sets out to eliminate unlawful
discrimination against harassment and victimisation of these groups of people, and to advance
equality among them.
Diversity that we can all celebrate and embrace cannot be achieved without achieving equality
first. Diversity is a state of having differences, whether it is age, condition, race, religion or
belief, and sexual orientation. The Equality Act 2010 aims to promote diversity by fostering
good relations between different groups of people. Valuing diversity is a bigger issue than just
avoiding discrimination, even though that is very important.
Inclusion is the practice of someone/groups of people being accepted for whom they are and
changes made accordingly. It is often about removing the things that we cannot see, such as
attitudes and prejudice. These obstacles are sometimes called ‘barriers’ an example would be
when a person with a visual impairment struggles to read the text in the company newsletter.
By making the information available using a larger font size (a large print facility) the member of
staff can access the same information as his or her colleagues.
In this criterion the learner is required to provide evidence that he or she has:

Explained the difference between the three areas of equality, diversity and inclusion
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1.2 Explain the impact of
equality, diversity and
inclusion across aspects of
organisational policy
1.3 Explain the
potential
consequences of
breaches of equality
legislation
1.4 Describe
nominated
responsibilities within
an organisation for
equality, diversity and
inclusion
2. Understand the
personal aspects
of
equality, diversity
and inclusion in
the
workplace
2.1 Explain the different
forms of
discrimination and
harassment
The ‘organisational policy’ is a way of describing a set of standards that every member of staff
must adhere to.’ Impact’ describes the outcomes or results of implementing the standards on
the ways individuals are treated and how equality, diversity and inclusion issues are
approached in the organisation.
In this criterion the learner is required to provide evidence that he or she has explained the
impact of equality, diversity and inclusion across two or more aspects of organisational policy
‘Consequences’ are the effects of breaching or breaking the law that is described in the
protected characteristics within the Equality Act. Direct discrimination means treating someone
less favourably for a reason to do with one or more of the protected characteristics e.g. refusing
to allow a person on to a building site just because she is a woman.
Indirect discrimination occurs when an employer places an unnecessary condition or
requirement on a job to prevent certain members of the community applying.
In this criterion the learner is required to provide evidence that he or she has explained at least
two consequences of breaching equality legislation, using work related examples
Nominated responsibilities are the specific areas that the employer has a legal duty to
undertake. It is considered good practice on moral and ethical grounds to build on the legal
requirements in order to develop codes of practice which extend above and beyond legal
duties. Examples of good practice include more flexible working arrangements and the choice
of full and part-time working.
In this criterion the learner is required to provide evidence that he or she has:
 Described the nominated responsibilities within an organisation for equality, diversity
and inclusion
Discrimination means treating one person less favourably than another person who has similar
skills and qualifications. Four types of discrimination are recognised by the law:
 Direct discrimination
 Indirect discrimination
 Harassment
 Victimisation
Harassment takes place when a person suffers behaviour that affects their dignity because of
their sex, marital status, gender reassignment, race, disability, sexual orientation, religion of
belief. It is the feelings of the person who is offended by the unwanted attention that count.
In this criterion the learner is required to provide evidence that he or she has
explained the different forms of discrimination and harassment
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3. Be able to
support equality,
diversity
and inclusion in
the workplace
2.2 Describe the
characteristics of
behaviour that supports
equality,
diversity and inclusion in
the workplace
The ‘characteristics of behaviour’ is one way of describing actions or personality traits that can
be observed by others. There is a legal obligation within the organisation to examine who is
likely to be discriminated against and what could and should be done to eliminate it. It is
important where necessary to change behaviours and organisational culture in order to
establish good practice.
2.3 Explain the importance
of displaying behaviour
that supports equality,
diversity and inclusion in
the workplace
Organisations expect high standards of behaviour from employees, and all employees need to
be aware how their behaviour can affect others. Discriminatory behaviour is not acceptable, and
all employees should treat others with courtesy, respect and consideration.
In this criterion the learner is required to explain why it is important to display
behaviour that supports equality, diversity and inclusion in the workplace
3.1 Ensure colleagues
are aware of their
responsibilities for
equality, diversity
and inclusion in the
workplace
‘Colleagues’ are other persons that you work with who are also employed by the same
organisation. ‘Awareness’ could be described as not only knowing facts, but in using the
information in such a way that it is applied in a beneficial way to every aspect of the work,
including influencing others to follow good practice and creating a harmonious culture.
In this criterion the learner is required to provide evidence that he or she has
ensured colleagues are aware of their responsibilities for equality, diversity and
inclusion in the workplace
There are many early warning signs in an organisation where issues and potentially harmful
situations relating to equality, diversity and inclusion might arise. Causes may include a lack of,
or inadequate training, and outdated policies which are no longer in line with new legislation.
In this criterion the learner is required to describe how he or she has:

Identified
two or more issues which could potentially cau se problems in the
workplace in relation to equality, diversity and inclusion
‘Adhere’ is a word used to describe the following of policies and procedures, not only to the
actual wording as a matter of compliance, but also in the ‘spirit’ of the information, so that it is
embedded in thoughts, words and actions of employees. These actions can be observed by all
employees, third party suppliers, partnerships and customers. These behaviours are sometimes
described as the ‘hearts and minds’ of the organisation. Legal requirements are enforceable by
law and are to be considered as mandatory. Ethical requirements relate to moral judgments and
are usually documented as part of the company values statements in larger organisations.
3.2 Identify potential issues
relating to equality,
diversity and inclusion in
the workplace
3.3 Adhere to
organisational policies
and procedures, and
legal and ethical
requirements when
supporting equality,
diversity and inclusion
In this criterion the learner is required to provide evidence that he or she has
described at least two actions, in each of the three cases, of observable
behaviours in others that show that equality, diversity and inclusion issues are
being supported.
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in the workplace
In this criterion the learner is required to:
 Select two policies and related procedures relevant to supporting equality, diversity and
inclusion in the workplace
 Briefly describe the key purpose of each policy
 Identify how each policy has been followed and adhered to using a separate work place
situation for each
 Identify how legal and ethical requirements have been adhered to in the work place
situations
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M&L 12 Manage individuals’ performance
Learning
Assessment Criteria
Outcome
1. Understand the
1.1 Explain typical
management of
organisational policies
underperformance and procedures on
in the workplace
discipline, grievance
and dealing with
underperformance
Guidelines and range
The candidate provides evidence that they understand:
Performance management is a holistic process of bringing together many activities that
collectively contribute to the effective management of individuals. The process covers the
broader issues of the organisation and long term goals.
Performance appraisal is part of performance management; it is operational, uses data and
information, and relates to individuals. In the case of underperformance, it can, in certain
circumstances, involve specific policies on discipline and grievance. It is usually within the role of
the line manager to deal with issues relating to the individual.
Underperformance means that agreed targets and objectives, or behaviour and attitudes are
below the standards required by the organisation. Examples could include poor timekeeping,
lack of respect of others or failure to carry out instructions which could have serious implications.
Disciplinary and grievance policies and procedures are frameworks providing clear information
for dealing with difficulties which may arise as part of the working relationship from either the
employer’s or employee’s perspective. The policies let employees know what is expected of them
and provide courses of action (steps) to follow with key contacts. It is very important to follow the
stages carefully and to keep good records; these might include minutes of meetings, emails,
attendance notes, notes of telephone calls, letters etc.
However, it is important to remember that underperformance should not necessarily be
addressed by redress to discipline or grievance procedures in the first instance as
underperformance may be caused by other issues, such as:
 a mismatch between an employee's capabilities and the job they are required to
undertake, in which case recourse to the organisation’s capability procedure may be
more appropriate
 personal or family issues
 feedback on their performance
 Workplace bullying
 etc.
In this criterion the learner is required to explain how typical organisational policies and
procedures on discipline, grievance work to deal with underperformance.
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1.2 Explain how to
identify causes of
underperformance
Formal and informal feedback provides the line manager with information from systems,
processes individuals and teams which can be used to show gaps between what you have
planned or could have achieved and actual achievement. ‘Gaps’ below what is expected can be
called indicators of underperformance.
In order to identify causes of underperformance:
 Feedback from the individual in the form of words, behaviour or attitude may give an
early indication of performance gaps
 Feedback from others, including the team, other departments and customers may also
be of a formal or informal nature
 An increased number of customer complaints, for example, are a significant indicator
 Informal meetings provide an ongoing method of feeding back and ascertaining impact
assessment, where individuals can discuss how their attitude and standard of work
affects outcomes and standards
 Formal appraisal/ performance review meetings where data and information is brought by
both parties to review progress
1.3 Explain the
purpose of making
individuals aware of
their
underperformance
clearly but
sensitively
1.4 Explain how to
address issues that
hamper individuals’
performance
In this criterion the learner is required to explain how two methods work to identify causes of
underperformance.
Clear lines of communication are very important when working with others and early indicators
based on evidence, enable parties to agree and make changes accordingly. As good use of
interpersonal skills is essential when working with others, it is very important to be sensitive to the
needs of others as messages can be interpreted differently from the sender to the receiver and
levels of co-operation and motivation can be affected.
In this criterion the learner is required to explain the purpose of making individuals aware of their
underperformance clearly but sensitively
Wherever possible one -to -one meetings should be undertaken in a quiet and confidential setting
without interruptions from mobile phones or visitors. Feedback should be two way and both
speaking and listening are important for both parties. Events, observed behaviours and actions
should be described rather than judged.
In this criterion the learner is required to explain how to address issues that hamper individuals’
performance
1.5 Explain how to agree
a course of action to
address
underperformance
Individuals are encouraged to come to their own conclusions about what has been going wrong
(ownership), with a clear understanding of how to move forwards and take corrective action.
There is a need to agree individual responsibilities and set new targets, and it is advisable for
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both parties to have a written record of the new outcomes with agreed timescales and
opportunities for review.
In this criterion the learner is required to explain how to agree a course of action to
address underperformance
2. Be able to
manage
individuals’
performance in the
workplace
2.1 Agree with team
members Specific,
Measurable, Achievable,
Realistic and Timebound (SMART)
objectives that align to
organisational objectives
2.2 Delegate
responsibility to
individuals on the basis
of their expertise,
competence, skills,
knowledge, and
development needs
2.3 Apply motivation
techniques to maintain
morale
Objectives are targets to be implemented or completed, or standards of performance to be
achieved and maintained. These objectives or courses of action need to be going in the same
direction that the organisation has decided to go. Objectives provide focus and clear direction,
and should be SMART:
•
Specific: Clear, unambiguous, straightforward, understandable
•
Measurable: Related to quantified or qualitative performance measures
•
Achievable: With known resources
•
Realistic: Linked to business needs
•
Time-bound: Building-in completion date and review dates
In this criterion the learner is required to provide evidence that he or she has
agreed SMART objectives that align to organisational objectives with two or more
team members
‘Delegation’ means that you are able to trust someone with appropriate levels of expertise,
competence, skill, knowledge and development needs to undertake specific tasks or duties on
your behalf. However, individuals still require support and resources to be able to complete set
tasks.
In this criterion the le arner is required to provide evidence that he or she has:

Delegated
responsibility for specific tasks to two or more individuals

Identified the
basis for delegation in terms of the expertise, competence, skills,
knowledge and development needs of each individual

Identified the
support and resources the individuals will need
‘Motivation’ is a word used to describe an inner drive to behave or act in a certain manner. There
are many theories, and most describe a goal or reason to do something that will produce a
desired result. Individuals have their own ‘intrinsic’ or inner motivation, and ‘extrinsic’ motivation
comes from others.
Line managers often encourage and inspire others to maintain or improve morale. ‘Morale’
describes the mood and feelings of goodwill which inspire others to maintain or increase their
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2.4 Provide
information,
resources and
ongoing
mentoring to help
individuals
meet their targets,
objectives and quality
standards
2.5 Monitor individuals’
progress towards
objectives in accordance
with agreed plans
2.6 Recognise
individuals’
achievement of
targets and quality
standards
outputs and contribute to harmonious working relationships. Techniques to maintain morale
include daily conversations with individuals, organising team events, sharing collective
performance data, celebrating achievement and rewarding effort.
In this criterion the l earner is required to:

Provide
evidence that he or she has applied two motivation techniques

Described
what happened as a result of using the two techniques and the effects on
morale
‘Mentoring’ is a relationship between an experienced person and less experienced person for the
purpose of helping the one with less experience. This help can be in various forms and good
examples are in the provision of information and resources to help the person complete their
tasks. The help is provided in a non- threatening way, in a manner that the recipient will
appreciate and value and will empower them to move forward with confidence towards what they
want to achieve.
In this criterion the learner is required to provide evidence that he or she has
provided information, resources and ongoing mentoring to help two or more
individuals meet their targets, objectives and quality standards.
‘Monitoring‘is the process of checking progress on an ongoing basis in order that there can be
an early indication of when the product, process or service is not meeting or not likely to meet
pre-agreed standards of quality and performance. This system of regular checks can save on
wasted, time, effort, resources and employee energy and motivation levels.
In order to check for negative outcomes, plans should be agreed in advance of actions being
undertaken.
In this criterion the learner is required to provide evidence of how he or she has
monitored two or more individuals ’ progress towards objectives in accordance with
agreed plans
When individuals meet or exceed the expected standards or targets, ‘recognition’ provides a way
of thanking or rewarding all parties. Rewards can be financially linked in the form of bonuses or
performance related pay, but more commonly other forms of ‘recognition’ may include, time off in
lieu, thanking and publicising individual and team efforts in data displayed in work areas or in
company newsletters. Feedback and compliments from customers and the recording of
achievements in information used for individual performance monitoring and review.
In this criterion the learner is required to provide evidence that he or she has appropriately
recognised two or more individuals’ achievement of targets and quality standards
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2.7 Adhere to
organisational
policies and
procedures, and
legal and ethical
requirements when
managing
individuals’
performance in the
workplace
‘Adhered’ means followed closely, in this case the rules and guidance provided by policies and
procedures as produced by the organisation and circulated to members of staff. As individuals we
also have to make judgments, not only about legal implications i.e. obeying the law, but also
using our values to make ethical judgments when managing individual levels of performance.
When there is a positive working relationship, levels of trust can build and shared values are
conveyed.
In this criterion the learner is required to provide evidence on how he or she has adhered to
organisational policies and procedures, and legal and ethical
requirements when managing two or more individuals’ performance in the workplace
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M&L 14 Chair and lead meetings
Learning
Assessment Criteria
Outcome
1.Be able to
1.1 Identify the type,
prepare and
purpose, objectives, and
lead meetings
background to a meeting
1.2 Identify those
individuals expected, and
those required to attend a
meeting
1.3 Prepare for any
formal procedures that
apply to a meeting
Guidelines and range
The candidate provides evidence that they understand:
A meeting is a gathering of two or more people that has been convened for a common goal or
purpose. Meetings may occur face –to- face or virtually, using communication technology such as
a telephone conference call, a Skype conference call or a videoconference*. Meetings may be
formal or informal, as ‘one off’ events, as part of a series e.g. short project, or as a regular
planned event.
The purpose or aim of the meeting should be communicated to everyone in advance, with clear
objectives, i.e. outcomes expected, and further detail about the subject or focus of the meeting so
that everyone present feels that they are included in the process.
*Remember to take time zones into account if applicable.
In this criterion the learner is required to provide evidence that he or she has:
 Identified a meeting and explained the type, purpose and objectives.
 Briefly described the context e.g. NHS staff, private sector small engineering company,
for the meeting and why the meeting is taking place.
In most companies it is usual in formal meeting arrangements to include the line manager in the
circulation list and /or representatives from other departments, partly for an information overview
and partly in case they wish to attend, alongside those who are required to attend as part of their
job role.
In this criterion the learner is required to provide evidence that he or she has:
 Identified those people who are required to attend and their designated job roles
 Listed any other members of staff that would be on circulation list for meeting invites,
explaining why they would also be included
In advance of a formal meeting, there are number of formal arrangements or ‘protocols’ to be
observed, for example:
 Ensuring that you have the authority (or delegated) to convene a meeting and have been
given responsibility to chair the meeting and follow up on action points or establish new
ones at the meeting
 Ensuring that you have a good understanding of why the meeting is taking place and the
role of the chair, minute taker* (or note taker) and the purpose of an agenda
 Appreciating that an agenda follows a set of rules, starting with welcoming attendees,
apologies for absence and the approval of the minutes from the last meeting after any
matters arising have been addressed. In some organisations there may be a specific
proforma that is used for all meetings and if this is the case it should be used
 Numbered agenda items with named responsibility indicated should also be included
(with suggested time allowance for each)
 The date of the next meeting should be listed as a final item (avoiding Any Other
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Business (A.O.B.) as any items should be forwarded to the chair in advance of the
meeting to be listed as agenda item)
*In formal situations the secretary for the meeting would take responsibility for the distribution of
the agenda and accompanying papers and take notes at the meeting.
In this criterion the learner is required to provide evidence that he or she has:
 Prepared for a formal meeting by describing the purpose of the meeting, the role of the
chair, and the reasons for having agenda items and a minute taker.
1.4 Describe ways of
minimising likely
problems in a
meeting
1.5 Take action to ensure
that meeting
documentation is prepared
correctly and distributed to
the agreed people within
the agreed timescale
2. Be able to
2.1 Follow business
Good preparation in advance of the meeting helps to reduce the possibility of problems.
Arrangements are made by the chair or organiser of the meeting including:
 Where possible, the checking of electronic diaries for participant availability
 Confirming a date, start time ,estimated end time and venue with participants ( for off site arrangements, a map, contact information and parking or travel arrangements are
also required)
 Booking a venue with due regard to any special requirements that participants may have
e.g. special access or dietary arrangements when refreshments are involved.
 Checking on confirmed attendance or reasons for apologies.
In this criterion the learner is required to provide evidence that he or she has:
 Provided suitable arrangements in advance of the meeting, which have taken any
participant special requirements, where required, into consideration
 Suggested any further actions that could also be taken to ensure a smooth running
meeting e.g. spare copies of the agenda or anticipating interruptions from noise, devices
or other employees
Circulating* an agenda meeting in advance of the meeting giving others time to prepare is good
practice.
Updated information about actions points will be required at the meeting and individuals will need
to know when they will be asked to speak and what information they will need to bring to address
those action points. Other accompanying relevant information, e.g. an article, report or
spreadsheet to be discussed in the meeting, should also be circulated in advance.
*This may be using electronic means.
In this criterion the learner is required to provide evidence that he or she has:
•Prepared and circulated an agenda within agreed timescales with any
accompanying documentation, for a meeting involving at least three people, in
addition to the chair.
The conduct of meeting will vary from organisation to organisation, however, in general:
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chair and lead
meetings
conventions in the conduct
of a meeting
2.2 Facilitate meetings so
that everyone is involved
and the optimum possible
consensus is achieved
2.3 Manage the agenda
within the
timescale of the meeting






Start on time and welcome everyone to the meeting
Explain any practical arrangements such as comfort breaks or arrangements
Introduce anyone to the group who is new or does not know everyone.
State the purpose of the meeting, the expected end time and desired outcome(s).
Confirm who is taking notes and begin by listing apologies for absence
Look at the minutes/notes from the last meeting checking for accuracy and respond to
any matters arising (in some organisations this stage is omitted, however, checking for
the completing of action points is essential)
 Proceed through the agenda items, noting any action points
 Ensure that individuals have a chance to contribute without interruption
 Agree the date of the next meeting (if required)
 End on time and thank everyone for attending.
In this criterion the learner is required to provide evidence that he or she has:

Conducted a
meeting in line with business conventions by briefly describing what
happened at each stage of the meeting

Obtained
feedback from a meeting participant that the business conventions had been
followed
In order to adopt an inclusive approach to meetings, there are many considerations and a few
examples are listed below:
 Introduce everyone
 Limit time for contributions
 Invite others to speak so that everyone can contribute, particularly on contentious
issues, invite other viewpoints
 Encourage equal contributions by asking questions and responding
 Put alternative viewpoints to stimulate discussion
 Paraphrase and gain consensus along the way trying to resolve any contentious
issues
 Recap to ensure common understanding of what has been covered and what
needs to be done next
In this criterion the learner is required to provide evidence that he or she has
facilitated meetings so that everyone is involved and the optimum possible
consensus is achieved
 It can be helpful to add an indication of time available on the agenda items listed with the
most import items to be discussed at the start of the meeting.
 It could also be assumed that any reports circulated beforehand do not need to be read
out and should be very briefly summarised.
 Start and end on time and expect apologies for unavoidable lateness from latecomers.
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

2.4 Summarise the
agreed actions,
allocated
responsibilities,
timescales
and any future
arrangements
3. Be able to
deal with postmeeting matters
3.1 Take action to ensure
that accurate records of a
meeting are produced and
distributed in the agreed
format and
timescale
3.2 Take action to
ensure that postmeeting actions are
completed
Gain consensus that everyone arrives at the beginning of each meeting
Avoid distractions of non- agenda items ask people to be brief and focus on the key
messages.
 Note actions that require further discussion
 Start on time and end on time (meetings timed to end at lunchtime or at the end of the
day are less likely to run over time!)
In this criterion the learner is required to provide evidence that he or she has:

Managed a
meeting with at least four people in attendance, including the chairperson,
with a defined start and end time, ensur ing that all agenda items have been
covered including planned action points and named responsibilities.
It is helpful to summarise the key outcomes from discussion topics in order that each member
understands what has been agreed, who is responsible and the resources/ timescales. More
specifically what process will need to be instigated or individual tasks undertaken, together with a
clear appreciation of the actual evidence required that the work has been commenced or
completed (depending on the nature of the task). Named responsibilities are important in order to
gain ownership of outcomes.
In this criterion the learner is required to provide evidence that he or she has
accurately summarised the agreed actions, allocated responsibilities, timescales and any future
responsibilities at the end of a meeting
It is seen as good practice to produce and circulate meeting notes/or minutes as
soon as possible after the meeting to enable the attendees to have as much time as
possible to undertake the agreed actions. These should be brief, accurate and proof
read to ensure accuracy. Formats can vary, should be inclusive in nature, e.g. large
print facilities use and the avoidance of jargon, and wherever possible the ‘house
style’ of the organisation should be used. Abbreviations should not be used unless
the words are written in full first or a glossary of terms is included. Avoid using
texting or slang language.
In this criterion the learner is required to provide evidence that he or she has:
 Produced and circulated minutes/ notes of the meeting within 3 working days of the
meeting taking place.
 Suggested two alternative formats for minutes/notes of the meeting, providing examples
in each case and describing in case an example of how these how these could be used.
Gaining informal feedback from individuals after the meeting is useful in order to improve levels of
meeting efficiency and effectiveness. Specific monitoring arrangements can be put in place and
these could include using:
 Informal face- to face or telephone conversations
 e-mail checks
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

3.3 Evaluate the
effectiveness of a meeting
and identify points for
future
improvement
Interactive spreadsheets
‘Traffic- light’ status indicators as a coding system for good or bad performance – usually
known as ‘R.A.G rating’. For example the letters R, A and G are used- Red would mean
inadequate, Amber would mean reasonable and Green would mean ideal.
This system is often used in manufacturing or production where the lights can be seen
from different parts of the factory or as a colour coding system in tables and spreadsheets
in an office environment. The initials RAG are also added to the background colour to
enable those with colour blindness to read the system.
In this criterion the learner is required to provide evidence that he or she has:
 Explained the actions that have been taken to ensure that post- meeting actions are
completed,
 Provided one example of an allocated action point, showing the monitoring actions that
have been taken and the outcome(s) achieved.
Effectiveness can be seen as an outcome of the quality of the conduct and content of the meeting
and the actions that have happened as a result of the meeting.
Informal feedback can be taken verbally or more formally at the end of each meeting by
individually completing a short questionnaire providing opportunities for future improvement.
In this criterion the learner is required to provide evidence that he or she has:

Evaluated a
meeting using informal or formal feedback and collated the information.

Suggested at
least two realistic improvements that could be made in future meetings.
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M&L 16 Encourage innovation
Learning
Assessment Criteria
Outcome
1. 1. Be able to
1.1 Analyse the
identify
advantages and
opportunities for
disadvantages of
innovation
techniques used to
generate ideas
Guidelines and range
The candidate provides evidence that they understand:
The main techniques for generating ideas are:
 Staff suggestions either individually or as part of ‘away days’ for the team
 Cause and effect diagram (sometimes called Ishikawa or fishbone) as a technique for
opening up thinking in problem solving process
 Kaizen ( incremental innovation) where any member of staff can suggest improvements,
 Brainstorming (or thought showering) used in conjunction with a cause and effect tool.
Every member of the group can put forward their own ideas in a non- judgmental way.
 Force field analysis- by assessing the forces that prevent making the change, plans can
be developed to overcome them
 Pareto analysis can be used to analyse the ideas from the brainstorming session- It is
used to find that 80% of the effect is attributed to 20% of the cause (hence the nickname
of the 80/20 rule)
 Process flowcharting- recording pictorially what actually happens in a process as an aid
for discussion to see if a proposed change is viable.
Advantages and disadvantages of each technique will depend upon the nature (e.g. public or
private) type (e.g. production, service) and size (e.g. small business, large international, public
funded) of business.
1.2 Explain how
innovation benefits an
organisation
In this criterion the learner is required to provide evidence that he or she has:
 Selected two different techniques for generating ideas and analysed the advantages and
disadvantages of each
Innovation generally refers to changing or creating more effective processes, products and ideas,
and can increase the likelihood of a business succeeding.
This has a knock-on effect on markets and customers, bringing economic growth.
1.3 Explain the
constraints on their
own ability to make
changes
In this criterion the learner is required to explain how innovation works in order to benefit an
organisation
Innovation differs from invention in that innovation refers to the use of a better idea or method.
However, the ability to bring about changes is dependent on many factors such as:
 Level of responsibility and authority
 Resources available (including human)
 Level of understanding of the impact of change on another area, process or product
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1.4 Agree with
stakeholders terms
of reference and
criteria for evaluating
potential innovation
and improvement
1.5 Engage team
members in finding
opportunities to innovate
and suggest
improvements
1.6 Monitor performance,
products and/or services
and developments in
areas that
may benefit from
innovation
1.7 Analyse valid
information to identify
opportunities for
innovation and
improvement
 Level of complexity of the change
 Timescales, sometimes it takes time for an idea to ‘grow’ and have impact
 Receptiveness of the organisation to new thinking i.e. is there an innovation culture?
In this criterion the learner is required to explain two or more constraints on their own ability to
make changes
A ‘stakeholder’ can be defined as anyone with a specific interest in the product or service; this
usually includes the staff in your own area and other departments, suppliers, customers, sales
and marketing teams.
The ‘terms of reference’ in this case, are the pre-agreed order of priorities that are to be used
when evaluating whether a potential innovation and improvement is to take place. For example,
will a new target market be reached or will the product generate higher returns or reduce the
number of customer complaints?
In this criterion the learner is required to provide evidence that he or she has agreed terms of
reference with stakeholders and criteria for evaluating potential innovation and improvement
Innovations are more likely to come from teams, and probably arise from a set of circumstances
that bring multiple experiences and information gathering into one place to help solve a problem.
Creating a ‘safe’ environment where ideas can be expressed and evaluated in a non- judgmental
way is vital to the process, together with a culture which can follow through new ideas by making
resources available, responding to customer needs and external factors which can change the
nature of the business.
In this criterion the learner is required to provide evidence that he or she has correctly and
appropriately engaged team members in finding opportunities to innovate and suggest
improvements
Monitoring performance, products and services depends on collecting, collating and interpreting
the results of data and information in order to be able to agree on the standards required.
Following on, once standards have been agreed, subsequent data collected can then be judged
to be above, on or below the required standard (sometimes called the benchmark) and
adjustments can be made to increase outputs or improve levels of service and/or quality of
products.
In this criterion the learner is required to provide evidence that he or she has
monitored performance, products and/or services and developments in areas that
may benefit from innovat ion
When information is collected and used for performance monitoring, there needs to be
confidence in the fact that it is taken from trusted sources, is reliable in terms of method of
collection, is recently obtained and is relevant to the product or service. The term ‘valid’ is taken
to mean factual or based on truth; this might also mean legally and ethically sound.
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In this criterion the learner is required to pr ovide evidence that he or she has
analysed valid information to identify two or more opportunities for innovation and
improvement
2. Be able to
generate and test
ideas for
innovation and
improvement
2.1 Generate ideas for
innovation or
improvement that meet
the agreed
criteria
Depending on the size, type and culture of the organisation, ideas can be generated informally,
such as in a team meeting with open discussion, a brainstorming exercise, usually as part of time
out of the working day or more formally using more structured ‘tools and techniques’. Examples
include Kaizen and force field analysis.
In this criterion the learner is required to provide evidence that he or he has :

Identified the
criteria (i.e. the brief) used for the selection of potential ideas for innovation
or improvement

Generated
two separate ideas demonstrating innovation or improvement on products,
processes or service del ivery that meet the agreed criteria
2.2 Test selected ideas
that meet viability criteria
Testing for ‘viability’ means looking at the existing business or proposed ideas to determine
whether there is a ‘fit’ with the organisation in terms of the nature and type of the business. How
would the innovation or improvement affect the customer, perhaps by adding value to the service
or product?
In this criterion the learner is required to provide evidence that he or he has :

Tested two
selected ideas and ga thered information that would support the claim that
the ideas were viable options
Evaluating fitness for purpose could be considered as the next stage of the testing for fitness of
purpose and value. ‘Value’ may mean more than just financial value and could be interpreted as
other non- financial benefits. It is possible to determine how realistic the ideas are in practical
terms by asking the question - Would this really work, given the ethical, financial and other
resource implications as an innovation or improvement?
2.3 Evaluate the
fitness for purpose and
value of the selected
ideas
In this criterion the learner is required to provide evidence that he or she has:
 Evaluated the fitness for purpose and value of the selected ideas by giving reasons for
choice which include benefits to the organisation and the customer
2.4 Assess potential
innovations and
improvements against
the agreed evaluation
A frequently used method of testing to see if an idea is capable of working under favourable
conditions i.e. financial, time limitations and other resource implications is the ‘Decision Matrix’.
Essential and desirable criteria are identified and each proposal or options is evaluated against
these criteria.
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criteria
3. Be able to
implement
innovative ideas
and
improvements
3.1 Explain the risks
of implementing
innovative ideas and
improvements
3.2 Justify conclusions of
efficiency and value with
evidence
3.3 Prepare costings
and schedules of work
that will enable efficient
implementation
3.4 Design processes that
support efficient
implementation
In this criterion the learner is required to provide evidence that he or she has:
 Listed the ideas (options) to be tested explaining the resource implications (including
cost)
 Used a decision making tool correctly in order to select an option and explained the
reasons for selecting the best option
Risks can be defined as chances of success, as well as risks of failure, however, risks are
usually focused on any potential adverse effects. Bringing in new ideas, systems and products
can sometimes have unplanned consequences because there will always be some risk involved;
the aim is to avoid or minimize the risk wherever possible.
In this criterion the learner is required to provide evidence that he or she has:
 Identified the main risks involved with the implementation of innovative ideas and
improvements
 Described the main actions taken to minimize or eliminate the risks to all parties
‘Efficiency’ refers to the good use or management of resources i.e. money, time, materials, effort,
usually with a view to using less of each. ‘Value’ refers to the reduction in the waste of time, effort
and materials for the same or improved quality from the customer’s point of view.
In this criterion the learner is required to provide evidence that he or she has used
evidence to justify any conclusions drawn as to the efficiency and value of an
identified innovative idea and improvement.
Once ideas for innovation and improvemen t have been selected and justified, they
require implementation and this usually involves others. Each member will need to
know the order of work, timescales involved, the human and physical resources
available, and cost allocations.
In this criterion the learner is required to provide evidence that he or she has
prepared correct and appropriate costings and schedules of work that will enable
the efficient implementation of an identified innovative idea and improvement
Knowing who is responsible for each stage for managing the process and outcomes is required
at the implementation stage. By producing a flowchart or process mapping chart that identifies
each stage of implementation there is a method that can be used as a discussion aide and a
monitoring aide. These aspects are important for successful outcomes to be achieved.
In this criterion the learner is required to provide evidence that he or she has
designed two or more processes that support efficient implementation of an
identified innovative idea and improvement
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M&L 17 Manage conflict within a team
Learning Outcome
Assessment Criteria
1. Understand the
principles of conflict
management
1.1 Evaluate the suitability of
different methods of conflict
management in different
situations
Guidelines and range
The candidate provides evidence that they understand:
People with different needs and different goals will come into conflict. Effective
conflict resolution can make the difference between positive and negative
outcomes. Conflict management is the process of limiting the negative aspects
of conflict while increasing the positive aspects of conflict. The aim being to
enhance learning and group outcomes, in particular by enhancing performance.
Different styles of conflict resolution are useful in different situations. The
Thomas-Kilmann Conflict Mode Instrument (TKI) helps you to identify which style
you tend towards when conflict arises:
 Competitive- used in positions of power or rank and although useful in
emergency situations can leave people feeling upset or resentful when
used in less urgent situations.
 Collaborative- used to meet the needs of all people involved;
acknowledging that everyone’s views are of equal importance and the
situation is too important for trade- offs.
 Compromising- used when trying to find a solution that partially suits
everyone, this can be useful when the cost of the conflict is higher is
higher than the cost of losing ground.
 Accommodating-used when there is a willingness to meet the needs of
others at the expense of the person’s own needs. This method can be
useful when ‘keeping the peace’ is more valuable than winning.
 Avoiding- used when difficult decisions can be delegated, when the
controversy is trivial or when someone else is in a better position to
solve the problem, e.g. escalating the problem upwards. Using this style
can also be seen as a weakness when issues are evaded to avoid
upsetting others
Rahim in 2001, has suggested that conflict management has three strands;
the negative behaviour of individuals that needs to be reduced, together with
an increase in organisational learning about different conflict- handling
styles. In addition a third strand is in acknowledging that other types of
conflicts can have positive effects on individual and group performance,
when related to tasks, policies and performance issues.
In this criterion the learner is required to evaluate the suitability of two or more
different methods of conflict management in two or more different situations
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1.2 Describe the personal skills
needed to deal with conflict
between other people
Most people have a preferred conflict resolution style but use different styles
depending on the situation. Key personal skills include:
 Learning how to respect individual differences
 Being able to ‘see’ both sides of a situation by asking questions
 Using active listening skills
 Being calm under pressure
 Being assertive without being aggressive
 Ability to use interpersonal skills of restating , paraphrasing and
summarising, to help to clarify a situation for all parties
In this criterion the learner is required to describe the personal skills needed to
deal with conflict between other people
1.3 Analyse the potential
consequences of unresolved
conflict within a team
1.4 Explain the role of
external arbitration and
conciliation in conflict
resolution
2. Be able to reduce
2.1 Communicate to team
When conflicts are unresolved they can impact on individuals and teams, and
some results of unresolved conflict in the workplace include:
 Stress and frustration
 Employee turnover
 Increased client complaints
 Absenteeism
 Grievances
 Low morale and/or motivation
 Bullying
An overall loss of productivity could stem from any of the above, which in turn
will affect other parts of the organisation and job security.
In this criterion the learner is required to analyse two or more potential
consequences of unresolved conflict within a team
When conflicts cannot be settled within the organisation another more impartial
route may be selected for the resolution of disputes outside of courts. ‘External
arbitration’ means using a neutral ‘third party’ to hear a dispute between parties.
The hearing is informal, the parties mutually select the arbitrator who sets the
terms and conditions and settles the dispute. The outcomes of arbitration are
final and binding to both parties.
‘Conciliation’ is usually used where a complaint about employments rights is
going to be made or has been made to an employment tribunal. Acas offers a
free, independent and a confidential conciliation service.
In this criterion the learner is required to explain the role of external
arbitration and conciliation in conflict resolution
Good two -way communication is important, and the writers Liebenau and
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the potential for
conflict within a team
members their roles,
responsibilities, objectives and
expected standards of behaviour
Backhouse (1990) highlighted the ‘sender to receiver’ process, with the stages of
coding, channel and decoding included, before the receiver provides feedback to
the sender.
Using the correct language and words (coding) is critical to the process along
with the use of the correct channel, e.g. face to face, email, telephone.
Managers working in the global market also need to be aware of cultural
differences, including the use of silence, personal space, greeting methods and
gestures.
When individuals within teams are clear about their particular role, level of
responsibility and objectives (measurable tasks and expected outcomes) it is
helpful for the whole team.
Standards of behaviour also need to be defined and reinforced regularly and
good role models are essential here in order to establish leading by example
principles.
In this criterion the learner is required to provide evidence that he or
she has communicated to team members, using at least two different
channels (modes) which are appropriate to message and audience,
information about roles and responsibilities, objectives and expected
standards of behaviour
2.2 Explain to team members the
constraints under which other
colleagues work
Being able to ‘see’ situations from other peoples’ perspectives can be an
indication of emotional intelligence in both the leader and team member. This
might take the form of sensitivity to personal circumstances, equalities issues,
and recognition that there are constraints or limitations for each person in terms
of level of training, knowledge and resources available. This could apply to
variable workloads and the amount of time available to complete tasks. Conflicts
can arise when there are misunderstandings or disagreements about the use of
resources and the outputs required.
In this criterion the learner is required to explain to team members
the constraints under which other colleagues work
2.3 Review systems, processes,
situations and structures that are
likely to give rise to conflict in line
with organisational procedures
A system is composed of interrelated parts that work together in processes. An
example could be a workflow plan (system) or order of work in the production of
a product, where the actions of individuals or teams (processes) change or add
to the developing product in some way.
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2.4 Take action to minimise the
potential for conflict within the
limits of their own authority
In a given work context (situation) and lines of reporting/ accountability
(structures) there can be misunderstandings about what is required by all
parties. By reviewing the systems, processes, situations and structures involved
in the workflow and using feedback from others it is possible to make
improvements and reduce or eliminate sources of conflict.
In this criterion the learner is required to provide evidence that he or
she has reviewed systems, processes, situations and structures that
are likely to give rise to conflict, in line with organisational
procedures
Conflict may be defined as the internal or external discord that occurs as a result
of differences in ideas, values or beliefs of two or more people.
Conflict management is important in order to:
o Maintain morale
o Maintain performance standards
o Minimise absenteeism
o Promote a safe working environment
o Maintain group cohesion
o etc.
Depending upon the severity and level of conflict, conflict may be resolved or
reduced informally, but in some cases it may be necessary to use the
organisation’s formal procedures.
.
In this criterion the learner is required to identify how he or she has
taken correct and appropriate action, within the limits of their own
authority, to mimimise the potential for conflict
3. Be able to deal with
conflict within a team
2.5 Explain how team members’
personalities and cultural
backgrounds may give rise to
conflict
In addition to individual needs and cultural backgrounds which require specific
consideration to ensure that the most favorable conditions for work are provided,
individual personalities can also have characteristics which can have a negative
effect on others which may give rise to conflict. This is particularly evident when
those with dominant or negative traits are allowed to influence others.
In this criterion the learner is required to explain how team members ’
personalities and cultural backgrounds may give rise to conflict
3.1 Assess the seriousness of
conflict and its potential impact
There are situations where the level of conflict is not only unacceptable but
potentially harmful and may even result in litigation. The ability to anticipate a
situation ideally before it actually happens or to take action in its early stages by
reporting to a supervisor or line manager is essential.
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Most organisations have a grievance and disciplinary policy and these should be
followed rigorously. The ability to recognise that any emerging issues should be
escalated upwards is critical.
Extreme examples could be taken from any breach of equality of opportunity,
contravention of health and safety issues, bullying or harassment issues.
3.2 Treat everyone involved with
impartiality and sensitivity
In this criterion the learner is required to provide evidence that he or she has
aassessed the seriousness of conflict and its potential impact
‘Impartiality’ means showing a lack of bias or being objective in your decision
making outcomes. ‘Sensitivity’ implies that empathy and understanding will be
demonstrated.
In this criterion the learner is required to provide evidence that he or she has
treated everyone involved in a conflict situation with impartiality and sensitivity
3.3 Decide a course of action that
offers optimum benefits
3.4 Explain the importance of
engaging team members’ support for
the agreed actions
3.5 Communicate the actions to
be taken to those who may be
affected by it
‘Optimum’ means the best possible in the given situation (given human and
physical resource limitations) and in terms of ‘benefits’ this will be balanced out
for the organisation, team and individual members. The implication is that a level
of compromise will need to be reached, as there may well not be a ‘perfect’
solution, rather as a ‘best possible’ solution in the circumstances.
In this criterion the learner is required to provide evidence that he or
she has decided on a course of action that offers optimum benefits.
Not all decisions are easy to take and may not reach the ideal situations for
individual members. By explaining the reasons for a decision and the potential
benefits and by motivating the team, it can be possible to engage their support.
Adopting a fair and consistent approach to decision making is a way of gaining
support, even for unpopular decisions that sometimes have to be taken.
In this criterion the learner is required to explain the importance of
engaging team members’ support for the agreed actions
The way that information is communicated to others is important in
order that the method (mode) and words selected are in line with the
mode used and organisational polic y.
In this criterion the learner is required to provide evidence that he or she has
ccommunicated correctly and appropriately the actions to be taken to those who
may be affected by it
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3.6 Adhere to organisational
policies and procedures, legal and
ethical requirements when dealing
with conflict within a team
The organisational policy describes the approach to be taken, which includes
issue or issues that are to be addressed in order to fulfil legal and ethical
requirements of conflict resolution. The accompanying procedure for each policy
explains the stages that must be followed including the documentary evidence
required.
In this criterion the learner is required to provide evidence that he or he has
adhered to organisational policies and procedures, legal and ethical
requirements when dealing with conflict within a team
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M&L 18 Procure products and/or services
Learning Outcome
Assessment Criteria
1. Be able to identify
procurement
requirements
1.1 Explain current and likely future
procurement requirements
1.2 Decide whether the purchase of
products and/or services offers the
organisation best value
1.3 Evaluate ethical and
sustainability considerations relating
to procurement
1.4 Justify the decision to buy
products and/or services with
Guidelines and range
The candidate provides evidence that they understand:
The importance of identifying what products and/or services need to be procured
and under what conditions in order for the organisation to continue to operate
efficiently
In this criterion the learner is required to provide an explanation of both current
and likely future procurement requirements
The importance of establishing clear criteria to enable an effective and fair
evaluation of the products or services being considered to determine if they offer
the best value option for the organisation. Criteria that could be used to evaluate
the purchases could include:
 Quality
 Risk
 Costs
 Timeliness
 Reliability
 Sustainability
 Value for money
In this criterion the learner is required to provide evidence that he or she has
undertaken an evaluation of the products and services to be purchased to
determine if they offer the best value for the organisation
Ethical and sustainability considerations in procurement can include:
 Procurement of fair trade products
 Use of ethical sourcing practices
 Use of suppliers who promote fair employment practices
 Use of less environmentally damaging products
In this criterion the learner is required to provide evidence that they have
evaluated both the ethical and sustainability considerations when procuring
products or services
There should be a clear rationale to support any decision to buy products and
services and a number of factors should be considered, these include:
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evidence of an analysis of risk, costs
and benefits



The range of possible options considered
The value of the costs, benefits and risks of each of the options
Assessment of the merits of each option
In this criterion the learner is required to provide evidence that shows that an
analysis of the options considered has been undertaken in order to justify and
arrive at the best solution with facts fully supporting the final decision
2. Be able to select
suppliers
2.1 Explain the factors to be taken
into account in selecting suppliers
2.2 Explain organisational
procurement policies, procedures
and standards
2.3 Explain the effect of supplier
choice on the supply chain
Examples of the factors to be taken into account when selecting suppliers
include:
 Ethical and sustainable procurement
 Availability
 Competitive and fixed price tendering
 Pre-qualification questionnaires for suppliers
 Use of already approved suppliers
In this criterion the learner is required to explain two or more factors that are
taken into account in the selection of suppliers
Organisational policies, procedures and standards relating to procurement will
vary depending on the type and nature of the organisation.
Examples include:
 Organisation’s procurement policy
 Budgetary controls and financial instructions
 Requisitioning and order placing procedures
 Payment terms for suppliers
 Management of contracts
 Levels of authority to agree contracts
 Tendering processes
In this criterion the learner is required to provide evidence that they have
explained organisational procurement policies and procedures and standards in
relation to procurement
The supply chain can be affected by the decision of whether to opt for a single
supplier or to have a number of suppliers that can be used to provide the
products and/or services required. For example if you have a single source
supplier you may receive higher quality, reduced administrative costs, and may
benefit from economies of scale, however, goods might be more expensive as
no competition and there may be risk of potential shortage of products.
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2.4 Use appropriate media to
publicise procurement requirements
In this criterion the learner is required to explain the effects of supplier choice on
their supply chain
Depending on the value and type of the procurement there are a large number of
different media available to publicise procurement requirements. These can
include:
 Advertising in newspapers or trade journals
 Briefing meetings
 Invitations to tender
In this criterion the learner needs to demonstrate that they have used the most
appropriate media to publicise their particular procurement requirements
2.5 Confirm the capability and track
record of suppliers and their products
and/or services
When procuring products and/or services it is important to have confirmation that
the preferred supplier will be able to meet the procurement requirements. Ways
of checking that they can comply include:
 Gaining references
 Requesting quotations, proposals or information
 Visits to supplier
 Visits to other organisations using the supplier
In this criterion the learner needs to demonstrate that they have confirmed the
capability and track record of suppliers and their products and/or services
2.6 Select suppliers that meet the
procurement specification
The procurement specification provides a clear description of what products
and/or services are to be purchased.
If there is a clear specification available then suppliers can be evaluated against
these requirements in order to select the most appropriate to meet the
procurement need.
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In this criterion the learner needs to demonstrate that they have selected the
most appropriate supplier(s) for the procurement requirement by using a detailed
specification of the product and/or service required.
3. Be able to buy
products and/or
services
3.1 Explain the action to be taken in
the event of problems arising
3.2 Agree contract terms that are
mutually acceptable within their own
scope of authority
The action taken when problems arrive with the purchase of products or services
will be dependent on the nature of the problem and the terms and conditions of
the contract.
Examples of actions taken include:
 Investigation into issue
 Formal complaint
 Giving notice on the contract
 Invoking contract penalties
In this criterion the learner is required to provide an explanation of the actions
they have taken, or would take, when dealing with problems in the procurement
of products or services
Contract terms are the obligations and details of the agreement made between
both parties in order for the products and/or services to be purchased.
Scope of authority is the responsibility given to an individual in order to take
decisions and exercise control in their own areas.
The contract terms will differ depending on the nature of the product and/or
service being purchased, but examples include:
 Parties involved in the contract
 Quality and quantity of products/services
 Timescales, costs and price reviews
 Key performance indicators
 Variations to the terms and conditions of the contract
 Consequences if either party fails to comply with the contract
In this criterion the learner is required to provide evidence of an agreement of
contract terms for the purchase of products and/or services within their scope of
authority
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3.3 Record agreements made,
stating the specification, contract
terms and any post-contract
requirements
The importance of keeping full records of any procurement agreements made.
Examples of records of agreements may include:
 Detailed specification of the product and/or services to be delivered
 Key performance indicators
 Communication channels
 Terms and conditions of the contract
 Contract review dates
 Internal audits or quality assurance reviews
 Exit arrangements
In this criterion the learner is required to provide evidence of two or more
agreements made of the procurement of products and/or services including the
specification and contract terms and post contract requirements
3.4 Adhere to organisational policies
and procedures, legal and ethical
requirements
Organisational policies and procedures will vary depending on the type and
nature of the organisation, however, it is important and necessary to comply with
all relevant organisational procedures and legal and ethical requirements when
procuring products or services.
Examples include:
 Procurement policy
 Budgetary controls
 Contracted out provision
 Requisitioning and order placing procedures
 Payment terms
 Management of contracts
 Levels of authority
 Bribery act
 Public contracts regulations
In this criterion the learner is required to provide evidence of compliance with
relevant organisational and legal and ethical requirements during the
procurement of products and/or services
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M&L 19 Implement change
Learning Outcome
Assessment Criteria
1. Understand the
principles of change
management
1.1 Explain the importance of
effective leadership when
implementing change
1.2 Explain the role of internal and
external stakeholders in the
management of change
Guidelines and range
The candidate provides evidence that they understand:
Managing change effectively requires specific kinds of leadership attitudes and
behaviors underpinned by effective leadership strategies, techniques and
approaches. The way the leader plans, communicates and support staff when
implementing the change has a direct bearing on its ultimate success
In this criterion the learner is required to explain why effective leadership is
important when implementing change
By engaging the right people in the most appropriate way during the planning
and implementation of any change, will have an impact on the success.
Stakeholders in change situations will be anyone who has an interest in or is
affected by the change being implemented within your organisation. They can be
both internal and external.
Internal stakeholders could include:
 Team members
 Other departments
 Managers
External stakeholders could include:
 Customers
 Suppliers
 Local community
1.3 Evaluate the suitability of
change management models
for different contexts
In this criterion the learner is required to explain the role of both internal and
external stakeholders in the management of change
There are a number of change management models available for use and the
model selected will often depend on the change to be introduced.
Models can include:
 Kotter’s 8 step change model
 Lewins change management model
 The change curve
In this criterion the learner is required to evaluate the suitability of two or more
change management models in two or more different contexts
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1.4 Explain how to assess the
business risks associated with
change
1.5 Assess the need for
contingency planning when
implementing change
There are a number of techniques that can help to assess the business risks
associated with the change that is planned
Examples include
 SWOT analysis
 PESTLE analysis
 Force field analysis
In this criterion the learner is required to explain how they assess any risks to the
business that are associated with the change to be implemented
Contingency planning is a process that ensures the organisation can respond
appropriately to an unplanned or unexpected event. In change management it
can be used as an alternative course of action if the expected results of the
change, or parts of the change fail to materialize
In this criterion the learner is required to assess and make a judgment on the
need for contingency planning when implementing change
1.6 Assess the need for crisis
management when implementing
change
1.7 Explain the different types of
barriers to change and how to deal
with these
Crisis management is the process by which an organisation deals with a major
event that could cause significant disruption to its operations.
In this criterion the learner is required to assess and make a judgment on the
need for crisis management when implementing change
It is important to understand the different types of barriers that can present
themselves when dealing with change. The way these barriers are dealt with will
determine the success of the implementation of the change.
Examples of barriers are:
 Unclear communication
 Lack of leadership
 Insufficient resources
 No clear strategy
 Employee resistance
1.8 Explain how to evaluate
change management projects
In this criterion the learner is required to explain two or more different types of
barriers to change and explain how to deal with these identified barriers
It is important to evaluate whether the change that was implemented achieved
the objectives set for it and there are a variety of methods available to use in
these evaluations
Examples include:
 Gap analysis
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2. Be able to plan the
implementation of
change
2.1 Explain the need for change
Stakeholder satisfaction reviews
Cost benefit analysis
In this criterion the learner is required to provide an explanation of how change
management projects can be evaluated
There are a number of reasons why a change will need to be introduced into an
organisation
Changes can be caused by:
External pressures
 Changes in global markets
 New competitors or technology,
 Government legislation
 Customer feedback
Internal pressures
 Review of policies and procedures
 Accommodation issues
 Pay structures
 Employee feedback
2.2 Explain the potential
consequences of not implementing
change
In this criterion the learner is required to provide an explanation of the need for
change
It is important and necessary to be clear about what could happen if the change
required was not implemented and the consequence of this to the organisation
and individuals
In this criterion the learner is required to provide an explanation of potential
consequences if the change was not to be implemented
2.3 Explain the roles and
responsibilities of a change
management project team
The roles and responsibilities of people involved within a project will vary
depending on the nature and scope of the change. There are two types of
members
Core members will be with the change project from beginning to end and
normally have a broad range of skills which will be applicable throughout the
project.
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Non-core members may also be brought in where specific skills are needed for
a short period or to carry out a particular task.
Examples of roles responsibilities include:
 Change project sponsor
 Change project manager
 Team members
 Customer representatives
 Stakeholders
2.4 Develop a plan that includes
specific, measurable, achievable,
realistic and time-bound (SMART)
objectives and resources
2.5 Brief team members on their
roles and responsibilities and the
objectives of the change
2.6 Gain acceptance to the need
for change from team members
and other stakeholders
In this criterion the learner is required to explain two or more roles and
responsibilities of a change management project team
Plans provide focus and clear direction, and should be SMART:
 Specific: clear, unambiguous, straightforward, understandable
 Measurable: related to quantified or qualitative performance measures
 Achievable: with known resources
 Realistic: linked to business needs
 Time-bound: building-in completion date and review dates
In this criterion the learner is required to provide evidence that they have
developed a plan that includes two or more appropriate and correct SMART
objectives and resources
It is important and necessary to ensure that all members of the team are clear of
their roles and responsibilities and also understand the objectives of the change.
The way the team is informed about this is important and the type of briefing
undertaken will be dependent on the nature of the change and the location of the
team.
Types of briefing include:
 Meetings
 Team briefings
 Presentations
 Reports
In this criterion the learner is required to provide evidence that they have briefed
team members on both their roles and responsibilities as well as two or more
objectives of the change
There are many ways to engage with your team and other stakeholders in order
to gain acceptance on the need for the change that is to be implemented.
Examples include:
 Consult them before decisions are made and early enough to give them
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3. Be able to manage
the implementation of
a change plan
3.1 Explain organizational
escalation processes for reporting
problems
the opportunity to influence policy
Allow them enough time and proper facilities to canvass views of others
Give an explanation if a proposal put forward by an employee
representative is rejected
Make a clear decision where agreement cannot be reached
Provide information promptly and helpfully
Hold effective consultation meetings with meaningful agendas,
professional chairing and well worked out arrangements for reporting
back
In this criterion the learner is required to provide evidence that they have
engaged with their team and two or more other stakeholders and have gained
acceptance from all of these of the need for the change
The escalation processes available for reporting problems that occur when
managing change will vary dependent on the change project and the
organization
Examples include:
 Change logs
 Progress meetings
3.2 Analyse the advantages and
disadvantages of monitoring
techniques
In this criterion the learner is required to provide an explanation of two or more
escalation processes they have within the organisation for reporting problems
The monitoring of change is very important in ensuring that the change is
delivered on time and within scope and budget. In order for this to be successful,
monitoring techniques should be incorporated in the early planning stages of the
change.
There are a wide variety of change management monitoring techniques
available for use and the technique chosen will depend on the nature and size of
the change being implemented.
Examples include:
 Gantt charts
 Critical path analysis
 Milestone slip charts
 Progress reports
In this criterion the learner is required to analyse two or more advantages and
two or more disadvantages of a minimum of two monitoring techniques
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3.3 Implement the plan within
the agreed timescale
Delays in implementing the change can mean late over budget projects, so it is
important to keep to the implementation timescales. There are many ways to
achieve this such as:
 Not allowing small deadlines to slide
 Keeping clear track of milestones
 Being flexible in the approach to the plan
 Prioritising resources appropriately
In this criterion the learner is required to provide evidence that they have
implemented the change plan within the agreed timeframe
identified needs
Change can often affect the way people feel and behave and it is important to be
able to provide appropriate support to your team members and other
stakeholders whilst the change is being implemented
Examples include:
 Re-assurance about job roles
 Involvement in the change management process
 Regular updates of information
 Provision of training
 Counselling
3.5 Monitor the progress of the
implementation against the plan
In this criterion the learner is required to provide evidence that he or she has
provided appropriate support to two or more team members and stakeholders
involved within the change
A variety of techniques are used to monitor the implementation of the change
against the plan
Techniques include:
 Gantt charts
 Critical path analysis
 Milestone slip charts
 Progress reports
3.4 Provide support to team
members and other
stakeholders according to
3.6 Manage problems in
accordance with contingency plans
In this criterion the learner is required to provide evidence to demonstrate that
they have monitored the progress of the implementation of the change against
the original change management plan
The way that problems are managed during the implementation of the change
will be dependent on the contingency plan that is in place.
In this criterion the learner is required to provide evidence that they have
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4. Be able to evaluate
the effectiveness of
the implementation of
change plans
4.1 Assess the suitability of
techniques used to analyse the
effectiveness of change
4.2 Collate valid feedback and
information from stakeholders
managed any problems that have occurred in line with the contingency plans set
When evaluating the effectiveness of change it is important to understand “did it
work” and “how could it be improved”.
There are many ways in order to gather information to help with this analysis
Examples include:
 Interviews
 Surveys
 Focus groups
 Observations
 Document reviews (records, correspondence, reports etc.)
In this criterion the learner is required to provide evidence that they have
assessed the suitability of two or more techniques using appropriate criteria that
can be used to analyse the effectiveness of change
When evaluating the effectiveness of any change, it is important to collect
feedback and information from your stakeholders and to collate the information
that is useful to aid the evaluation of the effectiveness of the change
Most of this data is likely to be gathered from some form of survey technique
such as questionnaires, interviews or focus groups
In this criterion the learner is required to provide evidence that they have collated
appropriate and correct feedback and information from all relevant stakeholders
4.3 Analyse feedback and
information against agreed
criteria
The change plan defined at the start of the project will have given clear
objectives, timeframes and costs within which the change should have been
delivered. When evaluating the effectiveness of the plan, the feedback and
information that has been collected should be analysed against this criteria to
make a judgment on how effective the implementation has been
4.4 Identify areas for future
improvement
In this criterion the learner is required to provide evidence that they have used
the criteria agreed to analyse the feedback and information collated and drawn
appropriate conclusions
When evaluating the success of any project or change, it is important to identify
not only the aspects of the change that worked well and were in line with the
original plan, but to also reflect on areas that didn’t go to plan and what would be
done differently in future.
In this criterion the learner is required to provide evidence that they have
identified two or more areas where improvements to future changes could be
made
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4.5 Communicate the lessons
learned with those who may
benefit
Following any evaluation it is necessary to ensure that areas of good practice
and areas for improvement are shared with all relevant stakeholders to ensure
that the learning is taken forward in future change situations
In this criterion the learner is required to provide evidence that they have
communicated two or more of the lessons learned from the process with
individuals or teams that would benefit from this information
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M&L 20 Implement and maintain business continuity plans and processes
Learning Outcome
Assessment Criteria
1. Be able to plan for
the implementation of
business continuity
plans and processes
1.1 Describe the components of a
business continuity plan
Guidelines and range
The candidate provides evidence that they understand:
The components of a business continuity plan are:
To set out the roles, responsibilities and actions to be taken by business staff to
re-instate the business following a major disruption
To provide continuity of the activities essential to the business and reduce the
disruption to customers, services and staff
To detail the recovery measures to be taken
In this criterion the learner is required to describe a minimum of two components
of a business continuity plan
1.2 Explain the uses of a business
continuity plan
1.3 Explain the features of
different business continuity
planning models
1.4 Explain the potential
A business continuity plan provides a framework and a process to enable you to
plan the delivery of your business during unexpected events or incidents
In this criterion the learner is required to explain a minimum of two uses of a
business continuity plan
Business continuity models consist of a business impact analysis which
identifies:
 The organisations key products or services, its critical activities and the
resources required to function
 The maximum length of time the business could manage a disruption to
its normal activity
 The resources required to resume the normal activity
And a risk analysis which identifies the risks that could occur to the critical
activities and the impact of this risk on the organisations ability to deliver its
normal service
In this criterion the learner is required to explain a minimum of two features of
different business continuity planning models
There are may potential consequences of inadequate business plans and
processes some of the consequences could include:
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consequences of inadequate
business continuity plans and
processes
1.5 Confirm the required aim, scope
and objectives of business continuity
plans
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losing work to competitors
reduction in profits
being exposed to failures in the supply chain
suffer loss of reputation
higher insurance premiums
In this criterion the learner is required to explain a minimum of two potential
consequences of inadequate business continuity plans and processes
All business continuity plans have a clear aim, scope and objectives and it is
important that these are understood by all relevant stakeholders
In this criterion the learner is required to demonstrate that the aim and the scope
and the objectives of the business continuity plan has been confirmed
1.6 Engage stakeholders in
developing business continuity plans
and processes
1.7 Identify business-critical products
and/or services and the activities and
resources that support them
It is important to ensure that all individuals from the identified business critical
areas of the organisation are included in the development of business continuity
plans and processes to ensure that key activities and information are included
within the plan
In this criterion the learner is required to demonstrate that they have engaged
with a minimum of two stakeholders when developing the business continuity
plan and processes that support this
The products or services that are business critical will differ between
organisations, but may include:
 Manufacturing department
 Call Centre
 Distribution
 Goods in
 Sales
Activities and resources that may support these include
 People
 Premises
 Technology
 Information
 Suppliers
 Materials/equipment
In this criterion the learner is required to identify a minimum of two products
and/or services that are critical to the business as well as evidence of a minimum
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2. Be able to implement
business continuity
plans and processes
2.1 Develop a framework for
business continuity management
2.2 Recommend resources that are
proportionate to the potential impact
of business disruption
of two activities and resources that are used in support of these services
The plan adopted by an organisation will vary depending on its size and the
nature of the business. It may be that one business continuity plan can be
applied across the business in other cases, it may be that there are different
plans for each department or function, however they will all contain the following
features
 Purpose and scope
 Main roles and responsibilities
 Contact details of key stakeholders
 Incident management
 Communication strategy
 Business continuity & recovery
 Document review and update
In this criterion the learner is required to provide evidence that a framework for
business continuity management has been developed
The resources that will be required to minimise disruption to an organisation in
times of crisis will vary dependant of the organisation. It is important to consider
the following resources:
 People
 Premises
 Equipment
 Technology
 information
In this criterion the learner is required to provide evidence that a minimum of two
resources have been recommended that are proportionate to the potential
impact of disruption to the business
2.3 Communicate the importance
and requirements of business
continuity plans and processes to
stakeholders
There are a variety of ways that the importance and requirements of the
business continuity plans and processes are communicated to shareholders and
these can include:
 Meeting
 Exercises
 Presentations
 Document reviews
In this criterion the learner is required to provide evidence that they have
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2.4 Meet their own objectives
within the plan
3. Be able to maintain
the fitness for purpose
of on-going business
continuity plans and
processes
3.1 Provide training for staff who
may be affected
3.2 Validate and test the strength of
business continuity plans and
processes
communicated the importance and requirements of the business continuity plans
and resources to a minimum of two stakeholders
The roles and responsibilities of key personnel are clearly outlined within the
business continuity plan and it is important that these personnel are clear about
their objectives within this and they know what actions to take in order to meet
those objectives
In this criterion the learner is required to provide evidence that they have met all
of their objectives detailed within the business continuity plan
All staff who could be affected by any aspect of the business continuity plan
need to be trained to understand the role that they will play in case of a major
disruption.
The training provided will vary depending on the organisation but could include:
 Table top exercises such as case studies or scenarios
 Communication tests
 Practice drills
 Full rehearsal
In this criterion the learner is required to provide evidence that they have
provided training for relevant staff who may be affected by the business
continuity plan and processes
Testing and rehearsing the plan is a fundamental part of contingency planning. It
gives an opportunity to ensure that the arrangements and principles of the plan
are fit for purpose and are tested in a safe environment, without any real risk to
the business.
In this criterion the learner is required to provide evidence that the test and
strength of the business continuity plans and processes have been validated
3.3 Update plans and processes
in the light of feedback from
business continuity exercises and
other sources of information
In order for a business continuity plan to remain effective it should be reviewed
frequently to ensure that it remains up to date and fit for purpose.
A number of factors can give reasons to amend the plan and these can include:
 Lessons learned from the business plan exercise undertaken
 Changes to key personnel
 Changes to the structure of the organisation
 Changes to suppliers
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In this criterion the learner is required to provide evidence that they have
updated a minimum of two plans and processes in light of feedback from a
minimum of two business continuity exercises and a minimum of two other
sources of information
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M&L 21 Collaborate with other departments
Learning Outcome
Assessment Criteria
1. Understand how to
collaborate with other
departments
1.1 Explain the need for
collaborating with other
departments
Guidelines and range
The candidate provides evidence that they understand:
Collaboration generally refers to individuals or organisations working together to
address problems and deliver outcomes that are not easily or effectively
achieved by working alone.
It is important to understand what collaboration is and when it is best used.
In this criterion the learner is required to explain the need for collaboration with
at least two other departments
1.2 Explain the nature of the
interaction between their own team
and other departments
1.3 Explain the features of
effective collaboration
1.4 Explain the potential
implications of ineffective
collaboration with other
It is important to understand how the team that the learner is working in interacts
with other departments, either within or outside of their organisation. The ways in
which they act with each other will have an impact on the success of any current
or future collaboration.
In this criterion the learner is required to explain the nature of the interaction that
they have within their own team and at least two other departments
In order for collaboration between departments to work effectively, a number of
features must be in place, these include:
 Mutual respect and trust between all parties
 Compatible mission and values
 Open and frequent communication
 Clear decision making processes
 Clearly defined roles
 Negotiated shared goals
 Appropriate resource allocation
In this criterion the learner is required to explain two or more features of effective
collaboration
If collaboration is ineffective, departments can fail to achieve their objectives or
work effectively.
Examples include:
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departments
1.5 Explain the factors relating to
knowledge management that
should be considered when
collaborating with other
departments
2. Be able to identify
opportunities for
collaboration with
other departments
2.1 Analyse the advantages and
disadvantages of collaborating with
other departments
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Important information not being shared in a timely manner
Resources not being shared, or shared inappropriately
Tensions between departments and individuals
Unequal involvement of members leading to resentment
In this criterion the learner is required to explain two or more potential
implications of ineffective collaboration with other departments
Knowledge management improves the performance of departments or
organisations by ensuring that information is correctly captured and shared with
relevant parties to help in effective decision making. When collaborating with
other departments and/or organisations it is important to ensure that thought has
been given to how appropriate information will be captured, shared and
understood by all relevant parties.
In this criterion the learner is required to explain two or more factors
relating to knowledge management that should be considered when
collaborating with other departments.
It is important to understand that there are both advantages and disadvantages
when collaborating with other departments.
Advantages include :
 Reduction of duplication and overlap
 Accessing limited resources
 Expanding opportunities
 Increasing efficiency and effectiveness
 New or improved services
 Financial savings and better use of existing resources
 Knowledge, good practice and information sharing
 Better co-ordination of organisations' activities
Disadvantages include:
 Outcomes do not justify the time and resources invested
 Loss of flexibility in working practices
 Complexity in decision-making and loss of autonomy
 Diverting energy and resources away from departmental priorities
 Damage to or dilution of brand and reputation
 Waste of resources if collaboration is unsuccessful
 Stakeholder confusion
In this criterion the learner is required to provide an analysis of the advantages
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2.2 Identify with which
departments collaborative
relationships should be built
and disadvantages of collaborating with other departments
It is important to be able to identify where collaboration with other departments
would be beneficial. Considerations could be given to:
 The benefits that both parties would achieve by the collaboration
 The compatibility of the missions and values between the departments
 The cost savings, if any, to be had
 The added value to the department’s work
 The skills and abilities within the team
In this criterion the learner is required to provide evidence that they
have identified two or more departments with which collaborative
relationships should be built.
2.3 Identify the scope for and
limitations of possible collaboration
3.1 Be able to
collaborate with other
departments
3.1 Agree Service Level
Agreements (SLAs), objectives
and priorities of collaborative
arrangements
In order to be able to identify if collaboration with another department is going to
be beneficial, there needs to be clarity around what is trying to be achieved. This
can be achieved by having:
 Set goals and objectives for the collaboration
 Clarity on the roles and skills required to achieve the objectives
 Awareness of limitations of resources such as time
 Availability of skilled team members
 Budget allocation
 Availability of any equipment needed
 Clarity of the risks associated with the collaboration
In this criterion the learner is required to identify the scope for and
the limitations of any possible collaboration.
It is useful to get agreements on objectives, priorities and outcomes when
collaborating with other departments so all parties are clear about the
arrangements.
Information to be agreed includes:
 Collaboration objectives and outcomes
 Assignment of responsibility for all key tasks
 Allocation of resources
 Time scales working to
 Frequency of meetings
In this criterion the learner is required to provide evidence of
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3.2 Work with other departments in
a way that contributes to the
achievement of organisational
objectives
agreements of objectives and priorities and service level agreements
of collaborative arrangements.
It is important to demonstrate how working with other departments has
contributed to the achievement of their objectives.
Examples of types of evidence that would show this include:
 Team meeting notes
 Emails
 Briefings
 Presentation slides
 Project updates
 Progress reports
In this criterion the learner is required to provide evidence that they
have worked with other departments contributing to the achievement
of organisational objectives.
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M&L 23 Participate in a project
Learning Outcome
Assessment Criteria
1. Understand how to
manage a project
1.1 Explain the features of a
project business case
1.2 Explain the stages of a project
lifecycle
1.3 Explain the roles of people
involved in a project
Guidelines and range
The candidate provides evidence that they understand:
A project is temporary in that it has a defined beginning and end in time, and
therefore defined scope and resources. It is unique in that it is not a routine
operation, but a specific set of operations designed to accomplish a singular
goal.
The features of the business case for the project will detail the fundamental
characteristics of the project including the background to and the objectives of
the project.
In this criterion the learner is required to provide a full and detailed explanation
of the features of a project business case.
There are a number of steps involved in the lifecycle of any project and the key
stages include:
 Project definition
 Project planning
 Project implementation
 Project completion
 Project evaluation
In this criterion the learner is required to provide a full explanation of each stage
of the lifecycle of a project.
The roles of people involved within a project will vary depending on the nature
and scope of the project. There are two types of members:
Core members will be with the project from beginning to end and normally have
a broad range of skills which will be applicable throughout the project.
Non-core members may also be brought in where specific skills are needed for
a short period or to carry out a particular task.
Examples of roles include:
 Project sponsor
 Project manager
 Team members
 Customer representatives
 Stakeholders
In this criterion the learner is required to provide a detailed explanation of the
roles of people involved within a project.
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1.4 Explain the uses of
project-related information
1.5 Explain the advantages and
limitations of different project
monitoring techniques
1.6 Analyse the interrelationship of
project scope, schedule, finance,
risk, quality and resources
2. Be able to support
the delivery of a
project
2.1 Fulfill their role in accordance
with a project plan
There are a wide variety of sources of information available to be gathered and
analysed when working on a project. It is important to ensure that any
information gathered and used is accurate and relevant to the project
requirements.
In this criterion the learner is required to provide an explanation of the use of two
or more pieces of information related to a project.
The monitoring of projects is very important in ensuring that the project is
delivered on time and within scope and budget. In order for this to be successful,
the monitoring techniques should be incorporated in the early planning stages of
the project.
There are a wide variety of project management monitoring techniques available
for use and the technique chosen will depend on the nature and size of the
project.
Examples include:
 Gantt charts
 Critical path analysis
 Milestone slip charts
 Progress reports
In this criterion the learner is required to provide an explanation of
both the advantages and limitations of two or more project
monitoring techniques.
It is important and necessary to understand how related and interdependent
activities of a project can affect its success. If you change any one of the
variables of scope, time, costs, quality and risk then some of the others will have
to change also. For example, if you want to deliver the project in less time, either
the costs will rise or the quality will be reduced and the scope will need to be
altered.
In this criterion the learner is required to examine in detail the interrelationship of
the project scope, the project schedule, the finance, the risk, the quality and the
resources of the project.
In order to meet this criterion all interrelationships listed must be covered in the
response.
Every role within a project team is important to its success, so it is necessary
that individuals are clear on their project roles and responsibilities and ensure
that any work undertaken as part of this is delivered within scope, on time and
within budget.
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2.2 Collect project-related
information in accordance with
project plans
In this criterion the learner is required to state what their role within the project
was or is and provide evidence that demonstrates how they have fulfilled this
role.
The type and amount of information available as outputs of project planning are
varied and will depend on the nature and scope of the project being delivered.
Examples of information to be collected are:
 Time management records: that track and record time spent on tasks
against the project plan
 Cost management records: that identify and record costs against the
project budget
 Quality management records: that review the quality of the deliverables
and management processes
 Change management: that review and implement requests for changes
to the project
 Risk management records: that assess the level of project risk and
actions taken to minimize it
 Communications management records: that keep stakeholders informed
of project progress, risks and issues
In this criterion the learner is required to provide evidence of information that
they have collected in line with the project plan requirements.
2.3 Use appropriate tools to
analyse project information
2.4 Report on information analysis
in the agreed format and timescale
It is important and necessary to be aware of the range of basic project analysis
tools available to monitor, control and review project progress and to be able to
select the most appropriate tool for the situation.
Examples of some tools used for analysis include:
 Value analysis
 Project Evaluation Review Techniques (PERT)
 Critical path analysis
 Risk analysis
In this criterion the learner is required to provide evidence of two or more tools
they have used to analyse project information and demonstrate how these
were the most appropriate tools for the analysis.
The format used to report on the analysis of information will vary between
organisations and on the type and complexity of the project being undertaken
Examples of formats include:
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




2.5 Draw issues, anomalies and
potential problems to the
attention of project managers
2.6 Adhere to organisational
policies and procedures, legal and
ethical requirements in supporting
the delivery of a project
Written reports
Presentations
Team briefings
Briefing papers
Progress papers
In this criterion the learner is required to provide evidence of the format used to
report the analysis of the required information and to demonstrate that they have
actioned this within the agreed timescale for the project.
It is important to know how and when to report potential problems, issues or
anomalies in the project to the project manager.
In this criterion the learner is required to provide evidence that two or more
issues and anomalies and potential problems are reported to the project
manager.
Organisational policies and procedures will vary depending on the type and
nature of the organisation, however, it is important and necessary to comply with
all relevant organisational procedures and legal and ethical requirements in
supporting the delivery of a project.
Examples include:
 Budgetary controls
 Confidentiality agreements
 Requisitioning and order placing procedures
 Levels of authority
 Employment of contractors
In this criterion the learner is required to provide evidence of where during their
involvement within the project they have adhered to organisational policies and
procedures and legal and ethical requirements
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B&A 42 Negotiate in a business environment
Learning Outcome
Assessment Criteria
1. Understand the
principles
underpinning
negotiation
Describe the requirements of a
negotiation strategy
Explain the use of different
negotiation techniques
Explain how research on the other
party can be used in negotiations
Explain how cultural differences
might affect negotiations.
Evidence may be supplied by
 Report, professional discussion and questioning
2. Be able to prepare 2.1 Identify the:
for business
 Purpose
negotiations
 Scope
 Objectives of the
negotiation
2.2 Explain the scope of their own
authority for negotiating
2.3 Prepare a negotiating strategy
2.4 Prepare fall-back stances and
compromises that align with the
negotiating strategy and
priorities
2.5 Assess the likely objectives and
negotiation stances of the other
party
2.6 Research the strengths and
weaknesses of the other party
Evidence may be supplied by
 Report, product, professional discussion and questioning
3. Be able to carry
3.1 Carry out negotiations within
out business
responsibility limits in a way
Guidelines and range
The candidate provides evidence that they understand:
Strategy
 Plan
 Tactic
 Approach
Techniques
 The Persuasion Tools Model
 Win-Win
 Lewicki & Hiam
Fall-back stances e.g. a last ditch compromise for example
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negotiations
that optimises opportunities
3.2 Adapt the conduct of the
negotiation in accordance with
changing circumstances
3.3 Maintain accurate records of:
 Negotiations
 Outcomes
 Agreements made
3.4 Adhere to:
 Organisational policies and
procedures
 Legal and ethical
requirements
When carrying out business
negotiations
Evidence may be supplied by
 Report, product, professional discussion, questioning and witness testimony
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B&A 43 Develop a presentation
Learning Outcome
Assessment Criteria
1. Understand how to
develop a
presentation
Explain best practice in developing
presentations
Explain who needs to be consulted
on the development of a
presentation
Explain the factors to be taken into
account in developing a
presentation
Analyse the advantages and
limitations of different
communication media
Evidence may be supplied by
 report, professional discussion and questioning
2. Be able to develop 2.1 Identify the:
a presentation
 Purpose
 Content
 Style
 Timing
 Audience for a presentation
2.2 Select a communication media
that is appropriate to the:
 Nature of the presentation
 Message
 Audience
Guidelines and range
The candidate provides evidence that they understand:
Best practice
 Appropriate size font
 Use of colour as appropriate
 Use of charts appropriately
 Choosing the right method for the occasion (eg handout to present to a
meeting rather than a 35 slide presentation which says the same)
Factors
 Specific aims and objectives
 Research topic
 Include key points
 Use colour appropriately
 Product relevant handouts
 Five ‘P’s – Planning and Preparation Prevent Poor Performance
Communication media
 Meetings
 E-mail
 Conference calls
 Reports
 Presentations
Communication media
 Slide presentation
 Flip chart with handouts
 Handouts only
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2.3 Tailor a presentation to fit the
time scale and audience’s
needs
2.4 Prepare a presentation that is:
 Logically structured
 Summarises the content
 Addresses the brief
2.5 Take action to ensure that a
presentation adhered to
organisational guidelines and
policies
2.6 Develop materials that support
the content of a presentation
Materials
 Handouts
 Activities
 Data specific eg financial standing in the market
Evidence may be supplied by
 Product, report, professional discussion and questioning
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B&A 44 Deliver a presentation
Learning Outcome
Assessment Criteria
1. Understand the
principles
underpinning the
delivery of
presentations.
Analyse the advantages and
limitations of different methods of,
and media for, making
presentations
Explain how the type and size of
the audience affects the delivery of
a presentation
Explain the factors to be taken into
account in developing contingency
plans when delivering presentations
Explain voice projection and timing
techniques when delivering
presentations
Explain the factors to be taken into
account in responding to questions
from an audience.
Explain different methods for
evaluating the effectiveness of a
presentation.
Guidelines and range
The candidate provides evidence that they understand:
Methods of, and media for, making presentations
 Oral
 Slides
 Handouts
 Cue cards
 Whiteboard
 Flipchart
Audience:
 Medium – between 10 and 25
 Large – more than 25
Contingency:
 Something that may happen
 Something set aside for unforeseen emergency
Techniques:
The ‘Goldilocks principle’ – deliver the presentation to suit the audience, if the
material and timing is right the topic will be understood
Factors:
 That test your expertise
 That demonstrates the questioner’s expertise
 That aims to correct an assertion you have made
 That seeks justification
 That comes too early
 You can’t answer
Methods:

Question & answer

Feedback questionnaire

Follow up e-mail
Evidence may be supplied by
 Report, professional discussion and questioning
2. Be able to prepare 2.1 Confirm the layout of the venue
to deliver a
and correct functioning of
presentation
equipment and resources prior
to making a presentation
2.2 Develop contingency plans for
potential equipment and
resource failure
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2.3 Take action to ensure that the
presentation fits the time slot
available.
Evidence may be supplied by
 Observation, product, witness testimony, professional discussion and questioning
3. Be able to deliver
3.1 Speak clearly and confidently,
a presentation
using language that is
appropriate for the topic and
the audience
3.2 Vary their voice:
 Tone
 Pace
 Volume
appropriately when delivering a
presentation
3.3 Use body language in a way
that reinforces messages
Use equipment and resources
effectively when delivery a
presentation
3.5 Deliver a presentation within
the agreed timeframe
3.6 Respond to questions in a way
that meets the audience’s
needs
3.7 Evaluate the effectiveness of a
presentation
Evidence may be supplied by
 Observation, product, witness testimony, professional discussion and questioning
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B&A 46 Contribute to the development and implementation of an information system
Learning Outcome
Assessment Criteria
1. Understand the
design and
implementation of
an information
system.
Explain the types of information to
be managed by a system
Guidelines and range
The candidate provides evidence that they understand:
Information
 Sales
 Purchasing
 Accounts
 Personnel
 Payroll
 Stock
 Customers
 Suppliers
 Technical specifications
 Legislation
Explain how information will be
used and by whom
Explain who needs to be consulted
in the design and implementation of
an information system and why
Explain the impact of legal and
organisational security and
confidentiality requirements for the
design and implementation of an
information system.
Evidence may be supplied by
 Observation
 Product
 Witness testimony
 Professional discussion
 Questioning
2. Be able to
contribute to the
development of an
2.1 Confirm the purpose, use and
features of an information
system
Purpose, use and features
 Processing fast and accurate data
 Large capacity fast access storage
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



information system
Fast communication, both technological and human
Reduce information overload
Span boundaries
A competitive weapon
2.2 Identify the information that
will be managed by the
system
2.3 Confirm requirements for
reporting information
2.4 Recommend the functions
that will be used to
manipulate and report
information
Functions
 Classification
 Sort information
 Summarise information
 Identify information
2.5 Develop guidance for the use of
an information system that is
accurate and easy to
understand
2.6 Recommend user access and
security levels for the
information system
2.7 Make contributions to the
development of an information
system that are consistent with
business objectives and values
and within budgetary
constraints
2.8 Participate in system tests in
accordance with the
specification
Evidence may be supplied by
•
Observation
•
Product
•
Witness testimony
•
Professional discussion
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•
Questioning
3. Be able to
contribute to the
implementation of
an information
system
3.1 Implement the information
system in accordance with the
plan, minimizing disruption to
business
3.2 Confirm that staff are trained to
use the system prior to its
launch
3.3 Resolve or report problems or
faults with the information
system within the limits of their
own authority
Adhere to organisational
policies and procedures and
legal and ethical requirements
in the implementation of an
information system
Evidence may be supplied by
•
Observation
•
Product
•
Witness testimony
•
Professional discussion
•
Questioning
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C&S 30 Resolve customers’ problems
Learning Outcome
Assessment Criteria
1. Understand the
monitoring and
resolution of
customers’ problems
1.1 Assess the suitability of a
range of techniques for monitoring
customer problems
Guidelines and range
The candidate provides evidence that they understand:
Monitoring techniques
 Customer feedback
 Customer records
 Sales
 Returns
1.2 Explain how to use the
resolution of customers’ problems
to improve products and/or
services
1.3 Explain how the successful
resolution of customers’ problems
contributes to customer loyalty and
enhanced business performance
Enhanced business performance includes e.g.:
 Meeting of targets
 Improved sales figures
 Reduction in complaints
1.4 Explain the features of
negotiating techniques used to
resolve customers’ problems
Negotiating techniques
 Know what has to be achieved
 Prepare for any discussion
 Be confident
 Share information
 Listen
 Be ready for compromise
 Close with confirmation
Evidence may be supplied by:
 Professional discussion, reflective account, questioning
2. Be able to deal with
customers’ problems
2.1 Confirm the nature and cause
of customers’ problems
2.2 Explain when customers’
problems should be treated as
complaints
Problems
Candidates must show evidence of having dealt with a number of customers and
a number of problems over time.
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2.3 Explain the benefits to
customers and the organisation of
the options available to solve
problems
2.4 Explain the drawbacks to
customers and the organisation of
the options available to solve
problems
2.5 Explain to customers the
options for resolving their problems
2.6 Agree solutions that meet
customers’ and organisational
requirements within their own
levels of authority
2.7 Inform colleagues of the nature
of problems and actions taken
2.8 Evaluate the effectiveness of
the resolution of customers’
problems
Evaluate
Evaluation of the effectiveness of the resolution of customers’ problems will
require to be clearly evidenced on each occasion.
2.9 Adhere to organisational
policies and procedures, legal and
ethical requirements when dealing
with customers’ problems
Organisational policies and procedures which relate to:
 Roles and responsibilities showing limits of authority
 Service offer
 Handling of customer issues
Legal requirements e.g.
 Sale of Goods Act (Sale and Supply of Goods to Consumers
Regulations)
 Trade Descriptions Act
 Data Protection Act
Ethical requirements
 Organisational principles
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

Values
Fairness
Evidence may be supplied by:
 Observation
 Witness testimony
 Customer records*
 Professional discussion
 Questioning
 Reflective account
 Knowledge base content*
 Service offer*
 Customer feedback
 Organisational policies and procedures* and organisational ethical policies*
Note:
This unit is about resolving customer problems and not about resolving complaints which is covered in CS 31.
Here the candidate will require to be observed resolving customer problems. Where problems have arisen and the assessor has not
been available, witness testimonies can be used.
*Internal/organisational documentation need not be held in the candidate’s portfolio but held in the workplace with reference made to
where it can be found and its relevance to the criteria.
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CS 31 Resolve customers’ complaints
Learning Outcome
Assessment Criteria
1. Understand the
monitoring and
resolution of
customers’ complaints
1.1 Assess the suitability of a
range of monitoring techniques for
customers’ complaints
Guidelines and range
The candidate provides evidence that they understand:
Monitoring techniques
 Customer feedback
 Customer records
 Sales
 Returns
1.2 Explain how to identify those
complaints that should prompt a
review of the service offer and
service delivery
Service offer
This details what an organisation will do for a customer, what level of customer
service will be on offer and the limit of what will be offered. It also ensures
consistency in the service offered.
Service delivery
This is about getting the goods or services to the customer in the optimum or
agreed timescale e.g. from the number of people who can be waiting in a queue
at the till before assistance must be requested to the length of time callers
should be waiting before answered or keeping to an agreed product delivery
time.
1.3 Explain negotiating techniques
used to resolve customers’
complaints
Negotiating techniques
 Know what has to be achieved
 Prepare for any discussion
 Be confident
 Share information
 Listen
 Be ready for compromise
 Close with confirmation
1.4 Explain conflict management
techniques used in dealing with
upset customers
Conflict management techniques
 Listen
 Be assertive – not aggressive
 Remain calm
 Show understanding and be prepared to seek a solution
 Consider a compromise
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
Recognize when it is not working and when to involve others.
1.5 Explain organisational
procedures for dealing with
customer complaints
1.6 Explain when to escalate
customers’ complaints
1.7 Explain the cost and
regulatory implications of admitting
liability on the basis of a customer
complaint
1.8 Explain the advantages and
limitations of offering
compensation or replacement
products and/or services
Evidence may be supplied by:
 Professional discussion
 Reflective account
 Questioning
 Organisational policies and procedures
 Conflict management techniques
 Service offer
 Refund policy
 Knowledge base content*
2. Be able to deal with
customers’ complaints
2.1 Confirm the nature, cause and
implications of customers’
complaints
2.2 Take personal responsibility for
dealing with complaints
Personal responsibility
Here you will be required to show you have taken responsibility for each of the
complaints you have dealt with. You are not required to have resolved them all
yourself but to take responsibility by e.g. escalating the issue, keeping the
customer informed of progress and following up with the customer to ensure the
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complaint has been resolved. Resolved does not mean the customers’
complaints have all been upheld but that the customer has been satisfied the
complaints process has been carried out.
2.3 Communicate in a way that
recognises customers’ problems
and understands their points of
view
2.4 Explain the advantages and
limitations of different complaint
response options to customers
2.5 Explain the advantages and
limitations of different complaint
response options to the
organisation
2.6 Keep customers informed of
progress
2.7 Agree solutions with customers
that address the complaint and
which are within the limits of their
own authority
2.8 Record the outcome of the
handling of complaints for future
reference
2.9 Adhere to organisational
policies and procedures, legal and
ethical requirements when dealing
with customers’ complaints
Organisational policies and procedures which relate to:
 Roles and responsibilities showing limits of authority
 Service offer
 Handling of customer issues.
Legal requirements:
 Sale of Goods Act (Sale and Supply of Goods to Consumers
Regulations)
 Trade Descriptions Act
 Data Protection Act.
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Ethical requirements
 Organisational principles
 Values
 Fairness.
Evidence may be supplied by:
 Observation
 Witness testimony
 Customer records*
 Professional discussion
 Questioning
 Reflective account
 Organisational policies and procedures*
 Knowledge base content*
 Service offer*
 Refund policy*
*Internal/organisational documentation need not be held in the candidate’s portfolio but held in the workplace with reference made to where it can
be found and its relevance to the criteria.
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C&S 32 Gather, analyse and interpret customer feedback
Learning Outcome
Assessment Criteria
1. Understand how to
gather, analyse and
interpret customer
feedback
1.1 Describe methods of collecting
data for customer research
Guidelines and range
The candidate provides evidence that they understand:
Methods of collecting data
 Telephone
 Online
 Mail
 Face To Face Interview
 Text
 Social Media
Random sampling

Systematic

Stratified
Non-random sampling

Quota

Convenience

Judgment

Volunteer
1.2 Explain random sampling
techniques used to collect data
1.3 Explain how to evaluate bias in
non-random samples
1.4 Explain the principles of
questionnaire design
1.5 Assess the suitability of a
range of techniques to analyse
customer feedback
1.6 Explain techniques used to
monitor the quality of data
collected
Principles of questionnaire design
 Consider what needs to be found out
 Consider the target audience
 Consider the length of questionnaire
 Decide on the type of questions
 Choose the right vocabulary
 Avoid bias
 Place the questions with care
Analysis techniques e.g.
 Cross tabulation
 Dashboard
 Comments
Validation issues
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1.7 Explain the use of software to
record and analyse customer
feedback
1.8 Explain the validation issues
associated with customer feedback
1.9 Explain the importance of
anonymizing comments from
customers who do not wish to be
identified
Is the feedback:
 Honest
 Accurate
 Genuine.
Anonymizing
 More likely to get an honest result
 The customer has requested this and has the right to this
There are disadvantages here as you do not know if the people are genuine
.
Evidence may be supplied by:
•
Observation
•
Witness testimony,
•
Data analysis findings and recommendations
•
Professional discussion
•
Questioning
•
Reflective account
•
Report on gathering
•
Analysing and interpreting customer feedback
2. Be able to plan the
2.1 Identify the objectives of
collection of customer
collecting customer feedback
feedback on customer
service issues
2.2 Justify the reasons for
selecting different data collection
methods
2.3 Develop a data collection and
analysis plan that specifies the
sampling frame, data collection
and recording methods and
timeframe
Data collection methods
 Telephone
 Online
 Mail
 Face- to- face interview
 Text
 Social media.
Sampling frame
This is the source from which the sample is drawn. It is a collection of data from
a sample.
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Evidence may be supplied by:
•
Observation
•
Witness testimony,
•
Data analysis findings and recommendations
•
Professional discussion
•
Questioning
•
Reflective account
•
Report on gathering
•
Analysing and interpreting customer feedback
3. Be able to gather
3.1 Collect customer feedback
customer feedback
using the sampling frame identified
in a customer service plan
3.2 Record data in a way that
makes analysis straightforward
3.3 Verify that all data is handled in
line with legal, organisational and
ethical
Sampling frame
Is the source from which the sample is drawn? It is a collection of data from a
sample.
Organisational policies and procedures which relate to:
 Roles and responsibilities showing limits of authority
 Service offer
 Handling of customer data and feedback
Legal requirements
 Data protection act
Ethical requirements
 Organisational Principles
 Values
 Fairness.
Evidence may be supplied by:




Observation
Witness testimony,
Data analysis findings and recommendations
Professional discussion
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



Questioning
Reflective account
Report on gathering
Analysing and interpreting customer feedback
4. Be able to analyse
and interpret customer
feedback to
recommend
improvements
4.1 Use data analysis methods to
identify patterns and trends in
customer feedback
Data analysis methods
 Frequency distribution
 Descriptive statistics.
4.2 Use the findings of a data
analysis to identify areas for
improvement to customer service
4.3 Present the findings of an
analysis in the agreed format
4.4 Recommend improvements in
response to the findings of an
analysis
Evidence may be supplied by:
 Observation
 Witness testimony,
 Data analysis findings and recommendations
 Professional discussion
 Questioning
 Reflective account
 Report on gathering
 Analysing and interpreting customer feedback
Note:
Here the candidate may prefer to produce a report that outlines how they worked their way through the unit. This report will require to
be backed by additional evidence that provides confirmation that they competently gathered, analysed and interpreted customer
feedback. *Internal/organisational documentation need not be held in the candidate’s portfolio but held in the workplace with reference
made to where it can be found and its relevance to the criteria.
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M&L 27 Datblygu cynllun gweithredol a’i roi ar waith
Deilliannau Dysgu
Meini Prawf Asesu
1.Deall egwyddorion
cynllunio gweithredol
1.1 Gwerthuso’r defnydd o
dechnegau dadansoddi
risgiau mewn prosesau
cynllunio gweithredol
Canllawiau ac ystod
Mae’r ymgeisydd yn darparu tystiolaeth ei fod yn deall:
Fel arfer cyfrifoldeb uniongyrchol uwch reolwyr neu reolwyr canol yw rheoli
risgiau gweithredol a nhw fydd yn gyfrifol am ymdrin ag amodau a all achosi
risgiau ac am sicrhau yr ymdrinnir â risgiau a nodir yn brydlon ac yn briodol.
Mae mesur risgiau yn angenrheidiol er mwyn cymharu a graddio risgiau ar draws
y sefydliad o ran meini prawf a gytunir ar gyfer risgiau, fel canlyniadau a
thebygolrwydd posibl pob risg.
Mae yna amrywiaeth o dechnegau ar gael ar gyfer dadansoddi risgiau, gan
gynnwys:
 Tebygolrwydd risgiau ac asesiad effaith
 Matrics tebygolrwydd ac effaith
 Barn arbenigol
 ac ati.
Mae mwyafrif y sefydliadau yn diffinio graddfeydd ar gyfer graddio risgiau gan
ddefnyddio meini prawf a gytunir er mwyn sicrhau cysondeb ar draws y sefydliad
a gwneud yn siŵr y gellir graddio a blaenoriaethu risgiau. Bydd Log Risgiau, sy’n
diffinio pob risg a’r camau i’w cymryd petai achos o risg, yn cael ei ymgorffori yn
y cynllun gweithredol hefyd.
1.2 Egluro cydrannau cynllun
gweithredol
Yn y maen prawf hwn, mae gofyn i’r dysgwr werthuso’r defnydd o ddwy dechneg
dadansoddi risgiau a ddefnyddiwyd mewn prosesau cynllunio gweithredol er
mwyn canfod pa mor dda y maen nhw’n gweithio a pha mor ddefnyddiol ydynt.
Mae cynllun gweithredol yn rhan o gynllun strategol y sefydliad, ac mae’n nodi’r
gwaith a fydd yn cael ei wneud a’r llif gwaith o’r cyfraniadau cychwynnol i’r
canlyniadau olaf, gan gynnwys yr holl adnoddau a fydd eu hangen.
Mae’n nodi sut yr ymdrinnir â risgiau hefyd a sut y bydd yr hyn y mae’r cynllun yn
ei gyflawni yn cael ei gynnal.
Dyma brif gydrannau cynllun gweithredol:
 Amcanion clir
 Gweithgareddau i’w cyflawni
 Safonau ansawdd
 Targedau allweddol a dangosyddion perfformiad allweddol
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
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1.3 Dadansoddi’r cysylltiad rhwng
cynlluniau strategol a
gweithredol
Cynllun rheoli risg
Gofynion o ran staffio ac adnoddau (gan gynnwys cyllidebau)
Rhoi amserlenni ar waith
Proses ar gyfer monitro cynnydd
‘Gweithlyfr Terfynol ar gyfer Datblygu Cynllun Gweithredol a’i Roi ar
Waith (M&L 27)’
Yn y maen prawf hwn mae gofyn i’r dysgwr egluro holl gydrannau cynllun
gweithredol.
Yn gyffredinol, mae cynllun strategol yn drosolwg o amcanion y sefydliad, a’r
dulliau o gyflawni’r amcanion hynny, gyda chynlluniau gweithredol yn ffordd y
bydd gwahanol rannau o’r sefydliad yn defnyddio eu hadnoddau i gyflawni
amcanion strategol.
O dro i dro, cyfeirir at y cysylltiad rhwng cynlluniau strategol a chynlluniau
gweithredol fel ‘alinio’, ac un o’r meini prawf pwysicaf ar gyfer llwyddo wrth roi
cynllun gweithredol ar waith yw’r graddau y mae’n alinio â strategaeth.
1.4 Gwerthuso’r defnydd o
adnoddau a thechnegau
cynllunio mewn prosesau
cynllunio gweithredol
1.5 Egluro sut i wneud
dadansoddiad cost a budd
Yn y maen prawf hwn, mae gofyn i’r dysgwr bennu nodweddion hanfodol
cynlluniau strategol a gweithredol er mwyn dadansoddi’r cysylltiad rhyngddynt a
dod i gasgliadau.
Mae nifer o adnoddau a thechnegau cynllunio y gellir eu defnyddio mewn
prosesau cynllunio gweithredol, gan gynnwys:
 Strwythur Dadansoddi Gwaith (WBS)
 Siartiau GANTT
 Techneg Gwerthuso ac Adolygu Prosiectau (PERT)
Yn y maen prawf hwn, mae gofyn i’r dysgwr werthuso’r defnydd o ddau ddull a
thechneg cynllunio mewn prosesau cynllunio gweithredol er mwyn pennu pa mor
dda y maen nhw’n gweithio a pha mor ddefnyddiol ydynt.
Fel y mae’r enw’n awgrymu, mae Dadansoddiad Cost a Budd (CBA) yn
cymharu’r manteision sy’n gysylltiedig â chamau gweithredu â chostau’r camau
gweithredu hynny.
Yn gyffredinol, mae canlyniadau Dadansoddiad Cost a Budd yn cael eu dangos
fel cyfnod ad-dalu, h.y. yr amser a gymerir i’r manteision gorbwyso’r costau.
Yn y maen prawf hwn, mae gofyn i’r dysgwr egluro sut i wneud dadansoddiad
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2. Gallu datblygu
cynllun gweithredol
2.1 Nodi amcanion cyraeddadwy,
amserol, mesuradwy, penodol,
uchelgeisiol a synhwyrol
(CAMPUS) a dangosyddion
perfformiad allweddol
cost a budd.
Mae’n rhaid i gynllun gweithredol gael amcanion CAMPUS clir er mwyn rhoi
pwyslais a chyfeiriad:
 Cyraeddadwy: Gydag adnoddau hysbys
 Amserol: Ymgorffori dyddiad cwblhau a dyddiadau adolygu
 Mesuradwy: Cysylltiedig â mesurau perfformiad meintiol neu ansoddol
 Penodol: Clir, diamwys, uniongyrchol, dealladwy
 Uchelgeisiol: yn cyflawni’r nod
 Synhwyrol: Cysylltiedig ag anghenion busnes
Mae Dangosyddion Perfformiad Allweddol yn gyfres o werthoedd sy’n mesur
effeithiolrwydd cynllun gweithredol neu broses busnes, ac mae dewis a monitro’r
Dangosydd Perfformiad Allweddol cywir yn hanfodol ar gyfer perfformiadau a
phenderfyniadau busnes effeithiol.
Mae nifer o is-gategorïau Dangosyddion Perfformiad Allweddol, gan gynnwys:
 Dangosyddion meintiol
 Dangosyddion ansoddol
 Dangosyddion arweiniol
 Dangosyddion arafach
 Dangosyddion mewnbwn
 Dangosyddion prosesau
 Dangosyddion allbwn
 ac ati.
Yn gryno, amcanion CAMPUS yw’r hyn y mae’r cynllun gweithredol ei angen er
mwyn cyflawni, tra bod Dangosyddion Perfformiad allweddol yn fesurau sy’n
dangos graddau cynnydd yn erbyn yr amcanion hynny.
2.2 Nodi mecanweithiau gwerthuso
sy’n briodol i’r cynllun
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod ef neu hi
wedi nodi amrywiaeth priodol o amcanion cyraeddadwy, amserol, mesuradwy,
penodol, uchelgeisiol a synhwyrol (CAMPUS) ac amrywiaeth priodol o
ddangosyddion perfformiad allweddol ar gyfer cynllun gweithredol.
Mae monitro a gwerthuso yn hanfodol i brosesau cynllunio gweithredol, ac
mae’n angenrheidiol er mwyn sicrhau bod amcanion yn cael eu rhoi ar waith a’u
cyflawni’n effeithiol.
Dylid rhoi systemau a phrosesau ar waith er mwyn sicrhau y gellir nodi
problemau posibl yn gyflym a mynd i’r afael â nhw, a dylid sicrhau bod y
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systemau a’r prosesau hyn yn cael eu cyfleu’n glir a’u deall.
Fel yr amlinellir yn AC 2.1, defnyddir Dangosyddion Perfformiad Allweddol i
fonitro a gwerthuso cynnydd yn erbyn amcanion, a gall dulliau eraill fel
adolygiadau cyfnodol, holiaduron, cyfweliadau a grwpiau ffocws fod yn
ddefnyddiol hefyd fel mecanweithiau gwerthuso.
Yn y maen prawf hwn, mae gofyn i’r dysgwr nodi dau neu fwy o fecanweithiau
gwerthuso sy’n briodol i’r cynllun.
2.3 Cymryd camau er mwyn
sicrhau bod y cynlluniau’n gyson â
strategaeth, amcanion,
gwerthoedd, polisïau a
gweithdrefnau’r sefydliad.
2.4 Datblygu cynlluniau cymesur
ac wedi’u targedu i reoli risgiau a
nodir
Nodwyd yn AC 1.3 mai cynlluniau gweithredol yw’r modd y bydd gwahanol
rannau o’r sefydliad yn defnyddio eu hadnoddau i gyflawni amcanion strategol.
Felly ni ddylid datblygu cynlluniau gweithredol ar eu pennau eu hunain, ac mae’n
rhaid ystyried hefyd agweddau eraill ar y sefydliad, fel gwerthoedd, polisïau a
gweithdrefnau’r sefydliad, wrth iddynt gael eu datblygu.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod ef neu hi
wedi cymryd camau er mwyn sicrhau bod y cynlluniau’n gyson â strategaeth,
amcanion, gwerthoedd, polisïau a gweithdrefnau’r sefydliad.
Rheoli risgiau yw’r broses o nodi, asesu a rheoli lefel y risgiau hynny sy’n
fygythiad i’r cynllun gweithredol.
Mae sawl ffordd o ymateb i risg, gan ddibynnu ar ffactorau fel cost, yr adnoddau
sydd ar gael, pa mor debygol ydyw o ddigwydd a chanlyniadau posibl y risg:
 Anwybyddu’r risg - os gall y sefydliad fyw gydag effaith y risg neu fod y
gost o ddileu’r risg yn ataliol
 Monitro’r risg – os yw’r risg yn annhebygol
 Atal y risg - os gellir ynysu’r hyn sy’n achosi’r risg
 Cael cwmni o’r tu allan i ymdrin â’r risg – dyrannu’r cyfrifoldeb am y risg i
drydydd parti
 Lliniaru’r risg – diddymu neu leihau’r risg
Gall datblygu prosesau rheoli risgiau, eu rhoi ar waith a’u cynnal, gymryd llawer
o amser a gall fod yn gostus, ac mae’n rhaid i’r amser a’r gost dan sylw fod yn
gymesur ag effaith bosibl y risg.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddatblygu cynlluniau cymesur ac
wedi’u targedu i reoli risgiau a nodir.
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2.5 Cymryd camau er mwyn
sicrhau bod cynlluniau’n ategu
meysydd busnes eraill ac yn
manteisio i’r eithaf ar synergedd
2.6 Cydymffurfio â pholisïau a
gweithdrefnau’r sefydliad, a
gofynion cyfreithiol a moesegol
3. Gallu rhoi cynllun
gweithredol ar waith
3.1 Rhoi cynlluniau ar waith o fewn
cyllidebau ac amserlenni a gytunir
3.2 Cyfathrebu gofynion y cynllun
i’r rhai a fydd yn cael eu heffeithio
Mae ACau 1.2 a 2.3 wedi nodi bod yn rhaid i gynlluniau gweithredol fod yn
gyson â strategaeth, amcanion, gwerthoedd, polisïau a gweithdrefnau’r sefydliad
ac ni ddylid eu datblygu ar eu pennau eu hunain: dylai cynlluniau gweithredol y
sefydliad ategu ei gilydd a manteisio i’r eithaf ar synergedd ar draws y busnes,
gan fod pob un ohonynt yn defnyddio eu hadnoddau i gyflawni’r un amcanion
strategol.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod ef neu hi
wedi cymryd camau er mwyn sicrhau bod cynlluniau’n ategu meysydd busnes
eraill ac yn manteisio i’r eithaf ar synergedd
Yn ogystal â sicrhau bod cynlluniau’n gyson â strategaeth, amcanion,
gwerthoedd, polisïau a gweithdrefnau’r sefydliad (AC 2.3), mae’n rhaid cymryd
gofal er mwyn sicrhau bod cynlluniau gweithredol, a’r gwaith o baratoi cynlluniau
gweithredol a’u rhoi ar waith, yn cydymffurfio ag unrhyw ofynion cyfreithiol a
moesegol.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod ef neu hi
wedi cydymffurfio â pholisïau a gweithdrefnau’r sefydliad a gofynion cyfreithiol a
moesegol.
Mae AC 1.2 yn nodi prif gydrannau cynllun gweithredol, sy’n cynnwys cyllidebau
ac amserlenni.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod ef neu hi
wedi rhoi cynllun gweithredol ar waith ac unrhyw is-setiau neu is-gynlluniau
cysylltiedig o fewn cyllidebau ac amserlenni a gytunwyd
Er mwyn sicrhau bod y cynllun gweithredol yn cael ei roi ar waith yn effeithiol,
mae’n angenrheidiol cyfleu gofynion y cynllun i’r rhai sy’n rhan o’r broses neu’r
rhai y bydd y broses yn effeithio arnynt, h.y. y ‘rhanddeiliaid’.
Gall strategaethau cyfathrebu gynnwys:
 cyfarfodydd tîm
 sgyrsiau ar ddulliau
 cynllun cyfathrebu ffurfiol sy’n cynnwys:
o disgrifiad o’r cynllun gweithredol
o cyfathrebu amcanion
o negeseuon allweddol
o grwpiau targed
o adnoddau cyfathrebu ar gyfer pob grŵp targed
o dyrannu cyfrifoldebau cyfathrebu i unigolion a enwir
o amserlenni cyfathrebu
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3.3 Diwygio cynlluniau yn wyneb
amgylchiadau sy’n newid yn unol
ag amcanion strategol a risgiau a
nodir
o cyllideb cyfathrebu
defnyddio’r rhyngrwyd neu negesfyrddau
ac ati.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod ef neu hi
wedi cyfathrebu gofynion y cynllun gweithredol ac unrhyw is-setiau neu isgynlluniau cysylltiedig i’r rhai a fydd yn cael eu heffeithio.
Mae ACau 1.1 a 1.3 yn nodi pa mor bwysig yw sicrhau bod cynlluniau
gweithredol yn ystyried yn llawn y risg a’r amcanion strategol, ac, os yw
cynlluniau gweithredol am barhau’n gyfredol a dilys, mae’n bosibl y bydd angen
eu hadolygu a’u diwygio os oes yna unrhyw newidiadau mewn amgylchiadau a
allai atal y cynllun rhag rheoli risg yn effeithiol neu gyflawni amcanion strategol.
Wrth gwrs, bydd yn angenrheidiol hysbysu’r holl randdeiliaid o unrhyw
addasiadau i’r cynllun fel y gellir wedyn gwneud unrhyw newidiadau
angenrheidiol i’w his-setiau neu eu his-gynlluniau cysylltiedig.
4. Gallu gwerthuso
effeithiolrwydd cynllun
gweithredol
4.1 Cynnal adolygiadau cyfnodol ar
gynnydd ac effeithiolrwydd y
cynlluniau, gan ddefnyddio
gwybodaeth o amrywiaeth o
ffynonellau.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod ef neu hi
wedi diwygio cynlluniau yn wyneb amgylchiadau sy’n newid yn unol ag
amcanion strategol a risgiau a nodir
Mae AC 2.2 yn nodi pwysigrwydd monitro a gwerthuso, a bydd rhan o’r broses
hon yn cynnwys adolygiadau cyfnodol o gynnydd ac effeithiolrwydd y cynllun hyd
yn hyn.
Mewn rhai sefydliadau, ac yn ddibynnol ar gymhlethdod y cynllun gweithredol,
bydd yr adolygiad cyfnodol yn adroddiad ffurfiol i uwch reolwyr.
Dylid casglu gwybodaeth gan amrywiaeth o ffynonellau, yn cynnwys yr holl
randdeiliaid os oes modd.
4.2 Adrodd ar effeithiolrwydd
cynlluniau gweithredol yn y fformat
priodol
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod ef neu hi
wedi cynnal nifer ddigonol o adolygiadau cyfnodol ar gynnydd ac effeithiolrwydd
y cynlluniau, gan ddefnyddio gwybodaeth o amrywiaeth o ffynonellau.
Dylai adroddiad ar effeithiolrwydd y cynllun gweithredol a’i is-setiau neu ei isgynlluniau cysylltiedig gofnodi, er enghraifft, sut mae’r cynllun wedi’i roi ar waith
a sut mae wedi cael ei werthuso a’i addasu, a dylai nodi arfer da a meysydd i’w
gwella er mwyn helpu gyda’r gwaith cynllunio yn y dyfodol a helpu i lywio’r
gwaith hwnnw.
Dylid cyfathrebu’r adroddiad i’r holl randdeiliaid mewn fformat busnes priodol.
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Yn y maen prawf, mae gofyn i’r dysgwr lunio Adroddiad ffurfiol ar effeithiolrwydd
cynlluniau gweithredol ac unrhyw is-setiau neu is-gynlluniau cysylltiedig yn y
fformat priodol
M&L 32 Datblygu cysylltiadau gwaith â rhanddeiliaid
Deilliannau Dysgu
Meini Prawf Asesu
Deall cysylltiadau
gweithio â rhanddeiliaid
1.1 Dadansoddi technegau mapio
rhanddeiliaid
1.2 Egluro sut y gellir defnyddio
sgiliau a thechnegau
dylanwadu i wella cysylltiadau
â rhanddeiliaid
Canllawiau ac ystod
Mae’r ymgeisydd yn darparu tystiolaeth ei fod yn deall:
Dewisir y gair ‘dadansoddi’ i ddangos y dylech ystyried yn ofalus dechnegau
mapio rhanddeiliaid ac archwilio sut maen nhw’n gweithio. Mae rhanddeiliaid yn
unigolion neu’n grwpiau sydd â buddiant yn y sefydliad a gall camau gweithredu
a pholisïau effeithio arnynt.
Mae enghreifftiau o dechnegau mapio yn cynnwys:
Grid Pŵer/Buddiant ar gyfer Blaenoriaethu rhanddeiliaid
Matrics RACI (Responsible, Accountable, Contributing and Informed) sy’n
ddefnyddiol ar gyfer diffinio rolau
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
dewis dwy dechneg a ddefnyddiwyd i fapio rhanddeiliaid ac egluro sut a phryd y
cânt eu defnyddio.
Mae arweinyddiaeth effeithiol yn defnyddio sgiliau dylanwadu i ychwanegu
gwerth at gysylltiadau â rhanddeiliaid. Drwy sefydlu cysylltiad ag eraill, yn
enwedig pan fo hyn yn digwydd heb unrhyw ymdrech uniongyrchol neu
ymddangosiadol, gall trefn digwyddiadau a chamau ac ymddygiad pobl eraill
newid.
Mae technegau dylanwadu yn cynnwys:


1.3.Egluro sut y defnyddir prosesau
rheoli disgwyliadau a phrosesau
datrys gwrthdaro mewn perthynas â
rheoli rhanddeiliaid
Dwyn perswâd - defnyddio rhesymeg resymol, gan bwysleisio agweddau
cadarnhaol
Trafod – gwrando, dod i gytundeb, cyfaddawdu
Mae’r sgiliau hyn yn bwysig mewn sawl swydd ac yn enwedig ym maes
marchnata, gwerthiant, hysbysebu a phrynu, one hefyd mewn bywyd bob dydd.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi nodi
rhanddeiliaid allweddol ac wedi egluro pam mae sgiliau dylanwadu yn bwysig
wrth gydweithio er mwyn sicrhau canlyniadau effeithiol. Yn ogystal, mae wedi
dewis un dechneg a ddefnyddiwyd mewn sefyllfa yn y gweithle, gan ddisgrifio’n
gryno cyd-destun y canlyniad.
Mae’n rhaid rheoli disgwyliadau pan fo rhanddeiliaid yn mynnu gofynion
afrealistig neu anymarferol, er mwyn diwallu anghenion. O dro i dro, mae’n rhaid
defnyddio technegau datrys gwrthdaro. Cafwyd un enghraifft gan Thomas
Kilmann (diwygiwyd yn 2008). Mae’r ddamcaniaeth yn awgrymu bod y rheolwr
yn dilyn y camau allweddol canlynol:
Defnyddio sgiliau gwrando gweithredol er mwyn sicrhau eich bod yn clywed a
deall safbwyntiau pobl eraill
1.4 Dadansoddi manteision a
chyfyngiadau gwahanol
fathau o ymgynghori â
rhanddeiliaid
 Casglu gwybodaeth
 Cytuno ar y broblem
 Gwyntyllu atebion – bod yn agored i syniadau newydd
 Trafod atebion
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
egluro pam ei bod yn bwysig rheoli disgwyliadau rhanddeiliaid. Yn ogystal, mae
wedi dewis sefyllfa a oedd yn cynnwys disgwyliadau rhanddeiliaid y gellid eu
hystyried yn afrealistig ac wedi disgrifio sut cafodd y sefyllfa ei datrys.
Mae ymgynghori yn cynnwys datblygu cysylltiadau cynhyrchiol yn hirdymor. Mae
gwrando ar adborth yn darparu ffynhonnell werthfawr o wybodaeth y gellir ei
defnyddio i wella cynllun a chanlyniadau prosiectau ac i helpu’r sefydliad i nodi’r
risgiau a’u rheoli.
Dyma’r ddau brif fath o ymgynghori â rhanddeiliaid:


1.5 Gwerthuso risgiau a
chanlyniadau posibl prosesau
annigonol ar gyfer ymgynghori
â rhanddeiliaid
Ymgynghori ar ddatblygiadau a phrosiectau penodol
Olrhain a monitro canfyddiadau rhanddeiliaid yn barhaus, o fewn yr
amgylchedd gweithredu ehangach
Gall manteision gynnwys gwneud penderfyniadau ar sail gwybodaeth, a'r
potensial o sicrhau gwell cyfle i weithredu’n llwyddiannus. Gall cyfyngiadau
gynnwys yr amser a gymerir i gasglu, dadansoddi ac adrodd ar ddeilliannau
ymgynghori a’r lefelau amrywiol o arbenigedd neu wybodaeth am y grwpiau o
randdeiliaid.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
disgrifio’r ddau brif fath o ymgynghori â rhanddeiliaid, gan gysylltu pob un ag
enghraifft ar wahân o’r gweithle. Ym mhob enghraifft o ymgynghori â
rhanddeiliaid, mae wedi egluro’n fanwl y manteision a’r cyfyngiadau o safbwynt y
sefydliad.
Mae Post, Preston a Sachs (2002) yn cysylltu’r gydberthynas rhwng sefydliad a’i
randdeiliaid. Yn benodol, mewn perthynas â risgiau a gwobrwyo, mae’n
disgrifio’r cyfraniad a wnaed (yn wirfoddol neu’n anwirfoddol) gan randdeiliaid ac
unigolion fel y gallu a’r gweithgareddau i greu cyfoeth. Fodd bynnag, y
buddiolwyr posibl hyn yw’r rhai sy’n mentro hefyd. Gellir defnyddio’r
ddamcaniaeth hon hefyd ar gyfer gwasanaethau cyhoeddus yn ogystal â’r
amgylchedd masnachol; mae cyfoeth yn gysylltiedig â thwf a datblygiad a’r risg
yw bod y fenter yn methu.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
dewis sefyllfa lle y dylid fod wedi ymgynghori â rhanddeiliaid. Hefyd, eglurwyd yn
fyr y rhesymau dros ddewis yr enghraifft. Yn ogystal, mae wedi asesu’r risgiau
1. Gallu pennu’r
cwmpas ar gyfer
cydweithredu â
rhanddeiliaid
2.1 Nodi’r rhanddeiliaid y
dylid meithrin cysylltiad â nhw
a’r canlyniadau tebygol petai’r sefyllfa a ddewiswyd wedi bod yn destun
ymgynghori annigonol â rhanddeiliaid.
Caiff rhanddeiliaid eu rhannu’n ddau grŵp:
 Mewnol – gweithwyr cyflogedig, rheolwyr, perchnogion,
myfyrwyr, gwirfoddolwyr
 Allanol - cyllidwyr, cyflenwyr, rheoleiddwyr, deddfwriaethwyr
Mae pob un yn dylanwadu ar agweddau a chredoau ac yn 2004, sefydlwyd The
Information and Consultation of Employees Regulations sy’n nodi’n glir y
gofynion sydd ar gorfforaethau i ymgynghori â’u gweithwyr cyflogedig; cafodd ei
ymestyn yn 2008 i Gorfforaethau gyda mwy na 50 o weithwyr cyflogedig.
Drwy ddefnyddio’r matrics pŵer/buddiannau mae’n bosibl mapio lefelau pŵer a
buddiannau yn erbyn y lefelau cyfathrebu gofynnol, ac mae’n amrywio o’r rhai
sydd angen lefelau uchel o gyfathrebu a chymorth i’r rhai sydd angen
gwybodaeth achlysurol.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi nodi
rhanddeiliaid ac wedi egluro pam ei bod yn bwysig meithrin yn benodol
gysylltiadau â phob grŵp.
2.2 Egluro rolau, cyfrifoldebau,
buddiannau a phryderon
rhanddeiliaid
2.3 Gwerthuso meysydd busnes a
allai elwa ar gydweithredu â
rhanddeiliaid
Mae etholaeth neu randdeiliaid yn cynrychioli grŵp unffurf, lle mae gan yr
aelodau sydd o fewn gweithgareddau’r sefydliad yr un buddiannau. Gallai
enghreifftiau o’r ‘etholaethau’ neu’r grwpiau hyn fod yn ddefnyddwyr
gwasanaethau, cyfranddalwyr, cyllidwyr, llunwyr polisi, gweithwyr cyflogedig. Lle
y bo’n berthnasol, gellid rhannu grwpiau yn is-grwpiau hefyd e.e. gellir rhannu
‘gweithwyr cyflogedig’ eto yn rheolwyr a staff gweithredol a allai fod ag
anghenion a disgwyliadau gwahanol iawn.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
dewis a chyflwyno’n gryno sefyllfa lle’r oedd angen cydweithredu â grwpiau
amrywiol a chyflwyno eu rolau a’u cyfrifoldebau mewn perthynas â’r dasg. Yn
ogystal, mae wedi nodi’r prif randdeiliaid ac wedi nodi eu buddiannau a’u
pryderon.
Mae busnesau wedi’u trefnu mewn amrywiaeth o ffyrdd yn ôl eu sector, eu
busnes craidd a’u pwyslais. Fodd bynnag, fel arfer mae yna adran ‘wynebu
cwsmeriaid’ sy’n helpu i nodi tueddiadau a heriau sy’n datblygu sy’n effeithio ar y
sefydliad ar hyn o bryd neu yn y dyfodol. Gellir diffinio ‘cwsmeriaid’ mewn sawl
ffordd a gellir cynnwys e.e. prif gyflenwyr a chyrff deddfwriaethol. Mae gwrando
ar bryderon ac adborth rhanddeiliaid yn ffynhonnell wybodaeth werthfawr, ac os
cânt eu defnyddio’n ddoeth gallant fod yn sail i gydweithredu yn y dyfodol
2.4 Gwerthuso’r cwmpas ar gyfer
cydweithredu â gwahanol
fathau o randdeiliaid a’r
cyfyngiadau a ddaw o wneud
hynny
3
Gallu meithrin
cysylltiadau
gweithio
cynhyrchiol â
rhanddeiliaid
3.1 Creu hinsawdd o
ymddiriedaeth a pharch i’r naill a’r
llall drwy ymddwyn yn agored a
gonest
3.2 Ystyried cyngor gan
randdeiliaid
(cydweithio’n agosach) a phartneriaethau ar unrhyw lefel yn y sefydliad.
Yn y maen prawf hwn mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
dewis dwy enghraifft o feysydd busnes a fyddai’n elwa ar gydweithredu â
rhanddeiliaid. Yn ogystal, mae wedi egluro pam y dewiswyd pob enghraifft ac
wedi rhestru rhai o’r prif fanteision i’r rhanddeiliaid a’r *sefydliad
*Dalier sylw, mewn achosion pan fo’r grŵp rhanddeiliaid yn fewnol, gofynnir i
ddysgwyr nodi’r manteision penodol ar gyfer pob parti.
Dewisir y gair ‘cwmpas’ er mwyn galluogi’r sefydliad i ddiffinio a sefydlu grwpiau
o feintiau realistig ac ystyrlon y gellir eu cynrychioli. Mae hyn yn cyfeirio’n bennaf
at ymgynghori, cael adborth, dadansoddi ac adrodd at ddibenion lleihau neu atal
risg, gwella’r broses o ddylunio a chyflawni cynhyrchion a gwasanaethau,
ansawdd allbwn a chysylltiadau gweithio effeithiol hirdymor.
Yn y maen prawf hwn mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
ystyried y grwpiau o randdeiliaid sydd ar gael a nodi’r meini prawf sydd wedi
sicrhau bod y broses o gydweithredu yn gyraeddadwy a llwyddiannus, o ran
deilliannau cadarnhaol. Yn ogystal, mae wedi egluro’r prif gyfyngiadau a ddaw o
gydweithredu gyda gwahanol fathau o randdeiliaid gan ddefnyddio enghreifftiau
penodol.
Gall ymgynghori rheolaidd roi mwy o foddhad i randdeiliaid. Mae ymddwyn yn
agored a gonest yn cydnabod y cyfraniad pwysig y gall rhandeiliaid ar bob lefel
ei wneud i newidiadau yn y dyfodol, a fydd yn effeithio arnynt yn uniongyrchol
neu’n anuniongyrchol.
Pan ddefnyddir y gair ‘hinsawdd’ yng nghyd-destun y sefydliad, mae’n cysylltu’n
dda â’r gwaith o gytuno ar flaenoriaethau, cefnogi eraill, meithrin gallu a rhannu
gwerthoedd.
Yn y maen prawf hwn mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
cychwyn meithrin cysylltiadau gweithio cynhyrchiol â rhanddeiliaid gan
ddefnyddio enghreifftiau bod ymddiriedaeth a pharch i’r naill a’r llall wedi’i annog.
Yn ogystal, mae wedi disgrifio’n fyr sefyllfa wahanol lle roedd ymddygiad agored
a gonest yn rhan hanfodol o’r broses o gydweithio â rhanddeiliaid a’r deilliannau
wedi’u cyflawni.
Mae canfyddiadau grwpiau o randdeiliaid penodol dros gyfnod yn rhoi
gwybodaeth amhrisiadwy i’r sefydliad; gallai enghreifftiau gynnwys datblygiadau
arfaethedig, cynlluniau gweithredu neu fanylion ac ansawdd cynhyrchion. Gall y
sefydliad ddefnyddio’r wybodaeth hon i gystadlu â sefydliadau eraill a diffinio
arferion gorau.
Yn y maen prawf hwn mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
ymgynghori â rhanddeiliaid ac wedi crynhoi un agwedd ar y wybodaeth sydd
wedi bod yn ddefnyddiol. Yn ogystal, mae wedi egluro pam yr ystyrir bod y
gwaith hwn o ddadansoddi adborth wedi darparu ‘cyngor da’ i’r sefydliad.
3.3 Lleihau’r potensial am rwystr a
gwrthdaro ymysg rhanddeiliaid
4
Gallu gwerthuso
cysylltiadau â
rhanddeiliaid
4.1 Monitro cysylltiadau a
datblygiadau â rhanddeiliaid
4.2 Mynd i’r afael â newidiadau a
allai effeithio ar gysylltiadau â
rhanddeiliaid
Gall rhanddeiliaid fod â gwahanol ganfyddiadau am lefelau risg, cydraddoldeb a
thegwch, neu er enghraifft, y broses o ymgysylltu ac yn aml mae hyn yn
gysylltiedig â pha mor dda yw’r manteision yn nhyb pob parti. Pan fo amser
ymgynghori yn gyfyngedig, neu pan fo’n ymddangos bod anghenion un grŵp yn
diystyru gofynion grŵp arall, gall sefyllfaoedd o wrthdaro godi.
Gellir lleihau’r potensial o rwystr drwy sicrhau y darperir lefel briodol o gyswllt a
chyfathrebu ar gyfer pob grŵp a nodir, bod gwybodaeth yn cael ei rhannu’n
agored a bod penderfyniadau’n cael eu gwneud cyn cyflwyno deddfau.
Yn y maen prawf hwn mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
disgrifio sefyllfa sy’n seiliedig ar waith lle'r oedd y potential am rwystr a
gwrthdaro yn amlwg. Yn ogystal, mae wedi egluro pam ei bod yn bwysig lleihau’r
potensial am wrthdaro a rhwystr yn yr enghraifft a ddewiswyd ac wedi nodi’n
gryno’r camau a gymerwyd, sy’n gysylltiedig â deilliannau llwyddiannus.
Mae ‘monitro’ yn sicrhau bod yna ymwybyddiaeth barhaus o ddigwyddiadau ac
yn sicrhau y gellir nodi’n gynnar unrhyw newidiadau sydd angen ymyrraeth
gynnar. Mae ymarfer da yn dangos bod ‘cofnodion’ yn cael eu cadw o unrhyw
gyfathrebu amlwg lle cytunwyd ar gamau, lle cynhaliwyd sesiynau dilynol a lle
nodwyd cynnydd. Gall canfyddiadau newid yn gyflym a dim ond drwy gael
adborth rheolaidd y gellir sicrhau bod gennych y wybodaeth ddiweddaraf.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
dewis dull o fonitro datblygiadau â rhanddeiliaid, gan nodi pam y dewiswyd y dull
penodol. Yn ogystal, mae wedi monitro cysylltiadau â dau randdeiliaid dros
gyfnod cyfyngedig priodol i’r sector a natur y gwaith, gan ddangos datblygiadau
allweddol a’u harwyddocâd.
Mae ymyrraeth gynnar yn awgrymu bod camau’n cael eu rhoi ar waith cyn
gynted ag y nodir bod sefyllfa’n datblygu sy’n debygol o newid cynlluniau a
sefydlwyd a/neu a gytunwyd er mwyn sicrhau nad yw cysylltiadau â rhanddeiliaid
yn cael eu cyfaddawdu. Gallai enghreifftiau gynnwys cysylltu â chysylltiadau
allweddol mewn sefydliadau eraill a darparu’r wybodaeth ddiweddaraf, cynnig
camau gweithredu newydd neu dwyn pobl ynghyd ar gyfer trafodaethau cynnar
ac ar gyfer cyfnewid gwybodaeth er mwyn dod i benderfyniadau a gytunwyd ar y
cyd.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
egluro beth allai fod wedi digwydd pe na fyddai newidiadau i sefyllfaoedd wedi
cael sylw, drwy ddefnyddio enghraifft benodol a gwerthuso canlyniadau posibl a
gwirioneddol diffyg gweithredu.
4.3 Argymell gwelliannau yn
seiliedig ar ddadansoddiadau o
effeithiolrwydd cysylltiadau â
rhanddeiliaid
Defnyddir effeithiolrwydd i fesur ansawdd canlyniadau y gellir eu cymhwyso drwy
adborth a lefelau bodlonrwydd cyffredinol staff a chwsmeriaid. Gall effaith
cysylltiadau effeithiol â rhanddeiliaid fod yn hirdymor a phellgyrhaeddol.
Yn y maen prawf hwn mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
defnyddio gwybodaeth a gasglwyd ac a ddadansoddwyd mewn perthynas ag
effeithiolrwydd o leiaf ddau gysylltiad â rhanddeiliaid. Yn ogystal, mae wedi
awgrymu un gwelliant i bob un o’r ddau gysylltiad â rhanddeiliaid a ddewiswyd
gan egluro’r sail resymegol dros bob un.
M&L 25 Develop and maintain professional networks
Assessment Criteria
Learning Outcome
1.Understand the
principles of effective
networking
1.1 Describe the interpersonal
skills needed for effective
networking
1.2 Explain the basis on which to
choose networks to be developed
1.3 Evaluate the role of shared
agendas and conflict management
in relationship-building
1.4 Evaluate the role of the internet
in business networking
1.5 Assess the importance of
following up leads and actions
Guidelines and range
The candidate provides evidence that they understand:
Effective networking can be defined as ‘The ability to actively seek, identify and
create effective contacts with other people and to maintain those contacts for
mutual benefit’. Good interpersonal skills and the way you interact with people
are essential for effective networking. Appropriate use of body language is
important and in addition:
Influencing and persuading skills
The ability to create rapport and build trust with new contacts
Feeling comfortable and confident in networking situations
In this criterion the learner is required to describe the principal features of three
or more of the interpersonal skills needed for effective networking.
Effective networking is about developing valuable relationships over time, based
on the principles of reciprocity and confidentiality. That is, a network should only
be developed if the parties involved will gain from exchanging information, ideas
and other resources with each other that are not confidential.
In this criterion the learner is required to explain the basis on which to choose
networks to be developed. (You may wish to provide examples to illustrate your
answer).
Members of personal networks need to be aware of each other’s’ expectations
and have the confidence to develop a shared agenda of common interests within
the constraints of confidentiality. Members should acknowledge when their own
interests are in conflict with common goals and state their own views clearly and
confidently in conflict situations.
In this criterion the learner is required to evaluate the role of shared agendas
and conflict management in order to ascertain their usefulness in relationship
building.
Using the internet for business networking is now accepted as one of the better
ways to develop personal networks and source new business leads. There are a
number of ways to use the internet in business working, including social
networks, blogs and forums. Social networks, for example, allow people to
create personal profiles, build communities, communicate with each other and
make recommendations, and include specialist business sites such as e.g.
LinkedIn.
In this criterion the learner is required to evaluate the role of the internet in
business networking in order to ascertain its usefulness.
Following up leads and actions is important for generating new customers and
building your customer base, and should be done as soon as possible.
Conversely, by failing to follow up on a lead or action you are passing up an
1.6 Analyse ethical issues relating
to networking activities
2. Be able to identify
professional networks
for development
2.1 Identify potential networks for
professional development from an
analysis of their benefits compared
with individual needs and
aspirations
2.2 Shortlist networks for
development against defined
criteria
2.3 Assess the benefits and
limitations of joining and
maintaining selected network(s)
3. Be able to maintain
professional networks
3.1 Identify the potential for mutual
benefit with network members
3.2 Promote their own skills,
knowledge and competence to
network members
opportunity to gain a new customer.
In this criterion the learner is required to assess and make a judgment on, using
appropriate criteria, the importance of following up leads and actions.
In simple terms, an ethical issue arises when an individual must choose between
alternatives that are right (ethical) or wrong (unethical). Ethical issues related to
networking activities may arise over, for example, confidentiality, personal
interest and the accurate portrayal of networking activities. Professional and
specialist networks are like to have a Code of Conduct, or Code of Ethics, that
members must adhere to.
In this criterion the learner is required to analyse the essential features of two or
more ethical issues relating to networking activities in order to draw conclusions.
Networks will vary in their usefulness, and each potential network should be
analysed to determine its essential features and to draw conclusions as to the
benefits of the network compared with individual needs and aspirations.
In this criterion the learner is required to identify a range of five or more potential
networks for professional development based on an analysis of their benefits
compared with individual needs and aspirations.
Potential networks should be shortlisted for development against defined criteria,
such as their benefits and own individual needs and aspirations.
In this criterion the learner is required to shortlist two or more networks for
development against defined criteria.
Joining and maintaining networks involves time and commitment, and these
costs and limitations must be set against the potential benefits of membership.
In this criterion the learner is required to assess and make a judgment on, using
appropriate criteria, the benefits and limitations of joining and maintaining one or
more selected network(s).
The creation and maintenance of ‘mutual benefit’ is the rationale for effective
networking, and identifying the potential for mutual benefit with network
members is central to effective networking. This may be done face-to-face or
through the internet and social media and professional business sites, although
it is not sufficient merely to exchange personal details and other pertinent
information at a first meeting as networking is a long-term strategy that needs to
be continually improved over time.
In this criterion the learner is required to identify the potential for mutual benefit
with two or more network members.
Networking is a reciprocal relationship that must consist of give-and –take, and
to be an effective and useful member of a network it is important to let other
members of the network know that they may be able to benefit from your skills,
knowledge and competence.
3.3 Provide information, services
or support to network members
where the potential for mutual
benefit has been identified
3.4 Establish the boundaries of
confidentiality
3.5 Agree guidelines for the
exchange of information and
resources
3.6 Take action to ensure that
participation in networks reflects
current and defined future
aspirations and needs
3.7 Make introductions to people
with common or complementary
interest to and within networks
In this criterion the learner is required to provide evidence that he or she has
appropriately promoted their own skills, knowledge and competence to network
members.
In order to network effectively, a network member must be an active, rather than
a passive, member of his or her networks, and active participation will include
providing on-going information, services or support to network members where
the potential for mutual support has been identified.
In this criterion the learner is required to provide evidence that he or she has
actively participated in networking by providing information, services or support
to network members where the potential for mutual benefit has been identified.
Confidentiality is central to the reciprocal relationship, and network members will
need to set boundaries to what information can, and cannot, be shared. In some
instances, the boundaries of confidentiality may be established by industry or
sector legislation, requirements, regulations or policies and professional codes
relevant to networking.
In this criterion the learner is required to provide evidence that boundaries of
confidentiality have been established.
In addition to setting boundaries on what information can, and cannot, be
shared, networks will need to agree guidelines on how information and
resources can be exchanged. Again, guidelines may be established by industry
or sector legislation, requirements, regulations or policies and professional
codes relevant to networking.
In this criterion the learner is required to provide evidence that guidelines for the
exchange of information and resources have been agreed.
In addition to providing on-going information, services or support to network
members where the potential for mutual support has been identified, active
participation in networking also provides the opportunity to continually update
own current and defined future aspirations and needs.
In this criterion the learner is required to provide evidence that he or she has
actively participated in networking by providing information, services or support
to network members where the potential for mutual benefit has been identified.
The first step in networking is to make introductions to people with common or
complementary interest, either face-to-face or online.
In this criterion the learner is required to provide evidence that he or she has
made introductions to two or more people with common or complementary
interest to and within networks.
M&L 25 Datblygu a chynnal rhwydweithiau proffesiynol
Deilliannau Dysgu
Meini Prawf Asesu
1.Deall egwyddorion
rhwydweithio effeithiol
1.1 Disgrifio’r sgiliau rhyngbersonol
sydd eu hangen ar gyfer
rhwydweithio effeithiol
1.2 Egluro ar ba sail rydych yn
dewis y rhwydweithiau i’w datblygu
1.3 Gwerthuso rôl agendâu
cyffredin a rheoli gwrthdaro wrth
feithrin cysylltiadau
1.4 Gwerthuso rôl y rhyngrwyd
wrth rwydweithio gyda busnesau
1.5 Asesu pwysigrwydd dilyn
awgrymiadau a chamau
gweithredu
Canllawiau ac ystod
Mae’r ymgeisydd yn darparu tystiolaeth ei fod yn deall:
Gellir diffinio rhwydweithio effeithiol fel ‘Y gallu i fynd ati’n ddiwyd i nodi, creu a
chwilio am gysylltiadau effeithiol â phobl eraill a chynnal y cysylltiadau hynny er
budd i bawb’. Mae sgiliau rhyngbersonol da a’r ffordd rydych chi’n rhyngweithio â
phobl yn hanfodol ar gyfer rhwydweithio effeithiol. Mae defnyddio iaith y corff yn
briodol yn bwysig yn ogystal â:
Sgiliau dylanwadu a pherswadio
Y gallu i greu cydberthynas a meithrin ymddiriedaeth â chysylltiadau newydd
Teimlo’n gyfforddus a hyderus mewn sefyllfaoedd rhwydweithio
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddisgrifio prif nodweddion tri neu fwy
o’r sgiliau rhyngbersonol sydd eu hangen ar gyfer rhwydweithio effeithiol.
Mae rhwydweithio effeithiol yn ymwneud â datblygu cysylltiadau gwerthfawr dros
gyfnod, yn seiliedig ar egwyddorion dwyochredd a chyfrinachedd. Hynny yw,
dylid datblygu rhwydwaith yn unig os bydd y partïon dan sylw yn elwa o gyfnewid
gwybodaeth, syniadau ac adnodau eraill gyda’i gilydd nad ydynt yn gyfrinachol.
Yn y maen prawf hwn, mae gofyn i’r dysgwr egluro ar ba sail rydych yn dewis y
rhwydweithiau i’w datblygu. (Efallai eich bod am ddarparu enghreifftiau i
ddangos eich ateb).
Mae angen i aelodau rhwydweithiau personol fod yn ymwybodol o ddisgwyliadau
ei gilydd a chael yr hyder i ddatblygu agenda cyffredin o ddiddordebau tebyg o
fewn cyfyngiadau cyfrinachedd. Dylai aelodau gydnabod pan fo’u buddiannau eu
hunain yn gwrthdaro â nodau cyffredin a nodi eu safbwyntiau eu hunain yn glir
ac yn gyfrinachol mewn sefyllfaoedd o wrthdaro.
Yn y maen prawf hwn, mae gofyn i’r dysgwr werthuso rôl agendâu cyffredin a
rheoli gwrthdaro er mwyn canfod pa mor ddefnyddiol ydynt wrth feithrin
cysylltiadau.
Mae defnyddio’r rhyngrwyd i rwydweithio gyda busnesau bellach yn cael ei
dderbyn fel un o’r ffyrdd gorau o ddatblygu rhwydweithiau personol a chanfod
cysylltiadau busnes newydd. Mae sawl ffordd o ddefnyddio’r rhyngrwyd mewn
busnes, gan gynnwys rhwydweithiau cymdeithasol, blogiau a fforymau. Mae
rhwydweithiau cymdeithasol, er enghraifft, yn galluogi pobl i greu proffiliau
personol, adeiladu cymunedau, cyfathrebu â’i gilydd a gwneud argymhellion, a
chynnwys safleoedd busnes arbenigol fel e.e. LinkedIn.
Yn y maen prawf hwn, mae gofyn i’r dysgwr werthuso rôl y rhyngrwyd wrth
rwydweithio gyda busnesau er mwyn canfod pa mor ddefnyddiol ydyw.
Mae dilyn awgrymiadau a chamau gweithredu yn bwysig ar gyfer creu
cwsmeriaid newydd a chynyddu nifer eich cwsmeriaid, a dylid ei wneud cyn
gynted â phosibl. Ar y llaw arall, bydd methu â dilyn awgrymiadau neu gamau yn
1.6 Dadansoddi materion
moesegol sy’n ymwneud â
gweithgareddau rhwydweithio
2. Gallu nodi
rhwydweithiau
proffesiynol i’w
datblygu
2.1 Nodi rhwydweithiau posibl ar
gyfer datblygiad proffesiynol drwy
ddadansoddi eu manteision o
gymharu ag anghenion a
dyheadau unigol
2.2 Llunio rhestr fer o rwydweithiau
i’w datblygu yn erbyn meini prawf a
ddiffinnir
2.3 Asesu’r manteision a’r
cyfyngiadau sydd ynghlwm wrth
ymuno â rhwydwaith(weithiau)
dethol a dal ati
3. Gallu cynnal
rhwydweithiau
proffesiynol
3.1 Nodi potensial sicrhau budd i
bawb gydag aelodau’r rhwydwaith
arwain at golli cyfle i ennill cwsmer newydd.
Yn y maen prawf hwn, mae gofyn i’r dysgwr asesu a phenderfynu ar
bwysigrwydd dilyn awgrymiadau a chamau gweithredu, gan ddefnyddio meini
prawf priodol.
Yn syml, bydd mater moesegol yn codi pan fo’n rhaid i unigolyn ddewis rhwng yr
hyn sy’n gywir (moesegol) a’r hyn sy’n anghywir (anfoesegol). Gall materion
moesegol sy’n ymwneud â gweithgareddau rhwydweithio godi ynglŷn â
chyfrinachedd, buddiannau personol a phortread cywir o weithgareddau
rhwydweithio, i nodi dim ond ambell enghraifft. Mae rhwydweithiau proffesiynol
ac arbenigol yn debygol o fod â Chod Ymddygiad, neu God Moeseg, y mae’n
rhaid i aelodau ei ddilyn.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddadansoddi nodweddion hanfodol
dau neu fwy o faterion moesegol sy’n ymwneud â gweithgareddau rhwydweithio
er mwyn dod i gasgliadau.
Bydd rhwydweithiau’n amrywio o ran pa mor ddefnyddiol ydynt, a dylai pob
rhwydwaith posibl gael ei ddadansoddi er mwyn pennu ei nodweddion hanfodol
ac i ddod i gasgliadau am fanteision y rhwydwaith o gymharu ag anghenion a
dyheadau unigol.
Yn y maen prawf hwn, mae gofyn i’r dysgwr nodi amrywiaeth o bump neu fwy o
rwydweithiau posibl ar gyfer datblygiad proffesiynol drwy ddadansoddi eu
manteision o gymharu ag anghenion a dyheadau unigol.
Dylid llunio rhestr fer o rwydweithiau posibl i’w datblygu yn erbyn meini prawf a
ddiffinnir, fel eu manteision a’u hanghenion a’u dyheadau unigol eu hunain.
Yn y maen prawf hwn, mae gofyn i’r dysgwr lunio rhestr fer o ddau rwydwaith
neu fwy i’w datblygu yn erbyn meini prawf a ddiffinnir.
Mae angen amser ac ymrwymiad i ymuno â rhwydweithiau a dal ati, ac mae’n
rhaid gosod y costau a’r cyfyngiadau hyn yn erbyn manteision posibl yr
aelodaeth.
Yn y maen prawf hwn, mae gofyn i’r dysgwr asesu a rhoi barn ar y manteision a’r
cyfyngiadau sydd ynghlwm wrth ymuno ag un neu fwy o rwydweithiau dethol a
dal ati, gan ddefnyddio meini prawf priodol.
Creu a chynnal ‘budd i bawb’ yw’r sail resymegol dros rwydweithio’n effeithiol, ac
mae nodi’r potensial o sicrhau budd i bawb gydag aelodau’r rhwydwaith yn
ganolog i rwydweithio effeithiol. Gellir gwneud hyn wyneb yn wyneb neu drwy’r
rhyngrwyd a’r cyfryngau cymdeithasol a safleoedd busnes proffesiynol, er nad
yw’n ddigonol cyfnewid manylion personol a mathau eraill o wybodaeth
berthnasol yn unig mewn rhyw un cyfarfod cychwynnol, gan fod rhwydweithio yn
strategaeth hirdymor sydd angen ei gwella’n barhaus dros gyfnod.
Yn y maen prawf hwn, mae gofyn i’r dysgwr nodi potensial sicrhau budd i bawb
3.2 Hybu ei sgiliau, ei wybodaeth
a’i gymhwysedd ei hun i aelodau’r
rhwydwaith
3.3 Darparu gwybodaeth,
gwasanaethau neu gymorth i
aelodau’r rhwydwaith lle nodwyd y
potensial o sicrhau budd i bawb
3.4 Sefydlu ffiniau cyfrinachedd
3.5 Cytuno ar ganllawiau ar gyfer
cyfnewid gwybodaeth ac
adnoddau
3.6 Cymryd camau er mwyn
sicrhau bod mynd ati i rwydweithio
yn adlewyrchu anghenion a
dyheadau cyfredol ac anghenion a
dyheadau a ddiffiniwyd ar gyfer y
dyfodol
gyda dau neu fwy o aelodau’r rhwydwaith.
Mae rhwydweithio yn berthynas ddwyffordd lle mae’n rhaid rhoi a derbyn, ac er
mwyn bod yn aelod effeithiol a defnyddiol o rwydwaith, mae’n bwysig rhoi
gwybod i aelodau eraill y rhwydwaith eu bod yn gallu cael budd o’ch sgiliau, eich
gwybodaeth a’ch cymhwysedd.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod ef neu hi
wedi hybu’n briodol ei sgiliau, ei wybodaeth a’i gymhwysedd ei hun i aelodau’r
rhwydwaith.
Er mwyn rhwydweithio’n effeithiol, mae’n rhaid i aelod o rwydwaith fod yn aelod
gweithredol o’i rwydwaith, yn hytrach nag yn aelod anweithredol, a bydd cymryd
rhan yn ddiwyd yn golygu darparu gwybodaeth, gwasanaethau neu gymorth
parhaus i aelodau’r rhwydwaith lle nodwyd bod potensial i bawb gefnogi ei
gilydd.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod ef neu hi
wedi mynd ati’n ddiwyd i rwydweithio drwy ddarparu gwybodaeth, gwasanaethau
neu gymorth i aelodau’r rhwydwaith lle nodwyd bod potensial sicrhau budd i
bawb.
Mae cyfrinachedd yn berthynas ddwyffordd a bydd angen i aelodau’r rhwydwaith
osod ffiniau o ran pa wybodaeth y caniateir ei rhannu, ac na chaniateir ei
rhannu. Mewn rhai achosion, gellir sefydlu ffiniau cyfrinachedd drwy
ddeddfwriaeth, gofynion, rheoliadau neu bolisïau’r diwydiant neu’r sector a thrwy
godau proffesiynol sy’n berthnasol i rwydweithio.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth bod sefydlu
ffiniau cyfrinachedd wedi eu sefydlu.
Yn ogystal â gosod ffiniau o ran pa wybodaeth y caniateir ei rhannu ac na
chaniateir ei rhannu, bydd angen i rwydweithiau gytuno ar ganllawiau ar gyfer
cyfnewid gwybodaeth ac adnoddau. Eto, gellir sefydlu canllawiau drwy
ddeddfwriaeth, gofynion, rheoliadau neu bolisïau'r diwydiant neu’r sector a thrwy
godau proffesiynol sy’n berthnasol i rwydweithio.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth bod canllawiau
ar gyfer cyfnewid gwybodaeth ac adnoddau wedi’u cytuno.
Yn ogystal â darparu gwybodaeth, gwasanaethau neu gymorth parhaus i
aelodau’r rhwydwaith lle nodwyd y potensial i bawb gefnogi’i gilydd, mae mynd
ati’n ddiwyd i rwydweithio yn darparu’r cyfle i ddiweddaru’n barhaus eich
dyheadau a’ch anghenion cyfredol eich hun ac anghenion a dyheadau a
ddiffiniwyd ar gyfer y dyfodol.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
mynd ati’n ddiwyd i rwydweithio drwy ddarparu gwybodaeth, gwasanaethau neu
gymorth i aelodau’r rhwydwaith lle nodwyd y potensial i bawb gefnogi’i gilydd.
3.7 Cyflwyno pobl i’w gilydd sydd yn
yr un rhwydwaith neu mewn
rhwydweithiau eraill ac sydd â
diddordeb neu fudd cyffredin neu a
all ategu ei gilydd
Y cam cyntaf ar gyfer rhwydweithio yw cyflwyno pobl i’w gilydd sydd â diddordeb
neu fudd cyffredin neu a all ategu ei gilydd, naill ai wyneb yn wyneb neu ar-lein.
Yn y maen prawf hwn, bydd gofyn i’r dysgwr ddarparu tystiolaeth ei fod ef neu hi
wedi cyflwyno dau neu fwy o bobl i’w gilydd sydd yn yr un rhwydwaith neu mewn
rhwydweithiau eraill ac sydd â diddordeb neu fudd cyffredin neu a all ategu ei
gilydd.
M&L 28 Annog dysgu a datblygu
Deilliannau Dysgu
Meini Prawf Asesu
Canllawiau ac ystod
Mae’r ymgeisydd yn darparu tystiolaeth ei fod yn deall:
1.Deall egwyddorion
dysgu a datblygu
1.1 Asesu rôl datblygiad proffesiynol
parhaus wrth nodi a diwallu
anghenion dysgu a datblygiad
unigolion ar gyfer anghenion cyfredol
y busnes ac anghenion y busnes yn
y dyfodol
1.2 Dadansoddi manteision a
chyfyngiadau gwahanol ddulliau o
ddysgu a datblygu
1.3 Egluro sut i nodi
anghenion dysgu a datblygu
unigolion
1.4 Gwerthuso rôl hunanfyfyrio wrth ddysgu a datblygu
Mae llawer o weithwyr proffesiynol yn diffinio Datblygiad Proffesiynol Parhaus fel
dull strwythuredig o ddysgu er mwyn helpu i sicrhau cymhwysedd i ymarfer, gan
ystyried gwybodaeth, sgiliau a phrofiad ymarferol. Gall Datblygiad Proffesiynol
Parhaus gynnwys unrhyw weithgaredd dysgu perthnasol, boed yn ffurfiol ac yn
strwythuredig neu’n anffurfiol a hunangyfeiriedig.
Yn y maen prawf hwn, mae gofyn i’r dysgwr asesu rôl Datblygiad Proffesiynol
Parhaus wrth nodi dau neu fwy o anghenion dysgu a datblygiad cyfredol busnes
ac anghenion ar gyfer y dyfodol a’i rôl wrth eu diwallu
Mae yna amrywiaeth o ddulliau dysgu a datblygu ar gael a gallant gynnwys:
 Hyfforddi
 Mentora
 Gweithdai
 Dysgu o bell
 Darllen dan arweiniad
 Secondiadau
 Hyfforddiant yn y gwaith
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddadansoddi manteision a
chyfyngiadau dau neu fwy o ddulliau dysgu a datblygu.
Ystyr anghenion dysgu a datblygu yw pan nodir bwlch yn lefel perfformiad
gwaith cyfredol y dysgwr a safon ofynnol y perfformiad.
Mae sawl ffordd o nodi anghenion dysgu unigolion a gallant gynnwys:
 Arsylwi ar yr unigolyn yn cwblhau’r dasg
 Newid rôl y swydd
 Newidiadau i’r cyfarpar neu’r dechnoleg a ddefnyddir
 Cyflwyno prosesau gwaith newydd
 Cwynion
Yn y mae prawf, mae gofyn i’r dysgwr egluro sut i nodi anghenion dysgu a
datblygu unigolion.
Mae hunan-fyfyrio wrth ddysgu a datblygu yn weithgaredd sy’n helpu unigolion i
wneud synnwyr o’u profiadau a’u sefyllfaoedd a dysgu ohonynt yn hytrach nac
oddi wrth ymyriadau hyfforddi ffurfiol.
2. Gallu cefnogi dysgu
a datblygiad unigolion
2.1 Hyrwyddo manteision dysgu i
bobl yn eu maes cyfrifoldeb eu
hunain
Yn y maen prawf hwn, mae gofyn i’r dysgwr werthuso rôl hunan-fyfyrio wrth
ddysgu a datblygu.
Mae dysgu’n cynnig sawl mantais i’r dysgwr ac i’r cyflogwr a gallant gynnwys:
 Meithrin hyder
 Gwella perfformiad yn y swydd
 Datblygu sgiliau a gwybodaeth newydd
 Cyfleoedd am ddyrchafiad
 Cynyddu bodlonrwydd yn y swydd
2.2 Cefnogi unigolion i nodi eu
hanghenion dysgu a datblygu
cyfredol a thebygol ar gyfer y
dyfodol o amrywiaeth o ffynonellau
gwybodaeth
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei
fod wedi hyrwyddo o leiaf ddwy fantais dysgu i ddau unigolyn neu
fwy o fewn ei faes cyfrifoldeb ei hun.
Gellir nodi anghenion dysgu a datblygu unigolion drwy ddefnyddio nifer o
ffynonellau a all gynnwys:
 Adolygu perfformiad yn erbyn amcanion gwaith
 Arsylwi ar arferion gweithio
 Adborth gan gydweithwyr
 Unigolion yn nodi anghenion datblygu
 Cyflwyno system neu broses newydd yn y gweithle
 Newidiadau i rôl gwaith dysgwyr
 Cwynion
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei
fod wedi cefnogi o leiaf ddau unigolyn i nodi eu hanghenion dysgu a
datblygu cyfredol ac ar gyfer y dyfodol gan ddefnyddio tair
ffynhonnell wybodaeth neu fwy.
2.3 Cytuno ag unigolion ar y
gweithgareddau dysgu sydd i’w
gwneud, gan sicrhau eu bod o
fewn cyllidebau y cytunwyd arnynt
ac yn cyd-fynd ag anghenion
busnes
2.4 Crynhoi amcanion a
gweithgareddau dysgu a
Unwaith y caiff angen busnes ei nodi, mae’n bwysig cytuno ar ba weithgareddau
dysgu a fydd yn cael eu gwneud er mwyn diwallu’r angen datblygu hwn ac y
bydd costau’r datblygiad hwn yn cael eu hystyried er mwyn sicrhau y byddant yn
cael eu talu o fewn y gofynion ariannol a gofynion y busnes.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei
fod wedi cytuno ag o leiaf ddau unigolyn ar ddau weithgaredd dysgu
neu fwy a bod y gweithgareddau hyn o fewn cyllidebau a gytunwyd
ac yn cyd-fynd ag anghenion y busnes.
Os defnyddir Cynlluniau Datblygiad Personol yn effeithiol gallant ddarparu
strwythur sy‘n cefnogi dysgu a datblygu. Mae Cynllun Datblygiad Personol yn
gytunwyd, adolygu mecanweithiau
a meini prawf llwyddiant yn y
cynllun datblygiad personol
gynllun syml, ysgrifenedig sy’n nodi eich amcanion dysgu a datblygu ynghyd â
manylion y ffordd y byddwch yn diwallu’r anghenion datblygu hyn.
Dylai’r cynllun fod yn gynllun CAMPUS:
 Cyraeddadwy: Gydag adnoddau hysbys
 Amserol: Ymgorffori dyddiad cwblhau a dyddiadau adolygu
 Mesuradwy: Cysylltiedig â mesurau perfformiad meintiol neu ansoddol
 Penodol: Clir, diamwys, uniongyrchol, dealladwy
 Uchelgeisiol: yn cyflawni’r nod
 Synhwyrol: Cysylltiedig ag anghenion busnes
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddangos ei fod wedi
crynhoi gweithgareddau dysgu a gytunwyd mewn cynllun datblygiad
personol sy ’n cofnodi o leiaf ddau o bob un o’r canlynol:
 Amcanion dysgu
 Gweithgareddau dysgu
 Mecanweithiau adolygu
 Meini prawf llwyddiant
2.5 Creu amgylchedd sy’n annog a
hyrwyddo dysgu a datblygiad
2.6 Rhoi cyfleoedd i unigolion
gymhwyso eu cymhwysedd
cynyddol yn y gweithle
Bydd amgylchedd sy’n annog a hyrwyddo dysgu a datblygiad yn sicrhau yr
ymgysylltir â dysgwyr ac y byddant yn cael eu hysgogi i fod yn gyfrifol am eu
dysgu eu hunain er mwyn bodloni eu cynlluniau datblygu eu hunain.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth sy’n
dangos ei fod wedi creu amgylchedd sy ’n annog a hyrwyddo dysgu a
datblygiad.
Mae nifer o ffyrdd y gellir rhoi cyfleoedd i unigolion gymhwyso eu cymhwysedd
yn y gweithle a gallant gynnwys:
 Cyflawni swydd uwch am gyfnod byr
 Secondiadau i faes gwaith arall
 Dirprwyo agweddau penodol ar y swydd i’r dysgwr
 Cymryd rhan mewn gwaith prosiect
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddangos ei fod wedi rhoi
cyfleoedd i ddau unigolyn neu fwy gymhwyso eu cymhwysedd
cynyddol yn y gweithle
3. Gallu gwerthuso
3.1 Dadansoddi gwybodaeth o
Gall adborth ar berfformiad unigolion ddeillio o amrywiaeth o ffynonellau a
dysgu a datblygiad
unigolion
amrywiaeth o ffynonellau ar
berfformiad a datblygiad
unigolion
3.2 Gwerthuso effeithiolrwydd
dulliau dysgu a datblygu gwahanol
gallant gynnwys:
 Adolygu perfformiad yn erbyn amcanion gwaith
 Arsylwi ar arferion gweithio
 Adborth gan gydweithwyr/aelodau tîm
 Canlyniadau da
 Diffygion mewn ansawdd
 Cwynion/canmol
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddadansoddi
gwybodaeth o dair ffynhonnell wahanol o leiaf ar berfformiad a
datblygiad dau unigolyn neu fwy.
Mae yna amrywiaeth o ddulliau dysgu a datblygu ar gael i’w defnyddio, ac mae
gan bob un fanteision a chyfyngiadau. Bydd y dull a ddewisir yn ddibynnol ar
amrywiaeth o ffactorau, fel dewis y dysgwr, cost, prydlondeb ac ati ac mae’n
bwysig sicrhau bod y dull a ddewisir wedi llwyddo i ddiwallu angen y dysgwr ac y
gellir cymhwyso’r dysgu yn y gweithle.
Yn y maen prawf hwn, mae gofyn i’r dysgwr werthuso effeithiolrwydd
o leiaf ddau ddull dysgu a datblygu gwahanol.
3.3 Cytuno ar ddiwygiadau i
gynlluniau datblygu personol yn
wyneb adborth
Mae’r cynllun datblygiad personol yn ddogfen waith a dylid ei diweddaru’n
rheolaidd i adlewyrchu cynnydd datblygiad y dysgwr.
Bydd rhai o’r meysydd datblygu wedi’u bodloni, a bydd angen mwy o amser ar
gyfer eraill ac efallai y nodir anghenion ychwanegol y bydd angen eu cynllunio,
felly mae’n bwysig bod y cynlluniau yn cael eu diweddaru a’u diwygio yn unol ag
adborth gan y dysgwr ac eraill.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
cytuno ar ddau ddiwygiad neu fwy i ddau gynllun datblygu neu fwy yn wyneb
adborth.
M&L 28 Encourage learning and development
Learning Outcome
Assessment Criteria
1.Understand the
principles of learning
and development
1.1 Assess the role of continuous
professional development (CPD) in
identifying and meeting individuals’
learning and development for current
and future business needs
Guidelines and range
The candidate provides evidence that they understand:
Many professions define CPD as a structured approach to learning to help
ensure competence to practice, taking in knowledge, skills and practical
experience. CPD can involve any relevant learning activity, whether formal and
structured or informal and self-directed.
In this criterion the learner is required to assess the role of CPD in the
identification and meeting of two or more learning and development needs for
current and future business
1.2 Analyse the advantages and
limitations of different learning and
development methods
1.3 Explain how to identify
individuals’ learning and
development needs
1.4 Evaluate the role of self-
There are a variety of learning and development methods available and these
can include:
 Coaching
 Mentoring
 Workshops
 Distance learning
 Guided reading
 Secondments
 On the job training
In this criterion the learner is required to analyse the advantages and limitations
of two or more learning and development methods.
A learning and development need is where a gap is identified in the current level
of the learners work performance and the required standard of performance.
There are many ways in which the learning needs of individuals can be identified
and these can include:
 Observation of the individual undertaking a task
 Change in job role
 Changes in equipment or technology being used
 Introduction of new work processes
 Complaints
In this criterion the learner is required to explain how they identify learning and
development needs of individuals.
Self-reflection in learning and development is an activity that helps individuals
make sense of and learn from their own experiences and situations rather than
reflection in learning and
development
2. Be able to support
individuals’ learning and
development
2.1 Promote the benefits of
learning to people in own area of
responsibility
2.2 Support individuals in
identifying their current and likely
future learning and development
needs from a range of information
sources
from formal training interventions.
In this criterion the learner is required to evaluate the role of self-reflection within
learning and development.
There are many benefits to learning to both the individual and the employer and
these benefits can include:
 Building confidence
 Improved job performance
 Developing new skills and knowledge
 Opportunities for promotion
 Increased job satisfaction
In this criterion the learner is required to provide evidence that they
have promoted a minimum of two benefits of learning to two or more
individuals within their area of responsibility.
Learning and development needs of individuals can be identified from a number
of sources which can include:
 Review of performance against work objectives
 Observation of work practice
 Feedback from colleagues
 Individual identifies a development need
 Introduction of a new system or process within the workplace
 Changes to learners work role
 Complaints
In this criterion the learner is required to provide evidence that they
have supported a minimum of two individuals to identify their current
and future learning and development needs from three or more
sources of information.
2.3 Agree with individuals the
learning activities to be
undertaken, ensuring they are
within agreed budgets and
consistent with business needs
Once a learning need has been identified it is important to agree what learning
activities will be undertaken to meet this development need and that the costs of
this development are also considered to ensure that it can be met within financial
and business requirements.
In this criterion the learner is required to provide evidence that they
2.4 Summarise agreed learning
objectives, learning activities,
review mechanisms and success
criteria in personal development
plan
have agreed two or more learning activities with a minimum of two
individuals and that these activities are within agreed budgets and in
line with business needs.
Personal Development Plans (PDP’s) used effectively can provide a structure,
which supports learning and development. A PDP is a simple written down plan
which sets out your learning and development objectives along with details of
the way in which you will meet these development needs.
The plan should be a SMART plan:
 Specific: Clear, unambiguous, straightforward, understandable
 Measurable: Related to quantified or qualitative performance success
measures
 Achievable: With known resources
 Realistic: Linked to business needs
 Time-bound: Building-in completion date and review dates
In this criterion the learner is required to demonstrate that they have
summarised agreed learning activities in a personal development
plan that records a minimum of two of each of the following:
 Learning objectives
 Learning activities
 Review mechanisms
 Success criteria
2.5 Create an environment that
encourages and promotes learning
and development
An environment that encourages and promotes learning and development will
ensure that there is engagement with learners who will be motivated to take
responsibility for their own learning to meet their development plans.
2.6 Provide opportunities for
individuals to apply their
developing competence in the
workplace
In this criterion the learner is required to provide evidence that
shows that they have created an environment that encourages and
promotes learning and development.
There are a number of ways that individuals can be provided with opportunities
to apply their competence in the workplace and these can include:
 Acting up into a more senior position for a short period of time
 Secondments to another work area
 Delegating specific aspects of the job to the learner
 Involvement in project work
In this criterion the learner is required to demonstrate that they have
provided opportunities for two or more individuals to apply their
developing competence in the work place.
3. Be able to evaluate
individuals’ learning and
development
3.1 Analyse information from a
range of sources on individuals’
performance and development
3.2 Evaluate the effectiveness of
different learning and development
methods
Feedback on individuals’ performance can come from a variety of sources and
this can include:
 Review of performance against work objectives
 Observation of work practice
 Feedback from colleagues/team members
 Good returns
 Quality defects
 Complaints/compliments
In this criterion the learner is required to analyse information from a
minimum of three different sources on two or more individuals
performance and development.
There are a variety of learning and development methods available for use, each
have advantages and limitations. The method chosen will depend on a variety of
factors, such as learner preference, cost, timeliness etc. and it is important to
ensure that the method chosen has been effective in meeting the learner need
and that the learning is able to be applied back into the workplace.
In this criterion the learner is required to evaluate the effectiveness
of a minimum of two different learning and development methods.
3.3 Agree revisions to personal
development plans in the light
of feedback
The personal development plan is a working document and should be regularly
updated to reflect progress of the learner’s development.
Some of the development areas will have been met, others may need further
time and there may be additional needs identified that will also need to be
planned, so it is important that the plans are updated and revised in line with
feedback from both the learner and others.
In this criterion the learner is required to provide evidence that they have agreed
two or more revisions to two or more development plans in light of feedback.
M&L 31 Discipline and grievance management
Learning Outcome
Assessment Criteria
Guidelines and range
The candidate provides evidence that they understand:
1. Understand the
principles supporting
the management of
discipline and
grievance cases
1.1 Explain the difference
between a discipline case and a
grievance case and the
implications for their management
Discipline and grievance issues occur when there are difficulties with the working
relationship from either the employee’s or the employer’s perspective.
Discipline and grievance procedures that comply with the ACAS Code of
Practice and current employment legislation are required to ensure that
everyone in the organisation is treated fairly and equally.
As far as possible, managers should ensure working practices are such that
discipline and grievance situations do not arise and do not escalate to the formal
stage. However they should also be aware of their organisation’s procedures
and ensure that all actions they take are compliant and follow the framework set
out.
1.2 Explain the sources of advice
and expertise on discipline and
grievance
1.3 Explain the legal
obligations of employers and
the rights of employees in
relation to discipline and
grievance cases
In this criterion the learner is required to explain the difference between a
discipline case and a grievance case and the implications for their management
Even if a manager is aware of their own organisation’s procedures, situations
that arise can be very sensitive and complex. There are a number of sources of
advice and expertise available both externally and within the organisation
In this criterion the learner is required to identify and explain internal
and external sources of advice on discipline and grievance
Legal rights and obligations of employers and employees are set out in:
 The Employment Act 2008
 The Employment Tribunals( Constitution and Rules of Procedure)
(Amendment) Regulations 2008
In this criterion the learner is required to explain the legal obligations of
employers and the rights of employees in relation to discipline and grievance
cases as set out in this legislation
1.4.Explain organisational
procedures for the
management of discipline and
grievance cases
Organisations will have their own procedures for handling discipline and
grievance which should conform to the ACAS Code of Practice and current
employment legislation. The stages in the process should be clearly set out,
including:
 Actions to be completed
 Roles and responsibilities
 Timescales

1.5 Explain the communication
techniques to be used in the
management of discipline and
grievance cases
1.6 Explain the types of behaviours
that are likely to result in
disciplinary proceedings
1.7 Explain the types of actions
that are likely to lead to a
grievance
1.8 Explain how to carry out
investigations into discipline and
grievance cases
Records to be kept
In this criterion the learner is required to explain how organisational procedures
are used for the management of discipline and grievance cases.
Appropriate communication is essential to effective handling of both discipline
and grievance issues. Some of the main techniques that should be considered
are:
 Methods - how and when to communicate
 Skills - ways to structure messages, choice of language, active listening,
impact of non- verbal communication, etc.
 Principles - negotiation and conflict handling techniques
In this criterion the learner is required to explain how two or more
communication techniques can be appropriately used in the
management of discipline and grievance cases
Actions likely to lead to disciplinary action fall into two categories:
 Capability/performance – unable to do the work to a satisfactory
standard
 Conduct - failure to comply with organisational rules on conduct or
behaviour
In this criterion the learner is required to explain, with examples,
actions that could be seen as capability/performance issues and
actions that could be seen as conduct issues
Grievances are likely to occur when the employee feels that the organisation
has, or has allowed, their rights as an employee to be breached, e.g. pay and
working conditions, discrimination.
In this criterion the learner is required to explain at least two
different types of action that are likely to lead to a grievance
Investigations into discipline and grievance cases should be conducted only by
those authorised to do so, and they must be carried out in line with
organisational procedures.
Those involved need to ensure objectivity and fairness at all times and to
maintain accurate record keeping that is data-protection compliant.
In this criterion the learner is required to explain, using examples
from the organisation’s policy, how to carry out investigations into
discipline and grievance cases
1.9 Analyse the impact of well
managed and poorly managed
discipline and grievance cases
The way in which discipline and grievance cases are handled can have a
significant impact on the psychological employment contract and the culture
within the organisation.
An analysis of the impact requires that potential impacts of managing discipline
and grievance cases well are described and then compared with potential
impacts of managing them poorly
1.10 Explain how the outcomes of
discipline and grievance cases can
be managed
In this criterion the learner is required to analyse the impact of well
managed and poorly managed discipline and grievance cases
Potential outcomes for discipline cases are:
 No action
 Warnings
 Dismissal
Potential outcomes for grievance cases;
 There is no case to answer
 Specific actions employer intends to take.
In both cases, if the employee is unhappy with the decision they may make an
appeal and may eventually take their case to an employment tribunal.
In this criterion the learner is required to explain how the outcomes
of discipline and grievance cases can be managed
This section requires that the learner demonstrate how he or she has handled a disciplinary case. All criteria will require
that the learner completes a description of the actions taken as well as providing evidence. Guidance on assessment of
sensitive material is to be found in the ILM Supporting Notes for this qualification.
2. Be able to manage a 2.1 Inform the individual that they
Individuals should be informed that they are subject to disciplinary proceedings
disciplinary case
How this should be done- and the timescales - are set out in the organisation’s
are subject to disciplinary
procedure and documentation.
proceedings within agreed
In this criterion the learner is required to demonstrate how they have
timescales
informed an individual that he or she is subject to disciplinary
proceedings within agreed timescales. The supporti ng description
should include an explanation of what factors were taken into
consideration when completing this task. It is likely that 2.2 will also
be covered by this supporting description
2.2 Explain to the individual the
reasons why they are subject to
disciplinary proceedings
An individual who is subject to disciplinary proceedings should be given full
details of the reasons why. How this should be done is set out in the
organisation’s procedures.
In this criterion the learner is required to demonstrate how they
explained to the individual why he or she is subject to disciplinary
proceedings
2.3 Provide evidence that
supports the case for disciplinary
proceedings
2.4 Develop a case to support
an individual who is subject to
disciplinary proceedings
2.5 Keep detailed and accurate
records of agreements, actions
and events in disciplinary
proceedings
2.6 Adhere to any
organizational policies and
procedures, legal and ethical
requirements when managing a
disciplinary case
A case for disciplinary proceeding must be based on objective and accurate
evidence of events that have occurred. The accuracy and comprehensiveness of
this information must be sufficient for a fair disciplinary interview to be held and
should stand up to scrutiny should the situation eventually go to an employment
tribunal
In this criterion the learner is required to provide evidence that
supports the case for disciplinary proceedings. How and why this
evidence was collected should be covered by the supporting
description.
An individual who is subject to a disciplinary proceeding is entitled to be
supported at the hearing by a colleague or trade union representative. The
learner is required to demonstrate how they would support a colleague who is
subject to disciplinary proceedings.
In this criterion the learner is required to provide evidence of a case
developed to support an individual who is subject to disciplinary
proceedings.
Accurate record keeping plays a key role in managing disciplinary proceedings.
These records will be vital should the case be taken to employment tribunal
In this criterion the learner is required to describe and provide
examples of the records of agreements, actions and events they
have kept in disciplinary proceedings
Managing disciplinary proceedings must adhere to organisational policies and
procedures, legal and ethical requirements. As well as specific human resource
policies these include policies relating to data protection, equality, bullying and
harassment etc.
In this criterion the learner should describe at least two different
policies particularly relevant to managing disciplinary proc eedings
and demonstrate how these were adhered to. Evidence of this should
be included.
This section requires that the learner demonstrate how he or she has handled a grievance procedure. All criteria will
require that the learner complete a description of the actions taken as well as providing evidence. Guidance on assessment
of sensitive material is to be found in the ILM Supporting Notes for this qualification.
3. Be able to manage a 3.1 Identify the nature of the
Grievances may be raised when individuals feel that have a cause to complain
grievance
about work situations which they have been unable to resolve through regular
grievance
communication with their line manager. Examples could involve:
 Pay and working conditions
 Disagreements with co-workers
 Discrimination
3.2 Investigate the seriousness
and potential implications of the
grievance
3.3 Adhere to organizational
procedures when handling a
In this criterion the learner is required to identify and describe the
nature of the grievance that forms the basis for the evidence in this
section.
Investigations into grievance cases should be full and fair and conducted only by
those authorised to do so and in line with organisational procedures. Grievances
can be very sensitive and complex in nature with serious implications for the
organisation both legally and in terms of the psychological employment contract
in general.
In this criterion the learner is required to demonstrate how they have
investigated the seriousness and potential implications of the
grievance. The supporting description should explain the
implications of the grievance as well as providing evidence of
information gathered.
Handling a grievance must adhere to organisational procedures. Although there
is no legally binding process, organisations usually follow a procedure that
complies with the ACAS Code of Practice
grievance
In this criterion the learner is required to describe how they have handled a
grievance in line with organisational procedures. Evidence should be provided to
support the description.
3.4 Evaluate the effectiveness
of how a grievance has been
handled
An evaluation requires the learner to identify and describe what went well and
what went less well when handling the grievance and to make a judgment on the
effectiveness of how the situation was handled.
Conclusions and/or recommendations should be drawn.
3.5 Agree measures to prevent
future reoccurrences of
grievances
In this criterion the learner should evaluate the effectiveness of the way a
grievance was handled.
In order to ensure improvements in working practices it is important that actions
should be taken to prevent a re-occurrence of the situation that led to the
grievance. Even though the grievance may not have been upheld, it had reached
the ‘formal’ stage so there may be areas of working practice that should be
reviewed, including why the problem was not handled effectively at an earlier
stage
In this criterion the learner is required to analyse the grievance situation by
identifying the causes of the grievance, the outcome of the proceedings, and any
follow-up actions required. Recommendations for improvements should be
made.
M&L 34 Manage physical resources
Learning Outcome
Assessment Criteria
1.Be able to identify the
need for physical
resources
1.1 Identify resource
requirements from analyses
of organisational needs
1.2 Evaluate alternative options for
obtaining physical resources
Guidelines and range
The candidate provides evidence that they understand:
Physical resources include premises, plant, machinery, equipment, materials
and stock, and resource requirements will vary in response to changes in, for
example, technology, quality, working methods and productivity as well as
changes in legislation, market requirements and the demands of internal and
external customers.
In this criterion the learner is required to identify requirements for two types of
physical resource from analyses of organisational needs for those resources.
There are a number of options available for obtaining physical resources,
depending upon the type of physical resource required and the organisation’s
financial position and procurement procedures.
Organisations may choose, for example, to lease rather than buy expensive
equipment, or to buy raw materials on credit, in order to maintain a strong
cashflow.
1.3 Evaluate the impact on the
organisation of introducing
physical resources
1.4 Identify the optimum option
that meets operational
requirements for physical
resources
In this criterion the learner is required to evaluate five or more alternative options
for obtaining physical resources in order to ascertain how they work and to
provide a conclusion and/or recommendations. (You may wish to consider
alternative options for the two types of physical resource you have identified in
AC 1.1).
This criterion should be addressed in conjunction with AC 3.2, i.e. after action
has been taken to ensure physical resources are used in accordance with
manufacturers’ instructions.
In this criterion the learner is required to evaluate the introduction of two
identified types of physical resource in order to ascertain their impact on the
organisation and provide a conclusion and/or recommendations. (‘Impact’ may
include, for example, the need for fewer staff, or for staff training, or for changes
in monitoring or work methods).
The optimum option that meets operational requirements for physical resources
will depend upon a number of factors, i.e. the physical resources must be fit-forpurpose and obtained at the best possible cost to meet operational requirements
in terms of quality, quantity, time and location, and they must be obtained in line
with the organisation’s procurement policies and procedures and legal
requirements.
2. Be able to obtain
physical resources
2.1 Develop a business case for
physical resources that is
supported by evidence, cost
estimates, contingency
arrangements and an analysis of
likely benefits
2.2 Obtain authorisation and
financial commitment for the
required expenditure
2.3 Negotiate best value from
contracts in accordance with
organisational standards and
procedures
2.4 Adhere to organisational
policies and procedures, legal and
ethical requirements when
obtaining physical resources
In this criterion the learner is required to identify the optimum option/s that meet
operational requirements for two identified types of physical resource. (Note that
the same option may be the optimum option for both of the identified types of
physical resource).
A business case is a formal, structured, document that presents the reasoning
for initiating a particular course of action.
In this criterion the learner is required to develop a business case for two
identified types of physical resource that is supported by evidence, cost
estimates, contingency arrangements and an analysis of likely benefits.
Authorisation and financial commitment for any required expenditure in a
business case must conform to relevant organisational policies and procedures.
In this criterion the learner is required to provide evidence that he or she has
obtained authorisation and financial commitment for the required expenditure for
two identified types of physical resource.
‘Best value’ may be defined as the trade-off between price and performance that
provides the greatest overall benefit within operational requirements
In this criterion the learner is required to provide evidence that he or she has
negotiated best value from contracts for two identified types of physical resource
in accordance with organisational standards and procedures.
The importance of adhering to organisational policies and procedures has
already been noted in AC 1.2, AC 2.2 and AC 2.3.
The learner now needs to provide any additional evidence to demonstrate
adherence to legal and ethical requirements.
In this criterion the learner is required to provide evidence that he or she has
adhered to organisational policies and procedures, legal and ethical
requirements when obtaining two identified types of physical resource.
2.5 Check that the physical
resources received match those
ordered
In this criterion the learner is required to provide evidence that he or she has
checked that two identified physical resources received match those ordered.
3. Be able to manage
the use of physical
resources
3.1 Take action to ensure physical
resources are used in accordance
with manufacturers’ instructions
3.2 Evaluate the efficiency of
physical resources against agreed
criteria
3.3 Recommend improvements to
the use of physical resources and
associated working practices
In this criterion the learner is required to provide evidence that he or she has
taken action to ensure two identified types of physical resource are used in
accordance with manufacturers’ instructions.
The criteria used for the evaluation should include those identified for operational
requirements in response to AC 1.4
In this criterion the learner is required to provide evidence that he or she has
evaluated the efficiency of physical resources against agreed criteria in order to
provide a conclusion or recommendations.
After evaluating the efficiency (AC 3.2) and impact (AC 1.3) of two identified
types of physical resource, the learner will now be in a position to recommend
improvements to their use and associated working practices.
In this criterion the learner is required to recommend improvements to the use of
two identified types of physical resource and associated working practices.
3.4 Analyse the benefits of
effective equipment in the
conservation of energy and the
environment
For many businesses, the main reason for investing in energy-efficient and
environmentally-friendly resources is to improve turnover and profit through
reducing energy costs.
Such an investment reduces costs in the short-term and reduces the risk of
being adversely affected by increasing energy prices in the future.
The cost savings help to increase efficiency, boost competitiveness, and
enhance the business’ reputation as an environmentally-friendly organisation.
Increasingly, businesses are developing sustainability plans and policies to meet
the growing consumer demand and public pressure for sustainable products and
processes that have minimal impact upon the environment.
In this criterion the learner is required to analyse the benefits of effective
equipment in the conservation of energy and the environment in order to identify
possible causation and/or draw conclusions.
M&L 34 Rheoli adnoddau ffisegol
Deilliannau Dysgu
Meini Prawf Asesu
1.Gallu nodi’r angen
am adnoddau ffisegol
1.1 Nodi gofynion o ran
adnoddau o
ddadansoddiadau o
anghenion y sefydliad
1.2 Gwerthuso dewisiadau amgen
ar gyfer cael adnoddau ffisegol
Canllawiau ac ystod
Mae’r ymgeisydd yn darparu tystiolaeth ei fod yn deall:
Mae adnoddau ffisegol yn cynnwys safleoedd, cyfarpar, peiriannau, offer,
deunyddiau a stoc, a bydd gofynion o ran adnoddau’n amrywio wrth ymateb i
newidiadau, er enghraifft, mewn technoleg, ansawdd, dulliau gweithio a
chynhyrchiant yn ogystal â newidiadau mewn deddfwriaeth, gofynion y farchnad
a gofynion cwsmeriaid mewnol ac allanol.
Yn y maen prawf hwn, mae gofyn i’r dysgwr nodi’r gofynion ar gyfer dau fath o
adnodd ffisegol o ddadansoddiadau o anghenion y sefydliad ar gyfer yr
adnoddau hynny.
Mae nifer o ddewisiadau ar gael ar gyfer cael adnoddau ffisegol, yn dibynnu ar y
math o adnodd ffisegol sydd ei angen a sefyllfa ariannol y sefydliad a
gweithdrefnau caffael.
Gall sefydliadau ddewis, er enghraifft, prydlesu offer drud yn hytrach na phrynu,
neu brynu deunyddiau crai ar gredyd, er mwyn cynnal llif arian cryf.
1.3 Gwerthuso’r effaith ar y
sefydliad o gyflwyno adnoddau
ffisegol
1.4 Nodi’r dewis gorau posibl sy’n
bodloni’r gofynion gweithredol
ar gyfer adnoddau ffisegol
Yn y maen prawf hwn, mae gofyn i’r dysgwr werthuso pum dewis amgen neu fwy
ar gyfer cael adnoddau ffisegol er mwyn canfod sut maen nhw’n gweithio ac er
mwyn dod i gasgliadau a/neu gyflwyno argymhellion. (Efallai eich bod am
ystyried dewisiadau amgen ar gyfer y ddau fath o adnodd ffisegol yr ydych
wedi’u nodi yn AC 1.1).
Dylid mynd i’r afael â’r maen prawf hwn ar y cyd â AC 3.2, h.y. ar ôl cymryd
camau gweithredu i sicrhau bod adnoddau ffisegol yn cael eu defnyddio yn unol
â chyfarwyddiadau gwneuthurwyr.
Yn y maen prawf hwn, mae gofyn i’r dysgwr werthuso’r gwaith o gyflwyno dau
fath o adnodd ffisegol a nodir er mwyn canfod eu heffaith ar y sefydliad ac er
mwyn dod i gasgliadau a/neu gyflwyno argymhellion. (Gall ‘effaith’ gynnwys, er
enghraifft, yr angen am lai o staff, neu am hyfforddiant staff, neu am newidiadau
i ddulliau monitro neu weithio).
Bydd y dewis gorau posibl sy’n bodloni’r gofynion gweithredol ar gyfer adnoddau
ffisegol yn dibynnu ar nifer o ffactorau, h.y. mae'n rhaid i’r adnoddau ffisegol fod
yn addas i’r diben a dylid eu cael am y pris gorau posibl er mwyn bodloni’r
gofynion gweithredol o ran ansawdd, maint, amser a lleoliad, ac mae’n rhaid eu
cael yn unol â pholisïau a gweithdrefnau caffael y sefydliad a gofynion cyfreithiol.
Yn y maen prawf hwn, mae gofyn i’r dysgwr nodi’r dewis(iadau) gorau posibl sy’n
bodloni’r gofynion gweithredol ar gyfer dau fath o adnoddau ffisegol a nodir.
(Nodwch y gallai’r un dewis fod y dewis gorau posibl i’r ddau fath o adnoddau
ffisegol a nodir).
2. Gallu cael
adnoddau ffisegol
2.1 Datblygu achos busnes ar
gyfer adnoddau ffisegol a gefnogir
gan dystiolaeth, amcangyfrifon o
gostau, trefniadau wrth gefn a
dadansoddiadau o fanteision
tebygol
2.2 Cael awdurdod ac ymrwymiad
ariannol ar gyfer y gwariant
gofynnol
2.3 Trafod y gwerth gorau o ran
contractau yn unol â safonau a
gweithdrefnau’r sefydliad.
Mae achos busnes yn ddogfen ffurfiol, strwythuredig sy’n cyflwyno’r rhesymeg
dros gychwyn ffordd benodol o weithredu.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddatblygu achos busnes ar gyfer
dau fath o adnodd ffisegol a nodir a gefnogir gan dystiolaeth, amcangyfrifon o
gostau, trefniadau wrth gefn a dadansoddiadau o fanteision tebygol.
Mae’n rhaid i awdurdod ac ymrwymiad ariannol ar gyfer unrhyw wariant gofynnol
mewn achos busnes gydymffurfio â pholisïau a gweithdrefnau perthnasol y
sefydliad.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi cael
awdurdod ac ymrwymiad ariannol ar gyfer y gwariant gofynnol ar gyfer y ddau
fath o adnodd ffisegol a nodir.
Gellir diffinio ‘gwerth gorau’ fel y cyfaddawd rhwng pris a pherfformiad sy’n
darparu’r fantais gyffredinol fwyaf o fewn gofynion gweithredol
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
trafod y gwerth gorau o ran contractau ar gyfer dau fath o adnodd ffisegol a nodir
yn unol â safonau a gweithdrefnau’r sefydliad.
2.4 Cydymffurfio â pholisïau a
gweithdrefnau, gofynion cyfreithiol
a moesegol y sefydliad wrth gael
adnoddau ffisegol
Mae pwysigrwydd glynu wrth bolisïau a gweithdrefnau’r sefydliad eisoes wedi’u
nodi yn AC 1.2, AC 2.2 a AC 2.3.
Mae angen i’r dysgwr bellach ddarparu unrhyw dystiolaeth ychwanegol er mwyn
dangos y cydymffurfir â gofynion cyfreithiol a moesegol.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
cydymffurfio â pholisïau a gweithdrefnau, gofynion cyfreithiol a moesegol y
sefydliad wrth gael dau fath o adnodd ffisegol a nodir.
2.5 Gwirio bod yr adnoddau
ffisegol a gafwyd yn cyfateb i’r rhai
a archebwyd
3. Gallu rheoli’r
defnydd o adnoddau
ffisegol
3.1 Cymryd camau gweithredu er
mwyn sicrhau y defnyddir
adnoddau ffisegol yn unol â
chyfarwyddiadau gwneuthurwyr
3.2 Gwerthuso effeithlonrwydd
adnoddau ffisegol yn erbyn meini
prawf a gytunwyd
3.3 Argymell gwelliannau i’r
defnydd o adnoddau ffisegol ac
arferion gweithio cysylltiedig
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
gwirio bod dau adnodd ffisegol a nodwyd ac a gafwyd yn cyfateb i’r rhai a
archebwyd.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
cymryd camau gweithredu er mwyn sicrhau y defnyddir dau fath o adnodd
ffisegol a nodir yn unol â chyfarwyddiadau gwneuthurwyr.
Dylai’r meini prawf a ddefnyddir ar gyfer gwerthuso gynnwys y rhai a nodwyd ar
gyfer gofynion gweithredol mewn ymateb i AC 1.4
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
gwerthuso effeithlonrwydd adnoddau ffisegol yn erbyn meini prawf a gytunwyd
er mwyn darparu casgliadau neu argymhellion.
Ar ôl gwerthuso effeithlonrwydd (AC 3.2) ac effaith (AC 1.3) dau fath o adnodd
ffisegol a nodir, bydd y dysgwr mewn sefyllfa i argymell gwelliannau i sut y cânt
eu defnyddio ac i arferion gweithio cysylltiedig.
Yn y maen prawf hwn, mae gofyn i’r dysgwr argymell gwelliannau i’r defnydd o
ddau adnodd ffisegol a nodir ac i’r defnydd o arferion gweithio cysylltiedig.
3.4 Dadansoddi manteision
cyfarpar effeithiol i arbed ynni a’r
amgylchedd
Ar gyfer llawer o fusnesau, y prif reswm dros fuddsoddi mewn adnoddau sy’n
arbed ynni ac sy’n ecogyfeillgar yw er mwyn gwella trosiant ac elw drwy leihau
costau ynni.
Mae buddsoddiad o’r fath yn lleihau costau yn y tymor byr ac yn lleihau’r risg o
ddioddef effaith niweidiol yn sgil prisiau yn codi yn y dyfodol.
Mae’r arbedion cost yn helpu i gynyddu effeithlonrwydd, yn rhoi hwb i
gystadleurwydd ac yn gwella enw da’r busnes fel sefydliad ecogyfeillgar.
Fwyfwy, mae busnesau’n datblygu cynlluniau a pholisïau cynaliadwyedd er
mwyn bodloni’r galw cynyddol gan ddefnyddwyr a’r pwysau cyhoeddus am
gynhyrchion a phrosesau cynaliadwy sy’n cael yr effaith leiaf posibl ar yr
amgylchedd.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddadansoddi manteision cyfarpar
effeithiol i arbed ynni a’r amgylchedd er mwyn nodi’r achosion posibl a/neu ddod
i gasgliadau.
M&L 35 Manage the impact of work activities on the environment
Learning Outcome
Assessment Criteria
1. Understand how
to support
environmentallyfriendly working
practices
1.1 Explain how to carry
out an environmental
impact analysis
Guidelines and range
The candidate provides evidence that they understand:
The key aspects of an environmental assessment / analysis within an organisation are identified
and how they are applied.
It is generally recognised that there are 5 stages to this process which are:
 Screening
 Scoping
 Consultation
 Preparing an Environmental Statement
 Making a Decision
The analysis might include aspects from a life-cycle analysis (LCA) that cover the product, process
or activity, extraction and processing of raw materials, manufacture, packaging, transportation and
distribution, use/re-use/maintenance, recycling and safe and secure disposal.
In this criterion the learner is required to provide an explanation of why an environmental impact
analysis is required together with a brief overview of each stage.
1.2 Compare sources of
specialist advice on
environmentally-friendly
working practices
1.3 Analyse the business
and environmental
benefits of effective
energy management
Specialist advice to be identified according to the industry or commercial business of the candidate.
Pertinent advice can be obtained from one or more of the following:
 IEMA – Institute of Environmental Management and Assessment
 Local Government / Authority
 Dept. for the Environment (DEFRA)
 Dept. for Business, Innovation and Skills
 Other business specific publications (related to the candidate’s organisation)
 Company designated Environmental Manager / Team
In this criterion the learner is required to compare the nature of advice and differences provided
between TWO or more sources of specialist advice.
There are a number of benefits that can be identified from an analysis of business energy
management policies. Benefits affecting energy management may include savings from:
 Heating and lighting
 Ventilation / Air conditioning
 Material waste reduction, storage and collection
policies
1.4 Explain the health and
safety requirements for
the use and disposal of
resources and waste
2. Be able to
organise work so as
to minimise the
impact on the
environment
2.1 Analyse potentially
adverse effects on the
environment caused by
work activities
2.2 Evaluate the
effectiveness of methods
of improving
environmental
sustainability in an
organisation



Human resource waste reduction (working practice efficiencies)
Process efficiencies (increasing product throughput and output)
Recycling
Reference may be made to e.g.British Standard - BS7750 Environmental Management Systems
In this criterion the learner is required to provide an analysis of both the advantages and limitations
of three effective benefits of energy management policy.
Identify waste within an organisation and explain the appropriateness of the use and disposal
arrangements showing particular concern for hazardous substance storage, handling and waste
storage and collection.
Reference may be made to the National Standards ISO14001 that affect environmental health and
safety.
In this criterion the learner is required to assess the impact that health and safety requirements has
on individuals and the organisation overall.
Inefficient and inconsiderate working practices involving the use of both materials and manpower
impact on the environment. Where these adverse effects are minimised there will be an increase in
effective environmental practice. Potential adverse effects may relate to and include:
 Physical waste; safe removal, storage and disposal with particular concern for hazardous
substances
 Contamination / pollution - water, soil and air
 Effects on Fauna and Flora
 Wildlife
 Forestation
In this criterion the learner is required to provide evidence that two or more adverse
work based activities of environmental effects have been thoroughly analysed
The evaluation of current working practices should identify suitable areas for improvement as
identified in AC 2.1 above. Some work practices may result in short term gains but others need to
be integrated into everyday working methods, without prejudice to cost or quality, to enable their
sustainability in the longer term. An analysis of identified methods is required to determine which
process or procedure provides ‘best available technique not entailing excessive cost’ (BATNEEC).
In this criterion the learner is required to provide evidence of evaluating two or more
methods for improving environmental sustainability.
2.3 Implement plans and
procedures to adapt work
practices to make them
more environmentallyfriendly
2.4 Develop a system for
colleagues to recommend
improvements to make
work practices more
environmentally-friendly
3. Be able to
manage the
environmental
impact of the use of
resources
3.1 Explain when to obtain
specialist environmental
management advice
3.2 Explain where to seek
specialist environmental
management advice
Improvements should lead to cost-benefits without affecting product or service quality standards.
To this effect improvements should be ‘designed in’ to working practices for the long-term, rather
than a short term fix improvement. Changes to working practices and procedures will need to be
planned for implementation over an appropriate timescale. This should be demonstrated through
the use of a Gantt chart or similar showing objective achievements over a realistic timescale.
In this criterion the learner is required to produce a Gantt chart, or similar, together
with a logical list of SMART objectives from start to implementation.
Most good ideas for improvements are identified by each individual employee working in their
specific workplace roles. A system or process must be developed whereby small step, or larger
leaps, (use of Kaizen) of recommended improvements by all employees can be captured.
Employees should be encouraged to demonstrate how such ideas could be implemented for
improved work practice, without prejudice to costs and quality (although initial ‘pump priming’ costs
may be needed).
A typical systematic approach would involve the following sequence of steps:
 Define objectives
 Generate options
 Evaluate options
 Select and review preferred option
 Implement and monitor.
In this criterion the learner is required to demonstrate that they have developed a
process / system for capturing information and data that leads to environmentally
friendly work practices.
Activities that have been identified as being advantageous to environmental practice may cause for
specialist data or information gathering, such as the measurement of CO2 levels in the working
environment from specialist equipment installations.
Current data and requested information will be needed before additional development is
undertaken that may subsequently be deemed erroneous.
Reference should be made to British Standards BS7750 – Environmental Management Systems
In this criterion the learner is required to explain that identified actions relating to
the use of resources are commensurate and compliant with management and the
organisation’s environmental policies.
Specialist environmental management advice is required to ensure that the use of resources is
factual and applicable for determining the environmental impact effects in the workplace.
The main sources for seeking specialist advice may have been identified earlier in AC 1.2.
Reference may be obtained from a range of publications offering advice that include:




Clean Air Act
Control of Substances Hazardous to Health (COSHH)
Environmental Protection Act
Health and Safety at Work Act
Additional advice should be found in-company where there is a company policy or code of practice
and/or a nominated employee responsible for compliance to environmental implications.
In this criterion the learner is required to demonstrate that advice has been sought
from a minimum of two implications for environmental management.
3.3 Determine the
environmental impact of
the use different physical
resources
Alternative processes or procedures to determine the environmental impact resolution, need to be
analysed to ensure that the most effective method be implemented.
Options for implementation should be determined through the use of a simple chart to measure and
compare advantages and disadvantages for identifying the ‘best available technique not entailing
excessive cost’ (BATNEEC).
In this criterion the learner is required to demonstrate the they have compared TWO or more
instances where improvements can be made to business processes and/or procedures.
3.4 Develop procedures
for the disposal of waste
and unwanted resources
in a way that minimises
the impact on the
environment
Environmental legislation and recognised codes of practice need to be complied with for the safe
disposal of waste and unwanted resources. A legal requirement of organisations is their ‘duty of
care’ that requires them to take reasonable steps to look after controlled waste and prevent illegal
disposal.
Procedures described must be compliant with these regulations, with regard to safe and secure
storage, transport, use, collection and disposal.
In this criterion the learner is required to demonstrate that two or more procedures have been
developed for the safe waste disposal with minimum impact on the environment.
3.5 Evaluate the
effectiveness of
organisational
environmental policies
and procedures
Working practices may, over time, become relaxed due to pressures of meeting demand,
customer/client delivery timescales, or from the possibility of resource use, wear or malfunction. It
is necessary that data and information, initially agreed, continues to comply with company policy
and codes of practice. Measures will need to record and evaluate the organisation’s policies or
codes of practice, to determine any differences in its operations for ensuring continued efficiencies
and effectiveness.
In this criterion the learner is required to compare and evaluate policies and procedures for the
environmental benefits they bring within the organisation.
3.6 Adhere to
organisational policies
and procedures, legal and
ethical requirements
From undertaking an audit of current environmental practice, evidence of non-compliance to
company policy and codes of practice will need to be recorded.
A short report to senior management where non-compliance is identified will need to be made in
order to authorise and instigate action for timely resolution.
In this criterion the learner is required to record, at regular intervals, to show ongoing compliance
with the organisation’s policies and procedures, legal and ethical requirements. Areas of noncompliance will need to be reported to line management.
M&L 36 Prepare for and support quality audits
Learning Outcome
Assessment Criteria
1. Understand the
principles
underpinning the
management of quality
1.1 Analyse the principles of
quality management
Guidelines and range
The candidate provides evidence that they understand:
The key principles that underpin the management of quality within an
organisation and how these principles are applied.
It is generally recognised that there are 8 key principles of quality management:
 Customer focus
 Leadership
 Involvement of people
 Process approach
 Systems approach to management
 Continual improvement
 Factual approach to decision making
 Mutually beneficial supplier relationships
In this criterion the learner is required to provide an analysis of a minimum of two
principles of quality management.
1.2 Analyse the purpose and
requirements of a range of quality
standards
1.3 Analyse the advantages and
limitations of a range of quality
techniques
That quality standards help organisations ensure that their products, services
and systems meet required specifications or benchmarks.
The quality standards used within an organisation will differ depending on the
type and nature of the business and may work to British, European or
Internationally recognised standards
In this criterion the learner is required to provide an analysis of the purpose and
requirements of three or more quality standards.
There are a variety of quality techniques that are available to manage quality
within an organisation and all will have both advantages and limitations.
Techniques can include:
 Quality cost analysis
 Process mapping
 PDCA
 Quality audits
 Standardisation activities
 Six sigma approach

1.4 Assess how the management
of quality contributes to the
achievement of organisational
objectives
2. Be able to prepare
for quality audits
2.1 Establish the quality
requirements applicable to the
work being audited
2.2 Confirm that documentation is
complete
Total preventative maintenance
In this criterion the learner is required to provide an analysis of both the
advantages and limitations of three or more quality techniques.
If the organisation has a quality management system in place, there will be
systems in place that will review organisational practices and processes on an
ongoing basis to determine if the stated requirements are being met and
improved upon.
In this criterion the learner is required to assess how quality management
contributes to achieving organisational objectives.
Quality audit is the process of systematic examination of a quality system carried
out by an internal or external quality auditor or an audit team. Audits are an
essential management tool to be used for verifying objective evidence of
processes, to assess how successfully processes have been implemented, for
judging the effectiveness of achieving any defined target levels, to provide
evidence concerning reduction and elimination of problem areas. It should also
focus on areas of good practice.
The quality requirements for the audit will vary depending on what aspects of the
organisation are being audited.
In this criterion the learner is required to provide evidence that two
or more quality requirements applicable to the auditable work, have
been established.
The documentation required for the quality audit will differ depending on the
organisation and the audit being undertaken.
Documentation could include:
 Minutes of meetings
 Quality reports
 Training notes
 Sampling plans
 Work manuals
In this criterion the learner is required to provide evidence that the
documentation required for the quality audit is complete.
2.3 Confirm that any previously
agreed actions have been
When preparing for an audit, actions from the previous audits need to be
reviewed to see if they have now been met along with the evidence of what the
implemented
2.4 Make available information
requested in advance by auditors
3. Be able to support
quality audits
3.1 Provide access to information
on request within scope of the
audit
3.2 Agree actions and timescales
with auditors that will remedy nonconformance or non-compliance
organisation/department has put into place, to show that there is now
conformance and compliance of the requirements.
In this criterion the learner is required to confirm that actions agreed
from previous audits have been implemented.
The type of information that the auditors will require in advance of the audit will
be dependent on the quality audit being undertaken.
The information that may be requested could include:
 Work records
 Manuals
 Personnel
 Work files
 Observation of practice
In this criterion the learner is required to demonstrate that they have
made available requested information in advance of the audit visit.
It is important that the organisation provides full access to information required
by the auditors during the intervention, within the required scope of the audit.
The information that may be requested could include:
 Work records
 Manuals
 Personnel
 Work files
 Observation of practice
In this criterion the learner is required to demonstrate that they have
been able to provide the access to required information in line with
the scope of the audit.
Any actions agreed with the auditor to ensure future compliance and
conformance should be SMART
 Specific
 Measurable
 Achievable
 Realistic
 Time bound
In this criterion the learner is required to demonstrate that two or
more actions and timescales that have been agreed with the auditors
will remedy either a non -compliance or non- conformance issue
identified.
3.3 Identify instances where
business processes, quality
standards and/or procedures could
be improved
Areas of non -conformance and non -compliance can be identified in the
feedback from an external quality audit, but may also be identified through
internal audit in the form of self -assessment of current business processes and
quality standards/procedures.
In this criterion the learner is required to demonstrate the they have identified
instances where improvements can be made to two or more business processes
and quality standards and/or procedures
3.4 Develop a quality
improvement plan that
addresses the issues raised
A quality improvement plan is a way of recording areas identified for
improvement within an organisation. It can be used to help track the progress of
and report on quality improvement activities.
The Quality Improvement Plan should be regularly reviewed and updated and
record:
 The issues identified
 Recommended action to address the issues
 Responsibility and timeframe for action
 Date completed and outcome of the action
In this criterion the learner is required to provide evidence that a quality
improvement plan has been developed that addresses a minimum of two issues
raised from the quality audit.
M&L 36 Paratoi ar gyfer archwiliadau ansawdd a’u cefnogi
Deilliannau Dysgu
Meini Prawf Asesu
Canllawiau ac ystod
Mae’r ymgeisydd yn darparu tystiolaeth ei fod yn deall:
1. Deall yr
egwyddorion sy’n sail
i’r broses o reoli
ansawdd
1.1 Dadansoddi egwyddorion
rheoli ansawdd
Y prif egwyddorion sy’n sail i’r broses o reoli ansawdd mewn sefydliad a sut caiff
yr egwyddorion hyn eu defnyddio.
Cydnabyddir yn gyffredinol bod gan y broses o reoli ansawdd 8 prif egwyddor:
 Canolbwyntio ar gwsmeriaid
 Arweinyddiaeth
 Cynnwys pobl
 Dulliau sy’n defnyddio prosesau
 Dulliau rheoli sy’n defnyddio systemau
 Gwelliant parhaus
 Dulliau o wneud penderfyniadau sy’n defnyddio ffeithiau
 Cysylltiadau â chyflenwyr sy’n fanteisiol i bawb
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddadansoddi o leiaf ddwy egwyddor
rheoli ansawdd.
1.2 Dadansoddi diben a gofynion
amrywiaeth o safonau ansawdd
1.3 Dadansoddi manteision a
chyfyngiadau amrywiaeth o
dechnegau ansawdd
Mae safonau ansawdd yn helpu sefydliadau i sicrhau bod eu cynhyrchion, eu
gwasanaethau a’u systemau yn bodloni’r manylebau neu’r meincnodau
gofynnol.
Bydd y safonau ansawdd a ddefnyddir mewn sefydliad yn gwahaniaethu yn
dibynnu ar y math o fusnes ac ar natur y busnes a gallant gyd-fynd â safonau a
gydnabyddir ym Mhrydain, yn Ewrop, neu’n genedlaethol.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddadansoddi diben a gofynion tair
safon ansawdd neu fwy.
Mae yna amrywiaeth o dechnegau ansawdd sydd ar gael i reoli ansawdd mewn
sefydliad a bydd gan bob un ohonynt fanteision a chyfyngiadau.
Gall technegau gynnwys:
 Dadansoddi costau
 Mapio prosesau
 PDCA
 Archwiliadau ansawdd
 Gweithgareddau safoni


1.4 Asesu sut mae’r broses o reoli
ansawdd yn cyfrannu at y gwaith o
gyflawni amcanion y sefydliad
2. Gallu paratoi ar
gyfer archwiliadau
ansawdd
2.1 Sefydlu’r gofynion ansawdd
sy’n berthnasol i’r gwaith a
archwilir
2.2 Cadarnhau bod y dogfennau’n
gyflawn
Dull Chwe Sigma
Gwaith cynnal a chadw cwbl ataliol
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddadansoddi manteision a
chyfyngiadau tair techneg ansawdd neu fwy.
Os oes gan y sefydliad system rheoli ansawdd ar waith, bydd systemau ar waith
a fydd yn adolygu’n barhaus arferion a phrosesau’r sefydliad er mwyn pennu a
yw’r gofynion a nodir yn cael eu bodloni a’u gwella.
Yn y maen prawf hwn, mae gofyn i’r dysgwr asesu sut mae’r broses o reoli
ansawdd yn cyfrannu at y gwaith o gyflawni amcanion y sefydliad.
Archwiliad ansawdd yw’r broses o archwilio’n systematig system ansawdd a
gynhelir gan archwilydd ansawdd mewnol neu allanol neu dîm archwilio. Mae
archwiliadau yn ddulliau rheoli hanfodol i’w defnyddio ar gyfer dilysu tystiolaeth
wrthrychol unrhyw brosesau er mwyn asesu llwyddiant y prosesau a roddwyd ar
waith, ar gyfer barnu effeithiolrwydd y broses o gyflawni unrhyw lefelau targed a
ddiffinnir ac ar gyfer darparu tystiolaeth sy’n ymwneud â lleihau a dileu meysydd
sy’n peri problem. Dylai ganolbwyntio hefyd ar feysydd o arfer da.
Bydd y gofynion ansawdd ar gyfer yr archwiliad yn amrywio gan ddibynnu ar ba
agweddau ar y sefydliad sy’n cael eu harchwilio.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth bod
dau o ofynion ansawdd neu fwy sy ’n berthnasol i’r gwaith a archwilir,
wedi’u sefydlu.
Bydd y dogfennau sydd eu hangen ar gyfer yr archwiliad ansawdd yn amrywio
yn dibynnu ar y sefydliad a’r archwiliad a gynhelir.
Gallai dogfennau gynnwys:
 Cofnodion cyfarfodydd
 Adroddiadau ansawdd
 Nodiadau hyfforddi
 Cynlluniau samplu
 Llawlyfrau gwaith
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth bod
y dogfennau sy ’n ofynnol ar gyfer yr archwiliad ansawdd yn gyflawn.
2.3 Cadarnhau bod unrhyw gamau
Wrth baratoi ar gyfer archwiliad, bydd angen adolygu camau gweithredu
gweithredu a gytunwyd yn
flaenorol wedi’u rhoi ar waith
2.4 Sicrhau bod gwybodaeth y
mae archwilwyr yn gwneud cais
amdani ymlaen llaw ar gael
3. Gallu cefnogi
archwiliadau ansawdd
3.1 Darparu mynediad at
wybodaeth ar gais yng nghwmpas
yr archwiliad
3.2 Cytuno ar gamau gweithredu
ac amserlenni gydag archwilwyr a
fydd yn datrys problem diffyg
cydymffurfio
archwiliadau blaenorol er mwyn gweld a ydynt wedi’u bodloni ynghyd â
thystiolaeth o’r hyn y mae’r sefydliad/adran wedi’i roi ar waith, er mwyn dangos y
cydymffurfir â’r gofynion.
Yn y maen prawf hwn, mae gofyn i’r dysgwr gadarnhau bod camau
gweithredu a gytunwyd mewn archwiliadau blaenorol wedi’u rhoi ar
waith.
Bydd y math o wybodaeth y bydd yr archwilwyr ei hangen cyn yr archwiliad yn
ddibynnol ar yr archwiliad ansawdd a gynhelir.
Gallai’r wybodaeth y gwneir cais amdani gynnwys:
 Cofnodion gwaith
 Llawlyfrau
 Personél
 Ffeiliau gwaith
 Arsylwi ar ymarfer
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddangos bod
gwybodaeth y gofynnwyd amdani cyn yr ymweliad archwilio ar gael.
Mae’n bwysig bod y sefydliad yn darparu mynediad llawn at y wybodaeth y
mae’r archwilwyr ei hangen yn ystod yr ymyrraeth, o fewn cwmpas gofynnol yr
archwiliad.
Gallai’r wybodaeth y gwneir cais amdani gynnwys:
 Cofnodion gwaith
 Llawlyfrau
 Personél
 Ffeiliau gwaith
 Arsylwi ar ymarfer
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddangos eu bod wedi
gallu darparu mynediad at y wybodaeth sydd ei hangen yn unol â
chwmpas yr archwiliad.
Dylid sicrhau bod unrhyw gamau a gytunir gyda’r archwilydd er mwyn sicrhau
cydymffurfio yn y dyfodol yn rhai CAMPUS
 Cyraeddadwy
 Amserol
 Mesuradwy
 Penodol
 Uchelgeisiol
 Synhwyrol
3.3 Nodi achosion lle y gellir gwella
prosesau busnes, safonau a/neu
weithdrefnau ansawdd
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddangos y bydd dau gam
gweithredu ac amserlenni neu fwy wedi’u cytuno gyda’r archwilwyr a
fydd yn datrys problem diffyg cydymffurfio a nodwyd
Gellir nodi meysydd o ddiffyg cydymffurfio yn yr adborth i archwiliad ansawdd
allanol, ond gellir eu nodi hefyd drwy archwiliad mewnol ar ffurf hunanasesu
prosesau busnes a safonau/gweithdrefnau ansawdd cyfredol.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddangos ei fod wedi nodi achosion
lle y gellir gwella dwy broses fusnes a safonau a/neu weithdrefnau ansawdd neu
fwy
3.4 Datblygu cynllun gwella
ansawdd sy’n mynd i’r afael
â’r materion a godwyd
Mae cynllun gwella ansawdd yn ffordd o gofnodi meysydd a nodir ar gyfer gwella
mewn sefydliad. Gellir ei ddefnyddio i helpu i olrhain cynnydd gweithgareddau
gwella ansawdd ac adrodd arnynt.
Dylid adolygu, diweddaru a chofnodi’r Cynllun Gwella Ansawdd yn rheolaidd:
 Y materion a nodir
 Argymell camau gweithredu ar gyfer mynd i’r afael â’r materion
 Cyfrifoldebau ac amserlenni i’w rhoi ar waith
 Dyddiad cwblhau a chanlyniad y camau gweithredu
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth bod cynllun
gwella ansawdd wedi’i ddatblygu sy’n mynd i’r afael ag o leiaf ddau fater a
godwyd mewn archwiliad ansawdd.
M&L 37 Conduct quality audits
Learning Outcome
Assessment Criteria
1.0 Understand the
principles
underpinning the
management of
quality
1.1 Analyse the principles of
quality management
1.2 Analyse the purpose and
requirements of a range of
quality standards
1.3 Analyse the advantages and
limitations of a range of quality
techniques
1.4 Assess how the management
of quality contributes to the
achievement of organisational
objectives
Guidelines and range
The candidate provides evidence that they understand:
The key principles that underpin the management of quality within an
organisation and how these principles are applied.
It is generally recognised that there are 8 key principles of quality management:
 Customer focus
 Leadership
 Involvement of people
 Process approach
 Systems approach to management
 Continual improvement
 Factual approach to decision making
 Mutually beneficial supplier relationships
In this criterion the learner is required to provide an analysis of a minimum of two
principles of quality management.
Quality standards help organisations ensure that these products, services and
systems meet required specifications or benchmarks.
The quality standards used within an organisation will differ depending on the
type and nature of the business and may work to British, European or
Internationally recognised standards.
In this criterion the learner is required to provide an analysis of the purpose and
requirements of three or more quality standards.
There are a variety of quality techniques that are available to manage quality
within an organisation and all will have both advantages and limitations.
Techniques can include:
 Quality cost analysis
 Process mapping
 PDCA
 Quality audits
 Standardisation activities
 Six sigma approached
 Total preventative maintenance
In this criterion the learner is required to provide an analysis of both the
advantages and limitations of three or more quality techniques.
If the organisation has a quality management system in place there will be
systems in place that will review organisational practices and processes on an
ongoing basis to determine if the stated requirements are being met and
improved upon.
2.0 Be able to prepare
to carry out quality
audits
2.1 Establish the quality
requirements applicable to the
work being audited
2.2 Develop a plan for a quality
audit
2.3 Prepare the documentation
needed to undertake a quality
audit
2.4 Specify data requirements to
those who will support the
audit
In this criterion the learner is required to assess how quality management
contributes to achieving organisational objectives.
Quality audit is the process of systematic examination of a quality system carried
out by an internal or external quality auditor or an audit team. Audits are an
essential management tool to be used for verifying objective evidence of
processes, to assess how successfully processes have been implemented, for
judging the effectiveness of achieving any defined target levels, to provide
evidence concerning reduction and elimination of problem areas. It should also
focus on areas of good practice. The quality requirements for the audit will vary
depending on what aspects of the organisation are being audited.
In this criterion the learner is required to provide evidence that two or more
quality requirements applicable to the auditable work have been established.
A quality audit plan specifies how the audit will be conducted and describes the
activities that will be undertaken.
The audit plan should:
 Define the objective and scope of the audit
 Detail how long the audit will take
 Specify the location of the audit
 Confirm the auditing team
 Identify the quality elements to be audited
 Identify the personnel to be interviewed
 List the documents and records that need to be reviewed
 Explain when meeting will be held with senior management from the
organisation
 Detail when the final report will be available and who will receive this
In this criterion the learner is required to provide evidence that the plan for a
quality audit has been developed.
The documentation needed to undertake a quality audit will vary depending on
the organisation and the quality audit being undertaken. The documentation to
be prepared may include:
 Audit Checklists
 Observation reports
 Audit report forms
In this criterion the learner is required to prepare relevant documentation
required for a quality audit.
A quality audit is an evidence gathering process that is used to evaluate how
effectively an organisation is performing against its quality standards. It is
important to ensure that all those involved with the audit are clear about the data
to be gathered detailing what is and out of scope.
3.0 Be able to conduct
quality audits
3.1 Confirm that any previously
agreed actions have been
implemented
3.2 Analyse information against
agreed quality criteria
3.3 Identify instances where
business processes, quality
standards and/or procedures could
be improved
3.4 Agree actions and
timescales that will remedy
nonconformance or noncompliance
In this criterion the learner is required to demonstrate that they have specified a
minimum of two data requirements to relevant stakeholders who are involved in
the audit.
When preparing for an audit, actions from the previous audits need to be
reviewed to see if they have now been met and the evidence of what the
organisation/department has put into place to show that there is now
conformance and compliance of the requirements.
In this criterion the learner is required to confirm that actions agreed from
previous audits have been implemented.
When conducting an audit, the information gathered will need to be reviewed
against the agreed quality criteria to review if there is compliance and
conformance. The information to be analysed will depend upon the scope and
complexity of the audit and will probably come from a variety of sources.
Some of these could include:
 Interviews
 Observations
 Documents
 Records
 Data
 Plans
 Reports
In this criterion the learner is required to demonstrate that information has been
analysed against a minimum of two agreed quality criteria.
Areas of nonconformance and noncompliance can be identified in the feedback
from an external quality audit, but may also be identified through internal audit in
the form of self-assessment of current business processes and quality
standards/procedures.
In this criterion the learner is required to demonstrate that they have identified
instances where improvements can be made to two or more business processes
and quality standards and/or procedures.
Any actions agreed to ensure future compliance and conformance should be
SMART:
 Specific
 Measurable
 Achievable
 Realistic
 Time bound
In this criterion the learner is required to demonstrate that two or more actions
and timescales that have been agreed will remedy either a noncompliance or
non-conformance issue identified.
M&L 38 Manage a budget
Learning Outcome
Assessment Criteria
1.Understand how to
identify financial
requirements
1.1 Explain how to calculate the
estimated costs of activities,
resources and overheads needed
to achieve objectives
1.2 Analyse the components of a
business case to meet
organisational requirements
1.3 Analyse the factors to be taken
into account to secure the support
of stakeholders
1.4 Describe the business planning
and budget-setting cycle
2. Understand how to
2.1 Explain the purposes of
Guidelines and range
The candidate provides evidence that they understand:
Financial planning is undertaken by an organisation to identify how it will achieve
the goals and objectives set out in its strategic plan, and the financial plan will
describe and quantify in financial terms the activities and resources required to
achieve each objective.
In this criterion the learner is required to explain how financial planning is used to
calculate the estimated costs of activities, resources and overheads needed to
achieve objectives.
A business case supports decision making and business planning by projecting
financial estimates and other business consequences associated with
undertaking a particular course of action that are relevant to organisational
requirements, such as risk and critical success factors.
In this criterion the learner is required to analyse the components of a business
case in order to explain how a business case works to meet organisational
requirements and to draw conclusions.
It is important to be fully aware of the interests of various internal and external
stakeholders when developing a business case as different stakeholder groups
have different priorities and expectations of the organisation. Stakeholder groups
will also vary in their power to influence (or affect) the organisation and in their
levels of interest in what the organisation does. This can be represented
graphically in a Power-Interest Matrix, which can be a valuable tool in
stakeholder management.
In this criterion the learner is required to analyse the factors to be taken into
account to secure the support of stakeholders when developing a business case
to meet organisational requirements and to draw conclusions (It may be helpful
to construct a Power-Interest Matrix to illustrate your answer).
Business planning is generally conducted annually, and, although arrangements
and practices will differ from organisation to organisation, the annual business
planning cycle is likely to cover a review and prioritisation of strategic priorities,
the development of a strategic business plan and separate business plans to
cover all areas of the business, the allocation of resources (including setting and
agreeing budgets) to deliver agreed targets and objectives, and ensuring that
what has been agreed is delivered.
In this criterion the learner is required to describe the principal features of the
business planning and budget-setting cycle.
The proper function of budgeting is to plan, measure and control future activities,
set budgets
budget-setting
2.2 Analyse the information
needed to enable realistic budgets
to be set
2.3 Explain how to address
contingencies
and budget-setting requires managers to set out and plan their resource
requirements for the coming year. Negotiations will generally take place in the
organisation to align budget submissions to organisational priorities and reach
an acceptable compromise.
In this criterion the learner is required to provide an account of how budgetsetting works in order to explain the purpose of budget-setting.
There are a number of different types of budgets, depending upon the nature of
the organisation as well as its aims and objectives and its budgetary policies and
procedures, and the setting of each type of budget will require relevant and
pertinent information. Examples include:
 Production budget
 Materials budget
 Capital budget
 Operating budget
 Administration expenses budget
In this criterion the learner is required to analyse and draw conclusions as to the
essential features of the information needed to enable realistic budgets to be set
(It may be useful to use examples of two or more different types of budget in
order to illustrate your answer).
Contingency planning enables organisations to respond in a structured way to
an unplanned event, and is generally undertaken at the same time as the annual
budgeting process.
Budgeting for contingencies will, in effect, create three budgets:
 Best case scenario budget
 Expected case scenario budget
 Worst case scenario budget
2.4 Explain organisational policies
and procedures on budget-setting
3. Be able to manage
a budget
3.1 Use the budget to control
performance and expenditure
In this criterion the learner is required to explain how to address contingencies
(You may wish to use two or more examples to illustrate your answer).
Budget-setting is critical for effective and efficient organisational planning and
control, and will be subject to rigorous organisational policies and procedures.
In this criterion the learner is required to explain organisational policies and
procedures on budget-setting (You may wish to use examples to illustrate your
answer).
Budgetary control is the process of comparing planned values with actual values
as they occur during the year in order to monitor and control the performance
and expenditure of the organisation and to allow corrective action to be taken if
thought necessary.
3.2 Identify the cause of variations
from budget
3.3 Explain the actions to be taken
to address variations from budget
3.4 Propose realistic revisions to
budget, supporting
recommendations with evidence
In this criterion the learner is required to provide evidence that he or she has
used a budget to control performance and expenditure.
Comparing actual performance with budgeted performance on a continuous
basis will highlight any variance between the two, and variance analysis
identifies the reasons for any variance and its causes. Minor variations from
budget are perhaps to be expected, and it may be decided that they are not
worth investigating if the variation does not impact significantly upon
performance, or the costs of investigation are disproportionately high.
In this criterion the learner is required to provide evidence that he or she has
identified the cause of variations from budget.
Adverse variations will have a detrimental effect upon performance, and
corrective action will need to be taken if the variance is significant. Conversely,
favourable variances should also be reported as they represent an opportunity to
highlight improved performance. The actions to be taken to address variations
will depend upon the reasons for the variance, the significance of the variance,
and a variance report should include recommendations for corrective action,
where necessary.
In this criterion the learner is required to explain the actions to be taken to
address variations from budget.
Although budgets are created annually, they are evaluated regularly to enable
adjustments to be made, if required. For example, there may be a case for
revising a budget if certain categories within a budget are underspent whilst
others are overspent, and a budget revision process enables businesses to
reduce excessive spending and re-allocate resources to where they are now
needed.
In this criterion the learner is required to provide evidence that he or she has
proposed realistic revisions to budget, supporting recommendations with
evidence.
3.5 Provide budget-related reports
and information within agreed
timescales
In this criterion the learner is required to provide evidence that he or she has
provided budget-related reports and information within agreed timescales.
3.6 Explain the actions to be taken
in the event of suspected instances
Employees have a responsibility to play in the prevention of fraud and
malpractice both through the way they carry out their work and in their general
of fraud or malpractice
4. Be able to evaluate
the use of a budget
4.1 Identify successes and areas
for improvement in budget
management
4.2 Make recommendations to
improve future budget setting and
management
conduct. These responsibilities will be stated in an organisation’s policies and
procedures relating to fraud or malpractice, and these policies and procedures
are likely to state, for example, that any employee suspecting fraud or
malpractice has a duty to report their concerns immediately to their line manager
or other named individual without making contact with the suspected perpetrator
and without discussing any suspicions with anyone outside the organisation.
In this criterion the learner is required to explain the actions to be taken in the
event of suspected instances of fraud or malpractice.
It is standard practice at the end of the accounting period to conduct a budget
audit and evaluation. The audit may be internal or external, and its purpose is to
identify areas of budget management that worked well and other areas that
require improvement or change.
In this criterion the learner is required to provide evidence that he or she has
identified successes and areas for improvement in budget management.
A budget audit and evaluation will produce a report and make recommendations
to increase the accuracy and validity of future budget setting and management.
In this criterion the learner is required to provide evidence that he or she has
made recommendations to improve future budget setting and management.
M&L 40 Manage a project
Learning Outcome
Assessment Criteria
1.Understand the
management of a
project
1.1 Explain how to carry out a cost
benefit analysis for a project
1.2 Evaluate the use of risk
analysis techniques
1.3 Evaluate project planning and
management tools and techniques
Guidelines and range
The candidate provides evidence that they understand:
To determine whether a project is financially justifiable a cost benefit analysis is
normally conducted. Costs and benefits of the project are identified and
expressed in monetary values so that conclusions may be drawn. It is usual
practice to also calculate the payback period for the project.
In this criterion the learner is required to explain how to conduct a cost benefit
analysis, illustrating with an actual example should support this explanation.
Risk may cause a project to fail to meet objectives. The likelihood and
consequences of risk and how to manage them needs to be evaluated. There
are a number of risk analysis techniques - qualitative and quantitative - that can
be used and these tend to be specific to particular types of projects or
organisations. Typical examples might include :
 Sensitivity analysis.
 Risk probability and impact analysis
 Decision tree analysis
 Delphi technique
To evaluate them requires a description of how they work but also a conclusion/
recommendation about the circumstances in which they should be used and
why.
There are a range of project planning and management tools and techniques
that are appropriate to particular types of project or organisation.
Typical project planning tools and techniques are:
 Task scheduling
 Gantt charts
 Critical path analysis
Typical project management tools and techniques, other than planning, include:
 Project initiation techniques
 Project execution techniques
 Project control techniques
 Project close out techniques
 Communication techniques
 Risk management techniques
 Leadership and team building techniques
It is suggested that you research and select at least one planning technique and
two management techniques most suited to your own the project management
situation. To evaluate them requires a description of how they work but also a
conclusion/ recommendation about the circumstances in which they should be
used and why.
In this criterion the learner is required to evaluate at least one project planning
and two different project management techniques.
1.4. Evaluate the impact of
changes to project scope
schedule, finances, risk, quality
and resources
1.5 Analyse the requirements of
project management governance
arrangements
2. Be able to plan a
project
2.1 Analyse how a project fits with
the organisation’s overall vision,
objectives, plans and programmes
of work
The impact of variations on project scope need also to be considered
Variations that could impact on:
 The project scope
 Schedule
 Finances
 Risk
 Quality
 Resources
To evaluate them requires a description of how and why they can impact on
project planning. The implications and their significance should form part of the
evaluation.
In this criterion the learner is required to identify variations that could impact on a
project management situation evaluating their relative significance on project
planning and management.
Project governance refers to the management framework in which project
decisions are made and in which accountabilities and responsibilities are set out.
There are number of models that can be used depending on the type of project
and organisation. An analysis requires that the essential features are described
and why and how the model works should also be explained. Conclusions
should be drawn on its effectiveness.
In this criterion the learner is required to identify a project governance model and
complete an analysis of its effectiveness.
This analysis requires the identification of a specific project and the description
of how and why it fits with the organisation’s overall vision, objectives, plans and
programmes of work, all of which should be described. This type of analysis
supports the business case for the project.
In this criterion the learner is required to complete an analysis of how a project
fits with the organisation’s overall vision, objectives, plans and programmes of
work.
2.2 Agree the objectives and
scope of proposed projects with
stakeholders
2.3 Assess the interdependencies
and potential risks within a project
2.4 Develop a project plan with
specific, achievable, realistic and
time-bound (SMART) objectives,
key performance indicators and
evaluation mechanisms
appropriate to the plan
2.5 Develop proportionate and
targeted plans to manage
identified risks and
contingencies
2.6 Apply project lifecycle
approaches to the progress of
A project initiation document (PID) brings together all the information required to
get the project started. There are different models that can be used depending
on the type of project and organisation. This document, if detailed, could provide
evidence for a number of the assessment criteria in this section.
In this criterion the learner is required to provide a project initiation document
which includes at least the objectives and scope of project. How this was
prepared should be described.
The potential interdependencies and risks in a project and how these will be
mitigated or managed also need to be identified at the project initiation stage.
An assessment requires that some judgment is made on the relative significance
and potential impact of the risk so that the appropriate and proportionate
responses are planned (see 2.5 below).
In this criterion the learner is required to assess the interdependencies and risks
associated with the project using an appropriate risk analysis technique which is
presented and explained.
Planning requires the identification of tasks to be completed through use of a
work breakdown structure. A schedule is then produced to identify when each
activity should be done and the sequence in which things needs to be
completed. This plays a key role in all aspects of managing the project. There
are a number of techniques that can be used depending on the nature and
complexity of the project.
It is also important to determine at the planning stage, the ways in which project
success will be measured (KPIs). Both hard and soft measures can be used.
Hard measures refer to outcomes and whether they were achieved on time and
budget. Soft measures include the effectiveness of the team and client
satisfaction. Whether the project delivered the benefits anticipated, may also be
measured.
In this criterion the learner is required to prepare a fully detailed project plan
using a recognised planning technique and that satisfies all requirements of this
assessment criterion.
When risks are identified, the actions to be taken should be proportionate to the
potential impact and likelihood of the risk occurring. Responses to the risk
should reflect this.
In this criterion the learner is required to take the risks identified in 2.3 and
prepare a targeted plan to manage those risks explaining why this response is
proportionate to the risk involved.
The simplest project life cycle approach would consist of :
 Define
the project
3. Be able to manage a
project
3.1 Allocate resources in
accordance with the project
plan
3.2 Brief project team members on
their roles and responsibilities
3.3 Implement plans within an
agreed budgets and timescales
3.4 Communicate the
requirements of the plans to
those who will be affected
3.5 Revise the plans in light of
changing circumstances in
accordance with project
objectives and identified risks
3.6 Keep stakeholders up to date
with the developments and
problems



Plan
Implement
Evaluate and Close
However, there are more detailed models that can be used and these tend to be
specific to particular types of projects and organisations.
In this criterion the learner is required to identify and describe a project life cycle
approach and summarise what activities will fall into each stage in the progress
of their chosen project.
The use of a schedule and plan enables timing and allocating of resources.
In this criterion the learner is required to explain how resources were procured
and allocated to the plan. Evidence of how this occurred in the managing of the
project should be included.
Establishing and leading the project team and establishing roles often in a cross
functional situation means that roles, responsibilities and accountabilities must
be clear.
In this criterion the learner is required to explain how the project team was put
together and methods of briefing the team members on their roles and
responsibilities. Evidence of how this occurred in the managing of the project
should be included.
Plans should be implemented within the agreed budget and timescales set.
In this criterion the learner is required to explain how plans were implemented
within agreed budgets and timescales including any significant variations and
actions taken. Evidence of how this occurred in the managing of the project
should be included.
Inadequate communication is a frequent cause of project failure. Methods and
timing must be considered carefully. Feedback mechanisms should be specified.
In this criterion the learner is required to describe how the requirements of
project plans were communicated to those were affected Evidence of how this
occurred in the managing of the project should be included.
Plans need to be revised in light of changes.
In this criterion the learner is required demonstrate how their plan was revised in
light of changing circumstances. Evidence of how this occurred in the managing
of the project should be included.
Stakeholders should be regularly updated. The frequency and nature of the
updates will differ depending on the nature of the stakeholder’s involvement in
the project.
3.7 Complete close out-actions in
accordance with project plans
3.8 Adhere to organisational policies
and procedures, legal and ethical
requirements when managing a
project
4. Be able to evaluate
the effectiveness of a
project
4.1 Conduct periodic reviews of
the progress and effectiveness of
the project using information from
a range of sources
4.2 Evaluate the effectiveness of
capturing and managing project
related information
4.3 Report on the effectiveness of
plans
In this criterion the learner is required to describe who the main stakeholders in
the project were and how they were kept up to date. Evidence of how this
occurred in the managing of the project should be included.
The plan should contain details of how the project will be closed out including:
 Storage of project documentation
 Reallocation of resources
 Project review
In this criterion the learner should describe the process of close out of the project
in line with project plans. Evidence of how this occurred in the managing of the
project should be included.
Project management must adhere to organisational policies and procedures,
legal and ethical requirements. These include such requirements as human
resource management policies, data protection and health and safety.
In this criterion the learner should describe at least two different policies
particularly relevant to the project management situation and demonstrate how
these were adhered to. Evidence of how this occurred in the managing of the
project should be included.
Periodic reviews should be conducted
In this criterion the learner is required to provide evidence of reviews of the
progress and effectiveness of the project. This could include project team
meetings, and milestone tracking. Evidence of how this occurred in the
managing of the project should be included.
Effective management of the project requires that project related information is
captured and managed and systems will be designed support this. This ensures
that data is retained for use in future projects. An evaluation requires that the
system(s) are described and conclusions/ recommendations on their
effectiveness are made.
In this criterion the learner is required describe how project related information
was captured and stored and to evaluate the effectiveness of the system(s)
used.
To ensure that a continuous improvement process is applied to project
management. This will normally take the form of a post implementation review
(PIR) for key stakeholders reviewing the effectiveness of the plan and its
outcomes. There are several models for PIRs that can be used depending on
the nature of the project and the organisation’s requirements.
In this criterion the learner is required prepare a post implementation report in
the form of a post implementation review.
M&L 40 Rheoli prosiect
Deilliannau Dysgu
Meini Prawf Asesu
1.Deall sut i reoli
prosiect
1.1 Egluro sut i gynnal dadansoddiad
cost a budd ar gyfer prosiect
1.2 Gwerthuso’r defnydd o
dechnegau dadansoddi risg
1.3 Gwerthuso adnoddau a
thechnegau cynllunio a rheoli
prosiect
Canllawiau ac ystod
Mae’r ymgeisydd yn darparu tystiolaeth ei fod yn deall:
Cynhelir dadansoddiad cost a budd fel arfer i bennu a yw prosiect yn hyfyw yn
ariannol. Mae costau a buddion y prosiect yn cael eu nodi a’u mynegi mewn
gwerthoedd ariannol er mwyn gallu gwneud casgliadau. Fel arfer, cyfrifir cyfnod
ad-dalu’r prosiect hefyd.
Yn y maen prawf hwn, mae gofyn i’r dysgwr egluro sut i gynnal dadansoddiad
cost a budd, dylid cynnwys enghraifft wirioneddol i gefnogi’r eglurhad.
Gall risg achosi prosiect i fethu cyflawni ei amcanion. Mae angen gwerthuso
tebygolrwydd a chanlyniadau risg a sut i’w rheoli. Mae yna nifer o dechnegau
dadansoddi risg – ansoddol a meintiol – y gellir eu defnyddio ac mae’r rhain yn
dueddol o ymwneud yn benodol â mathau penodol o brosiectau neu sefydliadau.
Dyma rai enghreifftiau:
 Dadansoddi sensitifrwydd
 Dadansoddi tebygolrwydd ac effaith risg
 Dadansoddi coeden benderfynu
 Techneg Delphi
Er mwyn eu gwerthuso, mae angen disgrifiad o sut maen nhw’n gweithio a
chasgliad/argymhelliad am pryd y dylid eu defnyddio a pham.
Mae yna amrywiaeth o adnoddau a thechnegau cynllunio a rheoli prosiectau
sy’n briodol i fathau penodol o brosiectau neu sefydliadau.
Dyma rai adnoddau a thechnegau cynllunio prosiectau nodweddiadol:
 Amserlennu tasgau
 Siartiau Gantt
 Dadansoddi llwybr critigol
Dyma rai adnoddau a thechnegau rheoli prosiectau nodweddiadol, ac eithrio
cynllunio:
 Technegau cychwyn prosiectau
 Technegau gweithredu prosiectau
 Technegau rheoli prosiectau
 Technegau cau prosiectau
 Technegau cyfathrebu
 Technegau rheoli risg
 Technegau arwain a datblygu tîm
Awgrymir eich bod yn ymchwilio ac yn dewis o leiaf un dechneg gynllunio a dwy
dechneg reoli sydd fwyaf addas i’ch sefyllfa reoli prosiect chi. Er mwyn eu
gwerthuso, mae angen disgrifiad o sut maent yn gweithio a
chasgliad/argymhelliad am pryd y dylid eu defnyddio a pham.
Yn y maen prawf hwn, mae gofyn i’r dysgwr werthuso o leiaf un dechneg
cynllunio prosiect a dwy dechneg rheoli prosiect wahanol.
1.4. Gwerthuso effaith newidiadau
i gwmpas, amserlen, cyllid, risg,
ansawdd ac adnoddau’r prosiect
1.5 Dadansoddi gofynion
trefniadau llywodraethu rheoli
prosiect
2. Gallu cynllunio
prosiect
2.1 Dadansoddi sut mae prosiect
yn cyd-fynd â gweledigaeth,
amcanion, cynlluniau a rhaglenni
gwaith cyffredinol y sefydliad
2.2 Cytuno ar amcanion a
chwmpas y prosiectau arfaethedig
gyda rhanddeiliaid
Mae angen ystyried effaith amrywiadau ar gwmpas y prosiect hefyd.
Amrywiadau a allai effeithio ar:
 Gwmpas y prosiect
 Amserlen
 Cyllid
 Risg
 Ansawdd
 Adnoddau
Er mwyn eu gwerthuso, mae angen disgrifiad o sut maen nhw’n gweithio a
chasgliad/argymhelliad am pryd y dylid eu defnyddio a pham.
Yn y maen prawf hwn mae gofyn i’r dysgwr nodi amrywiadau a allai effeithio ar
sefyllfa rheoli prosiect gan werthuso eu harwyddocâd cymharol ar gynllunio a
rheoli prosiect.
Mae llywodraethu prosiect yn cyfeirio at y fframwaith rheoli ar gyfer gwneud
penderfyniadau am y prosiect, sy’n nodi atebolrwydd a chyfrifoldebau. Gellir
defnyddio nifer o fodelau yn dibynnu ar y math o brosiect a sefydliad. Er mwyn
dadansoddi, mae angen disgrifio’r nodweddion hanfodol a dylid egluro pam a sut
mae’r model yn gweithio hefyd. Dylid dod i gasgliadau am ei effeithiolrwydd.
Yn y maen prawf hwn mae gofyn i’r dysgwr nodi model llywodraethu prosiect a
chwblhau dadansoddiad o’i effeithiolrwydd.
Mae’r dadansoddiad hwn yn golygu nodi prosiect penodol a disgrifio sut a pham
mae’n cyd-fynd â gweledigaeth, amcanion, cynlluniau a rhaglenni gwaith y
sefydliad. Dylid disgrifio’r rhain i gyd. Mae’r math hwn o ddadansoddiad yn
cefnogi’r achos busnes ar gyfer y prosiect.
Yn y maen prawf hwn, mae gofyn i’r dysgwr gwblhau dadansoddiad o sut mae
prosiect yn cyd-fynd â gweledigaeth, amcanion, cynlluniau a rhaglenni gwaith
cyffredinol y sefydliad.
Mae dogfen cychwyn prosiect yn cyflwyno’r holl wybodaeth sydd ei hangen i
gychwyn y prosiect. Gellir defnyddio modelau gwahanol yn dibynnu ar y math o
brosiect a sefydliad. Gallai’r ddogfen hon, os yw’n fanwl, ddarparu tystiolaeth ar
gyfer nifer o feini prawf asesu yn yr adran hon.
2.3 Asesu rhyngddibyniaethau a
risgiau posibl prosiect
2.4 Datblygu cynllun prosiect
gydag amcanion CAMPUS
(cyraeddadwy, amserol,
mesuradwy, penodol, uchelgeisiol,
synhwyrol), dangosyddion
perfformiad allweddol a dulliau
gwerthuso sy’n briodol i’r cynllun
2.5 Datblygu cynlluniau
cymesur wedi’u targedu i reoli
risgiau a nodwyd a chynlluniau
wrth gefn
2.6 Defnyddio dulliau cylch oes
prosiect i nodi cynnydd y
prosiect
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu dogfen cychwyn prosiect
sy’n cynnwys amcanion a chwmpas y prosiect o leiaf. Dylid disgrifio sut y
paratowyd y ddogfen hon.
Yng ngham cychwyn y prosiect mae angen nodi rhyngddibyniaethau a risgiau
posibl prosiect a sut y bydd y rhain yn cael eu lliniaru neu eu rheoli hefyd. Er
mwyn asesu, rhaid rhoi rhywfaint o farn ar arwyddocâd cymharol ac effaith bosibl
y risg er mwyn gallu cynllunio ymatebion priodol a chymesur (gweler 2.5 isod).
Yn y maen prawf hwn, mae gofyn i’r dysgwr asesu’r rhyngddibyniaethau a’r
risgiau sy’n gysylltiedig â’r prosiect gan ddefnyddio techneg dadansoddi risg sy’n
cael ei chyflwyno a’i hegluro.
Mae cynllunio yn gofyn am nodi tasgau i’w cwblhau drwy ddefnyddio strwythur
dadansoddi gwaith. Yna, llunnir amserlen i nodi pryd y dylid cwblhau pob
gweithgaredd a’r drefn ar gyfer gwneud hyn. Mae’r amserlen yn allweddol i bob
agwedd ar reoli’r prosiect. Gellir defnyddio nifer o dechnegau yn dibynnu ar
natur a chymhlethdod y prosiect.
Mae’n bwysig penderfynu sut y bydd llwyddiant y prosiect yn cael ei fesur ar y
pwynt hwn hefyd (Dangosyddion Perfformiad). Gellir defnyddio mesurau caled a
meddal. Mae mesurau caled yn cyfeirio at ganlyniadau ac a lwyddwyd i’w
cyflawni ar amser ac o fewn y gyllideb. Mae mesurau meddal yn cynnwys pa
mor effeithiol yw’r tîm a boddhad cleientiaid. Gellir mesur a wnaeth y prosiect
gyflawni’r manteision disgwyliedig hefyd.
Yn y maen prawf hwn, mae gofyn i’r dysgwr baratoi cynllun prosiect manwl llawn
gan ddefnyddio techneg gynllunio gydnabyddedig sy’n bodloni holl ofynion y
maen prawf asesu hwn.
Pan nodir risgiau, dylai’r camau gweithredu fod yn gymesur â’r effaith bosibl a’r
tebygolrwydd o’r risg yn digwydd. Dylai ymatebion i’r risg adlewyrchu hyn.
Yn y maen prawf hwn, mae gofyn i’r dysgwr gymryd y risgiau a nodwyd yn 2.3 a
pharatoi cynllun wedi’i dargedu i reoli’r risgiau hynny gan egluro pam mae’r
ymateb hwn yn gymesur i’r risgiau dan sylw.
Byddai’r dull cylch oes prosiect symlaf yn cynnwys:
 Diffinio
 Cynllunio
 Gweithredu
 Gwerthuso a Chau
Fodd bynnag, gellir defnyddio modelau manylach ac mae’r rhain yn dueddol o
fod yn benodol i fathau arbennig o brosiectau a sefydliadau.
3. Gallu rheoli prosiect
3.1 Dyrannu adnoddau yn unol
â chynllun y prosiect
3.2 Briffio aelodau tîm y prosiect ar
eu rolau a’u cyfrifoldebau
3.3 Rhoi cynlluniau ar waith o
fewn cyllidebau ac amserlenni y
cytunwyd arnynt
3.4 Cyfathrebu gofynion y
cynlluniau i’r rhai fydd yn cael
eu heffeithio
3.5 Diwygio’r cynlluniau yn sgil
amgylchiadau newidiol yn unol
ag amcanion y prosiect a risgiau
a nodwyd
3.6 Rhoi’r wybodaeth ddiweddaraf i
randdeiliaid am ddatblygiadau a
phroblemau
Yn y maen prawf hwn, mae gofyn i’r dysgwr nodi a disgrifio dull cylch oes
prosiect a chrynhoi pa weithgareddau fydd yn perthyn i bob cam o gynnydd y
prosiect a ddewiswyd ganddynt.
Mae defnyddio amserlen a chynllun yn fodd o amseru a dyrannu adnoddau.
Yn y maen prawf hwn, mae gofyn i’r dysgwr egluro sut y cafwyd yr adnoddau a
sut y cawsant eu dyrannu i’r cynllun. Dylid cynnwys tystiolaeth o sut y
digwyddodd hyn fel rhan o waith rheoli’r prosiect.
Mae sefydlu ac arwain tîm y prosiect a sefydlu rolau mewn sefyllfa trawsswyddogaethaol yn aml yn golygu bod rhaid i rolau, cyfrifoldebau ac atebolrwydd
fod yn glir.
Yn y maen prawf hwn, mae gofyn i’r dysgwr egluro sut y sefydlwyd tîm y prosiect
a’r dulliau o friffio aelodau’r tîm ar eu rolau a’u cyfrifoldebau. Dylid cynnwys
tystiolaeth o sut y digwyddodd hyn fel rhan o waith rheoli’r prosiect.
Dylid rhoi cynlluniau ar waith o fewn y gyllideb a’r amserlenni y cytunwyd a
bennwyd.
Yn y maen prawf hwn, mae gofyn i’r dysgwr egluro sut y rhoddwyd cynlluniau ar
waith o fewn y cyllidebau a’r amserlenni y cytunwyd arnynt yn cynnwys unrhyw
amrywiadau sylweddol a chamau gweithredu a gymerwyd. Dylid cynnwys
tystiolaeth o sut y digwyddodd hyn fel rhan o waith rheoli’r prosiect.
Yn aml iawn, cyfathrebu annigonol yw’r rheswm pam nad yw prosiectau’n
llwyddo. Dylid ystyried dulliau ac amseriad yn ofalus. Dylid nodi dulliau o
gyflwyno adborth.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddisgrifio sut y cafodd gofynion
cynlluniau’r prosiect eu cyfathrebu i’r rhai oedd yn cael eu heffeithio. Dylid
cynnwys tystiolaeth o sut y digwyddodd hyn fel rhan o waith rheoli’r prosiect.
Mae angen diwygio cynlluniau yn sgil newidiadau.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddangos sut y cafodd eu cynllun ei
ddiwygio yn sgil amgylchiadau sy’n newid. Dylid cynnwys tystiolaeth o sut y
digwyddodd hyn fel rhan o waith rheoli’r prosiect.
Dylid rhoi’r wybodaeth ddiweddaraf i randdeiliaid yn rheolaidd. Bydd amlder a
natur y diweddariadau’n amrywio yn dibynnu ar natur cyfraniad y rhanddeiliaid
yn y prosiect.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddisgrifio pwy oedd prif randdeiliaid
y prosiect a sut y darparwyd y wybodaeth ddiweddaraf iddynt. Dylid cynnwys
tystiolaeth o sut y digwyddodd hyn fel rhan o waith rheoli’r prosiect.
4. Gallu gwerthuso
effeithiolrwydd
prosiect
3.7 Cwblhau camau gweithredu cau
prosiect yn unol â chynlluniau’r
prosiect
Dylai’r cynllun gynnwys manylion am sut y bydd y prosiect yn cael ei gau, yn
cynnwys:
 Cadw dogfennau’r prosiect
 Dyrannu adnoddau
 Adolygu prosiect
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddisgrifio’r broses o gau’r prosiect
yn unol â chynlluniau’r prosiect. Dylid cynnwys tystiolaeth o sut y digwyddodd
hyn fel rhan o waith rheoli’r prosiect.
3.8 Cydymffurfio â pholisïau a
gweithdrefnau’r sefydliad, a gofynion
cyfreithiol a moesegol wrth reoli
prosiect
Mae’n rhaid i drefniadau rheoli’r prosiect gydymffurfio â pholisïau a
gweithdrefnau’r sefydliad, a gofynion cyfreithiol a moesegol. Mae’r rhain yn
cynnwys gofynion fel polisïau rheoli adnoddau dynol, gwarchod data ac iechyd a
diogelwch.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddisgrifio o leiaf ddau bolisi
gwahanol sy’n berthnasol i sefyllfa rheoli’r prosiect a dangos sut y
cydymffurfiwyd â’r rhain. Dylid cynnwys tystiolaeth o sut y digwyddodd hyn fel
rhan o waith rheoli’r prosiect.
Dylid cynnal adolygiadau cyfnodol.
4.1 Cynnal adolygiadau cyfnodol o
gynnydd ac effeithiolrwydd
prosiect gan ddefnyddio
gwybodaeth o ffynonellau
amrywiol
4.2 Gwerthuso effeithiolrwydd y
gwaith o gasglu a rheoli
gwybodaeth sy’n ymwneud â’r
prosiect
4.3 Adrodd ar effeithiolrwydd y
cynlluniau
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth o adolygiadau o
gynnydd ac effeithiolrwydd y prosiect. Gallai hyn gynnwys cyfarfodydd rheoli tîm,
ac olrhain cerrig milltir. Dylid cynnwys tystiolaeth o sut y digwyddodd hyn fel rhan
o waith rheoli’r prosiect.
Mae rheoli’r prosiect yn effeithiol yn gofyn am gasglu a rheoli gwybodaeth sy’n
ymwneud â’r prosiect a chynllunio systemau i gefnogi hyn. Mae hyn yn sicrhau
bod data yn cael ei gadw i’w ddefnyddio mewn prosiectau yn y dyfodol. Er mwyn
gwerthuso, mae angen disgrifiad o’r system(au) a chasgliad/argymhelliad am eu
heffeithiolrwydd.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddisgrifio sut y casglwyd
gwybodaeth sy’n ymwneud â’r prosiect a’i chadw a gwerthuso effeithiolrwydd y
system(au) a ddefnyddiwyd.
Sicrhau bod proses wella barhaus yn cael ei defnyddio ar gyfer rheoli prosiect.
Fel arfer, y ffordd o wneud hyn yw cynnal adolygiad ôl-weithredu i randdeiliaid
allweddol yn adolygu effeithiolrwydd y cynllun a’i ganlyniadau. Gellir defnyddio
sawl model ar gyfer yr adolygiad hwn yn dibynnu ar natur y prosiect a gofynion y
sefydliad.
Yn y maen prawf hwn, mae gofyn i’r dysgwr baratoi adroddiad ôl-weithredu ar
ffurf adolygiad ôl-weithredu.
M&L 41 Manage business risk
Learning Outcome
Assessment Criteria
1.Understand the
management of
business risk
1.1 Explain what is meant by
business risk
1.2 Analyse business risk
identification theories and models
Guidelines and range
The candidate provides evidence that they understand:
Business Risk Management is the process of identifying, assessing and
controlling the level of those risks that present a threat to a business’ assets and
earning capacity.
Examples of business risk include:
 Strategic, for example, a competitor coming on to the market
 Compliance, for example responding to the introduction of new health
and safety legislation
 Financial, for example, non-payment by a customer or increased interest
charges on a business loan
 Operational, for example, the breakdown or theft of key equipment
 Environmental risks, including natural disasters
 Employee risk management, such as maintaining sufficient staff
numbers and cover, employee safety and up-to-date skills
 Political and economic instability in any foreign markets you export
goods to
 Health and safety risks
 Commercial risks, including the failure of key suppliers or customers
In this criterion the learner is required to explain, with three or more examples,
what is meant by business risk.
Business risk identification theories and models include:
 Brainstorming
 Root cause analysis
 Delphi technique
 Cause and Effect diagrams
 SWOT analysis
 Process flow charts
 Tabletop exercise to identify key weaknesses
 Risk charting
In this criterion the learner is required to analyse two or more business risk
1.3 Explain measures and
techniques to mitigate
business risk
1.4 Explain their own level of
authority in managing risk
.
2. Be able to address
business risk
2.1 Monitor work in line with
organisational risk procedures
2.2 Identify potential risks using
agreed risk criteria
2.3 Assess identified risks, their
potential consequences and the
probability of them happening
2.4 Communicate to stakeholders
identification theories and models, in order to determine their essential features
and draw conclusions as to how they work to identify business risk.
To mitigate a business risk is to reduce exposure to the identified risk and/or the
likelihood of it occurring. Measures and techniques to mitigate business risk will,
to a large extent, depend upon the nature of the risk identified.
In this criterion the learner is required to explain measures and techniques that
will work to mitigate three or more identified business risks.
‘Level of authority’ refers to the different hierarchical management levels in an
organisation and the duties and responsibilities assigned to each of those levels,
including responsibilities relating to managing risk. The more senior roles in an
organisation will have greater authority to give instructions and make decisions
and to ensure compliance with organisational policies and procedures, and
problems that lie outside own level of authority, which must be referred to a more
senior manager at the appropriate level.
In this criterion the learner is required to explain their own level of authority in
managing risk.
Each business is unique, and will have its own risk management systems and
procedures, depending on its operations, its organisation, its culture, and the
different risks that it faces.
In this criterion the learner is required to provide evidence that he or she
monitors work correctly and appropriately in line with organisational risk
procedures.
Risk criteria are used to decide the significance and importance of risk and the
level of risk that can be tolerated across the business. Common risk criteria
include ‘potential consequences’ and ‘probability of each risk happening’.
In this criterion the learner is required to identify three or more potential risks
using agreed risk criteria.
Measurement of risk is necessary in order to compare and rate risks across the
business in terms of agreed risk criteria, such as, potential consequences and
probability of each risk happening. Most organisations define scales for rating
risk in terms of the agreed risk criteria, in order to ensure consistency across the
organisation and to allow ranking and prioritisation of risks.
In this criterion the learner is required to assess three or more identified risks,
their potential consequences and the probability of them happening (It may be
useful to present this information as a Business Risk Assessment matrix).
The organisation will need to prioritise stakeholders by level of authority and by
the likelihood of the risk occurring
and its potential consequences
2.5 Explain organisational
business risk management policies
3. Be able to mitigate
business risk
3.1 Develop risk management
plans and processes that are
proportionate to the risk and the
available resources
3.2 Implement risk management
plans in accordance with
organisational requirements
3.3 Monitor on-going riskrelated developments and
amend plans in the light of
changing circumstances
3.4 Keep stakeholders
informed of any developments
and their possible
consequences
level of risk faced as part of mitigation planning and the development of a risk
response strategy.
In this criterion the learner is required to provide evidence that he or she has
communicated correctly and appropriately with stakeholders the likelihood of the
risk occurring and its potential consequences (You may find it useful to include a
stakeholder map in your answer).
The purpose of a business risk management policy is to identify, reduce, and
prevent risks and to review past incidents and implement changes to prevent or
reduce future incidents.
In this criterion the learner is required to explain how organisational business risk
management policies work and are used.
There are a number of ways to respond to risk, depending upon factors such as
cost, available resources, the likelihood of it occurring and the potential
consequences of the risk:
 Ignore the risk – if the organisation can live with the impact of the risk
event, or the cost to remove the risk is prohibitive
 Monitor the risk – if the risk event is unlikely
 Avoid the risk – if the condition causing the risk can be isolated
 Outsource the risk – assign the responsibility for the risk to a third party
 Mitigate the risk – eliminate or minimise the risk
In this criterion the learner is required to develop risk management plans and
processes for three or more identified risks that are proportionate and take
account of available resources.
Risk management plans are not developed in isolation; they are central to the
future safety of the organisation and its employees, and must complement other
organisational policies and procedures.
In this criterion the learner is required to provide evidence that he or she has
implemented, or is implementing, risk management plans in accordance with
organisational requirements.
Risks may be perceived as either ‘static’, requiring monitoring and assessment
on a periodic basis, or ‘dynamic’, requiring continual and ongoing monitoring and
assessment.
In this criterion the learner is required to provide evidence that he or she has
monitored on-going risk-related developments and amended plans in light of
changing circumstances.
The organisation will need to prioritise stakeholders by level of authority and by
level of risk faced, and stakeholders will need to be informed of any
developments and their possible consequences in order to update mitigation
planning and a risk response strategy.
3.5 Evaluate the effectiveness of
actions taken, identifying
possible future improvements
In this criterion the learner is required to provide evidence that he or she has
communicated correctly and appropriately with stakeholders to keep them
informed of any developments and their possible consequences.
Risk assessment and management can be thought of as an ongoing process
with a series of steps that are continually repeated to identify possible future
improvements.
In this criterion the learner is required to evaluate the effectiveness of actions
taken in managing risk in order to identify how well each part worked and to
draw conclusions and identify possible future improvements in the process of
managing risk.
M&L 42 Manage knowledge in an organization
Learning Outcome
Assessment Criteria
1. Understand the
principles of
knowledge
management
1.1 Explain the concept, scope and
importance of knowledge
management
Guidelines and range
The candidate provides evidence that they understand:
Concept
Knowledge Management (KM) is a term that is used to describe a way in which
an organisation consciously and comprehensively gathers organises, shares and
analyses its knowledge, in terms of resources, documents, and people skills.
The term ‘knowledge’ can be misinterpreted and the term ‘knowledge
management’ should not be confused with the term ‘learning organisation’.
‘Data’ is a specific fact or figure, ‘Information’ is data that is organised so that we
can make sense of the data. ‘Knowledge’ builds on information and provides a
context so that we can take action. An example would be, if we know how many
parts per hour are being made (data) and the processes used (information), it is
most useful as ‘knowledge’ when we know what sector we are in, who is making
the items, where they are, who the suppliers are and what price competitors
charge for each item. This ‘knowledge’ could exist in different parts of the
organisation and in different job roles and it is the ‘knowledge management
system’ that brings all these details together to give a company the competitive
edge.
It is the shared understanding of what it means in your own sector that is most
important and this will also vary according to specific job roles undertaken.
Scope
The way that an organisation interprets the word ‘knowledge’ varies and different
operational sector have their own views that it covers:
 Systems and technologies
 People and the learning channels where information can flow
 Processes, methods and techniques
 Managing knowledge assets- this includes what individuals know
through their experience
Importance
KM could be described as having an effect on:
 Protecting income streams as companies know how to find, secure and
Protect business interests
 Improving retention rates
 Increasing levels of productivity
 Promoting innovation
1.2 Explain the concept of
intellectual property
Knowledge Management may be distinguished from Organisational Learning by
a greater focus on specific knowledge-assets and the development and
cultivation of the channels through which knowledge flows.
In this criterion the learner is required to provide evidence that he or she has
very briefly explained the concept, scope and importance of knowledge
management by making strong links with work based examples to illustrate the
three areas.
The explicit knowledge in a company can be found in databases and books, this
includes details that can be read from manuals and could be widely available.
Tacit knowledge could be described as, for example, ‘knowing that’ or ‘knowing
when’ and in the main, this is knowledge that is handed down through
experience and known by individuals. It can be devastating to a company when
a highly experienced person leaves the company if this tacit knowledge has not
been utilised.
Knowledge Management is the discipline of enabling individuals, teams and
entire organisations to collectively and systematically create, share and apply
knowledge, to better achieve their objectives. This knowledge forms the
intellectual property of the organisation.
Intellectual property (IP) is a collection of ideas and concepts, this might be a
brand, an invention, a design, a song which can be owned, bought or sold. Ref
Intellectual Property Office - Welcome to the Intellectual Property Office [19.6.14]
There are four main types of rights which can be protected in law:
 Patents
 Trade marks
 Designs
 Copyright
1.3 Identify the business
drivers that lead to effective
knowledge management
In this criterion the learner is required to provide evidence that he or she has
explained very briefly what intellectual property is, providing one example from a
relevant work based sector. In addition, he or she has identified a work based
example which would be protected by law in each of the four areas of patents,
trademarks, designs and copyright. The learner is also required to explain in
what ways the use of counterfeit goods in the company can have a negative
effect, suggesting two examples of potential consequences.
Sir John Steely Browne, BP, Harvard Business Review(1997) said:
“Most activities or tasks are not one-time events. Whether it’s drilling a well or
conducting a transaction at a service station, we do the same things repeatedly.
Our philosophy is fairly simple: every time we do something again, we should do
it better than the last time”.
1.4 Explain the risks
associated with knowledge
management and their
potential implications
1.5 Explain the importance of
engaging others and
communicating knowledge
management issues and activities
The business drivers (influences) for effective Knowledge Management are the
need to:
 Repeat processes and service delivery and to ensure the same
standard and outcome every time
 Retain the competitive edge and the aim to be the ‘best in class’
 Maximise as many opportunities as possible for recruiting, training and
retaining high quality staff
 Protect intellectual knowledge
 Source the best quality goods and services in relation to the finances
available
In this criterion the learner is required to provide evidence that he or she has
identified three drivers from a selected work sector which are relevant to the
business. In each case selected above, suggested an action that could be taken
to enable effective knowledge management.
‘Risk’ and ‘Knowledge’ are two components of business management. When
these two aspects are linked it is usually in the context of using IT systems
where financial controls are required. However, methods for controlling risk do
not necessarily change as dynamically as new systems and internal changes
alter, in line with new regulations or policies. This has to be balanced against the
risk of sharing risk knowledge.
Synchronisation of knowledge management systems poses particular risks
where decisions have to be made on the latest information; this applies to any
system where shared information is required.
The system also relies on standards and processes that not only fit into the
existing culture of the organisation, but also that people have the necessary
guidance, training and support to use them.
In this criterion the learner is required to provide evidence that he or she has
explained the main risks associated with knowledge management in the context
of one area of work. Using the above context, stated two potential implications.
It is important to engage others in order to build a sense of common purpose.
Effective communication ensures that information is presented clearly and
accurately in the use of media which is appropriate to different people and
contexts. Active listening and good feedback also ensure that information has
been received and where needed, clarified.
In this criterion the learner is required to provide evidence that he or she has
explained why it is important to engage others in communicating knowledge
management issues. In addition, he or she has identified two sources of
1.6 Explain best practice principles
and techniques for effective
knowledge management
1.7 Describe strategies to manage
tacit and explicit knowledge
information that have been shared with others relating to guidance on systems,
tools, standards or procedures for managing knowledge.
Best practice is a method or technique which is consistently producing superior
results and can reliably continue to lead to desired results, to be used as a
benchmark.
Best practice involves:
 Valid and reliable information being shared and available readily to those
who require it
 Establishing and maintaining communication channels which are
adapted to people’s needs
 Building a shared understanding and purpose
 Legal compliance in line with organisational policy and professional
codes
 Information being presented clearly, accurately and in a timely manner
In this criterion the learner is required to provide evidence that he or she has
identified five ‘guiding principles’ which would constitute best practice in a
specific organisational context and explained why each one has been selected.
In addition, he or she has selected one ‘principle’ and described how this is
applied in a work based sector related to the above context.
Nonaka in the 1990’s introduced the two concepts, making the distinction that
explicit knowledge was to be found in documents and tacit knowledge being
found in personal and experience- based knowledge. The former is more likely
to be recorded and coded. Botha et al (2008) suggested that tacit and explicit
knowledge should be seen as a ‘spectrum’ rather than as definitive points.
Strategies for managing explicit knowledge are based on storage, retrieval and
modification processes. Making sure the right people have good access to the
right information at the right time. Botha et al state that explicit knowledge is to
be found in databases, memos, notes, documents etc.
Tacit knowledge, referred to as ‘know how’ by Polanyi (1966) is found in the
minds of all human stakeholders and is described by Gamble and Blackwell
(2001) as the embedded knowledge that is locked in processes, products,
culture, routines, artifacts or structures.
Strategies for managing tacit knowledge include e.g. establishing routines, rules,
processes, manuals, codes of conduct and ethical statements. It is important to
consider that although this knowledge can exist in explicit sources (a rule in a
rule book) the knowledge itself is not explicit.
In this criterion the learner is required to provide evidence that he or she has
described one organisational strategy for managing explicit knowledge,
2. Be able to identify
knowledge to be
managed within an
organisation
2.1 Identify the criteria against
which knowledge will be
managed
2.2 Engage colleagues in
identifying the knowledge to
be managed
3. Be able to manage
knowledge within
an organisation
3.1 Implement actions in
accordance with the
knowledge management plan
3.2 Adhere to security processes
for the collection, storage and
retrieval of knowledge
confirming why the information has been considered as being categorised as
being explicit. The learner is also required to describe one organisational
strategy for managing tacit knowledge, confirming why the information has been
considered as being categorised as being tacit.
Selection criteria against which, knowledge will be managed within the
organisation include answers to the following questions, for example:
 Is it in line with latest concepts and strategies, techniques and good
practice knowledge management?
 Are there appropriate standards, systems and tools available to support
the level of knowledge management required?
 Have legal and ethical considerations e.g. intellectual property been
made?
 Will there be added value to the organisation?
 Will it be accessible to all who require it?
 Is it protected by policies and procedures relating to confidentiality,
communication, retrieval and storage systems and other key
organisational requirements?
In this criterion the learner is required to provide evidence that he or she has
identified five criteria against which knowledge will be managed, with clarification
on key implications for each criteria.
Consultation with colleagues establishes the nature, type and level of knowledge
to be managed in the organisation.
In this criterion the learner is required to provide evidence that he or she has
engaged colleagues, on three occasions, identifying the knowledge to be
managed, supported by a range of appropriate documentation.
The knowledge management plan documents a series of actions to be
undertaken, in agreement with the principles established and linked to
organisational policies and procedures.
In this criterion the learner is required to provide evidence that he or she has
selected relevant parts of the knowledge management plan and implemented
two actions explaining the relevance of each action.
Security processes are designed to ensure that knowledge management is
collected, stored and retrieved as safely as possible in line with legal
requirements, industry regulations and organisational codes of practice.
In this criterion the learner is required to provide evidence that he or she has
identified one example each of collection, storage and retrieval processes.
Showing, in each of the above cases, how security processes have been
adhered to in a brief explanation.
3.3 Evaluate the extent to which
current knowledge management
systems and processes are fit for
purpose
3.4 Recommend improvements to
processes and systems to
manage knowledge
3.5 Assess the likely impact and
implications of the loss of
knowledge
‘Fit for purpose’ means that it is important to recognise the difference between
‘data and information’ and ‘knowledge’, which according to Dyer (2000) in an
article in News Archive should be information that is ‘contextual, relevant and
actionable’.
In this criterion the learner is required to provide evidence that he or she has
briefly evaluated the extent to which two examples of current knowledge
management systems used in the organisation are fit for purpose and listed the
key advantages and disadvantages of each example.
Specified improvements are intended to increase the usefulness and value of
processes and systems.
In this criterion the learner is required to provide evidence that he or she has
(following on from the two examples identified in section A.C. 3.3) made a
minimum of two recommendations, in order to improve the processes and
systems to manage knowledge. In each of the selected examples, stated how
specifically the planned improvement will provide a solution to identified system
shortfalls.
‘Impact means having an effect on’ and this could apply to people and systems.
There will be an effect when knowledge is lost. The severity of the loss links with
a discussion in A.C.3.3 about ‘knowledge management’ being different to ‘data
and information’. When knowledge is lost i.e. having been taken away, the
implications are potentially far reaching and it is the context and specific
example that is required, in order to establish the extent of the loss.
In this criterion the learner is required to provide evidence that he or he has
explained, in a brief overview, why the loss of knowledge in the organisation has
implications. In addition, he or she has identified a specific example and
assessed the impact of the loss on four stakeholders (e.g. individual staff
members, teams, organisation, and clients).
M&L 42 Rheoli gwybodaeth mewn sefydliad
Deilliannau Dysgu
Meini Prawf Asesu
1. Deall egwyddorion
rheoli gwybodaeth
1.1 Egluro cysyniad, cwmpas a
phwysigrwydd rheoli gwybodaeth
Canllawiau ac ystod
Mae’r ymgeisydd yn darparu tystiolaeth ei fod yn deall:
Cysyniad
Rheoli Gwybodaeth yw’r term a ddefnyddir i ddisgrifio’r ffordd y mae sefydliad yn
mynd ati’n fwriadol a chynhwysfawr i gasglu, trefnu, rhannu a dadansoddi ei
wybodaeth, o ran adnoddau, dogfennau a sgiliau pobl.
Gall y term ‘gwybodaeth’ gael ei gamddehongli ac ni ddylid drysu rhwng ‘rheoli
gwybodaeth’ a ‘sefydliad sy’n dysgu’.
Ffaith neu ffigur penodol yw ‘data’ tra bod ‘gwybodaeth’ yn ddata sy’n cael ei
drefnu fel y gallwn wneud synnwyr o’r data. Mae ‘gwybodaeth’ yn adeiladu ar yr
hyn a wyddom ac yn darparu cyd-destun ar gyfer gweithredu. Enghraifft o hyn
fyddai gwybod faint o ddarnau sy’n cael eu gwneud bob awr (data) a’r prosesau
a ddefnyddir (gwybodaeth), mae’r ‘wybodaeth’ ar ei mwyaf defnyddiol pan
fyddwn ni’n gwybod ym mha sector ydym ni, pwy sy’n gwneud yr eitemau, ble
maen nhw, pwy yw’r cyflenwyr a pha bris mae ein cystadleuwyr yn ei godi am
bob eitem. Gallai’r ‘wybodaeth’ hon fodoli mewn gwahanol rannau o’r sefydliad
ac mewn gwahanol swyddi a’r ‘system reoli gwybodaeth’ sy’n dod â’r holl
fanylion ynghyd i roi mantais gystadleuol i’r cwmni.
Cyd-ddealltwriaeth o’r hyn mae’n ei olygu yn eich sector eich hun sydd bwysicaf
a bydd hyn yn amrywio hefyd yn ôl y swyddi penodol a wneir.
Cwmpas
Mae’r ffordd mae sefydliad yn dehongli’r gair ‘gwybodaeth’ yn amrywio ac mae
gan wahanol sectorau eu safbwyntiau eu hunain sy’n cwmpasu:
 Systemau a thechnolegau
 Pobl a’r cyfryngau dysgu ar gyfer cyfathrebu gwybodaeth
 Prosesau, dulliau a thechnegau
 Rheoli asedau gwybodaeth – mae hyn yn cynnwys beth mae unigolion
yn ei wybod drwy eu profiad
Pwysigrwydd
Gellir disgrifio Rheoli Gwybodaeth fel rhywbeth sy’n cael effaith ar:
 Ddiogelu ffrydiau incwm gan fod cwmnïau yn gwybod sut i ddod o hyd a
sicrhau buddiannau busnes a’u diogelu
 Gwella cyfraddau cadw
 Cynyddu lefelau cynhyrchiant
 Hyrwyddo arloesedd
1.2 Egluro cysyniad eiddo
deallusol
Mae’n bosibl gwahanu Rheoli Gwybodaeth oddi wrth Ddysgu Sefydliadol drwy
ganolbwyntio mwy ar asedau gwybodaeth penodol a datblygu a meithrin y
cyfryngau ar gyfer cyfathrebu gwybodaeth.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi rhoi
esboniad cryno iawn o gysyniad, cwmpas a phwysigrwydd rheoli gwybodaeth
drwy wneud cysylltiadau cryf gydag enghreifftiau seiliedig ar waith i ddangos y tri
maes.
Daw’r wybodaeth sydd ar gael mewn cwmni o gronfeydd data a llyfrau, gan
gynnwys manylion y gellir eu darllen o lawlyfrau ac a allai fod ar gael yn
gyffredinol. Gellir disgrifio gwybodaeth ddealledig fel ‘gwybod bod’ neu ‘gwybod
pryd’ er enghraifft ac ar y cyfan, gwybodaeth sy’n cael ei throsglwyddo drwy
brofiad a’i deall gan unigolion yw hi. Gall cwmni ddioddef os yw’n colli person
profiadol iawn ar sail y ffaith na ddefnyddiwyd y wybodaeth ddealledig hon.
Rheoli Gwybodaeth yw’r ddisgyblaeth o alluogi unigolion, timau a sefydliadau
cyfan i greu, rhannu a defnyddio gwybodaeth ar y cyd i gyflawni eu hamcanion
yn well. Y wybodaeth hon yw eiddo deallusol y sefydliad.
Mae eiddo deallusol yn gasgliad o syniadau a chysyniadau, gall fod yn frand, yn
ddyfais, yn gynllun, yn gân y gellir bod yn berchen arni, y gellir ei phrynu neu ei
gwerthu. Gweler Intellectual Property Office - Welcome to the Intellectual
Property Office <http://www.ipo.gov.uk/> [19.6.14]
Mae pedwar math o hawliau yn cael eu hamddiffyn gan y gyfraith:
 Patentau
 Nodau masnach
 Dyluniadau
 Hawlfraint
1.3 Nodi’r ysgogiadau busnes
sy’n arwain at reoli
gwybodaeth yn effeithiol
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi rhoi
esboniad cryno iawn o beth yw eiddo deallusol, gan ddarparu un enghraifft o
sector seiliedig ar waith perthnasol. Yn ogystal, mae wedi nodi enghraifft
seiliedig ar waith a fyddai’n cael ei hamddiffyn gan y gyfraith ym mhob maes –
patentau, nodau masnach, dyluniadau a hawlfraint. Mae gofyn i’r dysgwr egluro
hefyd sut y gall defnyddio nwyddau ffug yn y cwmni gael effaith negyddol, gan
awgrymu dwy enghraifft o ganlyniadau posibl.
Dywedodd Syr John Steely Browne, BP, Adolygiad Busnes Harvard (1997):
“Most activities or tasks are not one-time events. Whether it’s drilling a well or
conducting a transaction at a service station, we do the same things repeatedly.
Our philosophy is fairly simple: every time we do something again, we should do
it better than the last time”.
1.4 Egluro’r risgiau sy’n
gysylltiedig â rheoli
gwybodaeth a’u goblygiadau
posibl
1.5 Egluro pwysigrwydd ymgysylltu
ag eraill a chyfathrebu materion a
gweithgareddau rheoli gwybodaeth
Yr ysgogiadau (dylanwadau) busnes ar gyfer Rheoli Gwybodaeth yw’r angen i:
 Ailadrodd prosesau a darpariaeth gwasanaeth a sicrhau'r un safon a
chanlyniad bob tro
 Cadw’r fantais gystadleuol a cheisio bod ‘y gorau yn y dosbarth’
 Ceisio sicrhau cymaint o gyfleoedd â phosib ar gyfer recriwtio, hyfforddi
a chadw staff o safon uchel
 Diogelu gwybodaeth ddeallusol
 Sicrhau’r nwyddau a’r gwasanaethau o’r safon uchaf am yr arian sydd ar
gael
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi nodi
tri ysgogiad o sector gwaith a ddewiswyd sy’n berthnasol i’r busnes. Ym mhob
achos a ddewiswyd uchod, dylid awgrymu cam gweithredu y gellid ei gymryd i
reoli gwybodaeth yn effeithiol.
Mae ‘risg’ a ‘gwybodaeth’ yn ddwy elfen o reoli busnes. Mae’r ddwy elfen yn
gysylltiedig fel arfer yng nghyd-destun defnyddio systemau TG lle mae angen
gweithredu mesurau rheoli ariannol. Fodd bynnag, nid yw dulliau o reoli risg yn
newid cymaint o reidrwydd wrth i systemau newydd a newidiadau mewnol gael
eu cyflwyno, yn unol â rheoliadau neu bolisïau newydd. Mae’n rhaid cydbwyso
hyn â’r risg o rannu gwybodaeth am risg.
Mae cysoni systemau rheoli gwybodaeth yn achosi risgiau penodol pan fo angen
gwneud penderfyniadau yn seiliedig ar y wybodaeth ddiweddaraf; mae hyn yn
wir am unrhyw system lle mae angen rhannu gwybodaeth.
Mae’r system hefyd yn dibynnu ar safonau a phrosesau sy’n cyd-fynd â
diwylliant cyfredol y sefydliad ac mae’n rhaid i bobl gael yr arweiniad, yr
hyfforddiant a’r cymorth i’w defnyddio.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
egluro’r prif risgiau sy’n gysylltiedig â rheoli gwybodaeth yng nghyd-destun un
maes gwaith. Gan ddefnyddio’r cyd-destun uchod, dylid nodi dau o oblygiadau
posibl.
Mae’n bwysig ymgysylltu ag eraill er mwyn datblygu ymdeimlad o bwrpas
cyffredin. Mae cyfathrebu effeithiol yn sicrhau bod gwybodaeth yn cael ei
chyflwyno’n glir a chywir gan ddefnyddio’r cyfryngau sy’n briodol i bobl a chyddestunau gwahanol. Mae gwrando gweithredol ac adborth da hefyd yn sicrhau
bod gwybodaeth wedi cael ei derbyn, a lle bo angen, wedi cael ei hegluro.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
egluro pam ei bod hi’n bwysig ymgysylltu ag eraill wrth gyfathrebu materion
rheoli gwybodaeth. Yn ogystal, mae’r dysgwr wedi nodi dwy ffynhonnell
wybodaeth a rannwyd ag eraill sy’n ymwneud â chanllawiau ar systemau,
1.6 Egluro egwyddorion arferion
gorau a thechnegau ar gyfer rheoli
gwybodaeth yn effeithiol
1.7 Disgrifio strategaethau i reoli
gwybodaeth ddealledig a phendant
adnoddau, safonau neu weithdrefnau ar gyfer rheoli gwybodaeth.
Arfer gorau yw dull neu dechneg sy’n arwain at ganlyniadau da yn gyson ac y
gellir parhau i ddibynnu arno i sicrhau canlyniadau dymunol, i’w defnyddio fel
meincnod.
Mae arfer gorau yn cynnwys:
 Rhannu a darparu gwybodaeth ddilys a dibynadwy i’r rhai sydd ei
hangen
 Sefydlu a chynnal cyfryngau cyfathrebu y gellir eu haddasu i anghenion
pobl
 Meithrin dealltwriaeth a phwrpas a rennir
 Cydymffurfiaeth gyfreithiol yn unol â pholisi’r sefydliad a chodau
proffesiynol
 Cyflwyno gwybodaeth yn glir, cywir a phrydlon
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi nodi
pum ‘egwyddor arweiniol’ a fyddai’n gyfystyr ag arfer gorau mewn cyd-destun
sefydliadol penodol ac egluro’r rheswm dros ddewis pob un. Yn ogystal, mae
wedi dewis un ‘egwyddor’ a disgrifio sut y defnyddir yr egwyddor hon mewn
sector seiliedig ar waith sy’n gysylltiedig â’r cyd-destun uchod.
Yn y 1990au, cyflwynodd Nonaka y ddau gysyniad hyn, gan wahaniaethu
rhyngddynt. Dywedodd fod gwybodaeth bendant i’w chael mewn dogfennau a
bod gwybodaeth ddealledig i’w chael mewn gwybodaeth bersonol a gwybodaeth
sy’n seiliedig ar brofiad. Mae’r math cyntaf yn fwy tebygol o fod wedi’i chofnodi
a’i chodio. Awgrymodd Botha et al (2008) y dylid edrych ar wybodaeth
ddealledig a phendant fel ‘sbectrwm’ yn hytrach na phwyntiau diffiniol.
Mae strategaethau ar gyfer rheoli gwybodaeth eglur yn seiliedig ar brosesau
cadw, adfer ac addasu. Sicrhau bod y bobl iawn yn gallu cael mynediad da at y
wybodaeth iawn ar yr adeg iawn. Mae Botha et al yn datgan bod gwybodaeth
eglur i’w chael mewn cronfeydd data, memos, nodiadau, dogfennau ac ati.
Mae gwybodaeth ddealledig, sy’n cael ei galw’n ‘wybodaeth ymarferol arbennig’
neu ‘know-how’ gan Polanyi (1966) i’w chael ym meddyliau pob rhanddeiliad.
Mae Gamble a Blackwell (2001) yn ei disgrifio fel y wybodaeth sydd wedi’i
gwreiddio a’i chloi mewn prosesau, cynhyrchion, diwylliant, arferion, arteffactau
neu strwythurau.
Mae strategaethau ar gyfer rheoli gwybodaeth ddealledig yn cynnwys e.e.
sefydlu trefnau, rheolau, prosesau, llawlyfrau, codau ymddygiad a datganiadau
moesegol. Mae’n bwysig ystyried, er bod modd i’r wybodaeth hon fodoli mewn
ffynonellau pendant (rheol mewn llyfr rheolau) nad yw’r wybodaeth ei hun yn
bendant.
2. Gallu nodi
gwybodaeth i’w
rheoli mewn
sefydliad
2.1 Nodi’r meini prawf ar gyfer
rheoli gwybodaeth
2.2 Ymgysylltu â
chydweithwyr i nodi’r
wybodaeth sydd angen ei
rheoli
3. Gallu rheoli
gwybodaeth mewn
sefydliad
3.1 Rhoi camau gweithredu ar
waith yn unol â’r cynllun rheoli
gwybodaeth
3.2 Cydymffurfio â phrosesau
diogelwch ar gyfer casglu, cadw ac
adfer gwybodaeth
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
disgrifio un strategaeth sefydliadol ar gyfer rheoli gwybodaeth bendant, gan
gadarnhau pam mae’r wybodaeth wedi’i hystyried fel gwybodaeth bendant. Mae
gofyn i’r dysgwr hefyd ddisgrifio un strategaeth sefydliadol ar gyfer rheoli
gwybodaeth ddealledig, gan gadarnhau pam mae’r wybodaeth wedi’i hystyried
fel gwybodaeth ddealledig.
Mae meini prawf ar gyfer rheoli gwybodaeth yn y sefydliad yn cynnwys atebion i’r
cwestiynau canlynol, er enghraifft:
 A yw’n cyd-fynd â’r cysyniadau a’r strategaethau, y technegau a’r dulliau
rheoli gwybodaeth arfer da diweddaraf?
 A oes safonau, systemau ac adnoddau priodol ar gael i gefnogi faint o
reoli gwybodaeth sydd ei angen?
 A roddwyd sylw i ystyriaethau cyfreithiol a moesegol e.e. eiddo
deallusol?
 A fydd yna werth ychwanegol i’r sefydliad?
 A fydd ar gael i bawb sydd ei angen?
 A yw’n cael ei ddiogelu gan bolisïau a gweithdrefnau sy’n ymwneud â
chyfrinachedd, cyfathrebu, systemau adfer a chadw a gofynion
sefydliadol allweddol eraill?
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi nodi
pum maen prawf ar gyfer rheoli gwybodaeth, gan egluro goblygiadau allweddol
pob maen prawf.
Mae ymgynghori â chydweithwyr yn nodi natur, math a lefel y wybodaeth sydd
angen ei rheoli mewn sefydliad.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
ymgysylltu â chydweithwyr, ar dri achlysur, gan nodi’r wybodaeth i’w rheoli, a
darparu dogfennau priodol i ategu hyn.
Mae’r cynllun rheoli gwybodaeth yn nodi cyfres o gamau gweithredu i’w cyflawni,
sy’n cyd-fynd â’r egwyddorion a bennwyd ac sy’n gysylltiedig â pholisïau a
gweithdrefnau’r sefydliad.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
dewis rhannau perthnasol o’r cynllun rheoli gwybodaeth ac wedi rhoi dau gam
gweithredu ar waith gan egluro perthnasedd pob cam.
Mae prosesau diogelwch yn cael eu cynllunio i sicrhau bod gwybodaeth ar gyfer
rheoli yn cael ei chasglu, ei chadw a’i hadfer mor ddiogel â phosibl yn unol â
gofynion cyfreithiol, rheoliadau’r diwydiant a chodau ymarfer y sefydliad.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi nodi
un enghraifft yr un o’r prosesau casglu, cadw ac adfer. Dylai egluro’n fyr sut y
cydymffurfiwyd â phrosesau diogelwch ym mhob achos.
3.3 Gwerthuso i ba raddau mae’r
systemau a’r prosesau rheoli
gwybodaeth cyfredol yn addas i’r
diben
3.4 Gwelliannau a argymhellir i
brosesau a systemau er mwyn
rheoli gwybodaeth
3.5 Asesu effaith a goblygiadau
tebygol colli gwybodaeth
‘Addas i’r diben’ yw ei bod hi’n bwysig cydnabod y gwahaniaeth rhwng ‘data a
gwybodaeth’ a ‘gwybodaeth’, a ddylai, yn ôl Dyer (2000) mewn erthygl yn News
Archive, fod yn wybodaeth sy’n ‘gyd-destunol, perthnasol a phosibl gweithredu
arni’.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
cynnal gwerthusiad cryno o i ba raddau mae’r ddwy enghraifft o systemau rheoli
gwybodaeth cyfredol a ddefnyddiwyd yn y sefydliad yn addas i’r diben ac wedi
rhestru manteision ac anfanteision allweddol pob enghraifft.
Bwriad gwelliannau penodol yw cynyddu defnyddioldeb a gwerth prosesau a
systemau.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod (yn dilyn
ymlaen o’r ddwy enghraifft a nodwyd yn adran A.C. 3.3) wedi gwneud dau
argymhelliad o leiaf, er mwyn gwella prosesau a systemau rheoli gwybodaeth.
Ym mhob un o’r enghreifftiau a ddewiswyd, mae wedi datgan sut yn benodol y
bydd y gwelliant arfaethedig yn ateb y diffygion a nodwyd yn y system.
‘Mae effaith yn golygu effeithio ar’ a gallai hyn fod yn berthnasol i bobl a
systemau. Bydd colli gwybodaeth yn arwain at effaith. Mae difrifoldeb y golled yn
gysylltiedig â thrafodaeth yn A.C. 3.3 am y ffaith fod ‘rheoli gwybodaeth’ yn
wahanol i ‘ddata a gwybodaeth’. Pan gollir gwybodaeth h.y. gwybodaeth wedi’i
chymryd i ffwrdd, mae’r goblygiadau yn bellgyrhaeddol ac mae angen y cyddestun a’r enghraifft benodol, er mwyn pennu maint y golled.
Yn y maen prawf hwn, mae gofyn i’r dysgwr ddarparu tystiolaeth ei fod wedi
egluro, mewn trosolwg byr, pam mae yna oblygiadau yn gysylltiedig â cholli
gwybodaeth yn y sefydliad. Yn ogystal, mae wedi nodi enghraifft benodol ac
wedi asesu effaith y golled ar bedwar o randdeiliaid (e.e. aelodau staff unigol,
timau, sefydliad a chleientiaid).
M&L 43 Recruitment, selection and induction practice
Learning Outcome
Assessment Criteria
1. Understand the
principles and theories
underpinning
recruitment, selection
and induction practice
1.1 Explain workforce planning
techniques
1.2 Describe the information
needed to identify recruitment
requirements
Guidelines and range
The candidate provides evidence that they understand:
Workforce planning techniques use a range of data and information from internal
and external sources to support overall decisions about future profiles and
staffing requirements within the organisation. The results obtained from using
various techniques do not give the definitive ‘answer’ but offer a medium to
explain the data in a more robust way, which will benefit those making decisions
about organisational design and skills requirements.
Sectors have their own ways of using their information and levels of
sophistication in the application of ‘modelling tools’, however, these usually have
certain key features:
 Environmental scanning
 Current workforce profiling
 Future view forecasting –what is likely to continue and what will change?
 Reference class forecasting –looking at past and similar situations and
outcomes
 Analysis of skills gaps and targeted future planning using qualitative and
quantitative data and information
 Internal and external supply and demand
In this criterion the learner is required to provide evidence that he or she has
selected a workforce planning technique and very briefly explained how it is
used in a workplace context. In addition, he or she has stated an alternative
technique relevant to the organisation and identified key features of the
technique.
Information needed to identify recruitment requirements includes:
 Corporate information related to the strategic direction and focus of the
organisation, including risk and uncertainty, as part of the corporate
planning cycle
 Supply issues – current workforce analysis - a detailed workforce profile
(number, turnover, demographics, competencies, job levels, education,
certification, status FT/PT)- this forms the baseline data
 Demand issues- changes over the planning period, innovation,
technology, structural changes, skill requirements
 Gap analysis – aligning the current and projected workforce profile and
drafting a solution, including training versus recruitment, to fill
competency gaps

Decisions about the utilisation of contractors and/or existing staff
In this criterion the learner is required to provide evidence that he or she has
described the information required in own area of responsibility in order to
identify recruitment requirements.
1.3 Assess the impact of an
organisation’s structure and
culture on its recruitment and
selection policies and
practices
1.4 Analyse the factors
involved in establishing
recruitment and selection
criteria
‘Impact’ reflects the influence the structure and culture of the organisation has on
recruitment and selection policies and practices and the value placed on the
expertise of hiring managers, interviewing techniques and the selection of
candidates.
‘Organisational culture’ according to Schein (2004) can be seen at three levels:
 Artefacts- tangible level or surface level
 Espoused beliefs and values- shared goals and perceptions
 Basic underlying assumptions- these are embedded and taken for
granted
The current and future workforce is integral to the strategic direction and culture
of the organisation. Requirements of key appointments are ‘mission critical’ and
bring significant value and structure to the whole organisation. The
communication strategy to communicate the workforce plan enables beliefs and
expectations to be embedded within the culture of the organisation. Recruitment
and selection policies and practices will reflect attitudes to, for example,
succession planning, flexible working and training opportunities.
In this criterion the learner is required to provide evidence that he or she has
briefly described key features of the organisational structure and provided two
examples of how the organisational culture is conveyed through its daily
activities and/or routines. In addition, he or she has identified one example of
good practice that occurs when recruiting and one example of good practice that
occurs when selecting a candidate, and assesses how the structure and culture
have an effect on these practices.
‘Analyse ‘means to examine in detail the factors involved in establishing the
recruitment and selection criteria.
Key factors include:
 Legislation and good practice
 Establishing a vacancy exists- purpose and nature of job to be filled
 Job analysis- job description (what the job entails including pay) and
person specification (the ‘ideal’ person for the job)
 Attracting a suitable pool of applicants – from internal and external
sources
In this criterion the learner is required to provide evidence that he or she has
1.5 Evaluate the suitability of
different recruitment and selection
methods for different roles
1.6 Analyse patterns of
employment that affect the
recruitment of staff
identified the key factors involved in establishing recruitment and selection
criteria. In addition, he or she has analysed why these factors are important and
drawn conclusions from this analysis.
‘Evaluate’ means to examine how well each part of any suggested examples
work and what could be done to make each part better?
A range of selection processes are used and the choice can partly relate to the
level of seniority of the prospective post holder.
Including, though not exclusively the following methods:
 Face to face interviews and /or telephone interviews, following on from
submission of completed application forms and/or curriculum vitae
(C.V’s)
 Use of references and previous employment checking
 Psychological testing – used in occupational settings to measure
individuals’ differences (e.g. ability, personality)
 Assessment Centres- for completion of a number of different tasks,
linked to the job description. Sometimes group tasks are set and these
centres offer a preferred method, which is often used for first –tier or
large scale interviewing processes with a high volume of applicants.
In this criterion the learner is required to provide evidence that he or she has
chosen three different job roles within the organisation and suggested a suitable
method/ or methods of selection for each one. In addition, he or she has
evaluated the reasons for the choice for each of the three methods and in each
case, linked these to the overall purpose of the selection process.
‘Analyse’ means to examine and draw meaning from the patterns of employment
that affect staff.
A number of different patterns of employment have been developed to meet the
needs of employers and employees. These include, for example:
 Full-time employees
 Part-time employees
 Job-sharing arrangements
 Permanent and fixed term posts
 The use of temporary agency workers or contractors
This new flexibility is a response to the variable levels of staff needed in terms of
volume (e.g. seasonal work) skills (e.g. new technologies) and place of work.
Key factors that influence and affect a person’s chances of employment
include:
 Educational qualifications
 Demand for certain skills
 Age
1.7 Explain the factors to be taken
into account when developing job
specifications, personal
specifications and job
advertisements
1.8 Explain the induction
process
1.9 Explain the relationship
between human resource
processes and the induction
processes
 Ethnicity
 Social class
 Gender
 Employment opportunities in a particular area, etc.
In this criterion the learner is required to provide evidence that he or she has
analysed patterns of employment in one area of the organisation, explaining
briefly how these patterns affect the recruitment of staff, from the organisation’s
viewpoint.
Job specifcations are created from three main areas of investigation:
 Research – what exactly is required to fill a vacancy, level of expertise
and skill required, number of hours required and working arrangements
 Job description – introduction to the organisation, role, purpose, content,
pay and practical arrangements e.g. clean driving license required
 Person specification e.g. skills, qualifications, experience, competencies.
In this criterion the learner is required to provide evidence that he or she has
selected a job advertisement from the organisation and the corresponding job
and person specifications. For each of these (three) artefacts, explained the
essential considerations made during the development of each.
Induction processes are most likely to include information about:
 Organisational culture and the expectations of employees
 New tasks and procedures (including health and safety information)
 Key contacts
 Practical arrangements
 Initial role direction and focus
In this criterion the learner is required to identify that he or she has provided
evidence of selecting induction information (e.g. pack) appropriate for a first line
employee, explaining reasons for the inclusion for each item (a minimum of four
items to be included).
Human resource processes are those involving legal requirements,
organisational policies and procedures relative to new employees, in order that
both compliance and employee well-being issues have been addressed. Those
groups requiring particular attention are:
 School and college new recruits, including those on apprenticeship or
management trainee schemes
 Employees with disabilities
 People from minority groups
In this criterion the learner is required to provide evidence that he or she has
selected two different categories of new employees and explained how key
responsibilities of the Human Resource function are aligned with information
and/or training delivered as part of the Induction process.
2. Be able to recruit
people into an
organisation
2.1 Determine current staffing
needs
2.2 Identify current skills
needs from identified staffing
needs
2.3 Identify future workforce needs
‘Current staffing needs’ relates to the number of people required to complete
identified tasks. Information is gathered under the following headings to find out
about the actual staffing profile. Examples of relevant information include:
 Headcount and demographics (e.g. age, gender, race, disability)
 Titles
 Grades
 Performance ratings
 Qualifications
 Education
 Tenure
 Compensation and benefits
Any gaps in the staffing profile requires clarification.
In this criterion the learner is required to provide evidence that he or she has
determined current staffing needs for a designated area of work using
information collated and analysed and the identification of any shortfalls.
Current skills needs figures may potentially produce a different calculation to the
figure for the actual current staffing profile. The information generated, including
the difference between these two sets of figures forms highly valuable planning
information. ‘Identified staffing needs’ are based on information gathered
internally to meet planned requirements.
Identified staffing needs can be determined by:
 Using the current (actual) and projected workforce profiles and
identifying any gaps in headcount, grades, knowledge, skills, abilities
and experience
 Noting these gaps and excesses in each of the six areas identified in
AC 2.1
In this criterion the learner is required to provide evidence that he or she has
identified current skills needs from information about staffing needs identified in
AC2.1.
Predictions about the future workforce needs are made by using the following
sources of information and data:
 External environment, trends in employment and sector information
 Internal environment – strategic level i.e. the direction and focus of the
organisation and the implications for each level
 Internal environment- local level skills excesses and/or gaps , levels of
expertise required and level of demand
In this criterion the learner is required to provide evidence that he or she has
2.4 Develop a resourcing plan that
addresses identified needs within
budgetary limitations
2.5 Evaluate the costeffectiveness of different methods
of recruitment for an identified role
2.6 Explain how recruitment
policies and practices meet legal
selected and used key information from external and internal sources, where
relevant, to identify future workforce needs within a designated area of the
organisation.
Resourcing need decisions and priorities may be based upon, for example:
 Vital skills needed for success
 Skill imbalance created by turnover, retention strategies and associated
costs
 Training versus recruiting to fill competency gaps
 The use of agencies and other third parties versus using own staff
 Re-assignment of resources with excess skills, to other key roles, to
create development opportunities
A resourcing plan is an essential requirement, particularly when constrained by
budgetary limitations, when decisions are being made about priorities for action
to meet the identified needs.
In this criterion the learner is required to provide evidence that he or she has
developed a resourcing plan to address identified needs, within budgetary
limitations, for a designated area of work.
Different methods of recruitment include using:
 Existing employees -internal recruitment
 Job centres
 Scanning of known sources and networking
 Employment agencies or recruitment agencies
 Targeted adverts- related to the role and nature of the job e.g. local and
national newspapers, professional journals, the internet and social
networking sites
 Open days and recruitment fairs
 Outplacement and resettlement agencies
‘Cost effectiveness’ provides an economic analysis of the relative costs and
outcomes of two or more courses of action. ‘Evaluate’ means to examine the
relative costs, expected quality outcomes and the longer term gain for the
organisation.
In this criterion the learner is required to provide evidence that he or she has
selected two separate job roles and chosen an appropriate method of
recruitment for each one. In addition, he or she has evaluated the cost
effectiveness of each method selected (using the above examples).
Key legislation regarding recruitment and selection cannot be explained in a brief
paragraph; however, a good starting point is The Equality Act 2010 which aims
to provide a simpler and more consistent and more effective legal framework.
and ethical requirements
2.7 Select the most appropriate
method of recruitment for
identified roles
3. Be able to select
appropriate people for
the role
3.1 Plan assessment processes
that are valid and reliable
There are ‘protected characteristics ‘in the act. In addition, types of
discrimination, victimisation and harassment are covered. Organisational
policies will also be in place to meet legislative requirements. ‘Ethical
requirements’ covers the behaviours relating to recruitment, selection and
appointments which includes working with integrity.
In this criterion the learner is required to provide evidence that he or he has
provided an example of a policy (extract) that has been designed to meet a legal
requirement and a separate description of a practice, linked to recruitment
procedures which have been designed to meet a stated ethical requirement. In
addition, he or she has explained in the above example, how, in practice, legal
and ethical requirements are met.
Matching job role to method of recruitment involves decisions about the most
effective method to use. The aim is to attract the right number of suitable
candidates; hence, the medium, content and design of the advert (if this is to be
the chosen route) are critical:
 For semi- skilled positions there may be a wider pool of available talent
in the locality and the job centre may be able to provide a stream of
applicants
 Managerial, specialist and technical staff may require more targeted
routes which tend to be more expensive and this has to be balanced
against the cost of not filling key posts

Internet recruitment may include advertising on own company website
or the use of specialist online recruitment websites, increasingly using
social networking sites as a preferred option
In this criterion the learner is required to provide evidence that he or she has
selected two different roles and in each case, described a suitable method of
recruitment giving the advantages and disadvantages of each.
Assessment processes include:
 Psychometric testing which can be used to measure individual
differences in personality and ability and make predictions about future
behaviour.
 Assessment Centres (A.C’s) – are used for large –scale recruitment,
graduates and senior roles, specialist and technical positions
Sometimes group tasks are set. Also used for large scale interviewing. To
ensure validity and reliability, qualified and competent staff should be utilised to
deploy the tests and make recommendations about individuals. The quality of
techniques and materials used should be appropriate, using job- relevant
criteria.
In this criterion the learner is required to provide evidence that he or she has
explained the meaning of validity and reliability in the context of one form of
3.2 Provide those involved in the
selection process with sufficient
information to enable them to
make informed decisions
3.3 Justify assessment decisions
with evidence
3.4 Inform applicants of the
outcome of the process in line with
organisational procedures
3.5 Evaluate the effectiveness of
the selection process
assessment. In addition, he or she has planned two different assessment
processes, relevant to the organisation, including supporting documentation.
The information used in selection processes is taken mainly from two main
sources:
 Data including the completed application form and /or C.V.
 Job description, person specification, references
 Results of tests (where applicable) or appraisals (internal candidates)
 Interview performance
In this criterion the learner is required to provide evidence that he or she has
collated relevant information and provided those involved in the selection
process, with sufficient information to enable them to make informed decisions.
Criteria are established, prior to assessment, in order to filter out those
candidates who do not meet both the minimum criteria and essential
requirements, as stated in the person specification. Shortlisted candidates,
depending on the seniority of the post, may be recalled for further interviews, in
order that the ‘best fit’ between the desirable characteristics, interview
performance, references and job role can be established.
In this criterion the learner is required to provide evidence that he or she has
presented examples of two assessment decisions, justifying the reasons for
making each decision.
Candidates may be informed of the outcome of the application process, in line
with organisational procedures, in one or more of the following ways:
Process for unsuccessful candidates:
 Informed as soon as possible either by telephone and/or letter
Process for successful candidates:
 Verbal offer stating conditions of service including length of contract
 Written conditional offer
 After acceptance, notification that conditions of the offer have been met
and arrangements for induction have been made
In this criterion the learner is required to provide evidence that he or she has
described the process for informing both unsuccessful candidates in line with
organisational policy and informed two applicants of the outcome of the selection
process.
Depending on the success criteria established by the organisation,
effectiveness is evaluated by the quality of the outcomes of the selection
process.
Success indicators for possible consideration are:
 Positive feedback from candidates and those engaged in the recruitment
process (e.g. agencies)
3.6 Adhere to organisational
policies and procedures, legal and
ethical requirements when
carrying out selection
assessments
4. Be able to induct
people into an
organisation
4.1 Develop induction materials
that meet operational and new
starters’ needs
4.2 Explain to new starters
organisational policies,
procedures and structures
 Vacancies matched and filled with appropriate skills and expertise
 Cost effectiveness of recruitment and selection methods
 Staff retention rates
In this criterion the learner is required to provide evidence that he or she has
evaluated an effective selection process recommending four key success factors
that could be applied to future selection processes.
Both order and detail are important when following organisational policies and
procedures also when carrying out selection assessments with due regard to
legal and ethical requirements.
In this criterion the learner is required to provide evidence that he or she has
explained why order and detail are particularly important when carrying out
selection assessments. In addition, he or she has adhered to organisational
policies, procedures, legal and ethical requirements, describing how these
principles were followed during two separate selection assessments.
Induction materials are designed to:
 Enable the new employee to fulfil the requirements of the role
effectively, so that new tasks can be commenced
 Increase training accessibility, where required and
 Make contact with other employees as early as possible
Settling into a new role can take time to ‘fit ‘into the new culture and ways of
working and for the development of acceptance within the organisation by both
parties.
In this criterion the learner is required to provide evidence that he or she has
identified essential needs of new starters to the organisation. In addition, he or
she has developed induction materials that meet both the new starter and
organisational needs.
Induction information is made available at a general and specific level,
increasing use being made of accessible online information through the
company website links. Essential policies and procedures (or links to) are made
available at Induction; Ones that are of direct and immediate concern to the new
employee e.g. Health and Safety, may also be highlighted.
Induction practices vary according to the sector of operation and the size of the
company, enabling opportunities for question and answer sessions.
In this criterion the learner is required to provide evidence that he or she has
explained to new starters, how to locate information relating to organisational
policies, procedures and structures, highlighting significant sources of
information of immediate concern for new employees. (i.e. Fire prevention and
4.3 Explain to new starters their
role and responsibilities
4.4 Explain to new starters their
entitlements and where to go for
help
4.5 Assess new starters’ training
needs
evacuation procedures)
Defining roles and responsibilities helps employees to understand their job
requirements, what they are expected to do and the teams that they are part of.
Explanation may be in more formal presentations and depending on the roles;
these are useful for explaining company values and beliefs alongside more
practical day to day information.
Face to face meetings are also arranged between key parties to establish good
working relationships.
In this criterion the learner is required to provide evidence that he or she has
selected two new starters with different roles and responsibilities, as well as
explaining details of their roles and responsibilities in the work context.
‘Entitlements’ are guaranteed rights linked closely with legislation, company
policy and good practice within the organisation. Depending on the nature of the
help required, key contacts will be named e.g. line manager in order that
questions can be responded to and requests actioned.
In this criterion the learner is required to provide evidence that he or she has
explained entitlements and where to go for help to two new starters in different
roles.
Training needs are assessed by:
 Identifying role -specific performance requirements ,knowledge , skills ,
experience and ability levels
 Identifying specific performance requirements, knowledge , skills,
experience and ability levels in new starters
 Specific role requirements/ levels of skill or experience required
 Value (financial and non- financial) of undertaking training (self and
organisational considerations)
‘Gaps’ between the role requirements and individuals’ current levels of
performance are identified, with a view to providing training where required.
A further consideration is the estimated cost of ignoring the gaps.
In this criterion the learner is required to provide evidence that he or she has
assessed, using two different examples, individuals’ training needs, explaining
the key stages of the process in each case including outcome decisions and
planned actions to be taken forward.
4.6 Confirm that training is
available that meets operational
and new starters’ needs
Training opportunities can be classified as:
On-the-job training
Employees receive training whilst remaining in the workplace, main methods
include:
 Demonstration / instruction - showing the trainee how to do the job
 Coaching - a more intensive method of training that involves a close
working relationship between an experienced employee and the
trainee
 Job rotation - where the trainee is given several jobs in succession, to
gain experience of a wide range of activities (e.g. a graduate
management trainee might spend periods in several different
departments or companies)
 Projects - employees join a project team - which gives them exposure to
other parts of the business and allows them to take part in new
activities. Most successful project teams are ‘multi-disciplinary’
Off-the-job training
Employees are taken away from their place of work to be trained. Frequently
used methods of off-the-job training include:
 Day release (employee takes time off work to attend a local college or
training centre)
 Distance learning / evening classes
 Block release courses - which may involve several weeks at a local
college or training centre
 Sandwich courses - where the employee spends a longer period of time
at college (e.g. six months) before returning to work
 Sponsored courses in higher education
 Self-study, computer-based training
4.7 Provide support that meets
new starters’ needs throughout the
induction period
In this criterion the learner is required to provide evidence that he or she has
confirmed that training is available, briefly clarifying for two individuals, what the
training will be and how it will meet the identified needs of the new trainees and
the operational needs of the organisation.
Models of support
The level and nature of support required will vary during the induction period
examples include:

Standard supervision – the line manager provides a regular level of
support, including a small amount of non-work related assistance, if
required
Non-delineated supervision and support – in this model, work-related
support is provided by the placement supervisor, who is also available to
offer personal support.
 Delineated supervision and support – in this model, work-related support
is provided by a placement supervisor and any personal support is
provided by a dedicated support person, such as a life coach, mentor, or
employment advice worker.
This support is sometimes delivered from within the organisation and sometimes
by another partner organisation.
In this criterion the learner is required to provide evidence that he or she has
defined the nature of support offered to new starters for an identified Induction
period. In addition, the learner has provided support identified above for a
designated induction period, explaining how the level of support offered meets
the identified needs of new starters.

B&A 69 Manage events
Learning Outcome
Assessment Criteria
1. Understand the
management of an
event
Explain how organisational
objectives will be met by an event
Explain the flexibilities and
constraints of an event’s budget
Evaluate the use of project
management techniques in event
management
Analyse how models of contingency
and crisis management can be
applied to event management
Analyse the use of customer
relationship management (CRM)
systems to attract attendees
Evaluate the application of the
principles of logistics to event
management
Describe the insurance
requirements of an event
Evidence may be supplied by:
 Report, professional discussion and questioning
2. Be able to manage 2.1 Identify the purpose of an event
the planning of an
and the key messages to be
event
communicated
2.2 Identify target attendees for an
event
2.3 Assess the impact of an event
on an organisation and its
stakeholders
2.4 Establish requirements for
resources, location, technical
facilities, layout, health and
safety
Guidelines and range
The candidate provides evidence that they understand:
Techniques include:
 The Iron triangle of Project Management
 The Planning Cycle
 SWOT Analysis
 Risk Analysis
 Gantt Charts
 Critical Path Analysis
Models:
 Risk/Impact Probability Chart
 Issue Management Log
2.5 Identify how event-related risks
and contingencies will be
managed
2.6 Develop an event plan that
specifies objectives, success
and evaluation criteria
2.7 Make formal agreements for
what will be provided, by whom
and when
2.8 Determine methods of entry,
security, access and pricing
Events for this unit may include, but are not limited to: conference, wedding, launch of a new product/service, sporting event
Evidence may be supplied by:
 Product, witness testimony, report, professional discussion and questioning
3. Be able to manage 3.1 Manage the allocation of
an event
resources in accordance with
the event management plan
3.2 Respond to changing
circumstances in accordance
with contingency plans
3.3 Deliver agreed outputs within
the timescale
3.4 Manage interdependencies,
risks and problems in
accordance with the event
management plan
3.5 Comply with the venue,
insurance and technical
requirements
3.6 Apply the principles and good
practice of customer care when
managing an event
3.7 Adhere to organisational
policies and procedures, legal
and ethical requirements when
managing an event
Evidence may be supplied by:
 Product, witness testimony, report and questioning
4. Be able to follow
4.1 Ensure that all post-event leads
up an event
or actions are followed up
4.2 Optimise opportunities to take
actions that are likely to further
business objectives
4.3 Evaluate the effectiveness of
an event against agreed criteria
Evidence may be supplied by:
 Product, witness testimony, report and questioning
CS 36 Adolygu ansawdd gwasanaeth cwsmeriaid
Deilliannau Dysgu
Meini Prawf Asesu
1. Deall sut i adolygu
ansawdd gwasanaeth
cwsmeriaid
1.1 Egluro pa mor werthfawr yw
mesur ansawdd gwasanaeth
cwsmeriaid
1.2 Dadansoddi’r meini prawf o
blaid a’r ffactorau sy’n rhan o’r
broses o osod safonau
gwasanaeth cwsmeriaid
1.3 Egluro sut i baratoi samplau
cynrychioliadol
1.4 Dadansoddi dulliau o ddilysu
gwybodaeth a ffynonellau
gwybodaeth
1.5 Egluro sut i osod metrigau
perfformiad gwasanaeth
cwsmeriaid a’u defnyddio
2. Gallu cynllunio’r
gwaith o fesur
gwasanaeth
cwsmeriaid.
1.6 Egluro’r defnydd o adborth
cwsmeriaid wrth fesur gwasanaeth
cwsmeriaid
1.7 Dadansoddi manteision ac
anfanteision amrywiaeth o ddulliau
dadansoddi data
2.1 Nodi’r nodweddion
gwasanaeth cwsmeriaid y gellir eu
defnyddio i fesur bodlonrwydd
cwsmeriaid
2.2 Dewis dulliau casglu data sy’n
ddilys a dibynadwy
Canllawiau ac ystod
Mae’r ymgeisydd yn darparu tystiolaeth ei fod yn deall:
Mae samplau cynrychioliadol yn gasgliad bychan o e.e. data, pobl sy’n
cynrychioli’r swp, grŵp cyfan y maen nhw wedi’u tynnu allan ohono. Bydd y
sampl yn dibynnu ar y swp neu’r grŵp gwreiddiol e.e. nifer y bobl, eu
hoedrannau ac ati.
Dilysu
Cadarnhau cywirdeb, dilysrwydd
Metrigau perfformiad gwasanaeth cwsmeriaid
Mesur perfformiad a gweithgareddau’r sefydliad. Gellid sicrhau bod
enghreifftiau’n canolbwyntio ar fodlonrwydd cwsmeriaid, ar brofiad cwsmeriaid,
ar ddatrys problemau a chwynion. Mewn amgylchedd canolfan alwadau gall fod
yn e.e. yr amser aros ar gyfartaledd neu’r galwadau y rhoddir y gorau iddynt.
Dulliau dadansoddi data
Meintiol ac ansoddol
Dulliau casglu data e.e. Arolygon, grwpiau ffocws, adborth cwsmeriaid
anffurfiol, arsylwi
2.3 Nodi technegau monitro sy’n
mesur bodlonrwydd cwsmeriaid
Technegau monitro e.e. Dangosyddion Perfformiad Allweddol, ffigurau
gwerthiant, y nwyddau a ddychwelir, cwynion
2.4 Sefydlu amcanion gwerthuso a
dangosyddion perfformiad
Amcanion gwerthuso
Yr hyn rydych am i’r broses o fesur gwasanaeth cwsmeriaid ei roi i chi. Byddant
allweddol wrth fesur gwasanaeth
cwsmeriaid
yn eich galluogi i fyfyrio ar yr anghenion posibl yn y dyfodol neu’r newidiadau
sydd eu hangen.
2.5 Nodi’r wybodaeth sydd i’w
chasglu
3. Gallu gwerthuso
ansawdd gwasanaeth
cwsmeriaid
3.1 Dilysu’r wybodaeth a gesglir i
nodi data y gellir ei defnyddio
Dulliau dadansoddi gwybodaeth:
3.2 Defnyddio dulliau dadansoddi
gwybodaeth sy’n briodol i natur y
Ansoddol, meintiol.
wybodaeth a gesglir
3.3 Nodi achosion o wasanaeth
cwsmeriaid effeithiol, a diffygion a
bylchau ynddo o’r broses o
ddadansoddi gwybodaeth yn erbyn
meini prawf a gytunwyd.
3.4 Datblygu argymhellion sy’n
mynd i’r afael â meysydd a nodir ar
gyfer gwella a gefnogir gan
dystiolaeth.
Gellir defnyddio’r canlynol fel tystiolaeth:
 Arsylwi, tystiolaeth gan dystion, cwestiynu, trafodaeth broffesiynol, cofnod myfyriol, adborth cwsmeriaid, dadansoddi gwybodaeth,
adrodd ar feithrin a chynnal cysylltiadau cwsmer effeithiol, polisïau a gweithdrefnau sefydliad*, gofynion deddfwriaethol a rheoleiddio
a/neu ddogfennau y sefydliad*
Dalier sylw:
Yma, efallai y byddai’n well gan yr ymgeisydd lunio adroddiad sy’n amlinellu sut yr aeth ati i gwblhau’r uned. Bydd gofyn ategu’r
adroddiad hwn â thystiolaeth ychwanegol sy’n cadarnhau ei fod wedi adolygu’n ddigonol ansawdd y gwasanaeth cwsmeriaid dros
gyfnod.
*Dylid cadw dogfennau mewnol/y sefydliad yn y gweithle yn hytrach nag ym mhortffolio’r ymgeisydd gan nodi lle y gellir dod o hyd
iddynt a pha mor berthnasol ydynt i’r meini prawf.