Managing Own Personal and Professional Development

For details in rational to the syllabus changes please refer to appendix 3 Revisions to Document.

VERSION CONTROL

Document Version Date Revisions Made

Version 7 March 2021

Version 6 July 2020

Version 5 March 2019

Version 4 March 2018

Version 3 February 2018

Version 2 November 2017

Version 1 August 2017

2 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

4 Qualification Objective

4 Titles & Reference Numbers

6 Key Dates

6 Progression Opportunities

6 Entry & Recruitment Requirements

7 Qualification Requirements and Rules of Combination

10 Example Pathways

11 Apprenticeship Pathway

12 Qualification Delivery

12 Accessibility of CMI Qualifications

12 Recognition of Prior Learning

13 Assessment & Verification

13 Learner Authentication

14 Assessment Grading

14 Suggested Assessment Methodologies

16 Word Count & Appendices

16 External Assessment

16 Appeals against Assessment Decisions

17 Membership

17 Chartered Manager

17 Study Resources

19 Unit Structures

20 Unit Summaries

101 Appendix 1 – Definitions

104 Appendix 2 - Assessment Activity Definitions

106 Appendix 3 – Revisions to Document

CONTENTS

3 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

24 301 - Principles of Management and Leadership

29 302 - Managing a Team to Achieve Results

34 303 - Managing Individuals to be Effective in their Role

38 304 - Principles of Communication in the Workplace

41 305 - Building Stakeholder Relationships using Effective Communication

46 306 - Principles of Equality, Diversity and Inclusive Working Practice

50 307 - Developing the Knowledge, Skills and Abilities of Individuals and Teams

53 308 - Managing Volunteers

57 309 - Responding to Conflict in the Workplace

60 310 - Supporting Teams and Individuals through Change

63 311 - Contributing to the Delivery of a Project

67 312 - Managing Daily Activities to Achieve Results

71 313 - Developing and Sharing Good Practice

75 314 - Managing Budgets and Resources

78 315 - Principles of Health and Safety in a Work Setting

81 316 - Monitoring Quality to Improve Outcomes

84 317 - Supporting the Delivery of Customer Service

88 318 - Managing Data and Information

92 319 - Managing Meetings

95 320 - Presenting for Success

98 321 - Managing Own Personal and Professional Development

UNITS Unit Specifications

4 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

These qualifications are aimed at practising or aspiring managers will supervise or manage a team to achieve clearly defined outcomes. They will set and monitor goals and objectives by providing instruction, direction and guidance. Day to day operational and project activities are a key part of their role. The qualifications have been designed for practising or aspiring managers in roles such as:

● Team Leader ● Supervisor ● Project Officer ● Shift Manager ● Foreperson

Extensive research has been undertaken to ensure that these qualifications reflect tasks and activities of managers in the aforementioned roles in the workplace. Sources of information include, but are not limited to:

1 Comparability to national management qualifications 2 21​st​ Century Leaders Paper 3 A review of the roles and responsibilities of managers sourced from a range of UK companies 4 Analysis of Apprenticeship Standard for Team Leader/Supervisor ST0384/01 5 Stakeholder consultation

The titles given below are the titles as they will appear on the qualification when awarded to the Learner. The qualification reference number is the number allocated to the qualification by the Regulator at the time of submission, which confirms that this is a regulated qualification on the RQF and on the Register. The CMI code is the code which should be used when registering Learners with CMI. Therefore all CMI Centres must use the full qualification title as per below when advertising or making reference to the qualifications.

INTRODUCTION About the Qualifications

» QUALIFICATION OBJECTIVE

» TITLES AND REFERENCE NUMBERS

CMI CODE TITLE QUALIFICATION REFERENCE NUMBER

3A30 CMI Level 3 Award in Principles of Management and Leadership

603/2019/9

3C30 CMI Level 3 Certificate in Principles of Management and Leadership

603/2021/7

5 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

These qualifications are regulated from 1​st​ July 2017 and the operational start date in CMI Centres is 1​st​ September 2017. The qualification review date is 31​st​ August 2022.

Upon successful completion of their qualification, learners are able to progress to further learning within the suite of Level 3 Qualifications in Principles of Management and Leadership - i.e. completing an Award and topping-up to Certificate or Diploma. Learners may also wish to further their ongoing personal and professional development by accessing other CMI qualifications, such as the CMI Level 5 Qualifications in Management and Leadership with the goal of becoming a Chartered Manager. Learners who are aspiring to a management role may progress to the job roles such as:

● Team Leader ● Supervisor ● Project Officer ● Shift Manager ● Foreperson

These qualifications can be offered to Learners from age 16. CMI does not specify entry requirements for these qualifications, but Centres are required to ensure that Learners admitted to the programme have sufficient capability at the right level to undertake the learning and assessment. CMI Centres must ensure Learners are recruited with integrity onto appropriate qualifications that will:

● meet their needs ● enable and facilitate learning and achievement ● enable progression

In order to achieve this, the CMI Centre will need to:

● Provide relevant programme information, guidance and advice, to enable informed Learner choice ● Publish entry and selection criteria ● Demonstrate that Learners are recruited with integrity ● Carry out comprehensive Learner induction that:

1. addresses programme and organisational requirements 2. explains Learner facilities 3. identifies Learners’ development needs 4. develops an Individual Learning Plan

The qualification is offered in the medium of the English Language.

3D30 CMI Level 3 Diploma in Principles of Management and Leadership

603/2023/0

» KEY DATES

» PROGRESSION OPPORTUNITIES

» ENTRY & RECRUITMENT

6 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

The qualification structure and organisation of units for these qualifications have been informed by CMI 21​st Century Leaders , and has two key themes: 1

● Foundations for Excellence ● Developing Capabilities, Delivering Results, Driving Best Practice

The qualification structure has been designed to support Learners to select combinations of units to address own development needs and interests. The units developed for each theme will also enable organisations to tailor the CMI Award/Certificate/Diploma to address specific organisational development needs. Theme: Foundations for Excellence One unit has been developed for this theme. The unit focuses on the foundations for management and leadership practice.

Theme: Developing Capabilities, Delivering Results, Driving Best Practice This theme is split into 3 topic areas:

● Topic 1:​ ​Interpersonal excellence – managing people and developing relationships Managing people on a day to day basis is the focus of this topic.

1 21​st​ Century Leaders, June 2014 ​http://www.managers.org.uk/~/media/Files/PDF/21st_Century_Leaders_June2014.pdf

QUALIFICATION STRUCTURE Qualification Requirements and Rules of Combination

Theme: Foundations for Excellence

CMI 301 Principles of Management and Leadership

Theme: Developing Capabilities, Delivering Results, Driving Best Practice

Interpersonal Excellence – Managing People and Developing Relationships

CMI 302 Managing a Team to Achieve Results

CMI 303 Managing Individuals to be Effective in their Role

CMI 304 Principles of Communication in the Workplace

CMI 305 Building Stakeholder Relationships using Effective Communication

CMI 306 Principles of Equality, Diversity and Inclusive Working Practice

CMI 307 Developing the Knowledge, Skills and Abilities of Individuals and Teams

CMI 308 Managing Volunteers

CMI 309 Responding to Conflict in the Workplace

7 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

1. Topic 2:​ ​Organisational performance – delivering results

This section focuses on the skills, knowledge and competencies which are required by managers in a variety of roles.

2. Topic 3:​ ​Personal Effectiveness – managing self

The final topic focuses on the learners own management skills.

CMI 310 Supporting Teams and Individuals Through Change

Theme: Developing Capabilities, Delivering Results, Driving Best Practice

Organisational Performance – Delivering Results (Day to Day Activities)

CMI 311 Contributing to the Delivery of a Project

CMI 312 Managing Daily Activities to Achieve Results

CMI 313 Developing and Sharing Good Practice

CMI 314 Managing Budgets and Resources

CMI 315 Principles of Health and Safety in a Work Setting

CMI 316 Monitoring Quality to Improve Outcomes

CMI 317 Supporting the Delivery of Customer Service

CMI 318 Managing Data and Information

CMI 319 Managing Meetings

CMI 320 Presenting for Success

Theme: Developing Capabilities, Delivering Results, Driving Best Practice

Personal Effectiveness – Managing Self

CMI 321 Managing Own Personal and Professional Development

8 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

There are minimum requirements to achieve each qualification within this suite. The minimum requirements are based on the boundaries outlined in Ofqual’s Guidance to the General Conditions of Recognition, namely Condition E2. CMI Level 3 Award in Principles of Management and Leadership Learners must complete at least one unit to a minimum of ​40 ​TUT hours, 4 credits,​ ​to achieve this qualification CMI Level 3 Certificate in Principles of Management and Leadership Learners must complete any combination of units to a minimum of ​130 ​TUT hours, 13 credits to achieve this qualification. CMI Level 3 Diploma in Principles of Management and Leadership Learners must complete any combination to a minimum of ​370​ TUT hours, 37 credits to achieve this qualification.

» RULES OF COMBINATION

Unit No Unit Title GLH TUT CRD

Theme: Foundations for Excellence

CMI 301 Principles of Management and Leadership 33 70 7

Theme: Developing Capabilities, Delivering Results, Driving Best Practice

Interpersonal Excellence – Managing People and Developing Relationships

CMI 302 Managing a Team to Achieve Results 23 60 6

CMI 303 Managing Individuals to be Effective in their Role 19 50 5

CMI 304 Principles of Communication in the Workplace 18 50 5

CMI 305 Building Stakeholder Relationships using Effective Communication 20 40 4

CMI 306 Principles of Equality, Diversity and Inclusive Working Practice 24 60 6

CMI 307 Developing the Knowledge, Skills and Abilities of Individuals and Teams

15 40 4

CMI 308 Managing Volunteers 25 50 5

CMI 309 Responding to Conflict in the Workplace 13 30 3

CMI 310 Supporting Teams and Individuals Through Change 17 50 5

Organisational Performance – Delivering Results (Day to Day Activities)

CMI 311 Contributing to the Delivery of a Project 30 60 6

CMI 312 Managing Daily Activities to Achieve Results 21 40 4

CMI 313 Developing and Sharing Good Practice 19 50 5

CMI 314 Managing Budgets and Resources 25 50 5

CMI 315 Principles of Health and Safety in a Work Setting 24 60 6

CMI 316 Monitoring Quality to Improve Outcomes 24 50 5

CMI 317 Supporting the Delivery of Customer Service 19 50 5

CMI 318 Managing Data and Information 21 50 5

9 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

Detailed below are some examples of unit combinations to meet the needs of new or aspiring managers in different occupational areas who are enrolled on the ​CMI Level 3 Diploma in Principles of Management and Leadership​. These combinations are entirely optional and Centres are free to develop their own pathways tailored to the needs of individual learners and/or employers. Example 1 – Service Sector/Manufacturing Setting Pathway This example has been developed to illustrate the unit combinations a new or aspiring manager in a highly regulated, occupational area (i.e. service sector/manufacturing) may select. The Total Qualification Time for this pathway is 410 hours.

Example 2 – Office/Business/Administrative Setting Pathway This example has been developed to illustrate the unit combinations a new or aspiring manager working in a business/office/administrative environment may select. The total qualification time for this pathway is 420 hours.

CMI 319 Managing Meetings 19 40 4

CMI 320 Presenting for Success 18 50 5

Personal Effectiveness – Managing Self

CMI 321 Managing Own Personal and Professional Development 20 50 5

» EXAMPLE PATHWAYS

Unit No Unit Title GLH TUT CRD

CMI 301 Principles of management and leadership 33 70 7

CMI 302 Managing a Team to Achieve Results 23 60 6

CMI 303 Managing Individuals to be Effective in their Role 19 50 5

CMI 309 Responding to Conflict in the Workplace 13 30 3

CMI 312 Managing Daily Activities to Achieve Results 21 40 4

CMI 315 Principles of Health and Safety in a Work Setting 24 60 6

CMI 316 Monitoring Quality to Improve Outcomes 24 50 5

CMI 321 Managing Own Personal and Professional Development 20 50 5

Unit No Unit Title GLH TUT CRD

CMI 301 Principles of management and leadership 33 70 7

CMI 302 Managing a Team to Achieve Results 23 60 6

CMI 303 Managing Individuals to be Effective in their Role 19 50 5

CMI 304 Principles of Communication in the Workplace 18 50 5

CMI 314 Managing Budgets and Resources 25 50 5

CMI 318 Managing Data and Information 21 50 5

CMI 319 Managing Meetings 19 40 4

CMI 321 Managing Own Personal and Professional Development 20 50 5

10 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

It must be noted that there is no mandated qualification required within the L3 Team Leader / Supervisor Apprenticeship Standard (ST0384/01). However, the eight (8) units listed below can support training and employer providers in the development of their on-programme activities for their practising or aspiring managers who are enrolled on the Team Leader/Supervisor Apprenticeship in order to enable them to gain the knowledge required. This knowledge and learning must then be applied in the workplace to enable apprentices to evidence the relevant skills and behaviours for EPA.

APPRENTICESHIP PATHWAY Team Leader/Supervisor Apprenticeship Standard Support Information

Unit No Unit Title GLH TUT CRD

Theme: Foundations for Excellence

CMI 301 Principles of Management and Leadership 33 70 7

Theme: Developing Capabilities, Delivering Results, Driving Best Practice

Interpersonal Excellence – Managing People and Developing Relationships

CMI 302 Managing a Team to Achieve Results 23 60 6

CMI 305 Building Stakeholder Relationships using Effective Communication 20 40 4

Organisational Performance – Delivering Results (Day to Day Activities)

CMI 311 Contributing to the Delivery of a Project 30 60 6

CMI 312 Managing Daily Activities to Achieve Results 21 40 4

CMI 314 Managing Budgets and Resources 25 50 5

CMI 318 Managing Data and Information 21 50 5

Personal Effectiveness – Managing Self

CMI 321 Managing Own Personal and Professional Development 20 50 5

11 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

CMI does not specify the mode of delivery for its qualifications at Level 3; therefore CMI Centres are free to deliver the Level 3 qualifications using any mode of delivery that meets the needs of their Learners. However, CMI Centres should consider the Learners’ complete learning experience when designing the learning programmes. CMI Centres must ensure that the chosen mode of delivery does not unlawfully or unfairly discriminate, whether direct or indirect, and that equality of opportunity is promoted. Where it is reasonable and practical to do so, it will take steps to address identified inequalities or barriers that may arise. Please ensure that the content of the Centre Delivery plan is approved by the CMI Quality Manager. For CMI requirements regarding Tutor/Deliverers of CMI qualifications please refer to the CMI Centre Handbook for more information.

There may be incidents where Learners may require special consideration and reasonable adjustments to the delivery and assessment of qualifications. In the event of this, Centres should notify their allocated Quality Manager and CMI. For further information, please see the ​CMI Reasonable Adjustments Procedure​ and the ​CMI Special Consideration Procedure​.

There may be occasions where Learners request Recognition of Prior Learning (RPL). This can be applied by Centres. For further guidance on RPL and exemptions can be found in CMI RPL policy. Please ​click here​.

QUALIFICATION DELIVERY Information for Centres

» ACCESSIBILITY OF CMI QUALIFICATIONS

» RECOGNITION OF PRIOR LEARNING (RPL)

12 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

The criteria of the assessment of a CMI qualification will be to meet the assessment criteria detailed within each individual unit. The primary interface with the Learner is the Assessor, whose job it is to assess the evidence presented by the Learner. The Assessor should provide an audit trail showing how the judgement of the Learner’s overall achievement has been arrived at. The CMI Centre’s assessment plan, to be agreed with the Quality Manager, should include a matrix for each qualification showing how each unit is to be assessed against the relevant criteria and which specific piece or pieces of work will be identified in relation to each unit. It should also show how assessment is scheduled into the delivery programme. In designing the individual tasks and activities, CMI Centres must ensure that:

1. The selected assessment task/activity is relevant to the content of the unit 2. There are clear instructions given to Learners as to what is expected 3. Learners are clearly told how long the assessment will take (if it is a timed activity), and what reference or other

material they may use (if any) to complete it 4. The language used in the assessment is free from any bias 5. The language and technical terms used are at the appropriate level for the Learners

In addition to the specific assessment criteria in each unit, the Learner’s work must be:

● Accurate, current and authentic ● Relevant in depth and breadth

and must also show the Learner’s:

● Clear grasp of concepts ● Ability to link theory to practice, and ● Ability to communicate clearly in the relevant discipline at the expected level for the qualification

Learners are required to sign and date a Statement of Authenticity. The learner statement confirms the evidence submitted is all their own work and has not been completed by a third party. Additionally the learner statement confirms the evidence provided has been completed in accordance with CMI approved instructions. Centres are required to complete a Centre Statement of Authenticity to confirm the learner is registered on a Chartered Management Institute (CMI) programme of study.

ASSESSMENT & VERIFICATION Information for Centres and Learners

» LEARNER AUTHENTICITY

13 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

The grading system for CMI qualifications is “Pass/Refer”. The external moderation of Learners’ work confirms that the required criteria for achievement have been met. CMI Centres are, however, free to apply their own grade scales, but it must be understood that these are completely separate from the CMI qualification. It is important to ensure consistency of assessment, and that demands made on Learners are comparable within and between CMI Centres. A number of assessment methods can be used. For CMI requirements regarding Assessors and Internal Verifiers of CMI qualifications please refer to the CMI Centre Handbook for more information.

CMI do not state the assessment method for its qualifications, instead supporting Centres in creating assessment plans to suit the needs of learners and/or employers. It is encouraged that a range of methods are used to ensure that all Learning Outcomes and Assessment Criteria are met, and to enhance Learners’ development. In some instances, as well as written work, use can be made of technology. It is important, however, to ensure sufficient traceability for assessment and verification The following table presents an overview of the type of activities that patterns may be use to assess each unit. Further details are provided in the ‘Recommendations for Assessment’ section of each unit specification.

» ASSESSMENT GRADING

» SUGGESTED ASSESSMENT METHODOLOGIES

Written (account or assignment)

Report Scenario and Case Study Based Activity

Guide or Factsheet

Work Based Evidence

Reflective Accounts/ Statement

Presentation Planning Document

301 Principles of Management and Leadership

x x x x x

302 Managing a Team to Achieve Results

x x x x

303 Managing Individuals to be Effective in their Role

x x x x

304 Principles of Communicati on in the Workplace

x x x x x

305 Building Stakeholder Relationships using Effective Communicati on

x x x x x x

306 Principles of Equality,

x x x x

14 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

Group assessment is not a recognised assessment method for this qualification. Learners must provide evidence they meet the requirements of each assessment activity on their own merit.

Diversity and Inclusive Working Practice

307 Developing the Knowledge, Skills and Abilities of Individuals and Teams

x x x

308 Managing Volunteers

x x x

309 Responding to Conflict in the Workplace

x x x

310 Supporting Teams and Individuals Through Change

x x x x x

311 Contributing to the Delivery of a Project

x x x x

312 Managing Daily Activities to Achieve Results

x x x x x

313 Developing and Sharing Good Practice

x x x x x

314 Managing Budgets and Resources

x x x x

315 Principles of Health and Safety a Work Setting

x x x x x

316 Managing Quality to Improve Outcomes

x x x x x x

317 Supporting the Delivery of Customer Service

x x x x x

318 Managing Data and Information

x x x x

319 Managing Meetings

x x x x x

320 Presenting for Success

x x x x x x

321 Managing Own Personal and Professional Development

x x x

15 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

The written word, however generated and recorded, is still expected to form the majority of assessable work produced by Learners at Level 3. The guideline word count for these units is 2000-2500 words. There is a 10% allowance above/below these guidelines. Learner work should aim to minimise the amount of unnecessary attachments or appendices. Information that is essential to the Learners work in order to meet the learning outcomes and assessment criteria should be included within the main body of the report. However, CMI understands that from time to time a Learner may need to include additional supporting information which enhances the overall work and it is recommended that it is kept to a minimum and does not over-exceed.

As part of our dedicated service, Chartered Management Institute (CMI) Awarding Body offers the opportunity for all centres to have their Learner’s assignments externally marked. Some CMI Centres choose to send one assignment of the qualification to be externally marked, as it gives the Learner a CMI quality stamp, as it is marked and assessed by the Awarding Body. This service provides CMI Centres with a simplistic, professional and cost effective way to get their CMI Learner’s work marked and certificated within a six week period. Please refer to fee’s guide for current pricing. Learners’ work can be submitted up to three times, in the event of referrals. If the assessment remains referred after three attempts, it will be escalated to the Quality Manager and further submissions will be invoiced at the current fee. Further information on this service and the units for which is available appears on the CMI website.

In the event that a Learner wishes to appeal against an assessment decision, they can do so by following outlined procedures. Where an assessment decision has been made by a CMI Centre, Learners must follow the Centre’s own Appeals Procedure in the first instance. If this procedure has been exhausted and remains unresolved, Learners may log a Stage 2 appeal with CMI. Where an assessment decision has been made by CMI (via External Marking or Moderation) a Learner or a Centre may log a Stage 2 appeal with CMI. For further information, please see CMI’s Enquiry and Appeals Procedure.

» WORD COUNT AND APPENDICES

» EXTERNAL MARKING

» APPEALS AGAINST ASSESSMENT DECISIONS

16 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

If an individual is not already in membership at the time of registering on a CMI qualification then your Learner will be provided with free Affiliate membership of the CMI through until the completion of their studies. For details of the benefits of membership please ​click here​. There may be the opportunity to upgrade during the Learners studies dependant on successfully completing an assessment with CMI.

Chartered Managers are consistent high performers, committed to current best practice and ethical standards. A unique designation, exclusively awarded by the Chartered Management Institute, Chartered Manager embodies a professional approach to management through knowledge, competence, professional standards and commitment to continuing professional development (CPD). To find out more about how to become a Chartered Manager please ​click here.

ManagementDirect mde.managers.org.uk/members It’s fast, comprehensive and free to members ManagementDirect is a complete online library of comprehensive and up-to-date material that addresses current management practice, supports studying and those looking to develop their skills.

● 220 Management Checklists and 60 Management Thinker profiles ● One page overviews of key Management Models ● Multimedia resources – 400 Leader Videos ● CMI research and Professional Manager articles ● Authoritative definitions of management terms ● Over 11,000 articles and 600 ebooks to read online when you need them ● Learning Journey playlists for many units giving you easy access to resources specifically selected to support

your studies ● Resources to develop your Study Skills, including factsheets on assignment writing, references and citations,

learning styles, note taking and avoiding plagiarism. All these resources are freely available to members from one source. Definitions give you a headline understanding of topic; Checklists and Models provide the essentials; and books and articles enable you to research further. Depending on your need you choose how far you want to go.

CMI SERVICES Supporting CMI Qualifications

» CMI MEMBERSHIP

» CHARTERED MANAGER

» STUDY RESOURCES

17 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

E-journals

For in depth research try our e-journals service

CMI has joined forces with EBSCO Information Services to offer members access to Business Source: Corporate, a database providing direct access to articles on management and business from a range of academic journals and business magazines. Members also have access to country, company and industry reports from leading providers.

Access to Business Source Corporate is through ManagementDirect​.

Online CPD CPD can take many forms, but the most important feature of any activity you undertake is that there are clear learning outcomes. In many cases these may enable you to have a direct impact at work. Our online CPD scheme enables you to record your learning objectives and the activities you have undertaken and encourages you to assess its impact in your role as a manager. Print reports for your reviews, appraisals or interviews. Access to CPD is through ManagementDirect.

18 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

The units within these qualifications are different to other qualifications, and so the following summarises some key features:

● TUT refers to Total Unit Time. TUT is set based on estimated time expected for the average learner to be taught the content via formal Guided Learning, additional informal learning and preparation and completion of assessment.

● GLH refer to Guided Learning Hours. GLH is the estimated contact time the average earner has with tutors, trainers or facilitators as part of the learning process, it includes formal learning including classes, training sessions, coaching, seminars, live webinar and telephone tutorials, e-learning which is supervised. It is important to note that this also includes assessing learner’s achievements for competence based assessments.

● CRD refers to Credits which are calculated as one credit is equal to 10 hours of TUT. ● Key words which highlight knowledge, skills and behaviours which will be developed ● Indicative content has been developed to support the leaner to understand the aims of learning outcomes and

assessment criteria. It can also be used by tutors to develop lesson plans and schemes of work. The indicative content uses two phrases:

o ‘​May include but is not limited to’​ – the indicative content is given as examples, which the learner may

use or expand upon to complete an assessment o ‘​Refers to’​ – the indicative content included must be covered by the learner to meet the requirements of

assessment. This instruction applies to learners on the apprenticeship pathway who are required to know or understand specific information stipulated in the Apprenticeship Standard for Team Leader/Supervisor ST0384/01

● Recommendations for Assessment which provides a range of suggested assessment activities for actual or

aspiring managers and leaders ● Relationships to frameworks such as the Apprenticeship Standard and National Occupational Standards ● Suggested reading/web resource materials developed to compliment the unit content. The primary

resource/research tool referred to is ManagementDirect It is recommended that Learners have sight of each unit of study in preparation for assessment.

UNITS Structures and Specifications

19 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

The below table summarises the Level 3 units:

» UNIT SUMMARIES

Foundations for excellence

CMI 301 Principles of Management and Leadership

Being equipped with the knowledge, skills and behaviours to manage and lead effectively is essential if an individual and their organisation are to succeed. This unit has been designed for learners who want to develop or sharpen their professional edge and enhance personal effectiveness. The unit focuses on the ways organisations operate. The application of management and leadership approaches and how these can positively impact on own role, lead to improved performance, and support teams, colleagues and customers. The aim of the unit CMI 301 is to introduce the foundations for managers, which will be developed throughout all the level 3 units.

Theme: Developing capabilities, delivering results, driving best practice

Interpersonal excellence - managing people and developing relationships

CMI 302 Managing a Team to Achieve Results

The ability to manage teams, which are able to communicate effectively and overcome barriers to achievement, is a critical skill for any manager. High performing cohesive teams are created in an environment where there is a collective understanding of values, goals and objectives. This unit has been developed to support managers in understanding the nature of teams in the workplace, and how these can be managed to achieve results.

CMI 303 Managing Individuals to be Effective in their Role

High performing individuals impact on the performance of teams and the organisation. The aim of this unit is to develop the manager’s understanding of how to confidently use their knowledge, skills and abilities to support individuals, not only to perform well, but to exceed expectations.

CMI​ ​304 Principles of Communication in the Workplace

As the range of communication tools used by a business continues to grow, and new technologies emerge, managers are faced with the challenge of how to select and use different tools to ensure that communication is effective, timely and has impact. The aim of this unit is to equip managers with the knowledge and skills to select and use a range of workplace communication methods. These must be measurable and tailored to the needs of the target audience.

CMI 305 Building Stakeholder Relationships using Effective Communication

Developing relationships with internal and external stakeholders is an essential management skill. Stakeholders can have a positive or negative impact on the success of an organisation. The aim of this unit is to equip managers to identify and understand stakeholder’s needs, know the purpose and benefits of building relationships with different stakeholder groups, and the methods of communicating with them to achieve results.

CMI 306 Principles of Equality, Diversity and Inclusive Working Practices

Treating colleagues, customers and stakeholders with dignity and respect enables relationships to develop and thrive. This unit focuses on how to develop inclusive working practices in line with organisational and legal frameworks. This will not only impove the

20 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

productivity and well being of staff, but impact positively on the whole customer experience.

CMI 307 Developing the Knowledge, Skills and Abilities of Individuals and Teams

A skilled and adaptable workforce is a collective group of people equipped with the knowledge skills and abilities to achieve and exceed objectives. This unit aims to support managers to identify and select innovative development opportunities. It will enable them to identify approaches to support and promote participation, and how to monitor the impact of development activities for individuals, teams and the organisation.

CMI 308 Managing Volunteers Volunteers are uniquely placed to offer a wealth of skills and abilites to compliment those of employed staff within an organisation. Managed well, they can help an organisation improve the quality and capacity of the service. The aim of this unit is to equip managers with the knowledge of how to engage, motivate and support volunteers to be effective within their role and address challenges with a positive ‘can-do’ attitude.

CMI 309 Responding to Conflict in the Workplace

Conflict and disagreements in the workplace have a detrimental effect on team dynamics, productivity and motivation. The ability to respond effectively to conflict is a fundamental skill for all managers. This unit aims to support managers to understand the types and causes of conflict and how to identify strategies to respond to conflict situations in a timely and professional manner.

CMI 310 Supporting Teams and Individuals through Change

Change is inevitable if an organisation is to maintain competitiveness and currency of practice. Managers are constantly asked to implement change to respond to commercial pressures, legal organisational requirements, efficiencies or improvements. Success often depends on the support given by managers to staff. The aim of this unit is to enable managers to lead people positively through change. This is achieved by implementing plans which identify ways to make change successful, and gaining the support and trust of individuals and teams.

Organisational performance – delivering results (day to day activity)

CMI 311 Contributing to the Delivery of a Project

Whilst the scale, significance and complexity of a project will vary, the principles of carrying out a project will ultimately be the same. This unit aims to equip managers with the knowledge, tools, and techniques for managing and monitoring projects. It also identifies approaches to managing risk and responding to the needs and expectations of stakeholders. The skills a manager will learn will not only enable them to improve own working practice, but will impact on the achievement of project outcomes.

CMI 312 Managing Daily Activities to Achieve Results

Working efficiently is essential if a business is to remain competitive. A well structured workload is key to individual and team success. The aims of the unit are to equip managers with the knowledge to identify priorities and set measurable objectives. Managers will know how to organise and allocate daily work activities, monitor outcomes, and respond practically to problems in a manner which supports the achievement of results.

CMI 313 Developing and Sharing Good Practice

Developing and sharing good practice enables individuals and organisations to develop and increase their potential to exceed personal and organisational expectations. This unit explores how good practice can be developed, maintained, adopted and shared with stakeholders.

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CMI 314 Managing Budgets and Resources

Budgets and resources are crucial to the functioning of any organisation. Organisations need to plan and manage money and resources to remain operational. The aim of this unit is to equip managers with the knowledge that they need to manage budgets and other resources. This allows them to remain efficient and effective.

CMI 315 Principles of Health and Safety in a Work Setting

Health and safety is important as it protects the well-being of employees and customers. There are serious, legal, financial, and reputational consequences if neglected. The aim of this unit is to equip managers with an understanding of their statutory and organisational responsibilities in making the workplace safer.

CMI 316 Monitoring Quality to Improve Outcomes

The name of organisations who have built their reputation on the quality of their products or services readily come to mind. Managing quality is a collective activity, which has to be monitored continually to ensure standards are consistently met. The aim of this unit is to equip managers with the understanding of how quality systems are used, the tools and techniques for monitoring and measuring quality, and the requirements needed to support a quality audit. The impact of this knowledge is to drive a culture of continuous improvement within the organisation.

CMI 317 Supporting the Delivery of Customer Service

Customers are key to the success of any business. It is essential to know how to deliver a great customer experience that meets and exceeds expectations all customers. This is regardless of whether they are a colleague, department within an organisation, or a member of the public purchasing a product or using a service. The aim of this unit is to equip managers with an understanding of the parameters in which good customer service is delivered. It focuses on the end to end customer journey and encourages the manager to reflect on the customer service experience through the customer’s eyes.

CMI 318 Managing Data and Information

The ability to solve problems, make timely business decisions and respond to customers needs is all dependent on the ability to access good quality data and information. With growing volumes of data, this challenge has become increasingly difficult to manage. The aim of this unit is to equip managers with the knowledge of how to gather, assess and analyse different types of data and information, and how to report findings for different business purposes within legal and organisational guidelines.

CMI 319 Managing Meetings Managers are increasingly faced with days packed full of meetings that leave little time to get things done. Run well, meetings can be a place where issues are discussed, problems resolved, and decisions are made. However, all too often, meetings lack purpose and there is frustration if little has been achieved. The unit content has been designed to challenge traditional thinking. It aims to equip managers with the knowledge and tools to try different approaches when conducting meetings. It also explores good practice for preparing for and leading meetings, which have impact and also delivers results.

CMI 320 Presenting for Success Delivering presentations can be very challenging. When done successfully, a presentation can lead to a job offer or a new contract. It also has the potential to engage team members to buy-into new ideas, or embrace new projects and opportunities. The aim of this unit is to equip managers with the knowledge and skills to plan presentations to meet the needs of a target audience. The unit will enable managers to develop the knowledge and tools to deliver great presentations, which engage an audience and motive them to want to know more.

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Personal Effectiveness – managing self

CMI 321 Managing Own Personal and Professional Development (Apprenticeship)

In order to meet the demands of an ever changing workplace, individuals need to ensure they continue to update and develop their knowledge and skills. Planning for personal and professional development ensures greater opportunities for success. The purpose of the unit is to support the manager to identify the benefits of engaging in personal and professional development. By using the knowledge gained, a meaningful development plan will be created to support them to become an effective manager in the workplace.

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CMI 301

Principles of Management and Leadership

Ofqual unit number J/615/8840 RQF level 3

Guided learning hours 33

Total unit time 70

Credits 7 Aims of unit Being equipped with the knowledge, skills and behaviours to manage and

lead effectively is essential if an individual and their organisation are to succeed. This unit has been designed for learners who want to develop or sharpen their professional edge and enhance personal effectiveness. The unit focuses on the ways organisations operate. The application of management and leadership approaches and how these can positively impact on own role, lead to improved performance, and support teams, colleagues and customers. The aim of the unit CMI 301 is to introduce the foundations for managers, which will be developed throughout all the level 3 units.

Keywords Roles, responsibilities, skills, attributes, behaviours, leadership, management, develop and improve, factors for success, mission, vision, values, governance.

Learning outcome 1

Understand how organisations operate

Assessment Criteria

1.1 Outline the ​governance​ of different​ types of organisations

1.2 Explain the​ factors​ which influence an organisation’s culture

1.3 Explain the ​purpose​ of organisational mission, vision and value statements

1.4 Outline the ​purpose​ of organisational strategies

Learning outcome 2

Understand the management role

Assessment criteria

2.1 Summarise the ​role​ of the manager

2.2 Explain the role of the manager in ​communicating​ organisational strategy to individuals and teams

2.3 Explain levels of ​accountability and authority​ in the management role

2.4 Outline the ​legal​ and ​organisational​ ​frameworks​ which apply to the management role

Indicative content

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2.1 ​Role ​may include but is not limited to tasks and responsibilities to be undertaken in the role, position, relationships, inter-dependencies with the directorate, managers, functional areas, teams, colleagues, customers, suppliers and contractors.

2.2 ​Communicating ​may include but is not limited meetings (team and one-one), work plans, training, digital and leading by example.

2.3 ​Accountability and authority ​with reference to level of decision making, reporting structure, managing staff, resources, access to information/data/budget.

2.4 ​Legal​ may include but is not limited to Health and Safety at Work Act 1974, Data Protection Act 1998, General Data Protection Regulation (applies from May 2018), Working Time Directive 1998, Equality Act 2010 and industry specific regulations. Learners may also make reference to other local laws as relevant.

Organisational frameworks​ refers to how to use HR systems and processes to ensure legal requirements and may include but are not limited to ​HR systems and processes​ including performance management, disciplinary and grievance, conduct and capability, recruitment, learning and development, reward, induction and on-boarding, talent management, dignity at work, absence and time management, workforce planning, payroll, performance management standards; ​policies and standards ​including health, safety, well-being and security, equality and diversity, data protection, communication, procurement, quality, customer service charters and policies, quality standards.

Learning outcome 3

Understand the application of management and leadership approaches

Assessment criteria

3.1 Explain the differences between ​management​ and ​leadership

3.2 Summarise recognised ​management and​ ​leadership approaches

3.3 Explain how management and leadership approaches can be applied and adapted in different work based ​situations

Indicative content

3.1 ​Management​ focuses on completion of tasks and activities and the outputs these produce.

Leadership​ focuses on people and how they are led. This includes but is not limited to motivating, delegating, inspiring, engaging.

3.2 ​Management and leadership approaches ​include but are not limited to​ ​Hersey and Blanchard Situational Leadership (1969), Tannenbaum & Schmidt Leadership Continuum (1958), Lewin Styles of Leadership (1939), Adair’s Action-Centred Leadership (1979), Blake and Mouton Grid (c.1950s).

3.3 ​Situations​ may include but are not limited to business as usual, crisis and emergency, one to one, large group/team.

Learning outcome 4

Understand the knowledge, skills and behaviours to be an effective manager

Assessment criteria

4.1 Explain the ​knowledge​ ​and​ ​skills​ required to be an effective manager

4.2 Summarise the ​behaviours​ required to be an effective manager

4.3 Explain the ​impact​ of knowledge, skills and behaviours on the team, colleagues and customers

Indicative content

4.1​ Knowledge and skills ​refers to how to be self-aware, Emotional Intelligence (Goleman, 1995) and​ ​may include but are not limited to leading people, managing people, building relationships (emotional intelligence), communicating with customers and stakeholders, active listening, managing

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operational (day to day) activities, projects, finance, using information and data, application of organisational and legal frameworks and ability to use HR and other organisational systems, understanding of the​ ​organisations strategy, culture, approaches to equality and diversity.

4.2 ​Behaviours​ may include but are not limited to ability to take responsibility (accountability, resilience, determination); inclusive (open, approachable, authentic, trustworthy, unconscious bias); agile (flexible, creative, positive, adaptable, innovative, enterprising); professional (fair, consistent, impartial, open, honest, ethical)

4.3 ​Impact​ refers to role modelling values and behaviours and may include but are not limited to reputation, productivity, job satisfaction, confidence, loyalty, engagement, improved customer experience.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be covered. The following opportunities are recommendations for guidance purposes only.

● The learner may be asked to write a ​report​ on the role of a manager within the organisational context.

● The second opportunity would be to ​develop a short guide​ which outlines the role of a manager in an organisation.

● The learner may draw upon their ​own experience​ of being a manager within their own organisation.

● They may present ​work based evidence ​accompanied by reports/reflective accounts to meet each assessment criteria.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well-chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/ Supervisor ST0384/01: A. Operational Management A1 The organisational strategy and how this relates to operational plan A6 Deliver operational plans E. Leading People E1 Different Leadership styles E3 Organisational culture, equality and diversity E5 Adapt own style to suit audience E6 Support the development of the team through role modelling values and behaviours, coaching and

mentoring and the management of change F. Managing People F2 How to use HR systems and processes to ensure legal requirements G. Building Relationships G2 Emotional intelligence H. Awareness of Self and Others H1 How to be self-aware and understand inclusivity and unconscious bias H4 Emotional intelligence

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H6 Reflect on own performance, identifying and acting on learning and development needs K. Behaviours K1 Takes responsibility K2 Inclusive K3 Agile K4 Professionalism This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012): ● CFAM&LBA2 – Provide leadership for your area of responsibility ● CFAM&LBA4 - Evaluate your organisation’s operating environment

Suggested reading and web resource materials

Reading/resource materials available on ManagementDirect:

Online assessment ● Provide leadership in your area of responsibility Checklists ● Checklist 256 – Understanding Management and Leadership Styles

Relevant Theories, Frameworks and Models ● Adair (1979) Action-Centred Leadership ● Blake and Mouton (c.1950s) Managerial Grid ● Goleman (1995) Emotional Intelligence ● Hersey and Blanchard (1969) Situational Leadership ● Lewin (1939) Styles of Leadership ● Tannenbaum & Schmidt (1958) Leadership Continuum Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. Please note: all references to legislation may be subject to subsequent changes, deletions and replacements. Learners may also make reference to other local laws as relevant. ManagementDirect resources require CMI membership and a username and password.

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CMI 302

Managing a Team to Achieve Results

Ofqual unit number F/615/8867 RQF level 3

Guided learning hours 23

Total unit time 60

Credits 6 Aims of unit The ability to manage teams, which are able to communicate effectively and

overcome barriers to achievement, is a critical skill for any manager. High performing cohesive teams are created in an environment where there is a collective understanding of values, goals and objectives. This unit has been developed to support managers in understanding the nature of teams in the workplace, and how these can be managed to achieve results.

Keywords Types and purpose of a team, leadership styles, team dynamics, communication methods, motivation, shared purpose and objectives, allocating and monitoring work, providing feedback, identify challenges, problem resolution, achieve results.

Learning outcome 1

Understand the role and purpose of teams

Assessment criteria

1.1 Define the ​purpose ​of teams

1.2 Explain ​types​ of teams in an organisation

1.3 Summarise the ​roles​ in a team using a recognised theory

1.4 Explain how members of a team affect ​team dynamics

1.5 Identify the ​advantages ​and ​disadvantages​ of team working and lone working

Indicative content

1.1 ​Purpose​ may include but is not limited to common purpose and objectives, productivity, quality, support system, continuous improvement, new initiatives and ideas.

1.2 ​Types​ may include but are not limited to permanent, temporary, functional, matrix, cross functional, project, virtual, special teams and task force.

1.3 ​Roles​ may include but are not limited to Belbin Team Roles (1993), Honey Five Team Roles (2001).

1.4 ​Team dynamics​ may include but are not limited to personalities (e.g. Myers Briggs, 1943), working relationships, performance, skills, knowledge, seniority, roles.

1.5 ​Advantages​ may include but are not limited to efficiency, problem solving, mutual support, cooperation, workflow, learning, develop and share best practice, communication and information exchange.

Disadvantages​ may include but are not limited to efficiency, group think, accessibility, conflict, engagement, unequal participation, communication and information exchange, resistance to change.

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Learning outcome 2

Be able to recognise the characteristics of a high performing team

Assessment criteria

2.1 Outline the ​characteristics ​of​ ​high performing team

2.2 Discuss ​behaviours ​which can be observed in a high performing team

Indicative content

2.1 ​Characteristics​ refers to ability to identify and share good practice, inclusive and may include but are not limited to sense of purpose, shared goals and good practice, supportive, trusting, collaborative, cohesive, confident, knowledgeable, skilled, motivated, agile, accurate, developing, structured.

2.2 ​Behaviours​ may include but are not limited to take responsibility (including drive to achieve, resilience and accountability, determination); inclusive (including open, approachable, authentic, seeks others views, builds trust, avoid unconscious bias); agile (including flexible, creative, innovative, enterprising, seeks solutions, positive, adaptable, responds well to feedback and change); professional (including sets an example, fair, consistent, impartial, honest, ethical, adheres to codes of conduct).

Learning outcome 3

Know how to lead, communicate with and motivate a high performing team

Assessment criteria

3.1 Identify advantages and disadvantages​ ​of ​leadership styles​ that can be used to manage a high performing team

3.2 Assess ​communication methods​ used for different types of teams

3.3 Explain how to ​motivate​ a team to achieve results

Indicative content

3.1 ​Leadership styles​ refers to ability to adapt style to suit the audience and may include but are not limited to Hersey and Blanchard Situational Leadership (1969), Tannenbaum & Schmidt Leadership Continuum (1958), Lewin Styles of Leadership (1939), Adair Action Centred Leadership (1973).

3.2 ​Communication​ ​methods​ refers to different forms of communication and their application to communicate effectively and regularly (Shannon and Weaver, 1948; Schramm, 1954) and may include but are not limited to written: letters, memos, reports, newsletters, noticeboards; verbal: telephone calls, video conferencing, briefings and meetings, presentations; digital: intranet, emails, blogs, instant messaging, discussion forums, posts on social media sites, web chat, avatars, skype, electronic forms, apps, podcasts and webinars.

3.3 ​Motivate​ refers to recognising achievement and good behaviour, build a high performing team by supporting and developing and motivating individuals and building trust with and across the team and may include but is not limited to encouragement, constructive feedback, recognition and rewards (Maslow, 1943/1954; Hertzberg, c.1959)

Learning outcome 4

Know how to respond to challenges when managing a team proactively

Assessment criteria

4.1 Explain the ​challenges​ of managing a team

4.2 Explain how to ​respond​ to challenges proactively

4.3 Outline ​approaches​ to absence management

Indicative content

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4.1 ​Challenges​ may include but are not limited to individual’s competencies, communication problems, maturity of the team (Tuckman, 1956), team members not pulling their weight, resistance to change, conflict, unconscious bias, types of contracts, culture, behaviour, size of the team (Dunbar, 2010), remote and virtual teams, resourcing and crises.

4.2​ Responses​ refer to managing change, conflict and unconscious bias, facilitating cross team working and may include but are not limited to challenging poor practice, absence management, briefings, meetings, making sanctions, prioritising, training, coaching, mentoring, seeking advice and guidance, escalate challenge, risk management, apply approaches to change and conflict management (e.g. engage individuals and teams in process, develop and communicate plans).

4.3 ​Approaches​ refer to how to set goals and objectives, manage performance, absence management providing constructive feedback, recognising achievement and good behaviour and may include but are not limited to application of HR policies and procedures including disciplinary procedures, work plans, mentoring and support.

Learning outcome 5

Know how to manage the performance of a team

Assessment criteria

5.1 Outline ​approaches​ to ensure team members work to a shared purpose

5.2 Explain how to ​allocate work​ to team members

5.3 Identify ​methods of monitoring​ team performance

5.4 Explain how to provide ​feedback​ on individual and team performance

Indicative content

5.1 ​Approaches​ refer to communicating organisational and team purpose, performance management techniques including setting goals and objectives, conducting appraisals, reviewing performance and may include but are not limited to cascade mission, vision and objectives, role of team in wider organisation, sense of purpose and buy-in and impact of team on results.

5.2 ​Allocate​ ​work​ refers to how to implement organisational/team, setting goals and objectives, plans, communicating organisational strategy, implementing and delivering operational/team plans, organising, prioritising and allocating work and may include but is not limited to the use of work plans, timetables, project plans, rotas, allocation according to experience, skills, development needs, capacity and specialist knowledge, timescales.

5.3 ​Methods of monitoring​ may include but are not limited to project and progress reports, the use of key performance indicators and output, internal audit, absence management, observation, inspection, customer feedback, discussion with team members.

5.4 ​Feedback​ refers to the benefits of coaching to support people and improve performance, constructive feedback, and may include but is not limited to formal and informal, verbal and written, qualitative and quantitative feedback to individuals or the whole team.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be met. The following opportunities are recommendations for guidance purposes only. 1. The learner may be asked to respond to a ​scenario​ based on how they would manage a team to achieve

results. 2. Learners may write a ​report​ based on the principles of managing a team to achieve results. 3. The learner may draw upon ​their own experience​ of managing a team within their own organisation.

They may present work based evidence accompanied by reports/reflective accounts to meet each assessment criteria.

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Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well-chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/Supervisor ST0384/01: A. Operational Management A1 The organisational strategy and how this relates to operational plans A2 How to implement operational/team plans A3 How to manage change within the team A6 Communicate organisational strategy and deliver operational plans A7 Organise, prioritise and allocate work A10 Adapt to change, identifying challenges and solutions D. Communication D1 Different forms of communication and their application D5 Communicate effectively and regularly using verbal, written and digital channels E. Leading People E1 Different Leadership styles E2 The benefits of coaching to support people and improve performance E4 Communicate organisational and team purpose E5 Adapt own style to suit audience E6 Support the development of the team through role modelling values and behaviours, coaching and mentoring and the management of change. F. Managing People F1 People and team management models including team dynamics and motivation techniques F2 How to use HR systems and processes to ensure legal requirements F3 Performance management techniques including setting goals and object F4 Absence management, providing constructive feedback, and recognising achievement and good behaviour F5 Build a high performing team by supporting and developing and motivating individuals F6 Set goals and objectives F7 Monitor progress G. Building Relationships G3 How to manage conflict G4 How to facilitate cross team working G5 Build trust with and across the team G7 Manage conflict G9 Identify and share good practice H. Awareness of Self and Others H1 How to be self-aware and understand Inclusivity and unconscious bias K. Behaviours K1 Takes responsibility K2 Inclusive K3 Agile K4 Professionalism This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012):

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● CFAM&LBA2 – Provide leadership for your area of responsibility ● CFAM&LBA3 - Lead your team ● CFAM&LDB1 – Build teams

● CFAM&LDB2 - Allocate work to team members ● CFAM&LDB4 – Manage people’s performance at work ● CFAM&LDB5 - Manage team communications

Suggested reading and web resource materials

Reading/resource materials available on ManagementDirect Online Assessment ● Provide leadership in your area of responsibility ● Developing productive working relationships with colleagues Checklists ● Checklist 088 – Steps in Successful Team Building ● Checklist 272 – Communicating in the Virtual Workplace

Relevant Theories, Frameworks and Models ● Belbin (1993) Team Roles ● Dunbar (2010) Dunbar’s Number ● Hersey and Blanchard (1969) Situational Leadership ● Hertzberg (c.1959) Motivational Theory ● Honey (2001) Five Team Roles ● Lewin (1939) Styles of Leadership ● Maslow (1943/1954) Hierarchy of Needs ● Myers Briggs (1943) Myers Briggs Type Indicator ● Schramm (1954) Model of Communication ● Shannon and Weaver (1948) Model of Communication ● Tannenbaum & Schmidt (1958) Leadership Continuum ● Tuckman (1956) Stages of Team Development Please note: This list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. ManagementDirect resources require CMI membership and a username and password.

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CMI 303

Managing Individuals to be Effective in their Role

Ofqual unit number M/615/8878

RQF level 3

Guided learning hours 19

Total unit time 50

Credis 5 Aims of unit High performing individuals impact on the performance of teams and the

organisation. The aim of this unit is to develop the manager’s understanding of how to confidently use their knowledge, skills and abilities to support individuals, not only to perform well, but to exceed expectations.

Keywords Individual skills and knowledge, role and responsibilities, set objectives and work plans, capability, resources and support, skills of a manager, manage performance, provide feedback, review performance, measure outcomes, high performers, motivation.

Learning outcome 1

Understand an individual’s work role and responsibilities

Assessment criteria

1.1 Explain the ​sources of information​ which state an individual’s work role​ ​and responsibilities

1.2 Explain the ​reasons​ for assessing an individuals’ knowledge, skills and behaviours in a work role

Indicative content

1.1 ​Sources of information ​may include but are not limited to job description, person specification, team and individual objectives.

1.2​ Reasons ​may include but is not limited to supporting and developing individuals to achieve personal and professional objectives, planning and allocating work, gap analysis, identify learning and development needs.

Learning outcome 2

Know how to set objectives with individuals

Assessment criteria

2.1 Explain the ​methods​ used to set ​objectives ​for individuals

2.2 Explain how to assess an individual’s ​capability ​to achieve objectives

2.3 Outline the ​process​ for involving individuals in agreeing clear objectives

Indicative content

2.1 ​Method ​may include but is not limited to SMART (specific, measurable, achievable, realistic and time bound) objectives, organisational requirements, plans, project plans, appraisals, and personal development plans.

Objectives ​may be linked to organisational or personal outcomes.

2.2​ Capability​ may include but is not limited to experience, skills, knowledge, capacity and development needs.

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2.3​ Process​ may include but is not limited to open communication, listening, questioning, negotiating, check understanding, recording agreement.

Learning outcome 3

Know how to support individuals to perform well

Assessment criteria

3.1 Outline a range of ​support methods ​to enable individuals to perform well

3.2 Identify ​approaches for​ ​motivating​ individuals in their work role

3.3 Explain how an individual’s achievement can be ​incentivised

3.4 Explain the importance of managing individuals ​objectively

Indicative content

3.1 ​Support methods​ may include but are not limited to informal and formal personal and professional development, set clear expectations, delegation and allocation of responsibility, review progress, supervision, coaching, mentoring, training, development activities, constructive feedback (Transactional Analysis, Berne, c.1950).

3.2 ​Approaches for motivating​ may include but are not limited to encouragement, praise, recognition, clear and respectful communication.

3.3 ​Incentivised​ may include but is not limited to financial reward, other benefits, opportunities for development and promotion.

3.4 ​Objectively​ may include judging on evidence, treating individuals fairly, according to need, observing professional boundaries, inclusive approach, no favourites, no reward for poor performance.

Learning outcome 4

Know how to assess outcomes against the objectives

Assessment criteria

4.1 Summarise the ​tools​ that may be used to review an individual’s performance

4.2 Outline ​approaches​ to measuring​ ​outcomes against objectives

Indicative content

4.1 ​Tools​ may include but are not limited to appraisal, personal development review, 360 degree feedback, customer feedback, observation.

4.2 ​Approaches ​may include but is not limited to key performance indicators (KPIs), outputs, project and progress reports, internal audit, quality measures, metrics, benchmarks, inspection, surveys.

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Learning outcome 5

Know how to manage the underperformance of individuals

Assessment criteria

5.1 Explain how to​ manage the underperformance ​of an individual within the limits of own authority

Indicative content

5.1 ​Manage the underperformance​ may include but is not limited to regular feedback, reminding of performance standards, dealing with issues at an early stage, resolving conflict, identifying performance problems, engaging the individual in improvement actions, seeking advice and support, use of organisational processes and procedures (ACAS).

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be met. The following opportunities are recommendations for guidance purposes only.

1. The learner may be asked to respond to a ​scenario​ based on how they would manage individuals to be effective in their role.

2. Learners may write a ​report​ based on the principles of managing individuals to be effective in their role.

3. The learner may draw upon their ​own experience​ of managing individuals within their own organisation.

4. They may present ​work based evidence​ accompanied by reports/reflective accounts to meet each assessment criteria.

Further guidance It is not a requirement for the learners to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/Supervisor ST0384/01: A. Operational Management D. Communication E. Leading People F. Managing People G. Building Relationships This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012): ● CFAM&LBA2 – Provide leadership for your area of responsibility ● CFAM&LBA3 - Lead your team ● CFAM&LDA6 - Initiate and follow disciplinary procedures ● CFAM&LDA7 - Initiate and follow grievance procedures

Suggested reading and web resource materials

Reading/resource materials available on ManagementDirect: Online Assessment ● Develop and implement operational plans for your area of responsibility ● Allocate and check work in your team ● Allocate and monitor the progress and quality of work in your area of responsibility

35 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

● Help team members address problems affecting their performance

Checklists ● Checklist 129 – Introducing performance management ● Checklist 140 – Managing the plateaued performer ● Checklist 180 – Performance management ● Checklist 221 – Motivating the demotivated ● Checklist 275 – Managing Poor Performance

eModules

● Managing performance and developing team skills

External Weblinks ● ACAS Advisory Booklet: How to Manage Performance Relevant Theories, Frameworks and Models ● Berne (c.1950s) Transactional Analysis Please note: This list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. ManagementDirect resources require CMI membership and a username and password.

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CMI 304

Principles of Communication in the Workplace

Ofqual unit number T/615/8879

RQF level 3

Guided learning hours 18

Total unit time 50

Credits 5 Aims of unit As the range of communication tools used by an organisation continues to

grow, and new technologies emerge, managers are faced with the challenge of how to select and use different tools to ensure that communication is effective, timely and has impact. The aim of this unit is to equip managers with the knowledge and skills to select and use a range of workplace communication methods. These must be measurable and tailored to the needs of the target audience.

Keywords Communication types, channels, objectives, audience, methods, stages, communication cycle, transmit, respond, feedback, process, planning, effectiveness, communication tools, barriers, legislation and regulation, formal and informal communication.

Learning outcome 1

Know the channels and types of communication used in the workplace

Assessment criteria

1.1 Explain the ​importance​ of effective communication in the workplace

1.2 Identify ​channels ​of​ ​communication used in the workplace

1.3 Assess strengths and weaknesses of different ​types ​of communication used in the workplace

1.4 Summarise ​legal requirements ​and ​organisational​ ​policies​ that affect the use of the different types of communication in the workplace

Indicative content

1.1 ​Importance​ with reference to the individual, team and organisation. 1.2​ Channels​ may include but are not limited to formal and informal, face to face, telephone, electronic, digital media, oral, visual, written, mass media, real time, pre-recorded.

1.3 ​Types ​may include but are not limited to written: letters, memos, reports, newsletters, noticeboards; verbal: telephone calls, video conferencing, briefings and meetings, presentations; digital: intranet, emails, blogs, instant messaging, discussion forums, social media posts and comments, live chat, web chat, avatars, skype, electronic forms, apps, podcasts and webinars.

1.4 ​Legal requirements ​may include but are not limited to Data Protection Act 1998, General Data Protection Regulation (applies from May 2018), Equality Act 2010, Communications Act 2003, Digital Economy Act 2016. Learners may also make reference to other local laws as relevant.

Organisational policies ​may include but are not limited to communications policies, brand guidelines, house style, digital communication policies and procedures, standard responses, whistleblowing.

Learning outcome 2

Understand the communication cycle

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Assessment criteria

2.1 Explain the ​communication cycle​ and its application in the workplace

2.2 Explain ​barriers​ to effective communication

2.3 Explain ​ways to overcome​ barriers to communication

Indicative content

2.1​ Communication cycle ​may include but is not limited to sender, receiver, encoding, decoding, message, barriers, feedback (Schramm, 1954; Shannon and Weaver, 1948).

2.2 ​Barriers​ may include but are not limited to tangible e.g. environment, noise, technology, time, timing, resources, language, type or channel of communication, interference, timing, compliance, lack of control; intangible, volume e.g. confidence in individuals or participants, cultural, prejudice, bias, emotional.

2.3 ​Ways to overcome ​may include but are not limited to listening to and observing the audience, reducing distractions, speaking more clearly, active listening, restating or adjusting language, changing pace.

Learning outcome 3

Be able to plan communication for a target audience

Assessment criteria

3.1 Explain the ​planning​ process for communicating with a ​target audience

Indicative content

3.1 ​Planning ​may include but is not limited to identify the target audience and their needs, aims and objectives, clarify message purpose, cost, data security, suitability, timeliness, choose appropriate communication channel, plan the message content, check for accuracy and completeness, identify call to action.

Target audience​ may include but is not limited to groups or individuals, team members, colleagues, other departments, managers, customers, suppliers, partners

Learning outcome 4

Know how to measure the effectiveness of communication with a target audience

Assessment criteria

4.1 Assess ways of ​measuring​ the effectiveness of communication with a target audience

Indicative content

4.1​ ​Measures​ may include but are not limited to personal: unprompted reactions, asking for feedback, checking understanding, call monitoring; written: surveys, response data, monitoring progress; digital: web tracking services, click through, polls, stamps, kudos, web forms, authentication, metrics.

Recommendations for assessment

Learners may approach the assessment in several ways. All assessment criteria must be covered. To enable this to be achieved effectively, the unit has been written in a sequence which builds knowledge before looking at the practical application of communication methods.

The following opportunities are recommendations for guidance purposes only. The learner may be asked to respond to a range of assessment tasks including:

1. The learner may be asked to respond to a ​scenario​ based on how they would manage communication in the workplace.

2. Learners may write a ​report​ based on the principles of communication in the workplace.

38 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

3. The learner may draw upon their ​own experience​ of managing communication within their own organisation.

4. They may present ​work based evidence​ accompanied by reports/reflective accounts to meet each assessment criteria.

5. Learners may wish to create a ​guide​ on how to plan and manage communication in the workplace.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standard (NOS)

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/ Supervisor ST0384/01: D. Communication G. Building Relationships H. Awareness of Self and Others This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012):

● CFAM&LBA2 – Provide leadership for your area of responsibility ● CFAM&LBA3 - Lead your team ● CFAM&LDB5 - Manage team communications

Suggested reading and web resource materials

Reading/resource materials available on ManagementDirect: Online assessment ● Communicate Information and Knowledge

Checklists ● Checklist 256 – Understanding Management and Leadership Styles ● Checklist 269 – Understanding Non-Verbal Communication ● Checklist 272 – Communicating in the Virtual Workplace

Thinkers ● Albert Mehradian: nonverbal communication

eModules ● The communication process ● Listening to the answers ● Encoding the message ● Talking and listening Multi Media Videos ● Cultural Communication – Ross Howard External weblinks ● GOV.UK: Equality Act 2010: Guidance ● GOV.UK: Data Protection Act ● GOV.UK: Communications Act 2003 ● Digital Economy Bill, 2016

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● Institute of Internal Communication Relevant Theories, Frameworks and Models ● Schramm (1954) Model of Communication ● Shannon and Weaver (1948) Model of Communication ● CMI (2015) Visual, Auditory and Kinesthetic Communication Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. Please note: all references to legislation may be subject to subsequent changes, deletions and replacements. Learners may also make reference to other local laws as relevant.

ManagementDirect resources require CMI membership and a username and password.

40 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

CMI 305

Building Stakeholder Relationships Using Effective Communication

Ofqual unit number K/615/8880

RQF level 3

Guided learning hours 20

Total unit time 40

Credits 4 Aims of unit Developing relationships with internal and external stakeholders is an

essential management skill. Stakeholders can have a positive or negative impact on the success of an organisation. The aim of this unit is to equip managers to identify and understand stakeholder’s needs, know the purpose and benefits of building relationships with different stakeholder groups, and the methods of communicating with them to achieve results.

Keywords Relationship, stakeholders, interpersonal, styles, channels, listening, verbal, written, barriers to communication, needs and interests, internal, external and connected stakeholders

Learning outcome 1

Know the purpose of building stakeholder relationships

Assessment criteria

1.1 Identify a range of ​stakeholder​ groups relevant to the manager

1.2 Explain how to ​assess​ the needs and expectations of stakeholder groups

1.3 Assess the ​benefits​ of building relationships with stakeholders

Indicative content

1.1​ Stakeholders ​may include but are not limited to internal: team members, line managers, senior managers, board members; external: potential employees, customers, suppliers, pressure groups, government agencies and regulatory organisations, general public; connected: shareholders, suppliers, partners, contractors.

1.2​ Assess​ may include but are not limited to questioning, observation, meetings, focus groups, agreements and contracts (Stakeholder Theory, Freeman, 1984; Power versus Interest Grid, Eden and Ackermann, 1998).

1.3 ​Benefits ​may include but are not limited to improved communication and engagement, greater understanding of goals and objectives, improved planning.

Learning outcome 2

Understand different channels and types of communication used to build relationships with stakeholders

Assessment criteria

2.1 Compare the ​channels of communication​ used to build stakeholder relationships

2.2 Discuss types of ​verbal communication​ used with stakeholders

2.3 Explain how ​active listening​ is used to build stakeholder relationships

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2.4 Discuss types of ​written communication​ used with stakeholders

2.5 Discuss how meetings can be ​led​ to develop and build effective stakeholder relationships

Indicative content

2.1 ​Channels of communication ​refer to different forms of communication and their application, communicate effectively and regularly using verbal, written and digital channels, approaches to stakeholder and customer management including engagement approaches, build relationships and communicate and manage these effectively/regularly and may include but are not limited to formal and informal, mass media and personalised, real time and pre-recorded, (Schramm, 1954; Shannon and Weaver, 1948).

2.2 ​Verbal communication ​refers to different forms of communication and their application including presentations and may include but are not limited to meetings and briefings, conversations, workshops, telephone calls, video chat applications, webinars, podcasts.

2.3 ​Active listening ​may include but is not limited to giving full attention, processing verbal or non-verbal information, respond, provide constructive feedback, remember what is said, eye contact, posture, gestures and facial expressions.

2.4 ​Written communication ​refers to different forms of communication and their application and may include but are not limited to traditional: letters, noticeboards, presentation materials, storyboards, contracts, memos, brochures and newsletters, press releases, manuals; digital: intranet, websites, social media, instant messaging.

2.5 ​Led​ refers to chairing meetings to achieve outcomes.

Learning outcome 3

Know how to respond to barriers when communicating with stakeholders

Assessment criteria

3.1 Explain ​barriers​ to effective communication with stakeholders

3.2 Discuss ​ways of responding​ to ​barriers ​when communicating with stakeholders

Indicative content

3.1 ​Barriers ​may include but are not limited to tangible eg. environment, noise, technology, time, timing, resources, language, type or channel of communication; intangible e.g. confidence in individuals or participants, cultural, prejudice, bias, emotional, legal frameworks and organisational policies.

3.2 ​Ways of responding​ refers to communicating effectively and regularly, Emotional Intelligence (Goleman, 1995), effectively negotiating and influencing and may include but are not limited to negotiating and influencing, listening to and observing the audience, reducing distractions, speaking more clearly, active listening, restating or adjusting language, changing pace.

Learning outcome 4

Know how to use stakeholder communication

Assessment criteria

4.1 Discuss the ​importance​ of stakeholder feedback

4.2 Compare ​methods​ of gathering feedback from stakeholders

4.3 Discuss the ​use​ of stakeholder feedback

Indicative content

4.1 ​Importance ​may include but is not limited to avoid misunderstanding, impact of lack of feedback, meeting needs, relevance, openness, commitment, involvement, influence, interest.

42 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

4.2 ​Methods ​may include but is not limited to written: questionnaires, surveys, performance reviews; verbal: one to ones, meetings,​ ​questioning, observation; digital: social media, likes, badges, reviews, shares and comments.

4.3 ​Use ​may include but is not limited to​ ​engagement, responsiveness, satisfaction, productivity, retention, motivation.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be covered. The following opportunities are recommendations for guidance purposes only.

1 The learner may write a ​report​ to discuss the stakeholder relationships they might be responsible for and/or involved in in their area of responsibility.

2 The second opportunity might be to present ​work based evidence ​showing examples of the type and nature of stakeholder relationships encountered in the workplace.

3 The learner may also draw on their ​own experience​ of working with different stakeholders in their own area of responsibility. Reflective accounts may be used to meet assessment criteria.

4 For learners who are not in employment, the use of a ​scenario​ or ​case​ ​study​ could be used to support the application of knowledge in context.

5 Learners may wish to write a ​guide​ to highlight good practice on communicating with stakeholders in the workplace.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well-chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/Supervisor ST0384/01:

D. Communication ● D1 Different forms of communication and their application ● D2 How to chair meetings ● D5 Communicate effectively and regularly using verbal, written and digital channels ● D6 Chair meetings to achieve outcomes ● D7 Present to team and management ● D8 Use active listening and provide constructive feedback G. Building Relationships ● G1 Approaches to stakeholder and customer management including engagement approaches ● G2 Emotional intelligence ● G6 Effectively negotiate and influence ● G10 Build relationships with customers and manage these effectively H. Awareness of Self and Others ● H4 Emotional Intelligence This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012):

● CFAM&LDD2 -​ ​Develop and sustain productive working relationships with stakeholders

Suggested reading/web resource materials

43 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

Reading/resource materials available on ManagementDirect: Online assessment ● Communicate Information and Knowledge

Checklists ● Checklist 234 – Stakeholder Analysis and Management ● Checklist 269 – Understanding Non-Verbal Communication ● Checklist 272 – Communicating in the Virtual Workplace

Thinkers ● Albert Mehradian: nonverbal communication

eModules ● Why are stakeholders important? ● Meeting stakeholder needs ● The communication process ● Listening to the answers ● Encoding the message ● Talking and listening Multi Media Videos ● Cultural Communication – Ross Howard Relevant Theories, Frameworks and Models ● Eden and Ackermann (1998) Power versus Interest Grid ● Freeman (1984) Stakeholder Theory ● Goleman (1995) Emotional Intelligence ● Schramm (1954) Model of Communication ● Shannon and Weaver (1948) Model of Communication ● CMI (2015) Visual, Auditory and Kinesthetic Communication Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. ManagementDirect resources require CMI membership and a username and password.

44 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

CMI 306

Principles of Equality, Diversity and Inclusive Working Practices

Ofqual unit number T/615/8882

RQF level 3

Guided learning hours 24

Total unit time 60

Credits 6 Aims of unit Treating colleagues, customers and stakeholders with dignity and

respect enables relationships to develop and thrive. This unit focuses on how to develop inclusive working practices in line with organisational and legal frameworks. This will not only improve the productivity and well being of staff, but impact positively on the whole customer experience.

Keywords Equality, diversity, inclusive working, key terminology, legal requirements, principles, behaviours, benefits.

Learning outcome 1

Know the legal and organisational frameworks for inclusivity, equality and diversity

Assessment criteria

1.1 Define the key ​terminology ​used in the context of equality and diversity

1.2 Summarise the ​legal ​and​ organisational requirements​ for equality and diversity

1.3 Discuss the potential ​consequences​ of failing to meet legal and organisational requirements

Indicative content

1.1​ Terminology​ with reference to equality, diversity, direct and indirect discrimination, less favourable treatment, bullying and harassment, victimisation​, ​stereotyping​, ​bias (conscious and unconscious), inclusive working practices.

1.2​ Legal ​may include refers to the Equality Act 2010, individuals covered by legislation, protected characteristics. Learners may also make reference to other local laws as relevant.

Organisational requirements​ refer to learning and development, recruitment, staff rights and responsibilities and codes of conduct. Duty to conduct impact assessments, develop equality action plans, report on findings and promote equality and diversity.

1.3​ Consequences ​for individuals and organisations​ ​may include but are not limited to​ ​litigation, application of disciplinary procedures, reputational damage, financial impact, effect on productivity, quality, customer experience, staff relations (absence, staff turnover).

Learning outcome 2

Understand equality, diversity and inclusive working practices in own area of responsibility

Assessment criteria

2.1 Explain the ​principles ​which underpin inclusive working practices

2.2 Outline the ​behaviours​ which promote inclusion in the workplace

2.3 Discuss the ​benefits​ of inclusive working practices

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Indicative content

2.1​ Principles​ may include but are not limited to personal and collective obligation to treat others with dignity and respect, recognise and value difference, promote equality of opportunity and diversity within the workplace challenge discriminatory practice.

2.2 ​Behaviours​ may include but are not limited to honest, impartial, fair, consistent, open, participative and enabling, approachable, trustworthy, respectful, considerable, supportive, non-judgemental.

2.3 ​Benefits​ may include but are not limited to reputation, productivity, employee satisfaction, loyalty, engagement, improved customer experience.

Learning outcome 3

Know how to support equality, diversity and inclusive working practices within own area of responsibility

Assessment criteria

3.1 Discuss how issues which affect inclusive working practices can be ​identified

3.2 Explain the ​types of support​ that can be given to individuals with ​diverse needs

3.3 Explain a ​process​ for implementing​ ​equality, diversity and inclusive working practices

Indicative content

3.1 ​Identified​ may include but is not limited to observation, response to legal requirements, a complaint, a work directive or quality improvement.

3.2 ​Types of support​ may include but is not limited to formal: learning and development, performance reviews, target setting, supervision, grievance, observation of good practice from managers, peer support, coaching and mentoring, culture, reviews, one to one meetings; physical: aids and adaptation, specialist literature, IT applications.

Diverse needs​ may include but are not limited to a person’s mental and physical health, disability, gender, sexual orientation, religion, beliefs, education, language, level of understanding, skills and abilities, economic status, family responsibilities

3.3 ​Implementing​ may include but is not limited to consulting with staff, sharing objectives, rolling out new working practices.

Learning outcome 4

Understand how to monitor and manage equality, diversity and inclusive working practices within own area of responsibility

Assessment criteria

4.1 Identify methods for ​monitoring ​equality, diversity and​ ​inclusive working practices

4.2 Summarise how ​challenges​ to implementing equality, diversity and inclusive working practice may be ​overcome

Indicative content

4.1 ​Monitoring ​may include but is not limited to assessment against targets, observed practice, audits, levels of compliments and complaints, staff and customer surveys.

4.2 ​Challenges ​may include but are not limited to individual’s beliefs and opinions, ingrained working practices, bias, and lack of motivation.

Overcome​ may include but is not limited to communicating need for inclusive practice, set performance objectives, share benefits, challenge poor practice, application of disciplinary procedure.

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Learning outcome 5

Know how to challenge discrimination in own area of responsibility

Assessment criteria

5.1 Explain the ​benefits​ of challenging discriminatory practices of staff and colleagues

5.2 Discuss how discriminatory behaviour can be ​challenged

5.3 Explain ​limits of authority ​when challenging discrimination

Indicative content

5.1 ​Benefits ​in relation to relationships between the organisation, team and customers.

5.2 ​Challenged​ may include but is not limited to informal methods (such as advice) and formal methods such as application of disciplinary and grievance procedures.

5.3 ​Limits of authority ​may include but are not limited to job role, level of responsibility within organisation, organisation practices and procedures, scale of discrimination

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be covered. The following opportunities are recommendations for guidance purposes only.

1 A blended assessment approach could be used requiring the learner to complete a ​report​ on the organisational and legal framework for equality and diversity. The learner could then be introduced to a ​scenario ​based on how they would support inclusive working practices in their management role.

2 The second opportunity would be to write a ​report​ based on the principles of equality, diversity and inclusive working practice. This must be accompanied by a selection of well chosen examples to support recommendations made.

3 The learner may draw upon their ​own experience​ of implementing inclusive working practices and complying with equality and diversity in the workplace.

4 The learner may present ​work based evidence​ accompanied by reports/reflective accounts to meet each assessment criteria.

5 The learner could write a ​guide​ on how to develop inclusive working practices in the workplace.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/Supervisor ST0384/01: D. Leading People E. Managing People F. Building Relationships G. Communication H. Self-Awareness K. Behaviours This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012):

● CFAM&LBA7 - Promote equality of opportunity, diversity and inclusion

47 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

Suggested reading/web resource materials

Reading/resource materials available on ManagementDirect: eModules ● Diversity and Equality External Weblinks ● Equality and Human Rights Commission ● GOV.UK: Equality Act 2010: Guidance ● GOV.UK: Data Protection Act Please note: This list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. Please note: all references to legislation may be subject to subsequent changes, deletions and replacements. Learners may also make reference to other local laws as relevant. ManagementDirect resources require CMI membership and a username and password.

48 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

CMI 307

Developing the Knowledge, Skills and Abilities of Individuals and Teams

Ofqual ​u​nit ​n​umber T/615/8896

RQF level 3

Guided learning hours 15

Total unit time 40

Credits 4 Aims of unit A skilled and adaptable workforce is a collective group of people equipped

with the knowledge skills and abilities to achieve and exceed objectives. This unit aims to support managers to identify and select innovative development opportunities. It will enable them to identify approaches to support and promote participation, and how to monitor the impact of development activities for individuals, teams and the organisation.

Keywords Team, development, monitor, impact, learning and development, induction, growth

Learning outcome 1

Know the purpose of developing the knowledge, skills and abilities of individuals and teams

Assessment criteria

1.1 Explain the ​purpose ​of developing the knowledge, skills and abilities of individuals and the team

1.2 Discuss the ​benefits​ of developing the knowledge, skills and abilities

Indicative content

1.1 ​Purpose ​may include but is not limited to develop competencies, opportunities for progression, bridge skills gaps, improve productivity, enhance competitiveness, succession planning.

1.2 ​Benefits​ may include but are not limited to job satisfaction, engagement, motivation, staff retention, skilled and adaptable workforce.

Learning outcome 2

Know different types of development opportunities available to support individuals and teams

Assessment criteria

2.1 Summarise ​development opportunities​ available to individuals and team members

2.2 Explain the advantages and disadvantages of ​development opportunities ​identified

2.3 Explain how ​development opportunities​ can be used to comply with legal and organisational requirements

2.4 Explain how organisations can ​support​ professional and personal development

Indicative content

2.1 & 2.2​ Development opportunities ​may include but are not limited to formal and informal methods, iterative and incremental development, induction training, coaching, mentoring, eLearning, attending college, in-house programmes, reading, on-job training, action learning sets, social learning, and communities of practice.

49 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

2.3 ​Development opportunities​ may include but are not limited to technical and professional qualifications, licence to practice, role specific training (e.g. food hygiene, working at heights, teaching and medical qualifications), and health and safety and equality and diversity.

2.4 ​Support​ may include but is not limited to money, time, access to people and resources, senior management involvement and commitment.

Learning outcome 3

Be able to identify and select development opportunities for individuals and teams

Assessment criteria

3.1 Outline the ​methods​ used to identify the development needs of individuals and teams

3.2 Summarise the ​factors​ to consider when selecting development opportunities for individuals and teams

Indicative content

3.1 ​Methods​ may include but are not limited to training needs analysis, formal and informal questioning, observed need, professional development plan, appraisals, reviews, peer reviews, self review, achievement against targets and in response to organisational and legal requirements.

3.2 ​Factors​ may include but are not limited to learning needs, timing, organisational and legal requirements, cost, resources, grade or position.

Learning outcome 4

Know how to monitor the impact of learning and development activities on individuals and teams

Assessment criteria

4.1 Compare ways of ​monitoring​ the impact of learning and development activities

4.2 Discuss the ​benefits​ of monitoring the impact of learning and development activities

Indicative content

4.1​ Monitoring ​may include but is not limited to reviews, appraisals, observation, team meetings, questioning, stakeholder feedback, compliance, key performance indicators (KPIs)

4.2 ​Benefits ​may include but are not limited to measuring improvement, making changes to working practice, identifying good practice and further development needs, identifying poor performance, proving compliance, and assessing value for money of the activity.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be covered. The following opportunities are recommendations for guidance purposes only.

1. The learner should draw upon their ​own experience​ either from their current work role, paid or voluntary as to how they develop the knowledge, skills and abilities of individuals and teams

2. If not in employment, learners can be given a ​scenario​ from which to show how they would develop the knowledge, skills and abilities of individuals and teams

3. Learners may present ​work based evidence​ accompanied by reports or reflective accounts to meet each of the assessment criteria.

Further guidance: It is not a requirement for the learners to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

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Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/Supervisor ST0384/01: A. Operational Management D. Communication E. Leading People F. Managing People G. Building Relationships K. Behaviours This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012):

● CFAM&LBA2 – Provide leadership in your area of responsibility ● CFAM&LBA3 – Lead your team ● CFAM&LDC2 –​ ​Support individuals’ learning and development

Suggested reading/web resource materials

Reading/resource materials available in ManagementDirect: Online Assessment ● Provide learning opportunities for colleagues Checklists ● Checklist 113 – Evaluating learning and development

eModules ● People: your greatest resource ● A five-step model External weblinks ● Learning and Development Survey (May 2015) ● Learning to lead: digital potential (2015)

Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. ManagementDirect resources require CMI membership and a username and password.

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CMI 308

Managing Volunteers

Ofqual unit number J/615/8899

RQF level 3

Guided learning hours 25

Total unit time 50

Credits 5

Aims of unit Volunteers are uniquely placed to offer a wealth of skills and abilities to compliment those of employed staff within an organisation. Managed well, they can help an organisation improve the quality and capacity of the service. The aim of this unit is to equip managers with the knowledge of how to engage, motivate and support volunteers to be effective within their role and address challenges with a positive ‘can-do’ attitude.

Keywords Benefits, roles, responsibilities, recruitment and selection, planning, monitoring, legal frameworks, volunteer agreements support, motivation, third sector, non-profit, charity.

Learning outcome 1

Understand the reasons and benefits of volunteering

Assessment criteria

1.1 Explain the ​reasons ​why an organisation engages with volunteers

1.2 Summarise the ​benefits ​an individual may experience​ ​in the volunteer role

Indicative content

1.1 ​Reasons​ may include but are not limited to the ability to increase capacity of service, introduce specialist skills, motivational, fresh perspective, positive impact on inclusive working, meet contractual obligations, promotes community relations, create a pool of potential staff.

1.2 ​Benefits ​may include but are not limited to increase self-confidence, well-being, new interests/experiences, knowledge and skills, work experience, supports return to paid employment, feeling of pride in contribution, community pay back.

Learning outcome 2

Understand the legal and organisational requirements for managing volunteers

Assessment criteria

2.1 Outline the ​legal​ and ​organisational requirements​ for managing volunteers

2.2 Explain the ​purpose​ of a volunteer agreement

Indicative content

2.1​ Legal​ may include but are not limited to Data Protection Act 1998, General Data Protection Regulation (applies from May 2018), Equality Act 2010, Health and Safety Act 1974, Working Together to Safeguard Children 2013, Safeguarding Vulnerable Groups Act 2006, The Protection of Freedoms Act 2012. Learners may also make reference to other local laws as relevant.

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Organisational requirements​ may include but are not limited to health, safety and security policies and procedures, risk assessments, personal safety, lone working, vetting and security (DBS), recording volunteer contact, expenses, personal details.

2.2 ​Purpose​ may include but is not limited to​ ​expectations, roles and responsibilities.

Learning outcome 3

Know how to recruit, select and manage learning and development for volunteers

Assessment criteria

3.1 Explain the process for ​recruiting and selecting​ volunteers to meet the organisational needs

3.2 Explain the key features of a volunteer ​induction programme

3,3 Outline the purpose of ​learning and development​ opportunities for volunteers

Indicative content

3.1 ​Recruitment and selecting​ may include but are not limited to identify the need, skill requirements, sourcing and advertising, application, interviews and selection.

3.2​ Induction programme​ may include but is not limited to role, purpose, activities, stakeholder involvement, legal and organisation requirements, expectations.

3.3​ Learning and development ​may include but is not limited to one to one training, induction, meetings, away days, work shadowing, coaching, mentoring, accredited courses.

Learning outcome 4

Know how to manage volunteers in the workplace

Assessment criteria

4.1 Explain how to ​plan work​ activities for volunteers

4.2 Discuss methods for ​monitoring​ the work of volunteers

4.3 Explain how to respond to ​problems ​which occur when managing volunteers

Indicative content

4.1 ​Plan work​ may include but is not limited to identify and assign tasks, negotiate, prioritise, set objectives, allocate resources (people, equipment, materials, budget)

4.2​ Monitoring ​may include but is not limited to supervision, seeking feedback from volunteers, clients and staff.

4.3​ Problems ​may include but not limited to conduct, overstepping role boundaries, complaints, timekeeping, behaviour, attitude or performance.

Learning outcome 5

Know how to build and maintain relationships with volunteers

Assessment criteria

5.1 Explain the ​skills and attributes​ required to build and maintain relationships with volunteers

Indicative content

5.1​ Skills and attributes ​may include but not limited to communication, listening, developing mutual respect, recognising the skills and achievements of the volunteer.

53 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

Learning outcome 6

Know how to motivate and retain volunteers

Assessment criteria

6.1 Explain the ​reasons ​why volunteers may not be motivated to keep their commitment

6.2 Identify ​methods​ of motivating volunteers

Indicative content

6.1​ Reasons ​may include but are not limited to lack of support, unsuitability to task, bored, under-utilised, failed expectation, unappreciated, lacking adequate knowledge, skills, competence, and lack of confidence.

6.2​ Methods ​of motivating volunteers may include but are not limited to reward and recognition, promoting and championing volunteers in the organisation, leadership and support.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be covered. To enable this to be achieved effectively, the unit has been written in the sequence of which managing volunteers naturally occurs.

The following opportunities are recommendations for guidance purposes only.

1 The learner may be asked to respond to a ​scenario​ based on how they would introduce volunteers into an organisation and manage them to achieve results.

2 The second opportunity would be to write a ​report​ based on the principles of managing volunteers.

3 The learner may draw upon their own experience of managing a volunteer or volunteers within their own organisation. They may present ​work based evidence​ accompanied by reports/reflective accounts to meet each success criteria.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Standards

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/ Supervisor ST0384/01: A. Operational Management D. Communication E. Leading People F. Managing People G. Building Relationships H. Awareness of Self and Others J. Decision Making K. Behaviours

Suggested reading/web resource materials

Reading/resource materials available on ManagementDirect

Multi Media Videos

54 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

● Volunteering is good for business – Stephen Howard External Weblinks

● National Council for Volunteer Organisations ● Voluntary Works ● Association of Volunteer Managers ● Investing in Volunteers ● Bosses prefer career starters with volunteering experience ● How volunteering will lift your firm’s performance

Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. Please note: all references to legislation may be subject to subsequent changes, deletions and replacements. Learners may also make reference to other local laws as relevant. ManagementDirect resources require CMI membership and a username and password.

55 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

CMI Unit 309

Responding to Conflict in the Workplace

Ofqual unit number M/615/8900

RQF level 3

Guided learning hours 13

Total unit time 30

Credits 3 Aims of unit Conflict and disagreements in the workplace have a detrimental

effect on team dynamics, productivity and motivation. The ability to respond effectively to conflict is a fundamental skill for all managers. This unit aims to support managers to understand the types and causes of conflict and how to identify strategies to respond to conflict situations in a timely and professional manner.

Keywords Conflict management, causes of conflict, professional behaviour, trust, leading by example, influencing skills.

Learning outcome 1

Understand the nature of conflict in the workplace

Assessment criteria

1.1 Identify ​reasons ​for conflict in the workplace

1.2 Define the​ scope​ of conflict which may occur in the workplace

1.3 Explain the ​impact ​of conflict in the workplace

Indicative content

1.1 ​Reasons ​may include but are not limited to personal, technical, interest, resources, information, communication, values, opinions.

1.2 ​Scope​ may include but is not limited to one to one, teams, departments, divisions, customers, staff, and managers, verbal, physical, digital, visible and invisible.

1.3 ​Impact​ may include but is not limited to positive or negative, destructive, sickness, attrition, grievance, productivity, engagement, complaints, dissatisfaction, improvements.

Learning outcome 2

Understand the signs and causes of conflict in the workplace

Assessment criteria

2.1 Discuss the ​signs​ of conflict in the workplace

2.2 Explain ​methods​ used to investigate causes of conflict in the workplace

Indicative content

2.1 ​Signs​ may include but are not limited to arguments, hostility, raised voices, altercations, negativity, aggression, quarrels, withdrawal, isolation, silence. bullying, lack of motivation.

2.2 ​Methods​ may include but is not limited to observations, asking questions, listening to concerns, gathering information from others.

56 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

Learning outcome 3

Know how to respond professionally to conflict in the workplace

Assessment criteria

3.1 Compare ​formal ​and ​informal methods​ of responding to conflict

3.2 Discuss the ​skills ​and​ knowledge​ required when responding professionally to conflict in the workplace

3.3 Explain how to ​repair​ working relationships following conflict

Indicative content

3.1 ​Informal methods​ may include but are not limited to listening, questioning, influencing, lead by example, consult, negotiate, empower, withdrawing/avoiding (Eric Berne, c.1950, Transactional Analysis).

Formal methods​ may include but are not limited to policies and procedures, legal, ethical, conciliation and arbitration (ACAS, 2017), mediation, advice (Five Steps in the Conflict Management Process, Thomas-Kilmann Conflict Mode Instrument, 1974).

3.2 ​Skills and knowledge​ may include but are not limited to acting within limits of authority and knowing when to escalate to management, other departments and stakeholders (e.g. police, Health and Safety Executive and other regulatory bodies), safeguarding relationships with others, knowing when to call on specialist advice, maintaining confidentiality, record keeping, reporting, respect, objectivity, communication, Emotional Intelligence (Goleman,1995).

3.3 ​Repair​ may include but is not limited to establishing respect, trust, frequent communication, creating cohesiveness, clarifying roles and responsibilities, confirming policies, procedures, expected standards of behaviour and performance, promoting a constructive and empathetic environment.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be covered. To enable this to be achieved effectively, the unit has been written in the sequence in which responding to conflict naturally occurs.

The following opportunities are recommendations for guidance purposes only.

● The learner may be asked to respond to a ​scenario​ based on how they would respond to conflict in an organisation.

● The second opportunity would be to write a ​report​ based on the principles of responding to conflict in an organisation.

● The learner may draw upon their ​own experience​ of responding to conflict within their own organisation.

● They may present ​work based evidence​ accompanied by reports/reflective accounts to meet each assessment criteria.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

The unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/ Supervisor ST0384/01: A. Operational Management B. Project Management

57 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

D. Communication E. Leading People F. Managing People G. Building Relationships H. Awareness of Self and Others I. Management of Self J. Decision Making K. Behaviours This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012):

● CFAM&LDB8 - Manage conflict in teams

Suggested reading/web resource materials

Reading/resource materials available on ManagementDirect: Online Assessments

● Reduce and manage conflict in your team Checklists ● Checklist 046 – Handling Conflict Situations eModules ● Causes of conflict

Multi Media Videos ● Dealing with Conflict – Howard M Guttman Textbooks/eBooks ● Johnson, C. & Keddy, J (2010) Managing conflict at work: understanding and resolving conflict for

productive working relationships. London: Kogan Page. ● Leibling, M. (2009) Working with the enemy: how to survive and thrive with really difficult people.

London: Kogan Page. External Weblinks ● ACAS – Advisory Booklet – Managing conflict at work Relevant Theories, Frameworks and Models ● Eric Berne (c.1950) Transactional Analysis ● Goleman (1995) Emotional Intelligence ● Thomas-Kilmann (1974) Conflict Mode Instrument Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. ManagementDirect resources require CMI membership and a username and password.

58 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

CMI 310

Supporting Teams and Individuals Through Change

Ofqual unit number T/615/8901

RQF level 3

Guided learning hours 17

Total unit time 50

Credits 5 Aims of unit Change is inevitable if an organisation is to maintain competitiveness and

currency of practice. Managers are constantly asked to implement change to respond to commercial pressures, legal organisational requirements, efficiencies or improvements. Success often depends on the support given by managers to staff. The aim of this unit is to enable managers to lead people positively through change. This is achieved by implementing plans which identify ways to make change successful, and gaining the support and trust of individuals and teams.

Keywords Reasons for change, types of change, individual responses, promote benefits, identify and overcome barriers to change, support team members, implement change, effective leadership, monitor change, innovation, new ways of working, efficiencies and savings.

Learning outcome 1

Understand change within organisations

Assessment criteria

1.1 Identify ​reasons for change​ in an organisation

1.2 Explain ​types of change​ that may occur in an organisation

1.3 Summarise ​individual and team reactions​ to change

Indicative content

1.1 ​Reasons for change ​may include but are not limited to improvement to products or services, growth of the organisation, factors in the business environment such as technical changes, new legislation or changes in customer expectations, reduction in resources, efficiency savings, internal re-organisation.

1.2​ Types of change ​may include small or large changes, planned or unplanned, influenced by internal or external forces, continuous, transformational.

1.3 ​Individual and team reactions​ may include but are not limited to positive responses - curiosity, readiness, willingness to get involved, excitement, acceptance; negative responses – anxiety, confusion, fear, anger, threat, denial, distrust, disillusionment, hostility, indifference.

Learning outcome 2

Understand how to support individuals and teams through change

Assessment criteria

2.1 Explain how to promote the ​benefits​ of change to individuals and teams

2.2 Identify ​barriers​ to change for individuals and teams

2.3 Discuss ​approaches​ to overcoming barriers to change

59 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

2.4 Outline ​methods​ of supporting individuals and teams through change

Indicative content

2.1 ​Benefits ​may include but are not limited to opportunities for personal development, promotion, increased or new responsibilities, flexible working, improved products or services.

2.2 ​Barriers​ may include but are not limited to resisting the power structure, feeling threatened by the process, lack of knowledge and understanding, poor communication, trust, fearing the unknown, resistance from employees, splinter groups, logistical and resource barriers such as remote working or shift work.

2.3 ​Approaches​ may but are not limited to include explanations, checking understanding, answering questions, seeking advice and information, providing consistent messages, seeking ideas, allocating responsibility, suggestions, engaging with individuals and whole team, negotiation, involvement of senior management (Kotter (1995) 8 Steps to Transformation, Lewin (c.1947) Unfreeze-Change-Refreeze Model; Scott (2003) Fierce Conversations).

2.4 ​Methods ​may include but are not limited to one to one discussions, counselling, team meetings, coaching, development activities, information and advice from human resources specialists or senior managers, (Goleman (1995) Emotional Intelligence; Kubler Ross (c.1960) Change Transition Curve).

Learning outcome 3

Know how to implement and monitor change

Assessment criteria

3.1 Explain the ​process ​for implementing change

3.2 Explain how to ​monitor and review​ the implementation of change

3.3 Explain the role of ​effective management and leadership ​throughout the change process

Indicative content

3.1​ Process ​may include but is not limited to use of plans, timescales, objectives, resources, milestones, identifying roles and responsibilities, pilot initiatives, training, development activities.

3.2 ​Monitor and review ​may include but is not limited to progress reporting, key performance indicators, quality or other measures, feedback, budget reports, customer surveys.

3.3 ​Effective management and leadership​ may include but is not limited to motivation, encouragement, communication, emotional intelligence, commitment to change, support, fairness, inclusive approach, constructive feedback, reward and recognition, putting aside personal beliefs and opinions.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be met. The following opportunities are recommendations for guidance purposes only.

1. The learner may be asked to respond to a ​scenario​ based on how they would support teams and individuals through change.

2. Learners may write a ​report​ based on the principles of supporting teams and individuals through change.

3. The learner may draw upon their ​own experience​ of supporting teams and individuals through change within their own organisation.

4. They may present ​work based evidence​ accompanied by reports or reflective accounts to meet each assessment criteria.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

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Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/Supervisor ST0384/01: A. Operational Management B. Project Management D. Communication E. Leading People F. Managing People G. Building Relationships H. Awareness of Self and Others K. Behaviours This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012):

● CFAM&LCA3 – Engage people in change ● CFAM&LCA4 – Implement change

Suggested reading/web resource materials

ng/resource materials available on ManagementDirect

Online Assessments ● Lead Change Checklists ● Checklist 035 – Managing Projects ● Checklist 197 – Participating in Projects ● Checklist 241 – Conducting a Risk Assessment Document Templates ● Change Management Plan eModules ● Project Planning Tools ● Types of Project Organisation Multi Media Videos ● Make Change Meaningful – Jodi Dejten Relevant Theories, Frameworks and Models ● Lewin (c.1947) Unfreeze-Change-Refreeze Model ● Kotter (1995) Kotter’s 8 Steps to Transformation ● Scott (2003) Fierce Conversations ● Goleman (1995) Emotional Intelligence ● Kubler Ross (c. 1960) Change Transition Curve Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. ManagementDirect resources require CMI membership and a username and password.

61 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

CMI 311

Contributing to the Delivery of a Project

Ofqual unit number

F/615/8903

RQF level 3

Guided learning hours 30

Total unit time 60

Credits 6 Aims of unit Whilst the scale, significance and complexity of a project will vary,

the principles of carrying out a project will ultimately be the same. This unit aims to equip managers with the knowledge, tools, and techniques for managing and monitoring projects. It also identifies approaches to managing risk and responding to the needs and expectations of stakeholders. The skills a manager will learn, will not only enable them to improve own working practice, but will impact on the achievement of project outcomes.

Keywords Purpose, objectives, deliverables, project planning, risk management, risk register, resource management, project life cycle, stakeholder analysis, team plans, project implementation and control.

Learning outcome 1

Understand the role and purpose of projects in an organisation

Assessment criteria

1.1 Identify the differences between ​projects​ and ​everyday activities

1.2 Explain the ​reasons​ organisations use projects

1.3 Discuss ​types​ of projects in an organisation

Indicative content

1.1 ​Projects ​may include but are not limited to​ ​planned activities with a defined beginning and end.

Everyday activities​ may include but are not limited to definitions of business as usual.

1.2 ​Reasons​ may include but are not limited to change, research, feasibility, study, new processes or procedures, new products or services, events, new systems.

1.3 ​Types​ may include but are not limited to simple, complex, short term or long term.

Learning outcome 2

Understand how projects are developed

Assessment criteria

2.1 Explain ​stages of the project lifecycle

2.2 Explain the ​information​ required in the development of a project

2.3 Identify the ​reasons​ for engaging stakeholders in project development

2.4 Produce a ​project​ ​plan

62 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

Indicative content

2.1 ​Stages of the project life​ ​cycle​ may include but are not limited to initiating, planning, implementing, monitoring and controlling, closing, evaluating.

2.2​ Information ​may include but not limited to​ ​purpose, aims, objectives, intended outcomes or deliverables, tasks to be completed, timescales, milestones, resources required.

2.3 ​Reasons​ refer to approaches to stakeholder and customer management including engagement approaches and building effective relationships with customers and may include but is not limited to make use of expertise, understand requirements and expectations, buy-in, manage relationship through process.

2.4 ​Project plan​ refers to how to plan, organise and manage a project, resources and risks and may include but is not limited to identifying tasks and activities, prioritising, milestones, allocating time, identifying and allocating resources (people, equipment, materials, money), planning tools.

Learning outcome 3

Know how to deliver a project

Assessment criteria

3.1 Identify ​roles​ involved in the delivery of a project

3.2 Discuss ​factors​ affecting the allocation of project activities to individuals

3.3 Compare ​methods​ for communicating project activities to individuals

3.4 Outline how to ​manage risks​ to the successful delivery of a project

Indicative content

3.1 ​Roles​ may include but are not limited to project manager, project team member, project administrator, project sponsor.

3.2 ​Factors​ refer to planning, organising and managing resources, issues and risks and may include but are not limited to experience, knowledge, technical expertise, working relationships, individual’s track record, physical location, time, availability, job role.

3.3 ​Methods​ refer to different forms of communication and their application to communicate effectively and regularly (Shannon and Weaver, 1948; Schramm, 1954) and may include but are not limited to written: letters, memos, reports, newsletters, noticeboards; verbal: telephone calls, video conferencing, briefings and meetings, presentations; digital: intranet, emails, blogs, instant messaging, discussion forums, posts on social media sites, web chat, avatars, skype, electronic forms, apps, podcasts and webinars.

3.4 ​Manage risks​ may include but are not limited to risk rating, risk management matrices, risk register, targeted plans.

Learning outcome 4

Know how to monitor progress to ensure successful project delivery

Assessment criteria

4.1 Outline how to ​monitor​ ​progress​ against a project plan

4.2 Discuss ​tools​ that can be used for monitoring progress of a project

4.3 Determine how to take ​corrective actions​ to ensure successful project delivery

4.4 Assess how completed projects can be​ evaluated

Indicative content

63 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

4.1​ Monitor progress​ may include but is not limited to what will be measured, how it will be measured, when and how often progress will be measured.

4.2 ​Tools​ may include but are not limited to spreadsheets, project management software tools, collaborative tools, Gantt charts, issue logs, meeting minutes.

4.3 ​Corrective actions​ may include but are not limited to reallocation of resources, adjust time scales, changes to project team.

4.4 ​Evaluated​ may include but is not limited to time, cost, quality, outcomes, resources.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be covered. To enable this to be achieved effectively, the unit has been written in the sequence in which contributing to a project naturally occurs.

The following opportunities are recommendations for guidance purposes only.

1. The learner may be asked to write an ​account​ or ​assignment​ on the principles of contributing to the delivery a project within their own organisation.

2. The learner may be asked to respond to a ​scenario​ based on how they would contribute to the delivery of a project in an organisation.

3. The second opportunity would be to write a ​report​ based on contributing to the delivery of a project.

4. The learner may draw upon their ​own experience​ of contributing to the delivery of a project within their own organisation.

5. They may present ​work based evidence​ accompanied by reports/reflective accounts to meet each success criteria.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

The unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/ Supervisor ST0384/01: B. Project Management

B1 The project lifecycle and roles B2 How to deliver a project through managing resources B3 How to identify issues and risk B4 Project management tools B5 Plan, organise and manage resources and risk B6 Monitor progress against project plan take corrective actions to ensure project delivery using

project management tools D. Communication

D1 Different forms of communication and their application D5 Communicate effectively and regularly using verbal, written and digital channels

G. Building Relationships

G1 Approaches to stakeholder and customer management including engagement approaches G10 Build relationships with customers and manage these effectively

This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012):

64 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

● CFAM&LFA5 – Manage projects

Suggested reading/web resource materials

Reading/resource materials available on ManagementDirect Online assessment ● Manage a Project Checklists ● Checklist 035 – Managing Projects ● Checklist 197 – Participating in Projects ● Checklist 241 – Conducting a Risk Assessment

Document Templates ● Project Plan Document ● Risk Management Document eModules ● Project Planning Tools ● Types of Project Organisation External Weblinks ● Association for Project Management

Relevant Theories, Frameworks and Models ● Schramm (1954) Model of Communication ● Shannon and Weaver (1948) Model of Communication Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. ManagementDirect resources require CMI membership and a username and password.

65 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

CMI 312

Managing Daily Activities to Achieve Results

Ofqual unit number L/615/8905

RQF level 3

Guided learning hours 21

Total unit time 40

Credits 4 Aims of unit Working efficiently is essential if a business is to remain competitive.

A well structured workload is key to individual and team success. The aims of the unit are to equip managers with the knowledge to identify priorities and set measurable objectives. Managers will know how to organise and allocate daily work activities, monitor outcomes, and respond practically to problems in a manner which supports the achievement of results.

Keywords Organisational, targets, results, SMART objectives, time/quality/cost, resources, Lean production, efficiency, consistency, productivity

Learning outcome 1

Understand the purpose of daily work activities in the context of an organisation

Assessment criteria

1.1 Assess the scope and purpose of ​daily work activities ​in the context of an organisation

1.2 Identify the ​legal and organisational frameworks ​which impact on how a team delivers daily work activities

1.3 Explain how daily work activities ​contribute to the achievement of organisational targets

Indicative content

1.1 ​Daily work activities ​may include but are not limited to routine activities fulfilled daily, meet set objectives and include production, administrative and security tasks and activities, reporting, health and safety, equipment usage; non routine activities occur infrequently, include training, emergencies, special projects.

1.2 ​Legal​ may include but is not limited to Health and Safety at Work Act 1974, COSHH Regulations 2002, Data Protection Act 1998, General Data Protection Regulation (applies from May 2018), Working Time Directive 1998, Equality Act 2010 and industry specific regulations. Learners may also make reference to other local laws as relevant.

Organisation frameworks​ may include but are not limited to performance standards, customer service charters, HR and health and safety policies, risk assessment, Lean production, quality standards and policies.

1.3 ​Contribute to the achievement of organisational targets​ refers to the organisational strategy, the development and communication of this and how it relates to the delivery of operational plans and may include but are not limited to links between organisational, team and individual targets, work standards, delivery against time, quality and cost requirements.

Learning outcome 2

Understand how to prioritise and set objectives for daily work activities

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Assessment criteria

2.1 Explain how to ​identify priorities​ for daily work activities

2.2 Explain how to set ​SMART objectives​ for teams and individuals to achieve daily work activities

Indicative content

2.1​ Identify priorities​ refer to the organisation, prioritisation and allocation of work and may include but are not limited to project or business plan activities, RAG (red, amber, green), ABC or 123 rating related to business need.

2.2 ​SMART Objectives ​may include but not limited to specific, measurable, achievable/ agreed, realistic/relevant, timebound.

Learning outcome 3

Know how to organise and allocate work

Assessment criteria

3.1 Identify ​tools​ which contribute to the ​efficient​ completion of daily work activities

3.2 Outline the ​support​ provided to the team to complete daily work activities

3.3 Identify the ​resources​ provided to the team to complete daily work activities

3.4 Explain how work is ​allocated​ to the team members

Indicative content

3.1 ​Tools​ refers to using time management techniques (Murphy, 2000; Covey, 1989) to prioritise activities and effectively manage workload and pressure and may include but are not limited to diaries, calendars, to do lists, planners, Lean tools, Plan, Do, Check, Act (PDCA) Cycle (Deming, c.1950s), standardised work procedures, timed task sheets, telephone call templates, apps, collaboration tools, spreadsheets.

Efficient​ may include but are not limited to work standards, budget, timeframes.

3.2 ​Support​ refers to supporting team development and improving performance through role modelling values and behaviours, coaching and mentoring, giving feedback and the management of change, able to input into discussions and may include but are not limited to buddies, peer support, super-users, information, advice and guidance, instructions, quality standards, one to one and team meetings, codes of practice and monitoring.

3.3 ​Resources​ refers to effective use of resources within the team and may include but not limited to equipment, materials, budget, vehicles, facilities, production line or business premises

3.4 ​Allocated​ may include but is not limited to factors relating to the person (for example, skills, experience, work pattern) and to the nature of the task (for example, issues of accountability, responsibility and authority).

Learning outcome 4

Understand how to monitor outcomes and respond to problems

Assessment criteria

4.1 Explain how to​ monitor​ actual progress of work activities against planned performance

4.2 Explain how to​ respond​ to problems which may impact on the delivery of daily work activities

4.3 Explain how to provide ​constructive feedback​ and have ​difficult conversations​ with individuals

Indicative content

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4.1 ​Monitor​ may include but is not limited to data and information, quality measures, visual controls (such as, charts, display boards, scorecards, dashboards, and visibility wall), one to one meetings, huddles, tiered meetings, problem tracking, activity tracking tools and feedback.

4.2 ​Respond​ refers to escalating issues, raising concerns where necessary and may include but is not limited to corrective actions, escalation procedure, reporting to a more senior manager, training and development needs, resource needs.

4.3 ​Constructive feedback​ refers to use active listening and provide constructive feedback which is information specific, issue focused and based on observation.

Difficult conversations​ may include but is not limited to topics of a personal nature, under performance, unethical behaviour.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be covered. To enable this to be achieved effectively, the unit has been written in the sequence in which managing daily work activities naturally occurs.

The following opportunities are recommendations for guidance purposes only.

● The learner may be asked to respond to a ​scenario​ based on how they would manage daily work activities in an organisation in order to achieve results.

● The second opportunity would be to write a ​report​ based on the principles of managing daily work activities to achieve results.

● The learner may draw upon their ​own experience​ of managing daily work activities to achieve results within their own organisation.

● They may present ​work based evidence​ accompanied by reports/reflective accounts to meet each success criteria.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well-chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

The unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/ Supervisor ST0384/01: A. Operational Management

A1 The organisational strategy, the development of this and how this relates to operational plans A2 How to implement operational/team plans A4 How to manage resource within the team A6 Communicate organisational strategy and deliver operational plans A7 Organise, prioritise and allocate work A8 Effectively use available resources

D. Communication

D3 How to provide constructive feedback and hold difficult conversations D8 Use active listening and provide constructive feedback

E. Leading People

E2 Benefits of coaching to support people and improve performance E6 Support the development of the team through role modelling values and behaviours, coaching

and mentoring and the management of change F. Managing People

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F7 Monitor progress G. Building Relationships

G8 Able to input to discussions and provide feedback to team and more widely I. Management of Self

I1 How to manage time and prioritise activities I4 Use time management techniques to effectively manage workload and pressure

This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012):

● CFAM&LBA3 – Lead your team ● CFAM&LDB2 – Allocate work to team members

Suggested reading/web resource materials

Reading/resource materials available on ManagementDirect: Checklists ● Checklist 016 Managing your Time Effectively

Textbooks/eBooks ● Covey, S.R. et al. (1994) First things first. New York: Simon and Schuster. External Weblinks ● GOV.UK: Equality Act 2010: Guidance ● GOV.UK: Data Protection Act ● Health and Safety Executive (HSE): Working Time Directive, 1998 ● Health and Safety Executive (HSE): Control of Substances Hazardous to Health (COSHH), 2002 ● Health and Safety Executive (HSE): Health and Safety Act, 1974 Relevant Theories, Frameworks and Models ● Covey (1989) Seven Habits of Highly Effective People ● Deming (c. 1950s) Plan, Do, Check, Act (PDCA) Cycle ● Murphy (2000) Ten Laws of Time Management

Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. Learners may also make reference to other local laws as relevant. ManagementDirect resources require CMI membership and a username and password.

69 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

CMI 313

Developing and Sharing Good Practice

Ofqual unit number R/615/8906

RQF level 3

Guided learning hours 19

Total unit time 50

Credits 5 Aims of unit Developing and sharing good practice enables individuals and

organisations to develop and increase their potential to exceed personal and organisational expectations. This unit explores how good practice can be developed, maintained, adopted and shared with stakeholders.

Keywords Good practice, benefits, challenges, examples, impact, motivation, sharing, improvement, innovation, change.

Learning outcome 1

Know the benefits of good practice

Assessment criteria

1.1 Compare good working practice against ​standard working practice

1.2 Explain how good practice can ​benefit​ an organisation

1.3 Explain the ​positive impact​ good practice can have on ​customers

1.4 Outline the potential ​rewards​ to individuals and teams who deliver good practice

Indicative Content

1.1 ​Standard working practice ​refers to the expected standard of work, skills, knowledge or behaviour stipulated in contracts and agreements.

1.2 ​Benefits​ to an organisation may include but are not limited to increased quality of output, reputation, productivity, staff morale, innovation, continuous improvement, repeat business and loyalty.

1.3 ​Positive impact ​may include but are not limited to repeat business, trust, loyalty, prediction of customer demands, meeting needs, satisfaction, peace of mind, time and cost savings, recommendation and cooperation.

Customer ​refers to internal and external customers.

1.4 ​Rewards ​may include but are not limited to recognition, praise, promotion, productivity, sense of ownership, improved working practices, relationships with others, self-confidence, improved well-being, financial benefits, loyalty and opportunities for on-going development/promotion.

Learning outcome 2

Be able to identify good practice

Assessment criteria

2.1 Identify ​examples​ of good practice within workplace settings

2.2 Assess the ​factors​ that contribute to good practice

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Indicative Content

2.1​ Examples ​may include but are not limited to individual or organisational achievements such as an outstanding project, idea, activity, innovation or individual and team achievements which show outstanding skills, behaviour, knowledge, dedication, creativity and agility.

2.2​ Factors ​may include but are not limited to team work, management support, stakeholder involvement, collaborative working, sufficiency of resources, budget management, characteristics of staff, effective communication, motivation, dedication, knowledge of the needs of the service, skill set, inclusion, equality of opportunity, realism of goals, project planning, systems/quality assurance, responsiveness to change and innovation.

Learning outcome 3

Know how to develop good practice

Assessment criteria

3.1 Explain how good practice can be ​developed

3.2 Examine potential ​barriers and threats​ to the development of good practice

3.3 Explain how barriers and threats to good practice can be ​overcome

Indicative Content

3.1 ​Developed​ may include but is not limited to by identifying and researching an opportunity or innovation, expanding, building on, streamlining services or practices, extending skills or knowledge, increasing utilisations of equipment or tools, test the opportunity and implement.

3.2​ Barriers and threats​ may include but are not limited to lack of team work, management support, stakeholder involvement, collaborative working, and sufficiency of resources, time pressure, and excessive workload, attitudes of staff, motivation and knowledge.

3.3 ​Overcome​ may include but are not limited to personal and team approach, discussion, project planning, application for funding, supporting staff through change, engaging support from stake holders, use of effective communication, persuasion.

Learning outcome 4

Understand how good practice can be implemented, maintained and improved

Assessment criteria

4.1 Outline ​approaches ​to implementing good practice

4.2 Explain how good practice can be ​maintained

4.3 Explain the ​consequences​ of not maintaining good practice

Indicative Content

4.1​ Approaches ​may include but are not limited to​ ​supporting and training staff to implement strategies, formalising processes (such as on standard work process sheets, policies, procedures, charters).

4.2​ Maintained ​may include but is not limited to​ ​ongoing quality assurance measures monitoring, benchmarking, review, updates, sustained support from customers, managers, operational staff and resourcing.

4.3 ​Consequences​ may include but are not limited to falling standards, reputation, reduced competitiveness, customer complaints, non-compliance and loss of business

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Learning outcome 5

Know how to share good practice with stakeholders

Assessment criteria

5.1 Outline ​approaches​ to share good practice with ​stakeholders

5.2 Identify ​legal and organisational requirements​ which impact on the ability to share good practice

Indicative Content

5.1​ Approaches ​may include but are not limited to written reports, editorial for web pages, magazines, newsletters, good practice guides, journals, newspapers, fact sheets, presentations, video, webinars, PowerPoint presentation, discussion groups, quality circles, consultations. Formal or informal.

Stakeholders​ may include but are not limited to customers, employees, managers, suppliers, sub-contractors, regulators, industry partners, the public.

5.2​ Legal and organisational requirements ​may include but are not limited to legislation and codes of practice, organisational policies and procedures pertaining to communication, confidentiality, security, data protection, freedom of information, sale of goods.

Recommendations for assessment

Candidates may approach the assessment in a number of ways. All assessment criteria must be covered. To enable this to be achieved effectively, the unit has been written in the sequence of which developing and sharing good practice naturally occurs.

The following opportunities are recommendations for guidance purposes only.

1. The candidate may be asked to respond to a ​scenario, task​ or project based on how they would identify an opportunity to develop, implement, maintain and share good practice in the workplace.

2. The second opportunity would be to write a ​report​ based on the principles of developing good practice.

3. The candidate may draw upon their ​own experience​ of developing good practice within their own area of work.

4. They may present ​work based evidence​ accompanied by reports/reflective accounts to meet all assessment criteria.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/ Supervisor ST0384/01: A. Operational Management B. Project Management D. Communication E. Leading People F. Managing People G. Building Relationships H. Awareness of Self and Others J. Decision Making K. Behaviours

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Suggested reading/web resource materials

Reading/resource materials available on ManagementDirect: External Weblinks ● GOV.UK: Equality Act 2010: Guidance ● GOV.UK: Data Protection Act ● Health and Safety Executive (HSE): Working Time Directive, 1998 ● Health and Safety Executive (HSE): Control of Substances Hazardous to Health (COSHH), 2002 ● Health and Safety Executive (HSE): Health and Safety Act, 1974 Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. Please note: all references to legislation may be subject to subsequent changes, deletions and replacements. ManagementDirect resources require CMI membership and a username and password.

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CMI 314

Managing Budgets and Resources

Ofqual unit number Y/615/8907

RQF level 3

Guided learning hours 25

Total unit time 50

Credits 5 Aims of unit Budgets and resources are crucial to the functioning of any organisation.

Organisations need to plan and manage money and resources to remain operational. The aim of this unit is to equip managers with the knowledge that they need to manage budgets and other resources. This allows them to remain efficient and effective.

Keywords Managing, monitoring, compliance and governance, resources, value for money, finances, equipment, people.

Learning outcome 1

Understand the importance of managing resources in own area of responsibility

Assessment criteria

1.1 Explain types of ​resources​ managed within an area of responsibility

1.2 Identify the ​importance​ of managing resources effectively in own area of responsibility

1.3 Explain ​methods​ used to achieve value for money when managing resources

Indicative content

1.1 ​Resources​ may include but are not limited to goods, equipment, labour, finance, stock, facilities, IT.

1.2 ​Importance​ may include but are not limited to continuity of supply, prevent overspend and over production, prevent shortages, quality of supply.

1.3 ​Methods​ may include but are not limited to negotiation, discount, bulk buying, seek alternative suppliers, added services and benefits (including net social cost benefits).

Learning outcome 2

Understand the use of budgets in an organisation

Assessment criteria

2.1 Outline the ​purpose​ of a budget

2.2 Explain the ​types​ and use of budgets within an organisation

2.3 Explain the ​importance​ of operating within a budget

2.4 Explain how ​organisational governance ​informs the management of budgets

Indicative content

2.1 ​Purpose​ may include but is not limited to meet team objectives, control expenditure, use of resources, accountability, delivering, planning, expectations of performance.

2.2 ​Types​ may include but are not limited to master, operating, expenses, departmental, functional, capital and cash budgets.

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2.3 ​Importance​ refers to financial management processes and compliance procedures within the organisation and may include but is not limited to financial viability, ability to pay staff, invoices, suppliers, reputation, collective responsibility, recording payments and expenditure, timeliness, limits of authority.

2.4 ​Organisational governance​ refers to the application of compliance requirements (e.g. policies and procedures) to ensure effective budget control and may include but are not limited to budget approval process, legal structure, limits of authority, ethics, guidelines on procurement, recording, reporting, response to external factors (e.g. inflation), attitude to risk, contingency planning, monitoring, revision processes.

Learning outcome 3

Understand how to manage costs within a budget

Assessment criteria

3.1 Explain the ​types​ of costs within a budget

3.2 Identify ​sources​ of information on costs in a budget

3.3 Identify the ​systems​ used for managing costs within a budget

3.4 Explain ​limits of authority​ when managing costs within a budget

Indicative content

3.1 ​Types​ may include but are not limited to fixed costs: rent, loans, taxes, salaries, equipment; variable: materials, consumables, travel, postage; semi-variable: telephone, mobile, utilities, internet. 3.2 ​Sources​ may include but are not limited to purchase orders, invoices, budget statements, receipts, timesheets, supplier catalogues and brochures.

3.3 ​Systems​ may include but are not limited to spreadsheets, files, accounts software, enterprise systems.

3.4 ​Limits of authority​ refers to approval levels (e.g. monetary amounts, authorisation, sign off).

Learning outcome 4

Know how to monitor and control a budget in own area of responsibility

Assessment criteria

4.1 Explain ​methods​ for monitoring a budget

4.2 Outline the ​actions​ to take to control a budget

4.3 Identify a ​process​ to escalate problems and changes to a budget in own area of responsibility

Indicative content

4.1 ​Methods for monitoring​ refers to actual versus forecast, calculation of variances (e.g. mix, volume, labour, materials), cost tracking, trend analysis.

4.2 ​Actions​ may include but are not limited to responses to under and over spend, chase up sales orders, unpaid invoices, delay purchase of new equipment, cost cutting, review resources, communicate cost awareness.

4.3 ​Process​ may include but is not limited to identify problems, define severity, report, escalate, take recommended actions.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be covered. To CMI 301

Principles of Management and Leadership

Ofqual unit number J/615/8840

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enable this to be achieved effectively, the unit has been written in the sequence of which managing budgets and resources naturally occur.

The following opportunities are recommendations for guidance purposes only.

RQF level 3

Guided learning hours 33

Total unit time 70

Credits 7 Aims of unit Being equipped with the knowledge, skills and behaviours to

manage and lead effectively is essential if an individual and their organisation are to succeed. This unit has been designed for learners who want to develop or sharpen their professional edge and enhance personal effectiveness. The unit focuses on the ways organisations operate. The application of management and leadership approaches and how these can positively impact on own role, lead to improved performance, and support teams, colleagues and customers. The aim of the unit CMI 301 is to introduce the foundations for managers, which will be developed throughout all the level 3 units.

Keywords Roles, responsibilities, skills, attributes, behaviours, leadership, management, develop and improve, factors for success, mission, vision, values, governance.

Learning outcome 1

Understand how organisations operate

Assessment criteria

1.1 Outline the ​governance​ of different ​types of organisations

1.2 Explain the ​factors​ which influence an organisation’s culture

1.3 Explain the ​purpose​ of organisational mission, vision and value statements

1.4 Outline the ​purpose​ of organisational strategies

Indicative content

1.1 ​Governance ​may include but is not limited to its legal framework/structure such as shareholders, trustees, investors, boards, process for ensuring authority, decision making and accountability.

Types of organisations ​may include but are not limited to Public Limited Companies (PLCs), limited companies, partnerships, third sector (voluntary/not for profit/charities), sole traders.

1.2 ​Factors ​refer to culture, equality, diversity and inclusion and may​ ​include but are not limited to size, business environment, organisational structure, function, labour force, governance, purpose, historical background

1.3 ​Purpose​ may include but is not limited to clarification of organisational purpose and focus, informs direction, guides employee behaviours, inspires.

1.4 ​Purpose​ refers to the organisational strategy, the development of this and how relates to operational plans and is dependent on the type and function of the organisation. May include but is not limited to how the organisation plans to achieve its goals, and meet stakeholder needs.

76 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

1. The learner may be asked to respond to a ​scenario​ based on how they would manage resources, costs and budgets within an organisation to achieve results.

2. The second opportunity would be to write a ​report​ based on the principles of managing resources, costs and budgets

3. The learner may draw upon their ​own experience​ of managing resources, costs and budgets within their own organisation.

4. They may present ​work based evidence ​to support their answer.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/Supervisor ST0384/01: A. Operational Management A4 How to manage resource within the team A8 Effectively use available resources C. Finance C1 Financial management processes and compliance procedures within the organisation C2 How to deliver value for money C3 How to monitor and control budgets C4 Apply organisational governance and compliance requirements to ensure effective budget controls J. Decision Making J6 Escalate issues where necessary This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012):

● CFAM&LDB2 – Allocate work to team members ● CFAM&LEA4 – Manage budgets

77 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

CMI 315

Principles of Health and Safety in a Work Setting

Ofqual unit number H/615/8909

RQF level 3

Guided learning hours 24

Total unit time 60

Credits 6 Aims of unit Health and safety is important as it protects the well-being of employees

and customers. There are serious, legal, financial, and reputational consequences if neglected. The aim of this unit is to equip managers with an understanding of their statutory and organisational responsibilities in making the workplace safer.

Keywords Legal requirements, guidelines, policies, procedures, purpose, benefits, hazard, risk assessment, damage

Learning outcome 1

Understand the purpose and benefits of health and safety in the workplace

Assessment criteria

1.1 Explain the ​purpose​ of health and safety in the workplace

1.2 Explain the ​benefits​ of health and safety

Indicative content

1.1 ​Purpose​ may include but is not limited to moral, ethical, financial and legal obligations, expectations of employer and employee, behaviours, working practices, protection of assets, reputation.

1.2 ​Benefits​ in relation to individuals, team and the organisation.

Learning outcome 2

Understand legal requirements in relation to health and safety in the workplace

Assessment criteria

2.1 Explain the ​obligations​ health and safety ​legislation​ places on an organisation

2.2 Outline the ​supplementary legal requirements​ which apply to different industry sectors

Indicative content

2.1 ​Obligations​ may include but are not limited to written policies (e.g. evacuation procedures, smoking policy, accident reporting, procedures for reportable incidents (RIDDOR), lone working procedures, first aid, use of Personal Protective Equipment (PPE), use of VDU equipment, use of hazardous substances (COSHH regulations), manual handling guidelines), naming responsible people, displaying legal information, conducting risk assessments, accident prevention.

Legislation​ refers to may include but are not limited to The Health and Safety at Work Act (also referred to as HSWA, the HSW Act, the 1974 Act or HASAWA) and subsequent amendments and COSHH Regulations, 2002, the CLP Regulation 2009. Learners may also make reference to other local laws as relevant.

2.2 ​Supplementary​ ​legal​ ​requirements​ may include but are not limited to EU legislation, Working Time Directive 1998, industry specific regulation relating to a range of sectors such as Engineering and

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Construction, Health and Social Care, Energy and Utilities, Hospitality, Food and Beverage, Public Sector and Education, Armed Services, TV, Media and Arts, Transport and Communication, Professional Services and Consulting, Agriculture, Financial and Business Services and subsequent amendments.

Learning outcome 3

Understand the risk assessment process

Assessment criteria

3.1 Explain the difference between a ​hazard​ and a ​risk

3.2 Explain how to conduct a work based ​risk​ ​assessment

Indicative content

3.1​ Hazard ​refers to may include but is not limited to anything that may cause harm.

Risk​ may include but is not limited to the chance that somebody might be harmed, and how serious the harm might be.

3.2​ Risk assessment process​ may include but is not limited to identify hazards, decided who might be harmed and how, evaluate risks and decide on precautions, record significant findings, share output. identifying a potential hazard; calculating the potential risk; reporting the risk; mitigating the risk by contributing to action plans; removing a hazard which poses an immediate risk; correcting bad practice; keeping in touch with lone workers; supporting employees in completing risk assessments.

Learning outcome 4

Know how to respond effectively to a workplace health and safety emergency

Assessment criteria

4.1 Identify a ​range ​of workplace health and safety emergencies

4.2 Explain the​ immediate action ​required of by the manager in response to an emergency

4.3 Summarise the ​next steps​ in response to an emergency

Indicative content

4.1 Range​ may include but is not limited to chemical spillages or release of other harmful substances, fire, flood, serious injury or ill-health and act of terrorism, incident(s) may arise from a threat to health and safety within or outside the workplace.

4.2 Immediate action ​may include but is not limited to the first steps in putting health and safety plans and procedures into action. Varies across organisation or situations but may involve preventing loss of life, getting people away from immediate danger, raising the alarm, calling the emergency services, using equipment like fire extinguishers and conducting a roll call.

4.3​ ​Next steps ​may include but are not limited to informing managers, following instructions, ensuring a place of safety, debriefing colleagues and emergency services, completing documentation and contributing to an incident review.

Recommendations for assessment

Learners may approach the assessment in several ways. All assessment criteria must be covered. To enable this to be achieved effectively, the unit has been written in the sequence in which an organisational approach to workplace health and safety naturally occurs. The following opportunities are recommendations for guidance purposes only.

The learner may be asked to respond to a range of assessment tasks including:

1. Writing a ​report​ based on the legal requirements for workplace health and safety and their purpose and benefits, and how these are presented in the form of organisational guidelines.

79 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

2. The learner may work through a ​scenario​ of how they manage the risk assessment process and/or a health and safety emergency.

3. The learner may draw upon their ​own experience​ of managing work place health and safety.

4. They may present ​work based evidence​, including a completed work place health and safety risk assessment,​ ​accompanied by reports/reflective accounts to meet each assessment criteria.

5. The learner may choose to produce a ​guide​ outlining good practice on managing health and safety in the workplace.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standards

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/ Supervisor ST0384/01: D. Communication F. Managing People J. Decision Making K. Behaviours This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012):

● CFAM&LEB1 – Provide healthy, safe, secure and productive working environments and practices

Suggested reading/web resource materials

Reading/resource materials available on ManagementDirect: External Weblinks

● Health and Safety Executive (HSE): Working Time Directive, 1998 ● Health and Safety Executive (HSE): Control of Substances Hazardous to Health (COSHH), 2002 ● Health and Safety Executive (HSE): Health and Safety Act, 1974 ● Health and Safety Executive (HSE): Workers Health and Safety ● Health and Safety Executive (HSE): How to make a RIDDOR report

Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. Learners may also make reference to other local laws as relevant. ManagementDirect resources require CMI membership and a username and password.

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CMI 316

Monitoring Quality to Improve Outcomes

Ofqual unit number Y/615/8910

RQF level 3

Guided learning hours 24 Total unit time 50

Credits 5 Aims of unit The name of organisations who have built their reputation on the quality of

their products or services readily come to mind. Managing quality is a collective activity, which has to be monitored continually to ensure standards are consistently met. The aim of this unit is to equip managers with the understanding of how quality systems are used, the tools and techniques for monitoring and measuring quality, and the requirements needed to support a quality audit. The impact of this knowledge is to drive a culture of continuous improvement within the organisation.

Keywords Monitoring, frameworks, systems, standards, customer, compliance, consistency, tools, techniques, processes, procedures, audit.

Learning outcome 1

Understand the purpose of monitoring quality in the organisational context

Assessment criteria

1.1 Explain the ​reasons and benefits ​of monitoring quality in the organisation

1.2 Explain the ​consequences​ of failing to monitor quality in the organisation

Indicative content

1.1​ Reasons and benefits​ may include but is not limited to legal​ ​requirements, customer satisfaction and organisational needs, consistency of product or service, maintaining and improving standards, continuous improvement, organisational competitiveness, reducing errors and wastage.

1.2​ Consequences​ may include but are not limited to legal action, complaints, returns, reputational damage, loss of sales, commercial failure.

Learning outcome 2

Understand the use of quality systems and tools and techniques for monitoring outcomes

Assessment criteria

2.1 Outline accredited quality ​systems and standards ​used in organisations to monitor and measure quality

2.2 Explain the ​internal systems​ used by organisations to check and measure quality

2.3 Summarise the ​tools and techniques​ used for monitoring and measuring quality and

improving outcomes

2.4 Explain the ​benefits​ and ​challenges​ of using tools and techniques to monitor and measure quality

Indicative content

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2.1​ Systems and standards​ may include but are not limited to Investor in People (IIP), International Organization for Standardization (ISO) eg. the ISO 9000 family, The Common Inspection Framework (CIF), Care Quality Commission standards; NCVO Investing in Volunteers (IiP)

2.2 ​Internal systems ​may include but are not limited to checks on raw materials and finished products, customer reviews, customer surveys, mystery shopper, complaints, recording, data input sampling; maintenance of quality control charts.

2.3 ​Tools and techniques​ may include but are not limited to Plan, Do, Check, Act (PDCA) Cycle (Deming, c.1950s)), visual checks, observation, Six Sigma, Root Cause Analysis, Pareto Principle (Juran, c.1937), Fishbone Analysis (Ishikawa, 1968), SERVQUAL, histograms, polls, charts and graphs, Kaizen, social media monitoring, ratings.

2.4 ​Benefits​ may include but are not limited to measurable results, identification of problems, record of progress overtime, team ownership of results, proven process improvement methods, engagement, motivation.

Challenges ​may include but are not limited to lack of engagement, tick box exercise,​ ​focus on process not people, not easy to use without training, lack of time, cost, resources, lack of understanding.

Learning outcome 3

Know how to monitor quality and report on outcomes

Assessment criteria

3.1 Explain the process of ​monitoring​ quality in the workplace

3.2 Explain how the outcome of the monitoring activity may be ​assessed

3.3 Identify ​methods​ for reporting outcomes

Indicative content

3.1 ​Monitoring​ may include but is not limited to review plans, quality standards and evidence requirements, check completion of actions/conformance, evidence gathering (e.g. visual checks, sampling, asking questions, data gathering) and record findings.

3.2 ​Assessed​ may include but is not limited to qualitative and quantitative methods, review results, identify trends, variance analysis, analytics and metrics.

3.3 ​Methods​ may include but is not limited to spreadsheets, presentations, graphs, charts, graphics, infographics, tables, dashboards, data visualisation tools, maps and timelines.

Recommendations for assessment

Learners may approach the assessment in several ways. All assessment criteria must be covered. To enable this to be achieved effectively, the unit has been written a sequence that supports an understanding of quality systems and their ongoing monitoring, and the process of external and internal quality audit from a first line manager’s perspective. The following opportunities are recommendations for guidance purposes only.

The learner may be asked to respond to a range of assessment tasks including:

1. The learner may be asked to respond to a ​scenario​ based on how they would monitor quality in the workplace.

2. Learners may write a ​report​ based on the purpose and practice of monitoring on quality within the organisation.

3. The learner may choose to produce a ​guide​ on how to monitor quality in the workplace.

4. The learner may draw upon their ​own experience​ of monitoring quality in the workplace.

5. They may present ​work based evidence​ accompanied by reports/reflective accounts to meet each assessment criteria.

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Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/ Supervisor ST0384/01: A. Operational Management B. Project Management F. Managing People G. Building Relationships J. Decision Making K. Behaviours This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012):

● CFAM&LFE2 – Manage quality audits ● CFAM&LFE3 – Prepare for and participate in quality audits

Suggested reading/web resource materials

Reading/resource materials available on ManagementDirect: Textbooks/eBooks ● Covey, S.R. et al. (1994) First things first. New York: Simon and Schuster. External weblinks ● International Organization for Standardization (ISO) ● Care Quality Commission ● GOV.UK: Common Inspection Framework ● National Institute for Health and Care Excellence (NICE) ● Kaizen Institute ● Six Sigma Quality ● CQI Quality Framework Relevant Theories, Frameworks and Models ● Deming (c.1950s) Plan, Do, Check, Act (PDCA) Cycle ● Ishikawa (1968) Fishbone Analysis ● Juran (c.1937) Pareto Principle Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. Learners may also make reference to other local laws as relevant. ManagementDirect resources require CMI membership and a username and password.

83 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

CMI 317

Supporting the Delivery of Customer Service

Ofqual unit number D/615/8911

RQF level 3

Guided learning hours 19

Total unit time 50

Credits 5 Aims of unit Customers are key to the success of any business. It is essential to know

how to deliver a great customer experience that meets and exceeds expectations of all customers. This is regardless of whether they are a colleague, department within an organisation, or a member of the public purchasing a product or using a service. The aim of this unit is to equip managers with an understanding of the parameters in which good customer service is delivered. It focuses on the end to end customer journey and encourages the manager to reflect on the customer service experience through the customer’s eyes.

Keywords Customer service, satisfaction, loyalty, retention, service failure, customer charter, customer delight, service delivery, advocacy, moments of truth, customer experience mapping

Learning outcome 1

Understand the features and benefits of good customer service

Assessment criteria

1.1 Explain the ​features​ of good customer service

1.2 Discuss the ​benefits​ to the organisation of delivering a good customer experience

Indicative content

1.1 ​Features ​may include but are not limited to anticipating and responding to customer needs, meeting Service Level Agreements, professional relationship, effective communication, accuracy of information 1.2 ​Benefits​ may include but are not limited to increased sales and profit, competitiveness, repeat business, staff retention, customer loyalty and recommendations, reputation and loyalty (Loyalty Ladder, Christopher et al 1991).

Learning outcome 2

Understand factors that influence customer needs and expectations

Assessment criteria

2.1 Identify the different ​types of customers​ served by an organisation

2.2 Outline the ​factors​ which influence the needs and expectations of customers

Indicative content

2.1 ​Types of customers​ which may include but are not limited to internal customers such as colleagues, teams and departments; external customers such as businesses and individuals; business to business, business to consumer, peer to peer.

2.2 ​Factors ​may include but are not limited to implicit and explicit, internal: type of business, business objectives, product/service type, project activity, culture, tone and content of communication; external:

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demographics, type of purchase, price, ethics, influence of peers, perception, situational factors, past experience.

Learning outcome 3

Understand the legal and organisational requirements that influence customer service delivery

Assessment criteria

3.1 Summarise ​legal requirements ​which impact on the delivery of customer service

3.2 Outline the scope of organisational customer service​ standards, policies and procedures

3.3 Explain the ​consequences​ of failing to apply standards and legal requirements in customer service delivery

Indicative content

3.1 ​Legal requirements​ may include but are not limited to Equality Act 2010, Sale of Goods Act 1979 and 2002, Data Protection Act 1998, General Data Protection Regulation (applies from May 2018), Health and Safety Act 1974, Freedom of Information Act 2000, Consumer Protection Act 1987, Misrepresentation Act 1967, Consumer Credit Act 2006, Trade Descriptions Act 1968 and other industry specific regulations. Learners may also make reference to other local laws as relevant.

3.2​ Standards ​may include but are not limited to service level agreements, customer charters, code of practice

Policies and procedures ​may include but are not limited to complaints procedures, returns policies, communications procedures.

3.3 ​Consequences​ may include but are not limited to loss of business, business failure, complaints, bad reputation, negative reviews, bad publicity, recruitment and retention, churn rate.

Learning outcome 4

Know how to deliver a good customer experience

Assessment criteria

4.1 Outline the ​key features​ of the customer journey

4.2 Discuss the ​benefits​ of understanding the customer journey

4.3 Identify methods to ​support​ teams and individuals to deliver a good customer experience

4.4 Explain the methods used by organisations to ​communicate​ with customers

4.5 Identify ​methods​ for gathering customer feedback

Indicative content

4.1 ​Key features​ may include but are not limited to interactions with departments, team members, suppliers and partners; methods: face-to-face, online, telephone and digital communication.

4.2 ​Benefits ​may include but are not limited to identifying good practice, continuous improvement, increasing understanding of the supply chain, aligning business goals, insight and understanding, measure responsiveness, improved efficiency, address and resolve issues, service improvement.

4.3 ​Support​ may include but is not limited to formal and informal methods, iterative and incremental development, coaching, mentoring, eLearning, in-house programmes, reading, on-job training, action learning sets, social learning, communities of practice, technical and professional qualifications, licence to practice, role specific training.

4.4 ​Communicates​ may include but are not limited to written: letter, reports, email, newsletters, case studies and testimonials; verbal: face to face, telephone, meetings, automatic callback; digital: self-service, mobile apps, discussion forums, blogs, online communities, customer portal, web chat, instant messaging, SMS.

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4.5 ​Methods​ may include but are not limited to formal and informal, market research, customer and staff surveys, reviews, customer engagement, discussions, comments, complaints, mystery shoppers, data, interviews, monitoring, observation, customer support software, customer portals, usage, polls, trials, observation, focus groups, response cards, incentives, social media, profiling, project plans, service level agreements, huddles, meetings and briefings, action learning sets, conversations.

Learning outcome 5

Know how to identify and respond to customer service problems

Assessment criteria

5.1 Identify ​common​ ​causes​ of customer service problems

5.2 Outline ​techniques​ for responding to customer complaints

5.3 Explain ​limits of authority​ when dealing with customer service issues

5.4 Identify ​methods for monitoring​ customer service delivery

Indicative content

5.1​ Common causes​ may include but are not limited to rudeness, not keeping promises, poor customer service, poor quality products or services, hidden information and costs, complaints culture.

5.2 ​Techniques​ may include but are not limited to listen carefully, acknowledge problem, ask questions, empathise, apologise and take action, reach agreement, follow-up, compensate.

5.3 ​Limits of authority​ may include but are not limited to chain of command/escalation, budget limits, approval levels (e.g. monetary amounts, authorisation, sign off), empowerment, decision making, compensation (e.g. refunds, discounts, free goods/services).

5.4 ​Monitoring​ may include but are not limited to customer satisfaction, repeat purchase, loyalty, retention, willingness to recommend e.g. Net Promoter Score, key performance indicators (KPIs), returns, number of complaints, social media monitoring, staff monitoring, revenue value and growth, benchmarking, mystery shopping.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be covered. To enable this to be achieved effectively, the unit has been written to reflect how customer service delivery occurs. The following opportunities are recommendations for guidance purposes only.

1. Learners may be asked to complete a ​report​ to investigate the nature of customer service, organisational and legal frameworks which impact its delivery and the nature of customer service in a chosen organisation.

2. The learner may be asked to respond to a ​scenario​ based on how they would understand the customer journey and delivery of customer service.

3. The learner may draw upon their own ​experience​ using examples from the organisation to demonstrate how customer service is delivered, who is involved in the process and how issues are managed.

4. The learner may present ​work based evidence​ accompanied by reports/reflective accounts to meet each assessment criteria.

5. The learner may choose to produce a ​guide​ outlining good practice in supporting the delivery of customer service at an organisation.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

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Relationship with Apprenticeship Standards

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/ Supervisor ST0384/01: A. Operational Management D. Communication E. Leading People F. Managing People G. Building Relationships H. Awareness of Self and Others J. Decision Making K. Behaviours

Suggested reading/web resource materials

Reading/resource materials available on ManagementDirect: External weblinks ● GOV.UK: Equality Act 2010: Guidance ● legislation.gov.uk: Sales of Goods Act ● GOV.UK: Data Protection Act ● Health and Safety Executive (HSE): Health and Safety Act, 1974 ● Legislation.gov.uk: Consumer Protection Act, 1987 ● Legislation.gov.uk: Misrepresentation Act, 1967 ● Legislation.gov.uk: Consumer Credit Act, 2006 ● Legislation.gov.uk: Trade Descriptions Act, 1968 ● Legislation.gov.uk: Freedom of Information Act, 2000 Relevant Theories, Frameworks and Models ● Christopher et al (1991) Loyalty Ladder Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. Please note: all references to legislation may be subject to subsequent changes, deletions and replacements. Learners may also make reference to other local laws as relevant. ManagementDirect resources require CMI membership and a username and password.

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CMI 318

Managing Data and Information

Ofqual unit number K/615/8913

RQF level 3

Guided learning hours 21

Total unit time 50

Credits 5 Aims of unit The ability to solve problems, make timely business decisions and respond

to customers’ needs is all dependent on the ability to access good quality data and information. With growing volumes of data, this challenge has become increasingly difficult to manage. The aim of this unit is to equip managers with the knowledge of how to gather, assess and analyse different types of data and information, and how to report findings for different business purposes within legal and organisational guidelines.

Keywords Data and information gathering, qualitative and quantitative data and information, primary and secondary sources, organising and analysing data and information, report writing.

Learning outcome 1

Understand the reasons for collecting data and information

Assessment criteria

1.1 Explain ​reasons​ why organisations collect data and information

Indicative content

1.1 ​Reasons​ refer to use of data and information from the team and others to solve problems and inform decision making processes and may include but are not limited to answers questions, solve problems, testing solutions, communication, legal purposes, validate research, investigate, test hypotheses, business insight, audit and legal purposes, (Data, Information, Knowledge, Wisdom (DIKW) model, Ackoff, 1989).

Learning outcome 2

Know the types and use of data and information used by organisations

Assessment criteria

2.1 Explain the ​differences ​between data and information

2.2 Discuss sources​ ​of ​primary and secondary​ data and information

2.3 Explain types and use of ​quantitative​ and ​qualitative​ data and information

Indicative content

2.1 ​Differences​ may include but are not limited to unstructured versus structured, facts, figures, and context.

2.2 ​Primary​ may include but are not limited to internal and external data and information (e.g. surveys, questionnaires, customer feedback, focus groups, interviews, observations).

Secondary​ may include but are not limited to internal and external data and information (e.g. desk research, organisational records, web-based records, historical research, reports, social media, search engines).

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2.3 ​Quantitative​ may include but is not limited to facts, statistics, figures, numerical information, percentages.

Qualitative​ may include but is not limited to words, pictures, discussions, audio recordings, video, comments, observations.

Learning outcome 3

Know how to manage data and information

Assessment criteria

3.1 Explain the ​legal ​and​ organisational ​requirements for ​managing​ data and information

3.2 Identify organisational ​roles and responsibilities​ for managing data and information

3.3 Outline approaches for ​checking​ data and information against organisational needs

3.4 Discuss ​methods​ used to organise data and information

3.5 Outline ​challenges​ of managing data and information

3.6 Identify ​solutions​ to address key challenges of managing data and information

Indicative content

3.1 ​Legal​ refers to Data Protection Act 1998, General Data Protection Regulation (applies from May 2018), Freedom of Information Act 2000, Digital Economy Act (2017) and any other sector specific regulations. Learners may also make reference to other local laws as relevant.

Organisational​ may include but is not limited to communication and knowledge sharing policies, procedures and protocols, safety, security, risk, reporting and audit.

Managing ​refers to collecting, storing and sharing data and information.

3.2 ​Roles and responsibilities​ may include but are not limited to data controller, data processor, roles such as human resources, marketing, sales, IT.

3.3 ​Checking ​may include but is not limited to accuracy, validity, currency, reliability, authenticity, and completeness.

3.4 ​Methods​ refer to data and management and use of different technologies in business and may include but are not limited databases, spreadsheets, management information systems, cloud, handheld devices, CD, reference retrieval systems, filing cabinets, folders, shared drives/servers, data repositories, data lakes, data warehouse, and naming convention.

3.5 ​Challenges​ may include but are not limited to structured and unstructured data and information, compatibility, corrupt files, indexing, size, legal, integration, migration of data sets, cost, availability, access, analysis, resources, skills, viruses, volume, absence of document control, confidentiality.

3.6 ​Solutions​ may include but are not limited to document controls, audits, training and development, IT support, data cleansing, reviewing policies and procedures, nomination of champions.

Learning outcome 4

Know how to interpret data and information and communicate findings

Assessment criteria

4.1 Summarise ​methods​ for examining and interpreting data and information

4.2 Explain the advantages and disadvantages of ​tools​ used to communicate findings to a target audience

Indicative content

4.1 ​Methods​ refer to the collation and analysis of data, production of reports and use of different problem solving and decision making techniques to make decisions and solve problems and may include statistical analysis, identifying trends and patterns, anomalies, benchmarking, observation, discussions, review groups.

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4.2 ​Tools​ refer to use of different technologies in business, the production of reports and the use of data and information to solve problems and support decision making and may include but are not limited to presentations, graphs, charts, graphics, infographics, tables, dashboards, data visualisation tools, maps and timelines.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All success criteria must be covered. To enable this to be achieved effectively, the unit has been written in the sequence for management and reporting of data and information.

The following opportunities are recommendations for guidance purpose only.

1. The learner may be asked to respond to a ​scenario​ based on analysing data or information for a specific business issue, problem or solution.

2. The second opportunity would be to write a ​report​ based on the principles of managing and reporting on data and information.

3. The learner may draw upon their ​own experience​ of managing, analysing and reporting on data and information within their own organisation.

4. The learner might create a ​presentation​ based on principles of managing and reporting on data and information.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/Supervisor ST0384/01: A. Operational Management

A5 Data management and the use of different technologies in business A9 Collate and analyse data and produce reports

J. Decision Making

J1 Different problem solving and decision-making techniques J2 Data required to inform decision making processes J3 How to utilise data to support decision making J4 Use effective problem solving techniques to make decisions J5 Use information from the team and others to solve problems and make decisions

This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012): ● CFAM&LEC5 – Use information to take effective decisions

Suggested reading/web resource materials

Reading/resource materials available on ManagementDirect: External Weblinks ● GOV.UK: Data Protection Act ● Information Commissioners Office: Freedom of Information Act 2000 Relevant Theories, Frameworks and Models

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● Ackoff (1989) Data, Information, Knowledge, Wisdom (DIKW) Model Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. Please note: all references to legislation may be subject to subsequent changes, deletions and replacements. ManagementDirect resources require CMI membership and a username and password.

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CMI 319 Managing Meetings

Ofqual unit number M/615/8914

RQF level 3

Guided learning hours 19

Total unit time 40

Credits 4 Aims of unit Managers are increasingly faced with days packed full of meetings that

leave little time to get things done. Run well, meetings can be a place where issues are discussed, problems resolved, and decisions are made. However, all too often, meetings lack purpose and there is frustration if little has been achieved. The unit content has been designed to challenge traditional thinking. It aims to equip managers with the knowledge and tools to try different approaches when conducting meetings. It also explores good practice for preparing for and leading meetings, which have impact and also delivers results.

Keywords Purposes, types, innovative, factors, prepare, information, resources, good practice, motivate, challenges, set, record, monitor

Learning outcome 1

Understand the purposes and types of meetings

Assessment criteria

1.1 Explain the ​purposes​ of meetings

1.2 Compare different ​types of meetings

1.3 Identify ​factors​ which need to be considered when selecting meeting types

Indicative content

1.1​ Purposes​ may include but are not limited to giving or receiving information, status updates, make decisions, planning, reporting, information sharing, team building, introduce new concepts or ideas, monitoring outcomes.

1.2 ​Types of meetings ​may include but are not limited to formal and informal, face to face, seminars, committee, virtual (e.g. video conference, web meetings), huddles, collaborative, telephone, one to ones, team or groups, briefings, standing meetings, breakfast meetings, time limited.

1.3 ​Factors​ may include but are not limited to meeting aim and objective, time, costs, attendee availability or location, equipment requirements, internal or external attendees, confidentiality, urgency, sensitivity.

Learning outcome 2

Understand how to prepare for meetings

Assessment criteria

2.1 Discuss how to ​prepare​ for meetings

2.2 Explain ​information​ that needs to be provided to participants in advance of meetings

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2.3 Identify ​resources​ required to support the delivery of meetings

Indicative content

2.1​ Prepare​ may include but is not limited to​ ​budget, timing, attendees, content and documentation, roles and responsibilities, location, materials and equipment.

2.2​ Information​ may include but is not limited to purpose, participation and input, timings, outputs, instructions, protocols.

2.3 ​Resources​ may include but are not limited to people, budget, equipment, materials, technology, accessibility.

Learning outcome 3

Understand how to facilitate and chair meetings

Assessment criteria

3.1 Explain how to ​chair​ formal meetings

3.2 Discuss how to ​respond​ to challenges when chairing meetings

3.3 Investigate ​innovative​ ​ways​ to facilitate meetings to achieve ​outcomes

Indicative content

3.1 ​Chair ​may include but is not limited to objectives, time keeping, documentation, roles and responsibilities, inclusivity, involvement, agreement and consensus, behaviours, opening and closing, actions and accountability.

3.2​ Respond​ may include but is not limited to control, referring to agenda, keeping to time, diffusing conflict.

3.3 ​Innovative​ ​ways​ may include but are not limited to visual problem solving, open spaces, exercise breaks, physical activities and games, timed responses, free time, creative activities, alternative locations, props, ban technology, paperless, voting tools.

Outcomes​ may include but are not limited to problem solving, decision making, agreement and consensus, develop new ideas and concepts, buy-in.

Learning outcome 4

Understand how to record and monitor meeting outcomes

Assessment criteria

4.1 Outline how to ​record​ meeting actions

4.2 Explain how to ​monitor ​meeting outcomes

Indicative content

4.1 ​Record​ may include but are not limited to responsibilities, accountability, actions, deliverables, deadlines, assigned and agreed actions, action logs, meeting management software, digital notebooks, collaborative tools, mind mapping, instant messaging, video, audio.

4.2 ​Monitor​ may include but not limited to progress, actions, communication, achievement, reminders.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be met. The following opportunities are recommendations for guidance purposes only.

1. The learner may be asked to respond to a ​scenario​ based on how they would manage and monitor meetings.

2. Learners may write a ​report​ based on the principles of managing and monitoring meetings.

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3. The learner may draw upon their ​own experience​ of managing and monitoring meetings within their own organisation.

4. They may present ​work based evidence​ accompanied by reports/reflective accounts to meet each success criteria.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Apprenticeship Standards and National Occupational Standards (NOS)

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/ Supervisor ST0384/01: A. Operational Management B. Project Management D. Communicate E. Leading People F. Managing People G. Building Relationships J. Decision Making This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012): ● CFAM&LDD6 - Lead meetings to achieve objectives

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CMI 320

Presenting for Success

Ofqual unit number T/615/8915

RQF level 3

Guided learning hours 18

Total unit time 50

Credits 5 Aims of unit Delivering presentations can be very challenging. When done successfully,

a presentation can lead to a job offer or a new contract. It also has the potential to engage team members to buy-into new ideas, or embrace new projects and opportunities. The aim of this unit is to equip managers with the knowledge and skills to plan presentations to meet the needs of a target audience. The unit will enable managers to develop the knowledge and tools to deliver great presentations, which engage an audience and motive them to want to know more.

Keywords Presentations, type, purpose, target audience, styles, techniques, resources, planning, delivering, reviewing, engaging, impact.

Learning outcome 1

Know the purpose of presentations and the methods used to meet the needs of a target audience

Assessment criteria

1.1 Explain the ​purpose​ of presentations within business settings

1.2 Outline the ​methods​ used to deliver presentations to meet the needs of different ​target​ ​audiences

Indicative content

1.1 ​Purpose​ may include but is not limited to sharing information, influencing, persuading, instructing, engaging, handling objections and inspiring.

1.2 ​Methods ​may include but are not limited to formal and informal, verbal, written, visual, face to face (e.g. briefings, meetings, or events), virtual (e.g. webinars, video calls and conferencing, online meeting software, podcasts or video).

Target audience​ may include but is not limited to individuals, managers, teams, departments, office based staff, remote staff, and customers, prospects, suppliers, partners.

Learning outcome 2

Understand what is required to be a successful presenter

Assessment criteria

2.1 Assess the use of different ​styles​ for delivering a presentation to meet the needs of a target audience

2.2 Assess the ​skills and abilities ​of an effective presenter

2.3 Explain how ​challenges ​to delivering presentations can be overcome

2.4 Explain ​techniques​ for overcoming fear and anxiety when delivering a presentation

Indicative content

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2.1 ​Styles​ may include but are not limited to instructor, educator, coach, freestyle, storyteller, facilitator, expert, subject or technical specialist.

2.2 ​Skills and abilities ​may include but are not limited​ ​to subject knowledge, confidence, engagement, agility, organisational skills, Emotional Intelligence (Goleman, 1995), effective communication (e.g. active listening, responding), diction, tone, pitch and pace, positive body language, inclusive, use of humour, managing nerves, confidence, knowledgeable, engaging, ability to tell a story (Duarte, 2017), professional demeanour/appearance, energy, patience, brave.

2.3 ​Challenges ​may include but are not limited to situation (the room, temperature, lighting), people related (disruptive audience, apathetic audience), IT related (failures with technology).

2.4 ​Techniques ​may include but are not limited to practising, rehearsing, annotating cue cards, visualisation, mind-set.

Learning outcome 3

Understand how to plan, deliver and review presentations

Assessment criteria

3.1 Outline the ​activities​ required when planning a presentation

3.2 Compare ​methods​ for reviewing the delivery of a presentation

3.3 Discuss the range of ​follow-up​ ​activities​ required after a presentation

Indicative content

3.1 ​Activities ​may include but is not limited to identifying the needs and interest of the target audience, method for delivering the presentation, date, time, venue, resource needs, undertake research activities, develop presentation outline/script, designing the visual aids, use of technology, resources and handouts.

3.2 ​Methods ​may include but are not limited to qualitative, quantitative​ ​tools which are paper based and/or electronic.

3.3 ​Follow-up activities​ may include but are not limited​ ​to responding to unanswered questions and information requests, collecting evaluation data, sending slides, writing reports, feedback.

Learning outcome 4

Be able to plan and deliver a presentation to a target audience

Assessment criteria

4.1 Produce a ​plan​ to deliver a presentation to a ​target audience

4.2 Deliver a ​presentation​ to a target audience

Indicative content

4.1 ​Plan​ may include but is not limited to aims and objectives, structure (including opening and introductions, body of presentation, summary and close), timings, presentation outline, style of delivery, resources/venue, technical support, visual aids.

Target audience​ may include but is not limited to individuals, managers, teams, departments, office based staff, remote staff, and customers, prospects, suppliers, partners.

4.2 ​Presentation​ to be delivered formally using the presentation outline according to the presentation plan.

Learning outcome 5

Be able to reflect on the outcomes of the delivery of a presentation

Assessment criteria

5.1 Review​ ​own ​performance​ in delivering a presentation

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5.2 Identify ​opportunities​ for developing own presentation skills

Indicative content

5.1​ Performance ​may include but is not limited to audience feedback, personal reflection and evaluation forms and data.

5.2​ Opportunities​ may include but are not limited to coaching, mentoring, practice, learning and development.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be met. The following opportunities are recommendations for guidance purposes only however learners are required to deliver a presentation as part of this assessment.

1. The learner may be asked to write a ​report​ or a staff development guide on how to deliver successful presentations to a target audience. They would be required to present their guide they have developed as part of the assessment.

2. They may present ​work based evidence​ accompanied by the delivery of a short presentation. The presentation need not exceed 15 minutes in length but it must be accompanied by a presentation outline/script and a presentation plan.

Further guidance It is not a requirement for the learner to cover all aspects of the indicative content when completing the assessment. The learner is encouraged to select and present well chosen information and examples to evidence they sufficiently understand the assessment criteria.

Relationship with Standards

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/Supervisor ST0384/01: D. Communication G. Building Relationships H. Awareness of Self and Others I. Management of Self

Suggested reading/web resource materials

Reading/resource materials available on ManagementDirect: Relevant Theories, Frameworks and Models ● Goleman (1995) Emotional Intelligence ● Duarte (2017) Using Stories Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development. ManagementDirect resources require CMI membership and a username and password.

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CMI 321

Managing Own Personal and Professional Development

Ofqual unit number F/6158917

RQF level 3

Guided learning hours 20

Total unit time 50

Credits 5 Aims of unit In order to meet the demands of an ever changing workplace, individuals

need to ensure they continue to update and develop their knowledge and skills. Planning for personal and professional development ensures greater opportunities for success. The purpose of the unit is to support the manager to identify the benefits of engaging in personal and professional development. By using the knowledge gained, a meaningful development plan will be created to support them to become an effective manager in the workplace.

Keywords Personal and professional development, benefits, organisation, support, opportunities, legal requirements, planning, monitor.

Learning outcome 1

Understand the benefits of personal and professional development

Assessment criteria

1.1 Identify the ​differences and similarities​ between personal and professional development

1.2 Explain the ​benefits​ of personal and professional development for the individual

1.3 Identify the ​benefits​ to an organisation of individuals undertaking personal and professional development

Indicative content

1.1 ​Differences and similarities​ may include but are not limited to the scope and purpose, business or nonbusiness focus.

1.2 ​Benefits​ may include but are not limited to ability to progress, self-fulfilment, greater productivity, greater

engagement, job security, improved self-esteem, skills and behaviours, transferable skills, personal growth

and motivation, greater wellbeing.

1.3 ​Benefits​ may include but are not limited to staff retention, engagement, productivity, competitiveness, customer satisfaction, compliance, succession planning.

Learning outcome 2

Understand how personal and professional development is informed

Assessment criteria

2.1 Explain how organisations ​support ​personal and professional development

2.2 Identify how ​professional bodies/associations​ support and stipulate requirements for personal and

professional development

2.3 Summarise the implications of ​legal requirements​ on personal and professional development

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Indicative content

2.1 ​Support ​may include but is not limited to finance, access, time, mentors and coaches, training

opportunities.

2.2 ​Professional bodies/associations​ are organisations that seek to further a particular profession or trade

and the interests of individuals and the public such as Royal Institution of Chartered Surveyors (RICS) for

surveyors, The Royal College of Midwives (RCM), Institution of Civil Engineers (ICE) and Chartered

Management Institute (CMI) for managers.

2.3 ​Legal requirements​ may include but are not limited to qualifications, accreditations or training that is

required by an individual if they are to operate within that sector e.g. food hygiene, caring qualifications,

teaching and medical qualifications.

Learning outcome 3

Know how to identify opportunities for personal and professional development

Assessment criteria

3.1 Compare ​different methods​ for undertaking personal and professional development

3.2 Explain the ​resource implications​ of different methods of personal and professional development

3.3 Explain how to​ choose​ the most appropriate method for personal and professional development

Indicative content

3.1 ​Different methods​ may include but are not limited to courses, qualifications, e-learning, mentoring,

coaching, attending conferences, reading, self-directed research, on-job training, being a member of a

community of practice, pod casts, webinars, resources of a professional body e.g. CMI ManagementDirect resources, TED talks.

3.2 ​Resource implications​ may include but are not limited to finance, time, physical resources, personnel,

availability.

3.3 ​Choose​ may include but are not limited to current and future business and individual needs, learning

style/preferences, access, timing, finance, line manager support.

Learning outcome 4

Know how to create and monitor a personal and professional development plan

Assessment criteria

4.1 Assess current ​skills and competencies ​against role requirements and organisational objectives using

recognised tools and techniques

4.2 Create a ​personal and professional development plan ​to meet agreed objectives

4.3 Explain how the personal and professional development plan will be ​monitored

Indicative content

4.1 ​Skills and competencies​ refer to be how to be self-aware and understand inclusivity and unconscious

bias, reflect on own performance and apply learning from feedback gained and may include but are not

limited to leading people, managing people, building relationships (Emotional Intelligence, Goleman, 1995),

being inclusive without unconscious bias, communicating with customers and stakeholders, active listening,

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managing operational (day to day) activities, projects, finance, using information and data, application of

organisational and legal frameworks and ability to use HR and other organisational systems, understanding

of the organisations strategy, culture, approaches to equality and diversity.

Tools and techniques ​refer to feedback mechanisms and may include but are not limited to appraisals,

360/180o feedback, personality feedback (e.g. Myers Briggs, date), personal SWOT (strengths, weaknesses,

opportunities and threats) analysis, gap analysis, self-assessment tools and questionnaires, learning styles

analysis, Wheel of Change (Goldsmith, 2015).

4.2 ​Personal and professional development plan ​refers to undertaking forward planning against short,

medium and long term time bound (SMART) objectives, prioritising activities, development needs, resources,

support, development opportunity, review and evaluation methods.

4.3 ​Monitored ​refers to using feedback mechanisms and reflecting on own performance and may include but are not limited to formal annual or periodic reviews, informal review, self-assessment, 360/180o reviews, peer review.

Recommendations for assessment

Learners may approach the assessment in a number of ways. All assessment criteria must be covered. To

enable this to be achieved effectively the unit has been written in the sequence in which personal and

professional development is planned and reviewed. The following opportunities are recommendations for

guidance purposes only.

1. The learner should draw upon their​ own experiences​ either from their current work role, paid or

voluntary. The plan is for personal and professional development and is not constrained by being in a

particular role and can include planning for a future role.

2. If not in employment, learners can draw upon organisations with which they are familiar e.g. a past employer or as part of a​ scenario​ or plan for a future role.

If not in a role that is covered by a professional body/association, learners can draw upon a ​professional

body/association​ for which they have researched as part of an exercise or scenario.

Learners may present work based evidence accompanied by reports or reflective accounts to meet each of

the assessment criteria

Relationship with Standards

This unit is mapped to the following requirements of the Apprenticeship Standard for Team Leader/Supervisor ST0384/01: H. Awareness of Self and Others H1 How to be self-aware and understand inclusivity and unconscious bias H3 Different learning styles H4 Feedback mechanisms H6 Reflect on own performance, identifying and acting on learning and development needs H7 Apply learning from feedback received I. Management of Self I1 How to manage time and prioritise activities I2 How to undertake forward planning I3 Create a personal development plan

100 CMI SYLLABUS | LEVEL 3 PRINCIPLES OF MANAGEMENT AND LEADERSHIP

This unit is aligned to the following National Occupational Standards (NOS) for Management and Leadership (2012): CFAM&LAA2 – Develop your knowledge, skills and competence CFAM&LDC1 – Identify individuals’ learning needs and styles

Suggested reading/web resource materials

Reading/resource materials available on ManagementDirect: Checklists

● Checklist 005: Performing a SWOT analysis

Document Templates ● CMI: Personal Development Plan

Relevant Theories, Frameworks and Models

● Goldsmith (2015) Wheel of Change ● Myers Briggs (1943) Myers Briggs Type Indicator

Please Note: The list is provided to guide the learner to potential sources of information and is by no means exhaustive. The content of the list is liable to change. The content was checked for accuracy at the time of unit development.

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APPENDIX 1 Definitions

Assess

A reasoned judgement of the individual elements including the standard, quality, value or importance of something, informed by relevant facts/rationale.

Compare Review the subjects in detail looking at similarities and differences.

Credits (CRD) Credits are calculated as one credit is equal to 10 hours of TUT.

Determine Settle/conclude an argument/question as a result of investigation or by referring to an authority.

Discuss Give a detailed account of a topic or issue using a range of views/opinions/perspectives of a contrasting nature.

Examine Inspect (something) thoroughly in order to determine its nature of condition.

Explain Make something clear to someone by describing or revealing relevant information in more detail.

Guided Learning Hours (GLH)

The activity if a Learner in being taught or instructed by – or otherwise participating in education or training under the Immediate Guidance or Supervision of – a lecturer, supervisor, tutor or other appropriate provider of education or training.

Identify Ascertain the origin, nature or definitive characteristics of something

Immediate Guidance or Supervision

the guidance or supervision provided to a Learner by a lecturer, supervisor, tutor or other appropriate provider of education or training –

a) with the simultaneous physical present of the Learner and that person, or

b) remotely by means of simultaneous electronic communication

Outline A general description/broad account/summary of something showing essential features/outline the case briefly but not the detail.

Produce To make something or bring it into existence.

Rule of Combination A rule specifying the combination of unit which may be taken to form a particular qualification, any units which must be taken and any related requirements.

Summarise Sum up or give a brief account of relevant information in own words.

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Total Qualification Time (TQT)

The number of notional hours which represents an estimate of the total amount of time that could reasonably be expected to be required, in order for a Learner to achieve and demonstrate the achievement of the level of attainment necessary for the award of a qualification. Total Qualification Time is comprised of the following two elements –

a) the number of hours which an awarding organisation has assigned to a qualification for Guided Learning, and

b) an estimate of the number of hours a Learner will reasonably be likely to spend in preparation, study or any other form of participation in education or training, including assessment, which takes place as directed by – but not under the immediate supervision of – a lecturer, supervisor, tutor or other appropriate provider of education or training.

Total Unit Time (TUT) The number of notional hours which represents an estimate of the total amount of time that could reasonably be expected to be required, in order for a Learner to achieve and demonstrate the achievement of the level of attainment necessary for the award of a unit.

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APPENDIX 2 Assessment Activity Definitions

Activity Definition

Briefing paper A summary of facts pertaining to a particular issue or problem. Often includes a suggested course of action.

Business case A formal document, presented in an oral or written format, which provides justification for an idea or project to address an identified business need or challenge.

Case Study A description of an event, activity or problem outlining a real or hypothetical situation.

Good practice guide

A structured document produced with the purpose of supporting individuals to develop their practice in a particular area.

Plan A detailed outline providing an insight into a range of activities required to complete a task.

Presentation Learners may present to an audience of stakeholders the outcomes of their studies. A recording of the presentation, speaker notes and/or slides may be used to provide evidence that a learner has the requirements some of the unit assessment criteria.

Profile An outline giving a description of a role or organisation.

Proposal A formal document, presented in an oral or written format, which puts forward ideas or suggestions for consideration by others.

Reflective Statement

Learners describe their actions in particular situations and reflect on the reasons for practicing in that way. This is particularly useful to provide evidence that they can evaluate their knowledge and practice.

Report A structured document communicated or presented in an oral or written form and organised in a narrative, graphic or tabular form referring to a specific period, event or topic area.

Research project report

A formal, written document, organised in a narrative, graphic or tabular form presenting findings and recommendations.

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Scenario A written outline or a situation or setting, providing insight into a sequence of events or actions.

Written account A written document presenting knowledge of facts or events.

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The below table summarises any revisions made to this document since publication.

APPENDIX 3 Revisions to Document

Revisions to Document Rationale for Revision Document Version Date Revisions Made Amended text relating to the Apprenticeship Pathway

Explain there is no mandated qualification required within the L3 Team Leader / Supervisor Apprenticeship Standard

Version 7

March 2021

Included Assessment Activity Definitions

To help Centres and Learners complete the assessments

Amended the TUT in the Example Pathways

Still had the original figures included

We have introduced credits to each unit and have subsequently increased some of the TUT. Please refer to units for updates.

In development, it was agreed that credits will no longer be used, and the RQF required Total Qualification Time (TQT) in hours, as well as Guided Learning Hours. Since then, subsequent developments have reverted back to the use of credits.

Version 6 July 2020

CMI Level 3 Certificate in Principles of Management and Leadership Learners must complete any combination of units to a minimum of ​130 ​TUT hours, 13 credits to achieve this qualification. (Increased from 121 TUT hours).

Increased due to introduction of credits.

Removed text regarding word count. Important information: there will be word counts set for each unit, which will be confirmed later. In the

The word count is set for all units at 2000- 2500

Version 5 March 2019

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meantime, please use the above guide. Learners working to these guidelines will not be penalised in the event of word count changing​. Amend title of Unit 303 in the Contents Page

Correct title Version 4 March 2018

Minor amendments to Indicative Content of “apprenticeship pathway” units

To reflect numbering/wording of Standard Learning Outcomes clearly

Version 3 14​th​ February 2018

Add “Produce” to Definition list

Updated in Unit 311

Version 2 6​th​ November 2017

Amendment to order of Learning Outcomes for Unit 320, and subsequent AC renumbering. Amendments to ACs in Unit 320: AC 3.1 – ​(Change wording from 'outline the process for planning a presentation' to outline activities required when planning a presentation') AC 3.2 – Removed Amendment to LO5 and AC 5.1 of Unit 320 (​from “the” to “a”)

Improve content flow Focus on Activities not Process Duplicate of AC 3.1 Incorrect terminology used

Amendment to AC3.2 and supporting Indicative Content for Unit 317 (​add “and procedures” to AC)

Procedures should be considered alongside Policies

Amendment to AC 2.1 for Unit 316 ​(remove “different”)

Not applicable for assessment

Amendment to AC 1.1 for Unit 314 (​from “own” to “an)

To not disadvantage learners not in role/employment

Amendment to AC’s for Unit 312: AC 4.1 – ​change from “performance” to “progress”

Previous term would be unachievable for learners

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AC 4.3 – ​remove “and teams” Focus on individuals Amendment to AC’s for Unit 311: AC 2.2 – ​change from “characteristics” to “information required in development of project” AC 2.4 – ​change “Explain how to develop a project plan” to “Produce a project plan” AC 3.1 – ​change “development” to “delivery” AC 4.2 – ​Change verb from “identify” to “discuss” AC 4.2 – ​include “of a project” to end of AC

Incorrect terminology used Facilitates assessment Reflect Learning Outcome Facilitates assessment Contextualises AC

Amendment to Indicative Content for Unit 307 (AC 1.2)

Focus on Learning Outcome requirement of “individuals and teams”

Amendment to AC2.3 for Unit 306 (“​practice” to “practices”)

Reflect Learning Outcome

Amendment to Indicative Content for Unit 305 (AC 2.1)

Reflect wording of apprenticeship standard wording

Amendment to AC 1.4 and supporting Indicative Content for Unit 304 ​(change from “legislation requirements” to “legal requirements”)

Consistency of terminology throughout units

Amendment to Indicative Content for Unit 302 (AC 1.4) to remove “environment”

Not applicable for assessment

Addition of NOS Alignment per unit (where applicable)

Signpost alignment to NOS

Link to CMI Reasonable Adjustments and Special Considerations Procedures

Improved signposting of CMI Procedures

Addition to Indicative Content for Unit 314 (AC 1.3, 2.2, 3.2, 4.1)

Support Learners’ understanding

Amendment to AC3.3 for Unit 301

Reflect Learning Outcome

First publication Version 1 1​st​ Aug 2017

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