You are on page 1of 238

Assessors Guidelines and

Assessment Guidance for the


SVQs in Supply Chain
Management at levels 2, 3, 4 and 5

Part 1: Mandatory Units

Publication date: November 2006


2nd edition: February 2009
3rd edition: April 2011
Publication code: DB3450/3

Published by the Scottish Qualifications Authority


The Optima Building, 58 Robertson Street Glasgow G2 8DQ, and Ironmills Road,
Dalkeith, Midlothian EH22 1LE

The information in this publication may be reproduced in support of SQA qualifications. If it is


reproduced, SQA should be clearly acknowledged as the source. If it is to be used for any other
purpose, then written permission must be obtained from the Support Materials Development
Officer at SQA. It must not be reproduced for trade or commercial purposes.

Scottish Qualifications Authority 2006, 2009, 2011


History of changes
It is anticipated that changes will take place during the life of the qualification,
and this section will record these changes. This document is the latest version and
incorporates the changes summarised below.

Version Description Date Authorised by


Number
3 Unit code DX6H 04 amended to April 2011 Qualifications Officer
DX6F 04 throughout
Contents
About this guide 1
Introduction 2
About SVQs 2
How are standards defined in SVQs? 3
Who is involved in SVQs? 3
The steps involved in assessing a candidate for an SVQ 4
1 The SVQs in Supply Chain Management 5
Structure of the SVQs 7
An assessment strategy for the SVQ 10
Why would people be interested in the SVQ? 10
How do candidates begin? 10
2 Preparing to assess the SVQ 12
Planning 13
Selecting methods of assessment 16
Methods of assessment 17
3 Generating evidence 24
Observation 25
Questions and candidate responses 27
Candidates personal statement 29
Witness testimony 31
Filling the gaps 33
Guidance and support to candidates 34
Judging candidate evidence and making an assessment decision 34
4 Recording achievement 36
Completing the Unit progress record 37
Completing the Element achievement record 41
5 Further information 44
What else should I read? 44
6 Mandatory Units with Assessment Guidance 45
Level 2 Mandatory Units 46
Level 3 Mandatory Units 52
Level 4 Mandatory Units 61
Level 5 Mandatory Units 79
7 Blank recording forms 98
8 Supply Chain Management: The Units (Standards) 107
9 Imported Management Standards Centre Units (Standards) 215

2
About this guide
This guide provides some practical examples of how to assess your candidates for
the SVQ in Supply Chain Management at levels 2, 3, 4 and 5. You may be able
to think of other ways of assessing your candidates and recording your decisions
about their competence.

Using assessments based on these examples does not guarantee successful


verification it is still your responsibility to ensure that internal quality
assurance procedures are followed.

1
Introduction
This introduction provides a brief overview of SVQs and how they are assessed in
the workplace. If you are already familiar with the concept of SVQs, you may
wish to go to the next section.

About SVQs
Scottish Vocational Qualifications (SVQs) are work-based qualifications which
set the level of occupational competence for each sector of the economy. The
qualifications have been designed by standards-setting bodies (SSB) or Sector
Skills Councils (SSC) made up of experienced practitioners who represent
employers, professional bodies, trade unions, education and voluntary
organisations.

Each standards-setting body or sector skills council is responsible for developing


national standards which define what employees (or potential employees) must be
able to do, how well, and in what circumstances, to show that they are competent
in their work.

Each SVQ which a standards-setting body or sector skills council develops has to
fit into a broad framework which allows qualifications in the UK and throughout
Europe to be compared. SVQs are specified at five levels which reflect the various
technical and supervisory skills, knowledge and experience, which employees
should have as they progress in their industry.

Explanation of levels

Level 1 Defines competent performance in a range of activities which are


largely routine and predictable.
Level 2 Specifies that competent performance must be shown in a broader
range of work activities which are less routine and predictable. The
employee will have more autonomy and responsibility, and may have
to work as part of a team.
Level 3 Specifies that competent performance must involve the employee in
carrying out a broad range of varied work activities, most of which
are complex and non-routine. There is considerable autonomy and
responsibility, including the possibility of controlling or guiding
others.
Level 4 Specifies competence as complex technical or professional work
activities which require a substantial degree of personal autonomy or
responsibility. Managing staff and other resources is often involved.
Level 5 Specifies competent performance as involving the employee in
carrying out a significant range of activities in a wide variety of
situations which are often unpredictable. Substantial responsibility
and autonomy is involved in the work, which requires decision-
making in the allocation of resources and the work of others. This
will require complex skills such as analysis, design and evaluation.

2
How are standards defined in SVQs?
All SVQs consist of standards which can be broken down into various parts.

Units define the broad functions carried out in the sector, and are made up of a
number of Elements. These Elements describe the activities which employees
have to perform, and will require candidates to demonstrate certain skills or
knowledge and understanding.

The quality of performance in what people must be able to do how well they
have to perform is described by Performance Requirements. These may also
be called statements of competence or what candidates should do.

The section on application of knowledge and understanding says what candidates


must know and understand, and how this knowledge applies to their jobs.

You may also come across standards containing statements on scope. These
statements could, for example, list the equipment that candidates are expected to
be familiar with and use in their occupational area.

Increasingly, you may see changes to this format as standards become more user-
friendly and are written in plain English. For example, there may be some
standards containing Achievement Criteria, but over time these should
disappear. You may, however, find that information on the context, nature and
amount of evidence which is required to prove competence (which used to be
given in Range Statements and Evidence Requirements) is now defined in the
assessment guidance for the qualification. Assessment guidance is drawn up by
the awarding body and is often packaged along with the standards to form the
SVQ. Assessment guidance is produced within this document for each of the
mandatory Units.

Who is involved in SVQs?

There are several roles:


the candidate: the person who wants to achieve the SVQ (eg an
employee)
the assessor*: the person who assesses the candidates and decides if
they are competent (eg supervisor)
the internal verifier*: an individual nominated by the centre (eg a company)
who ensures that assessors apply the standards
uniformly and consistently (eg supervisors line
manager)
the external verifier*: an individual appointed by SQA who ensures that
standards are being applied uniformly and
consistently across all centres offering the SVQ

3
*Assessors and verifiers in centres will be asked by SQA to prove they have the
appropriate occupational competence to assess and verify the SVQ. Occupational
competence has been defined by the SSC in the assessment strategy for these
SVQ(s).

Assessors and verifiers are also expected to obtain an appropriate qualification in


assessment and verification the Assessor/Verifier Units (the national standards
for assessment and verification).

The steps involved in assessing a candidate for an


SVQ
In deciding whether a candidate should get an SVQ, you will go through these
stages:

planning for assessment


generating and collecting evidence of the candidates competence in the Units
judging the evidence of the candidates ability and making an assessment
decision based on the evidence
recording the assessment decision and the candidates achievement

4
1 The SVQs in Supply Chain
Management
The SVQs in Supply Chain Management were developed as part of the Polemics
Project under the auspices of the Sector Skills Council, Skills for Logistics. They
are intended for people in the Supply Chain.

These people may be working as any of the following:

Material Planner
Purchasing Manager
Material Scheduler
Supply Chain Manager
Buyer
Warehouse Assistant
Procurement Assistant
Senior Procurement Manager
Customers Logistics Manager
Director of Supply Chain
Procurement & Contract Officer
Senior Buyer
Inventory Controller
Distribution Supervisor
Logistics Assistant/Supervisor
Contract Manager
Category Manager
Planner
Strategic Supply Chain Manager
Material Manager
Expeditor
Assistant Purchasing Manager
Warehouse Supervisor
Global Supplies Manager
Strategic Procurement Manager
Supplies Assistant
Logistics Manager
Assistant Buyer
Commercial Manager
Contracts Assistant
Logistics & Supply Analyst
Warehouse & Transport Team Manager
Imports Manager
Demand Planner
Supply Chain Development Manager
Logistics & Warehouse Manager
Distribution Supervisor
Export Assistant
Global Supply Chain Director

5
They will require skills and knowledge in certain areas appropriate to the SVQ
level:

Level 2 The candidate should have reasonable numeracy and writing skills.
Level 3 The candidate should have some supervisory experience within the
Supply Chain and have adequate writing and calculative skills and
have the ability to relate to those around them.
Level 4 The candidate should have some supervisory/managerial
experience and able to work closely with others within the Supply
Chain. They should also be able to write cohesively, deal with
complex issues and possess good numeracy skills.
Level 5 The candidates should be experienced managers/senior managers
able to communicate effectively at all levels, to create high value
relationships and be able to convey complex issues along the
Supply Chain to others effectively.

The SVQs are designed to be assessed in the workplace or in conditions of the


workplace. Examples of the settings in which the SVQs could be delivered
include:

Further Education Colleges


Training Providers
Employers Centres
Collaborations between any of the above centres.

To assist centres the SQA codes for each of the group award and Unit titles have
been included in this document. The SQA code is the alpha numeric four and two
digit reference which appears after each Unit or group award title. The original
Unit code which represents the National Occupational Standard reference is also
given for each Unit and appears immediately before each Unit title.

6
Structure of the SVQs
This section lists the Units which form the SVQs in Supply Chain Management.

SVQ in Supply Chain Management Level 2 (G881 22)

Total number of Units available for selection in this qualification is 11.

Total number of Units that the candidate needs to achieve for the qualification is 5.

Mandatory Units
SQA Ref SSC Ref Title
DX55 04 Unit T21 Contribute to operational relationships within the supply chain
DX6K 04 Unit T22 Obtain information on the supply chain

Optional Units: any 3 Units from 9 have to be achieved

DX5P 04 Unit T12 Identify potential suppliers for the supply chain
DX6L 04 Unit T13 Place orders with suppliers
DX61 04 Unit T14 Monitor and progress the delivery of orders
DX67 04 Unit T15 Monitor the flow of supplies in the supply chain
DX6G 04 Unit T16 Obtain information on storage locations and facilities
DX6F 04 Unit T17 Obtain information on distribution requirements
DX65 04 Unit T18 Monitor the distribution of supplies
DX69 04 Unit T19 Monitor the flow of returned supplies
DX6D 04 Unit T20 Monitor the transportation of supplies

SVQ in Supply Chain Management Level 3 (G882 23)

Total number of Units available for selection in this qualification is 20.

Total number of Units that the candidate needs to achieve for the qualification is 9.

Mandatory Units
SQA Ref SSC Ref Title
DX5Y 04 Unit T1 Maintain operational relationships within the supply chain
DX4X 04 Unit T2 Analyse information on the supply chain
DX50 04 Unit T3 Apply improvements to the supply chain

Optional Units: any 6 Units from 17 have to be achieved


DX63 04 Unit T4 Monitor the achievement of project tasks
DX56 04 Unit T5 Control supplies at storage locations and facilities
DX52 04 Unit T6 Complete export procedures and requirements
DX53 04 Unit T7 Complete import procedures and requirements
DX4V 04 Unit T8 Administer contracts
DX4W 04 Unit T9 Analyse information on the procurement of supplies in the supply
chain
DX7E 04 Unit T10 Verify the capability of suppliers to meet supply specifications
DX4Y 04 Unit T11 Analyse the performance of suppliers
DX5P 04 Unit T12 Identify potential suppliers for the supply chain
DX6L 04 Unit T13 Place orders with suppliers
DX61 04 Unit T14 Monitor and progress the delivery of orders
DX67 04 Unit T15 Monitor the flow of supplies in the supply chain
DX6G 04 Unit T16 Obtain information on storage locations and facilities

7
DX6F 04 Unit T17 Obtain information on distribution requirements
DX65 04 Unit T18 Monitor the distribution of supplies
DX69 04 Unit T19 Monitor the flow of returned supplies
DX6D 04 Unit T20 Monitor the transportation of supplies

SVQ in Supply Chain Management Level 4 (G883 24)

Total number of Units available for selection in this qualification is 31.

Total number of Units that the candidate needs to achieve for the qualification is 10.

Mandatory Units
SQA Ref SSC Ref Title
DX59 04 Unit M1 Develop operational relationships within the supply chain
DX5H 04 Unit M2 Evaluate information on the supply chain
DX6Y 04 Unit M3 Propose improvements to the supply chain
DX5W 04 Unit M4 Introduce improvements to the supply chain
DR75 04 MSC B6 Provide leadership in your area of responsibility

Optional Units: any 5 Units from 26 have to be achieved


DR7K 04 MSC D3 Recruit, select and keep colleagues
DR5T 04 MSC E2 Manage finance for your area of responsibility
DR41 04 MSC F9 Build your organisation's understanding of its market and
customers
DX6M 04 Unit M5 Plan projects to develop the supply chain
DX60 04 Unit M6 Manage projects to develop the supply chain
DX6E 04 Unit M7 Negotiate for supplies
DX54 04 Unit M8 Contract with other organisations
DX70 04 Unit M9 Review the outcomes of contracts
DX5F 04 Unit M10 Evaluate information on the procurement of supplies in the supply
chain
DX79 04 Unit M11 Select suppliers for the supply chain
DX6X 04 Unit M12 Produce specifications for suppliers
DX5K 04 Unit M13 Evaluate the capability of suppliers to meet supply specifications
DX71 04 Unit M14 Schedule and approve the placing of orders
DX5M 04 Unit M15 Evaluate the performance of suppliers
DX72 04 Unit M16 Schedule the flow of supplies in the supply chain
DX7D 04 Unit M17 Specify the requirements for the storage of supplies
DX75 04 Unit M18 Select locations and facilities for storing supplies
DX5E 04 Unit M19 Evaluate information on the storage of supplies
DX7C 04 Unit M20 Specify the requirements for the distribution of supplies
DX74 04 Unit M21 Select distribution methods for supplies
DX7W 04 Unit M22 Schedule the distribution of supplies
DX78 04 Unit M23 Select methods to receive returned supplies
DX7A 04 Unit M24 Select the transportation methods for supplies
DX73 04 Unit M25 Schedule the transportation of supplies
DX76 04 Unit M26 Select methods for exporting supplies
DX77 04 Unit M27 Select methods for importing supplies

8
SVQ in Supply Chain Management Level 5 (G885 25)

Total number of Units available for selection in this qualification is 14.

Total number of Units that the candidate needs to achieve for the qualification is 8.

Mandatory Units
SQA Ref SSC Ref Title
DX57 04 Unit S1 Develop a supply chain strategy for the organisation
DX5A 04 Unit S2 Establish strategic relationships within the supply chain
DX5T 04 Unit S3 Improve the performance of the supply chain
DR70 04 MSC B7 Provide leadership for your organisation

Optional Units: 4 Units in total have to be achieved from the optional Units:
either 3 Units from Group 1 and 1 Unit from Group 2; or 2 Units from Group
1 and 2 Units from Group 2.

Option Group 1: Choose 2 or 3 Units from this group


DX51 04 Unit S4 Commission projects to develop the supply chain
DX6R 04 Unit S5 Plan the flow of supplies through the supply chain
DX6T 04 Unit S6 Plan the procurement of supplies
DX6V 04 Unit S7 Plan the storage of supplies in the supply chain
DX6N 04 Unit S8 Plan the distribution of supplies
DX6W 04 Unit S9 Plan the transportation of supplies
DX6P 04 Unit S10 Plan the export and import of supplies

Option Group 2: Choose 1 or 2 Units from this group


DR6M 04 MSC D4 Plan the workforce
DR5T 04 MSC E2 Manage finance for your area of responsibility
DR41 04 MSC F9 Build your organisation's understanding of its market and
customers

9
An assessment strategy for the SVQ
As part of the review of the SVQs, the sector skills council Skills for Logistics
oversaw the Polemics project which developed an assessment strategy to define a
range of requirements:

the occupational expertise of assessors and verifiers


a definition of simulation
definition of the workplace
information on a model of independent assessment or external quality control.

A full copy of the assessment strategy is available to download from the SVQ
Logistics and Supply Chain page of SQAs website (www.sqa.org.uk). Both
SQA and centres must comply with these requirements.

Why would people be interested in the SVQ?


People will take SVQs for a variety of reasons: to gain promotion, to prove their
job competence, or for personal development. There will be other reasons too.
One of the first things to do is to find out why your candidates want to do the
SVQ, and to advise them of the appropriateness of the qualification. If anyone is
acting as a coach or mentor to your candidates, they might help you to do this.

How do candidates begin?


Choosing the SVQ
You should make sure that candidates get guidance before starting out on an SVQ
they need advice to ensure that their existing job remit, skills, experience, and
their plans for progression, are matched to the SVQ selected. It does not have to
be you as the assessor who carried out the matching process but whoever has
responsibility for this should ensure that the assessment opportunities available to
the candidate are also considered.

Example
Shona worked in a local authority procurement department. Although she had 3
years of working in the department she had no formal training and her experience
was wholly from picking up information as she needed it. In order to develop her
skills and job opportunities she approached her manager, the Senior Supplies
Officer, to discuss her future. An appointment was made for Shona to meet with
the Training & Development Officer and this concluded with an agreement that
the authority would investigate a suitable course of training. As a result, Shona
was offered a place on the authoritys SVQ programme. They felt she would
benefit from undertaking Supply Chain Management at Level 3 as it allows an
entrance level similar to her experience. Shonas knowledge needed to be
developed further this and level would give the appropriate development
opportunities.

10
The T&D manager thought that matching Shonas experience and knowledge
would be useful. After this was done, it showed that she had some competence in
the following units:

T13 Place orders with suppliers (DX6L 04)


T8 Administer contracts (DX4V 04)

However the remaining units would require some training and knowledge input
from the authority.

T1 Maintain operational relationships within the supply chain (DX5Y 04)


T2 Analyse information on the supply chain (DX4X 04)
T3 Apply improvements to the supply chain (DX50 04)
T10 Verify the capability of suppliers to meet supply specifications (DX7E 04)
T11 Analyse the performance of suppliers (DX4Y 04)
T12 Identify potential suppliers for the supply chain (DX5P 04)
T14 Monitor and progress the delivery of orders (DX61 04)

They discussed this need with a local training provider and met with Shona and
carried out a full Training Needs Analysis. They confirmed the initial analysis
with the T & D manager and an assessment plan was formed identifying all the
units Shona would attempt and the sources of potential evidence mapped with
evidence requirements. The assessment tools identified were agreed and these
include:

Product evidence derived from Shonas work area


Observation at the workplace
Case Study, again based on the authoritys activities.
A witness statement from Shonas supervisor
A series of personal statements to illustrate activities Shona had undertaken in
her development.
Written and oral questions would be used to establish Shonas experience and
knowledge throughout the qualification.

In addition the T & D manager created a development plan for Shona. The
development plan was a series of planned opportunities for Shona to gain
experience in other departments and wider activities within the department she
was working in. This was coordinated with the training provider to provide
training prior to the development opportunities in the workplace.

11
2 Preparing to assess the SVQ
This section offers practical advice on how to begin to go about assessing your
candidates for the SVQ. This advice is offered as examples of good practice
you may develop your own approaches to assessing your candidates which also
work well.

Your role and your candidates role


Assessing the SVQ will involve several stages. Both you and the candidate should
be clear on your roles in the assessment process before you begin.

Your role
ensure candidates understand what is to be assessed and how it is to be
assessed
ensure the conditions and resources required for assessment are available
help candidates to identify and gather evidence
observe and record candidates carrying out the activities described in the
standards records should say what has been observed, how it was carried
out, and what it demonstrates
assess products of the candidates own work
question candidates and record results
help candidates to present evidence
authenticate the evidence candidates provide
judge evidence and make assessment decisions
identify gaps or shortfalls in candidates competence
provide feedback to candidates throughout the assessment process
record achievement

Candidates role
prepare for assessment become familiar with the standards, what is to be
assessed and how it is to be assessed
help to identify sources of evidence and how these could be assessed
carry out activities, and/or produce products of own work, and/or answer
questions
gather and present evidence
receive and act on feedback from the assessor

12
Planning
In planning for assessment, you will find it helpful to meet with your candidate
and plan what is to be assessed, in what way, and when and where the assessment
is to take place. This discussion can be confirmed in the form of an agreed
assessment plan between you and your candidate.

You should treat assessment plans as working documents they can be updated
and changed as you review progress with your candidate.

As you are planning assessment dont forget to make the most of opportunities to
integrate assessment. This means planning to assess an activity which draws on
the contents of different Units or Elements. It can be a practical and cost-effective
way of assessing your candidates competence.

If you are a new assessor working towards your A/V Units (the national standards
in assessment and verification) you will need copies of completed assessment
plans as part of your evidence.

To help you plan for assessment, we have produced an assessment plan which
covers Unit T11 Analyse the performance of suppliers (DX4Y 04)

Candidate: David Campbell Trainer/Assessor: James Dalrymple

David is a storeman in a small engineering company. He has started his course


with an induction from the company trainer (who is also his assessor). They have
started first with Unit T11- Analyse the performance of suppliers (DX4Y 04).
After a discussion with the trainer the following actions were identified and these
are the base for the formulation of the assessment plan. (Example is attached).

Outcome 1 - Product evidence is available in the workplace (from orders)


Outcome 2 - Product evidence is available in the workplace (from the
supplier database and the store records)
Outcome 3 - Training need additional skills and underpinning knowledge
needed: provided by the trainer
Outcome 4 - Training needs analytical skills short course in local college
Outcome 5 - Witness testimony and written questions
Outcome 6 - Product evidence as a report to store manager identifying issues
with results
Outcome 7 - Personal report to explain how improvements can be made and
potential of other sources of supply

13
Assessment plan

Units: T11 Analyse the performance of suppliers (DX4Y 04)

Outcomes Achievement Criteria Method of Date of Evidence already Links to other Units
assessment/Sources assessment available (PCs and range)
of evidence
1 Confirm the type of supplies that are a, b, c Product evidence 15 April System Link with T14
required. Documents
2 Obtain information on the
performance of suppliers d, e Product evidence 20 April System
Documents
3 Collate and prepare data for the f Training need then 2 May To created
analysis product evidence
4 Analyse data on the performance of g
suppliers Training need then 2 May To be created
5 Identify any problems in using the product evidence
suppliers h,i
Witness Testimony & 5 May Developed and
6 Provide the results of the analysis to j, k Written Questions created
colleagues Product evidence 10 May To be developed
7 Recommend options for improving l, m
the performance of suppliers Personal Report 15 May To be created

Questioning for knowledge and


understanding not apparent from
performance to be identified from
2nd review

Assessors signature: James Dalrymple 1st review due: 27 April 2006

Candidates signature: David Campbell 2nd review due: 4 May 2006

Date of agreement: 12 April 2006 Date of completion: 17 May 2006

14
15
Selecting methods of assessment
The methods of assessment you use should be valid, reliable and practicable.

by valid we mean that the assessment method should be appropriate to the standards
by reliable we mean that the assessment method should ensure consistent results
when used with different candidates, different assessors and on different occasions
by practicable we mean that the method ensures that the assessment makes best use
of available resources, equipment and time.

Before you assess a candidate, you must make sure that the methods of assessment you
have chosen to use, along with any assessment materials (such as questions and sample
answers) have been agreed within your centre through its system of internal quality
assurance. This system is often called internal verification its purpose is to help to
ensure that assessment methods are valid, reliable and practicable.

There are both benefits and challenges when you are assessing SVQs in the workplace,
or in conditions in the workplace. When you select methods of assessment you should
try to offer the candidate the benefits of workplace assessment and minimise any
potential difficulties.

The benefits might include the following:

confidence building
familiarity in the work environment
access to information & systems
candidate led assessment process
assessor support
experienced assessor guidance
local support from colleagues at work

The challenges might include the following:

access to information
available information might not be in an appropriate format
out of normal working hours and access
development opportunities
issues of confidentiality
workload constraints
conflicts with work and home

16
Example
Rammi is a forwarding clerk in a logistics company and to complete his Level 3 Supply
Chain Management SVQ he has to work outwith normal hours. His trainer provided
him with a set of written questions to show how he deals with colleagues who are based
in other countries. In addition he will support this with a witness testimony from his
team leader to confirm his competence in these aspects of the Unit outcomes.

Methods of assessment
Assessment may involve a range of assessment methods. For SVQs, some of the most
commonly used methods are observation, product evaluation, and questioning.

Observation

Observation by an assessor is considered to be the most valid and reliable method of


assessment. It can be organised in a variety of ways:

working alongside the candidate


arranging to visit when naturally-occurring activities are carried out by the candidate
arranging for activities to take place

Observation by the assessor can often be supplemented by other types of assessment


methods such as questioning. For example, it may be appropriate to ask oral questions of
candidates as they carry out naturally-occurring activities.

For consistency the candidate should be observed more than once in the workplace. The
observation needs to be planned in advance and coordinated with the candidate (and
their employer). The candidates assessment plan would identify the areas to be
observed and a checklist should be agreed with the candidate and the assessor. The
observation should be carried out in a non intrusive manner and some guidance should
be given by the assessor to reduce any anxiety in the candidate. The assessor should give
feedback to the candidate after the observation is completed.

This method of assessment has a varied application in most awards. It enables an


opportunity to gain competence by practice. It can be used in the following applications:

relationships Interaction with the candidate and others eg solving problems


meetings People skills eg discussion and agreements
activities Carrying out a specific task eg checking a delivery

Example
A part of Leonis Level 4 Supply Chain Management SVQ is about relationships in the
Supply Chain. As part of Unit M1 Develop operational relationships within the supply

17
chain (DX59 04), two observations were arranged to collect evidence of competency in
the workplace. The first observation was to observe Leonis ability to interact with her
colleagues in the workplace (Outcome 1, d). The second observation was to evidence
her attending a meeting with a supplier to resolve a problem delivery (Outcome 5, k, l).

Product evaluation

As candidates work towards achieving the SVQ, they will produce evidence in the form
of products of their work. The nature of this evidence can vary widely depending on
what the candidates job entails, but examples of product evidence include:

Example
David is undertaking the final parts of his Level 5 Supply Chain Management SVQ. His
current Unit is MSC E2 Manage finance for your area of responsibility (DR5T 04). His
company has given him the opportunity to devise a departmental budget. In order to
gain his experience level and knowledge he has spent two days in the Accounts
department. A part of his product evidence will be:

a) Budget projection for the new financial year along with a detailed breakdown of the
costs and supporting rationale and calculations. Also to provide a monthly budget for
the department.
b) Produce a management report to explain the ongoing monitoring of the proposed
budget. Also to explain what measures you will take if there are significant
variations on the proposed budget during the budget period.
This evidence would contribute to Outcomes 6, 7, 8, 9, 10 and possibly 12 in this
particular Unit.

* Please note it is important that the employers agreement should be sought


before any activities such as allowing candidates to work in areas that the
candidates are not normally involved in.

Questioning

Candidates have to show that they can meet the knowledge specifications for the SVQs.
For these SVQs, knowledge and understanding is specified for each:

T5 Control supplies at storage locations and facilities (DX56 04):

K1 Analyse methods and procedures


K6 Cost and benefit analysis methods and procedures
K14 Information sources on supply chain processes
K17 Logistics theories, models and practices
K22 Organisational objectives and activities

18
K24 Performance measurement and benchmarking theories, models and practices
K33 Supply chain management theories, models and practices

Much of a candidates knowledge and understanding will be apparent from what they do
or produce as part of their work, but this will not always be the case. Questioning can be
a useful way of confirming what candidates know and understand.

Questions can be asked in a variety of forms, such as oral questions, short answer
written questions, and multiple choice.

You should be careful that the method of questioning does not go beyond the
competence required for the SVQ and become a barrier to fair assessment. For example,
some candidates will feel more comfortable with oral questions than written.

Example
Joe is employed in the Health Service as a supervisor in a distribution centre. In the
course of his Level 3 he has selected Unit T5 Control Supplies at Storage Locations
and Facilities (DX56 04) as one of his optional Units. When the assessor and Joe
initially discussed the Unit most of the Outcomes were within his operational scope.
However, in Outcomes 6(i) and 7(j) he was unsure about how he would secure evidence.
The assessor concluded that it would be easier for Joe to provide his evidence in the
form of a series of oral or short response questions. The assessor prepared sets of
questions and indicative answers to show Joes competence by successfully answering
the questions (matching the answers set by the assessor) and thereby achieving the
standards required.

Sample Short Response Question

If you have a shortage on delivery of goods coming in, who should be informed and
why?

Answer

The inventory planner. He might not have enough stock for customers.

Sample Oral Question to candidate

What communication method do you use with colleagues to show current location
space?

Response should include the following:

Written form, regular meetings, discussions and two examples of these activities in a
recent real situation from the candidates experience.

19
Other methods of assessment
These methods, like questioning, are often used for authentication. See section 3 for
more about authenticating candidates evidence.

Personal statements
You might sometimes find it helpful to ask a candidate to give an account of why they
carried out an activity in a certain way or how they produced a product of their work.
This is often referred to as a personal statement. You should take care to ensure that by
asking candidates to produce such statements, you are not asking them to demonstrate
competence beyond what is required by the standards. You should also be selective in
the use of personal statements, and make sure they have not been produced as a
substitute to a more valid, reliable and practical method of assessment.

Example
Sylvia has just started her Level 4 Supply Chain Management SVQ. After discussion
with the assessor on the outset for Unit M7 - Negotiate for supplies (DX6E 04), there
were some Achievement Criteria which were identified as competences Sylvia needed to
gain experience in. In the assessment plan they agreed the following could be better
achieved by personal statements.

Outcome Achievement Criteria


4 conduct negotiations to (h) negotiations maintain
achieve the objectives of the goodwill whenever possible
organisation.
5 adapt negotiation strategies to (j) negotiation strategies are
cope with new circumstances sufficiently flexible to deal
or issues with new situations

The reason for choosing this method of assessment is to highlight the experience of the
candidate and their ability to show competence in relation to the occupational standards.
Therefore the statement will explain in some detail how they create a climate of
goodwill in the negotiations they have recently carried out. The second statement is an
example of how the candidate dealt with adapting the negotiation strategy due to a
change in circumstances in a negotiation they have recently carried out.

Therefore these statements will record the experiences of the candidate in a real
environment and show their competence.

Witness testimony
For practical reasons, you may not be able to observe all the activities carried out by
your candidates, but might feel that other people may be able to provide a statement on
what your candidates have been doing or producing as part of their work. Statements of
this kind are called witness testimony, and are often used to support other evidence
produced by candidates. If witness testimony is used you should, ideally, identify
witnesses and opportunities for using their testimony as part of assessment planning.

20
You should bear in mind that the weight of the evidence will vary depending on the
knowledge and expertise of the person providing the witness testimony. You will have
to take these factors into account as you make your judgement.

Strongest Someone with considerable occupational expertise in the candidates


area of work and who is familiar with the standards. This person
may also be an assessor or internal verifier qualified with the A/V
Units.
Someone with considerable occupational expertise in the candidates
area of work and who is familiar with the standards.

Someone with considerable occupational expertise in the candidates


area of work but with no knowledge of the standards.
Someone who may be a colleague of the candidate but with no
knowledge of the standards.
Weakest Someone with little or no knowledge of the candidates work or no
knowledge of the standards.

Witness testimony is unlikely to be sufficient in itself for a decision about the


candidates competence, and would normally be supplemented by questioning
candidates.

Example
Charlene started her level 5 Supply Chain Management SVQ a few months ago. When
discussing with the assessor the assessment plan for the Unit S4 Commission projects
to develop the Supply Chain (DX51 04), Outcome 9, presenting reports on results and
outcomes of the project (n) presentations are clear and persuasive, it was agreed the
best way to demonstrate this was to use a witness testimony of a manager at the
presentation to see if they found the presentation clear and persuasive.

A pro forma was used which had the following details:

Qualification and level (Supply Chain Management Level 5)


Candidates name (Charlene)
Location and date (Charlenes presentation site)
Witness statement (Charlenes selected manager)
Relationships to candidate (A fellow manager of Charlenes)
The Outcome and Achievement Criteria (Outcome 9 Achievement Criteria [1a]) **
Details of the activities of witness (A statement of Charlenes presentation)
Evidence index no

**Note: This may include other evidence relating to other outcomes and achievement
criteria.

21
In addition there is confirmation of an understanding of the national occupational
standards and that the candidate has performed these activities as a normal activity.

They also agreed to supplement this witness testimony with a personal statement by
Charlene to explain how she felt about her experience in presenting.

Simulation
Simulation is any structured assessment exercise involving a specific task which
reproduces real-life situations.

On some occasions, it may not be practical to assess a candidate in real work. Examples
might be where the standards require candidates to carry out emergency or contingency
procedures, or where client confidentiality is an issue, or where a candidates job role
does not cover all aspects of the qualification.

There are strictly defined conditions relating to the use of simulations in these standards.
Before using simulation as a method of assessment, please refer to the Assessment
Strategy for an explanation of how and when it may be permitted in this award. See
Section 6.

Confidentiality and Security


The Supply Chain Management SVQs do involve evidence which may contain
commercial and confidential details eg pricing information. It is essential that the
candidate and their organisation know when any documents are viewed and by whom.
Also the assessor, internal verifier and the external verifier should have no commercial
interest in the evidence provided.

The assessor should discuss with the candidate any commercially sensitive material they
have which will be assessed externally, eg off site. If it is essential evidence, some
sanitising of eg company names and prices might be possible whilst maintaining the
soundness of the evidence.

When in the care of the assessor it is essential that the candidates material is accessed
only by a limited number of people (IV & EV) and remains secure at all times. It will be
the centres responsibility to control access and safe keeping of all assessment materials
in their care until they are returned to the candidate.

Other sources of evidence


Other sources of evidence can be previous experience or learning, case studies or
assignments.

22
Professional Discussion
The Assessor can use this method only if they have been trained in the technique, and
the subject and candidate are appropriate to the Unit. It may only be suitable in Levels 4
& 5 as its subjects are more suitable for this method. If in doubt contact SQA or your
External Verifier.

E-Assessment
The use of e-Assessment may be appropriate for this suite of SVQs. The centre should
ensure they are using the current national occupational standards. The same
qualifications and experience for Assessors/ Internal Verifiers still apply. Many of the
documents needed in this guide can still be used, eg the Assessment plan, but some
could be available online, eg Achievement Record. It is the responsibility of the centre
and the assessor to ensure they have appropriate material online and full tracking of the
candidates achievements is possible.

SQAs Guides to Assessment and Quality Assurance (see Section 5) have more advice
on methods of assessment and how to ensure that your assessment is valid, reliable and
practicable.

23
3 Generating evidence
The methods of assessment you use should generate sufficient evidence to demonstrate
the candidates competence.

The circumstances in which you might choose to use different methods of assessment
were described earlier. This section gives you examples of forms which you can use to
record and present evidence of:

observation (by the assessor)


questions and candidate responses
personal statement (produced by the candidate)
witness testimony

There are blank forms which you can copy and use for assessment purposes in Section 7.

24
Observation
For observation, note that the form asks you to record the skills and activities observed.
This helps you to make a judgement on how the activity was carried out and what it
demonstrates.

25
Observation record
Unit/Element(s): M7 Negotiate for supplies (DX6E 04) - Outcome 4 Conduct
negotiations to achieve the objectives of the organisation
Candidate: C Barlow Date of observation: 18-10-2006
Evidence index number: 121

Skills/activities observed: Achievement Criteria covered:

I observed a negotiation between the candidate,


C Barlow, and the Sales Manager from Express g, h
Printing. The negotiation was to settle on the quote
for a proposed brochure. The negotiations were
carried out in a cordial manner and followed the
prepared plans. These were in line with the
organisations strategy and procedures. The result
was an agreement between the parties. A record of
the results was produced and circulated to both
parties.

Knowledge and understanding apparent from this observation:


K19 Negotiation strategies, methods and procedures

Other Units/Elements to which this evidence may contribute:


This will partially cover Outcome 7

Assessors comments and feedback to candidate:

The candidate formed a good relationship with the supplier and followed the negotiation plan (this
was discussed before the observation). The candidate sought the approval of the supplier for the
observation and both parties expressed thanks to the supplier for this courtesy.

I can confirm the candidates performance was satisfactory.

Assessors signature: James Dalrymple Date: 18-10-06

Candidates signature: C Barlow Date: 18-10-06

26
Questions and candidate responses
This form can be used to record any questions you might ask the candidate to
establish what they know and understand. You should note the candidates responses
on this form too.

Note that there is a space near the top of the form for you to record when, where, how
and why you asked the questions.

If you choose to give the candidate written questions, this form could also be used.

27
Record of questions and candidates answers
Unit: S6 Plan the procurement of Outcome(s): 4 Review the benefits and risks to the
supplies (DX6T 04) procurement of supplies through the supply chain
Evidence index number: 097
Circumstances of assessment:

These questions are part of the evidence for this outcome; the additional parts include a report of
the risks and benefits, a SWOT and PESTEL analysis and a global review.

List of questions and candidates responses:

Q: How are risks analysed in terms of commercial risks and where they occur?

A: The salient points of the answer will include the following topics:

Commercial risks: New suppliers, contracts, global suppliers, single sourcing, vetting processes.
They can occur on an ongoing basis but usually during times of change eg changing to a new
supplier or prior to this during the vetting process.

Q: How can you measure the risks?

A: Risk needs two stages:

1 Establish the risk


2 Measure the risk

To establish the risk is to look at the possibility of any risk to the procurement of supplies from all
sides. For example the impact of a single, strategically important supplier/source ceasing trading
overnight.

From there examine the likelihood of this happening and rate that likelihood in a risk assessment
This assessment would form a profile of the supplier and form the basis of comparing alternative
suppliers.

When successfully concluded this should show the candidates knowledge and understanding of
the following:

K11 Financial analysis methods & procedures


K24 Performance measurement and benchmarking theories, models and practices
K27 Procurement theories, models and practices

Assessors signature: James Dalrymple Date: 20-10-06


Candidates signature: C Barlow Date: 20-10-06

28
Candidates personal statement
If a personal statement is being used as evidence, it should be completed by the
candidate. The statement should record what they did, how and why they chose to
carry out an activity or produce work in a certain way. Where other people may have
been present during an activity and they may be able to provide witness testimony,
the candidate should record how the statement links to other evidence in the column
provided.

29
Personal statement
Date Evidence Details of statement Links to other Unit, Elements,
index evidence ACs covered
number (enter numbers)
14/03/2007 156 I have carried out the negotiations 121 M7 Negotiate for
for the new brochure with the supplies (DX6E 04)
printer. The results are an
improved price and a reduction on Outcome 7 Provide
the current lead time. The information on the
expected benefit is a saving of results of the
15,500 on the current negotiations
expenditure. However they are in
the process of acquiring new Achievement
digital printing equipment in the Criteria
next year therefore they will be M Information is
looking for more capacity when it provided to all
comes on stream. relevant colleagues

My report of the negotiations was


passed to my manager and some of
my colleagues. The experience of
preparing and following through to
the negotiations was a good,
positive and enjoyable process.
The supplier did agree to allow the
assessor to be present during the
observation. (Thanks were
recorded to the supplier and
assessor).

Signed (candidate): C Barlow

Date: 14/03/07

30
Witness testimony
When you use witness testimony it must be capable of being authenticated even if
the testimony itself is being used to authenticate a candidate's claim to competence.

To ensure the witness testimony is genuine, you must have a record of who is acting
as a witness, their relationship to the candidate (eg supervisor, client) address,
telephone number and the date. There are spaces for this information in the form.

31
Witness testimony
SVQ title and level: SVQ Supply Chain Management level 3
Candidates name: Sandra Wilson
Evidence index no: 122
Index no of other evidence which Related 22, 76, 91
this testimony relates to (if any):
Unit T8 Administer Contracts (DX4V 04)
Outcome & Achievement Criteria:
Outcome 6 AC j Confidentiality of information is maintained
Date of evidence & location: 13 9 2006 Stirling Depot
Name of witness: William Starky
Designation/relationship to Contracts Manager
candidate:
Details of testimony:

I can confirm Sandra Wilson has administrated the contracts in her control in an efficient and
effective manner. She followed the departmental guidelines at all times and treated all information
with full confidentiality. In addition she met the Freedom of Information Act requirements for
disclosure and guidelines pertaining to information sharing with interested parties.

I can confirm the candidates evidence is authentic and accurate.


Signed by witness: William Starky Date: 13 /09/2006

Witness (please tick the appropriate box):

Holds A/V Award

Is familiar with the SVQ standards to which the candidate is working

32
Filling the gaps
There may be instances when your candidate has provided evidence for most of
the Unit (or SVQ), but there are some gaps. For example, you may find that
certain situations, such as handling contingencies, have not arisen during
assessment. Often these will relate to dealing with health and safety issues, or
unexpected problems with workflow such as delays in receiving information from
another part of the organisation.

In the Supply Chain Management SVQs such gaps are likely to occur in
generating evidence in the following situations:

Documentation The documents available do not comply with the standards


Access to systems information The candidate has no access to information on
the relevant system
Confidentiality issues The company does not want confidential information
to leave the site
Lack of procedures or non compliant procedures eg The company has no
Vendor Rating system or suchlike
Lack of information The company has no information available

You may be able to overcome these by the following solutions:

The candidate could write a personal account to explain how their system
works or a case study could be used to test the candidates response to a
situation related to the unsuitable evidence.
The candidates have a supervised access as a learning development
opportunity. Alternatively the company may second the candidate to the
department in question for a limited time to gain a working understanding and
this could be reposted as a personal statement/report of how the system works.
The documents could be desensitised to remove very confidential figures
whilst keeping the essence of the information. An alternative course of action
would be a statement from the assessor to confirm the evidence was
acceptable, or a witness testimony.
The solution might be synthesising the lack of procedure etc. This could be by
getting the candidate to create a system whereby they collect evidence in a real
way and the assessor could establish how well it worked in practice. This
would need some preparation by both the candidate and assessor. Alternatives
may be an elaborate real life case study and questioning of the candidate by
oral or written methods.
If the information is not available in the company then it could be that the
candidate could not complete this Unit and this would be apparent at the
assessment stage.

33
Guidance and support to candidates
At all times during the assessment process from planning through to making
your assessment decision feedback should be on-going, clear and constructive.
Feedback should be given against the national occupational standards by relating
it to the evidence provided including the knowledge specifications.

Where there are any shortfalls in a candidates competence you should discuss
these with them and make plans for re-assessment.

Judging candidate evidence and making an


assessment decision
In judging candidate evidence, you must be satisfied that your candidates can
work consistently to the required standard and that the evidence they have
produced is their own. You must consider whether your candidate understands
and applies the knowledge evidence and how this links to performance evidence.

Evidence must:

be relevant to the SVQ


be authentic
show current competence
be sufficient to help you form a decision about the candidates competence

Insufficient evidence
You have to judge whether the candidate has produced enough evidence required
by the standards for you to reach a decision about their evidence.

Where there is insufficient evidence you should bring this to the attention of your
candidate. You should tell them that it is not that they are not yet competent
there is simply not enough evidence on which to make a decision.

In this situation your feedback to your candidates must help them produce more
evidence and/or plan for further assessment.

Authenticating candidates evidence


Authentication is required where you have not observed candidates performance
at first hand.

You can check whether a candidate has produced evidence which they claim
shows their competence by questioning them or, if this is not appropriate, asking
them to produce a personal statement, using witness testimony, or seeking peer
reports from other colleagues of the candidate.

34
Example
Robert is a storeman and as a part of his Level 3 Supply Chain Management SVQ
and specifically Unit T16 Obtain Information on Storage Locations and
Facilities (DX6G 04), he needs to have evidence in Outcome 2 Obtain
information on storage locations and facilities Achievement Criteria d:
Information is obtained from the appropriate colleagues. One of Roberts
colleagues has provided a witness testimony, and he is going to supplement this
with a copy of the information obtained (dated and signed by him). In addition
his assessor has given him four written questions.

1. From where was the information derived, ie the source?


2. Why was the witness a reliable source of information?
3. What form was the information in, eg written, tabular?
4. How are you going to use this information within the supply chain?

35
4 Recording achievement
You should retain all evidence clearly referenced for internal and external
verification.

The candidates evidence is normally kept in a file, often called a portfolio. These
documents help you and your candidates to collect, present and cross-reference
the evidence to the national occupational standards. They are also a means of
recording your assessment decisions and they tell an external verifier what stage a
candidate has reached in achieving the SVQ.

There some SVQs where assessors are strongly recommended to use the
nationally-devised recording documents. However you could choose to use your
own recording material.

Recording documents do not need to be paper-based it is possible to use an


electronic format for collecting and structuring the evidence. Whatever format you
and your candidates choose to use, the documents must show what evidence was
generated, the assessment decisions you made, how the evidence meets the
standards, and where the evidence can be located. You should avoid photocopying
items simply to put them in a portfolio a clear explanation of where the
evidence can be found (for example, in a filing cabinet) may be sufficient for the
external verifier to follow it up and include it in the visit.

There are various reasons why record-keeping is so important:

it provides a way of tracking a candidates progress in achieving an SVQ


it helps candidates to make claims for certification of their competence
internal verifiers and external verifiers use the records to sample assessment
decisions
it helps monitor the quality assurance of our qualifications

If your candidates evidence is incomplete, or cannot be located, or if there is


inaccurate cross-referencing to the standards, there is a risk that an internal
verifier or external verifier will be unable to confirm your assessment decisions.

To help you and your candidate present evidence and record your assessment
decision examples of the forms which you and your candidate might use to
compile the portfolio have been provided.

Completing the Unit progress record


Using the evidence index
Completing the Element achievement record

These forms are also used in SQAs portfolio.

36
Completing the Unit progress record
You should complete this form each time your candidate achieves a Unit from the
SVQ by adding your signature and the date next to the relevant Unit.

At this stage candidates should make sure they have completed the recording
documents correctly and that their evidence can be easily located. Only then
should they circle the relevant Unit number at the top of the form. This enables
both of you to see at a glance what stage the candidate is at in their SVQ.

37
Unit progress record
Qualification and level: Supply Chain Management level 5

Candidate: Michael Hutchison

To achieve the whole qualification, you must prove competence in 4 mandatory Units and 4
optional Units.

Unit Checklist
Mandatory S1 S2 S3 MSC
B7
Optional S4 S5 S6 MSC
D4

Mandatory Units achieved


Unit Number Title Assessors Date
Signature
S1 (DX57 04) Develop a supply chain strategy for the 12 Aug 2006
organisation
S2 (DX5A 04) Establish strategic relationships within 18 Oct 2006
the supply chain
S3 (DX5T 04) Improve the performance of the supply 1 Dec 2006
chain

Optional Units achieved


MSC D4 (DR6M Plan the workforce 29 Jan 2007
04)
Using the index of evidence
The purpose of the index of evidence is to help you locate and work through the
candidates evidence. It should give you a summary of what evidence the
candidate has collected, and where (eg in a portfolio) it can be found.

The index of evidence should be completed by entering:

the index number for each piece of evidence


a description of each piece of evidence
the place or location where it can be found
the initials of the internal verifier and the date (if they have sampled the
candidates evidence)

Ideally it should be candidates themselves (with your support and encouragement)


who complete the index.

You must make sure that the information in the evidence index is accurate when
your candidates portfolios are presented for assessment and verification
particularly the information about where the evidence can be located. This is
important because we suggest that anything which has been produced as day-to-
day work is kept in its normal location, but anything which has been produced
through assessment for the SVQ, eg observation checklists are filed in the
candidates portfolio. In this way your candidate can avoid having to photocopy
work products just for the sake of including them in a portfolio. It also means that
evidence produced as a result of assessment is kept safely in a central file.

If the index of evidence is not completed with an accurate description and location
of the evidence there is a risk that an internal verifier or external verifier might be
unable to confirm your assessment decisions.

39
Index of evidence
SVQ title and level: Supply Chain Management Level 3 (G882 23)

Evidence Description of evidence Included Sampled


number in portfolio by the IV
(Yes/No) (initials
If no, state and date)
location

001 Communication/E-mails from suppliers and colleagues Yes

002 Orders placed Yes

003 Witness Statement from Team Leader Yes

004 Personal Statement to support discussions with other supply chain users Yes

005 Observation of interaction with other colleagues Yes

006 Minutes of meeting (related to the Observation 005) Yes

In supplies
007 Operational Procedures Manual office

40
Completing the Element achievement record
To help you and your candidates cross-reference the evidence to the standards of
the SVQs, we have provided records similar to those produced in the SQA
portfolio. Use one record for each Element. The grids should be completed by:

entering the evidence index number in the first column


giving a brief description of the evidence in the second
ticking the relevant boxes for the Performance Criteria (or statements of
competence as they are sometimes known)
entering the areas of knowledge and understanding the piece of evidence
covers

If integrated assessment is used (linking PCs or Elements across different Units)


the evidence should be cross-referenced back to the relevant Units.

We have provided a completed example to show how to use the record.

41
Achievement record
Unit: T1 Maintain operational relationships within the supply chain (DX5Y 04)

Performance Requirement, Achievement Criteria: & Application of Knowledge

Evidence Description of Evidence Performance Requirements Achievement Criteria Application of Knowledge


Index No
1 2 3 4 a b c d e f g h K3 K7 K14 K22 K33
001 Improvement Report
002 Minutes of Supplier
Meetings
003 Departmental Meeting notes
004 Supply Problem Case Study
005 Witness Testimony Re
Communications
006 Supplier review meetings
007 Personal Statement
008 Observation of internal
discussion on deliveries

42
Unit: T1 Maintain operational relationships within the supply chain (DX5Y 04)

Performance Requirements, Achievement criteria, Application of knowledge

Notes/Comments

The candidate has worked well to collect evidence from the workplace. The observation in the evidence list showed the candidate directly interfacing with colleagues
in the supply chain and also shows relationships with suppliers in the supply chain in the review process. Further evidence was provided by the candidate in their
personal statement and the results of the case study provided by written questions were incorporated.

The candidate has satisfied the Assessor and Internal Verifier that the performance evidence has been met.

Candidate: C Barlow Date: 25-10-06

Assessor: James Dalrymple Date: 25-10-06

Internal Verifier: Date:

43
5 Further information
What else should I read?
The publications listed here provide additional information on how to implement
SVQs. Details of these and other SQA publications are available on our website at
www.sqa.org.uk on the Publications, Sales and Downloads section. They can be
ordered from SQAs Customer Contact Centre telephone 0845 279 1000.
Please note that there may be a charge for some of these publications.

Assessor/Verifier Units: assessment guidance

External Assessment Moderation in National Qualifications and Higher National


Qualifications: a guide for centres

Guide to Assessment and Quality Assurance for Colleges of Further Education

Guide to Assessment and Quality Assurance for Employers and Training


Providers

Arrangements for Candidates with Disabilities and/or Additional Support Needs


in Examinations and Assessments

Quality Assurance Principles, Elements and Criteria

Operational Help Centre

The Operational Guide for Centres has been replaced by the online Operational
Help Centre on www.sqa.org.uk

44
6 Mandatory Units with Assessment
Guidance

45
Level 2 Mandatory Units

46
Unit T21 Contribute to operational relationships within the
supply chain (DX55 04)

Unit Summary
This Unit shows the need to work together in the supply chain. Therefore this entails
fostering better relationships by communicating effectively and spotting potential
improvements in the supply chain. The improvements identified have to be developed
by collecting information and reporting benefits to colleagues and also by alerting
colleagues to potential problem areas in accordance with the organisational guidance.
Finally, to assist in monitoring processes and building relationships with others in the
supply chain.

Standards
Performance requirements
Outcomes Achievement Criteria
1 Contribute to the maintenance and a) communications are maintained
improvement of current operational effectively
relationships within the supply chain
b) possibilities for improving
supply chain processes are
clearly identified
2 Provide information on opportunities to c) operational relationships could
develop operational relationships within the potentially benefit the supply
supply chain chain
d) information on opportunities is
provided to all relevant
colleagues
3 Identify problems with supply chain e) problems are clearly identified as
relationships soon as possible
f) colleagues are informed of
problems according to
organisational procedures
4 Assist colleagues to ensure that operational g) supply chain processes are
relationships are suitable for maintaining the monitored regularly
performance of the supply chain
h) operational relationships are
conducted in ways that are
mutually beneficial

47
Application of knowledge:
K3) Communication methods and procedures
K7) Database management and monitoring methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K33) Supply chain management theories, models, and practices

Assessment Guidance
The assessor should ensure the candidate meets all of the performance requirements in
full (Outcomes and Achievement Criteria). The assessor should examine evidence
from the candidate derived from the work environment in the shape of product
evidence, personal statements or reports primarily, but this may be supplemented by
assignments or case studies. Witness statements can be used but this should only be
where a recognised and competent person can verify the candidates competence in
the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test the
knowledge of the candidate in the subjects of this Unit thoroughly in all of the
application of knowledge aspects of the occupational standards. The assessor
achieves this by integrated questions, product evidence, and observation, oral or
written questions.

In Outcome one the candidate has to show their competence in communicating


effectively and contributing to relationships in the supply chain. In addition they
should identify potential improvements in the supply chain. The candidate should
show evidence by product evidence eg emails from suppliers, managers, witness
statements or observation of the candidate communicating with others. Identification
of improvements in relationships can be evidenced by personal reports from the
candidate relating to their workplace.

The second Outcome further develops the improvements by collecting more


information and reporting this information to colleagues. Evidence of this could be
the product evidence of the information collected and reporting this to colleagues by
personal report or formal report (product evidence).

Outcome three deals with problems which may occur with relationships in the Supply
Chain. The candidate is required to identify problems and report to a colleague. The
evidence could be product evidence eg, supplier unable to ship goods and the actions
of the candidate to communicate this to colleagues. This can be done by product
evidence eg e-mail or witness statement by the candidates colleague/manager.

In Outcome four the candidate should show how they monitor performance and relate
to mutual operational relationship building. The candidates evidence could include
product evidence in the form of monitoring carried out by the candidate and a
personal report or witness statement to show how effective they are in building supply
chain relationships.

48
Unit T22 Obtain information on the supply chain (DX6K 04)

Unit Summary
This Unit deals with information to and from the supply chain. It examines the
processes of the supply chain and the information flows; the forming of sources of
data and information from diverse routes then manipulating this data and information
into a relevant analysis format, recording this information and any problems related to
this information. Finally, providing the information to colleagues along with
recommendations.

Standards
Performance requirements
Outcomes Achievement Criteria
1 Identify the processes that comprise a) procurement, logistics, operations
the supply chain management, transportation, and
export and import systems are
identified
2 Identify the supplies flowing through b) specifications and quality of supplies
the supply chain are clearly identified
3 Obtain information on the supplies c) suitable sources of data are accessed
flowing through the supply chain
d) information is obtained from the
appropriate colleagues
4 Sort information on the supply chain e) appropriate sorting methods and
procedures are used

5 Record information ready for analysis f) relevant information for analysis is


recorded in appropriate systems

6 Identify any problems in obtaining g) problems are clearly identified as soon


information on the supply chain as possible
h) colleagues are informed of problems
according to organisational procedures
7 Provide the information to colleagues i) information is provided in the
when required for analysis appropriate formats
j) information is provided according to
agreed schedules
8 Recommend options for using storage k) appropriate options for the supply
locations and facilities chain are identified
l) alternative storage locations and
facilities are identified

49
Application of knowledge:
K1) Analysis of methods and procedures
K6) Cost and benefit analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and practices
K33) Supply chain management theories, models, and practices

Assessment Guidance

The assessor should ensure the candidate meets all of the performance requirements in
full (Outcomes and Achievement Criteria). The assessor should examine evidence
from the candidate derived from the work environment in the shape of product
evidence, personal statements or reports primarily, but this may be supplemented by
assignments or case studies. Witness statements can be used but this should only be
where a recognised and competent person can verify the candidates competence in
the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test the
knowledge of the candidate in the subjects of this Unit thoroughly in all of the
application of knowledge aspects of the standards. The assessor achieves this by
integrated questions, product evidence, and observation, oral or written questions.

The candidate should show awareness of the supply chain as they interact with it and
its processes. Therefore the candidate could provide a personal report giving an
account of their supply chain.

In Outcome two the candidate should show their understanding of specifications and
quality for identifying goods flowing through the supply chain. The evidence could
be product evidence eg, orders, requisitions, complete with supporting statements to
explain the evidence (personal statements).

The third Outcome could be integrated with the previous outcome or carried out
individually. The candidate is required to assess incoming documents then check
them for accuracy and clarity and report to colleagues. The evidence could be derived
from incoming deliveries and matched with associated orders therefore product
evidence and a witness statement from a colleague or personal statement is needed.

Outcomes four and five can be integrated as the evidence is likely to be similar. The
candidate is asked to sort and record information, for example, by prioritising a
mornings orders/deliveries and accounting for any discrepancies/priorities that may
have occurred. The evidence for these Outcomes can be collected by observation or
witness testimony.

In Outcome six the candidate should show evidence that they can identify problem
areas and alert these to colleagues. The evidence could be product evidence in the
form of delivery notes which might lead to supplies problems eg, short deliveries, and

50
personal statements/witness testimony or observation to support the reporting to
colleagues.

Outcome seven requires the candidate to show their ability to provide information in
an appropriate format and in accordance with the organisations schedules. This
evidence could include orders (product evidence) and evidence of how these relate to
the scheduled deliveries (product evidence), supported by a personal statement
explaining how these relate to each other.

In the final Outcome the candidate should show they suggest improvements or select
options on the use of storage locations and facilities. They can examine the current
use of storage locations and facilities and produce location plans (produce evidence)
and present a personal report showing the possible options and alternatives available
(personal statement): also showing the benefits of the alternatives.

51
Level 3 Mandatory Units

52
Unit T1 Maintain operational relationships within the
supply chain (DX5Y 04)

Unit Summary
This Unit examines the relationships within the Supply Chain. These interactions
need to be maintained and developed as the first outcome identifies them; whereas
opportunity to develop these relations is the subject of outcome two.

When problems occur then these need to be dealt with in an effective way. Finally,
the ways that these communications are monitored for mutual benefit to all parties in
the supply chain.

Standards
Performance requirements
Outcomes Achievement Criteria
1 Maintain and improve current operational a) communications are maintained and
relationships within the supply chain improved
b) options to improve supply chain
processes are clearly identified
2 Recommend opportunities to develop c) operational relationships could
operational relationships within the potentially benefit the supply chain
supply chain d) information on opportunities is
provided to all relevant colleagues
3 Identify problems with supply chain e) problems are clearly identified as
relationships soon as possible
f) colleagues are informed of problems
according to organisational
procedures
4 Ensure operational relationships are g) supply chain processes are
suitable for maintaining the performance monitored regularly
of the supply chain h) operational relationships are
conducted in ways that are mutually
beneficial

Application of knowledge:
K3) Communication methods and procedures
K7) Database management and monitoring methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K33) Supply chain management theories, models, and practices

53
Assessment Guidance
The assessor should ensure the candidate meets all of the performance requirements in
full (Outcomes and Achievement Criteria). The assessor should examine evidence
from the candidate derived from the work environment in the shape of product
evidence, personal statements or reports primarily, but this may be supplemented by
assignments or case studies. Witness statements can be used but this should only be
used where a recognised and competent person can verify the candidates competence
in the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test the
knowledge of the candidate in the subjects of this Unit thoroughly in all of the
application of knowledge aspects of the standards. The assessor achieves this by
integrated questions, product evidence, and observation, oral or written questions.

In Outcome one the candidate should show competence in communicating with others
in the supply chain. Therefore this will include dialogue or communication with
others, eg, the users, suppliers and colleagues. This evidence can be product evidence
eg, e-mails, reports, correspondence, supported by a witness statement from a line
manager or an observation in the work place.

In Outcome two the candidate is required to show competence in identifying


improvements and to make a recommendation. The evidence could be in the form of
a personal report based on their observations in the work place. This could be
integrated with Outcome three thereby producing a report which matches with the
Outcomes and achievement criteria of both.

The final Outcome discusses the monitoring and maintaining of relationships. The
evidence of this interaction would include points of communications (meetings,
discussions, dialogues) with product evidence and observations or a witness statement
from the candidates line manager.

54
Unit T2 Analyse information on the supply chain (DX4X 04)

Unit Summary
This Unit is about the use of analysis in the supply chain. The candidate is to select a
target and collect data on the target area. The candidate should then analyse the data
to produce results. In addition the candidate should identify any problems emanating
from the data they have analysed before solving these issues. The last part is to
present the information to colleagues in an appropriate format.

Standards
Performance requirements
Outcomes Achievement Criteria
1 Specify the purpose of the analysis a) confirmation is obtained from
appropriate colleagues
2 Collate and prepare data for the analysis b) suitable sources of data are accessed
c) relevant data for the analysis are
sorted and collated
3 Analyse data on the organisations d) appropriate analysis methods and
supply chain procedures are used
e) results are discussed with all
relevant colleagues
4 Use analysis procedures and techniques f) results are provided according to
that are appropriate to the information agreed schedules
required g) key findings are clearly identified

5 Identify any problems with the supply h) problems are clearly identified as
chain soon as possible
i) colleagues are informed of problems
according to organisational
procedures
6 Provide the results of the analysis to j) information is provided to all
colleagues relevant colleagues

55
Application of knowledge:
K1) Analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and practices
K33) Supply chain management theories, models, and practices

Assessment Guidance
The assessor should ensure the candidate meets all of the performance requirements in
full (Outcomes and Achievement Criteria). The assessor should examine evidence
from the candidate derived from the work environment in the shape of product
evidence, personal statements or reports primarily, but this may be supplemented by
assignments or case studies. Witness statements can be used but this should only be
used where a recognised and competent person can verify the candidates competence
in the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test the
knowledge of the candidate in the subjects of this Unit thoroughly in all of the
application of knowledge aspects of the standards. The assessor achieves this by
integrated questions, product evidence, and observation, oral or written questions.

The candidate is required to show competence in collating, analysing and providing


information to others.

In Outcome one the candidate should define and identify the purpose of the analysis
with colleagues. Therefore the evidence is to select an appropriate subject of the
analysis; the evidence would include discussions with colleagues eg, minutes of
meetings etc. in the form of product evidence or by means of observation.

For Outcome two the candidate is to collate and prepare data, for example, Pareto
Analysis of current vendors showing the value of business spent with each. The
results could be discussed with colleagues to verify the results. The evidence would
be compiled from a variety of sources depending on the organisation they are
employed in and relative to the scale of the supply chain eg in a complex supply chain
like a local authority there is ample choice of data. However in smaller organisations
with more simple supply chains then the choice of data may be more constrained.

In Outcome three the candidate should analyse the data they have collected and
produce results of their findings. These are then passed to colleagues. The evidence is
the calculations and analysis therefore product evidence (the results) and an
explanation of the results could be circulated to colleagues, which is again product
evidence. This could be supplemented by a witness testimony by the colleagues.

There is an opportunity to integrate Outcomes four, five and six to provide a


composite report based on all of these Units and this would be product evidence. This

56
report should include the key results, along with any problems (and solutions) relating
to the analysis.

The final report would formalise a report to colleagues and provide product evidence.
This could be supplemented with a personal statement, witness statement or
observation to confirm colleagues responses.

57
Unit T3 Apply improvements to the supply chain (DX50 04)

Unit Summary
The main purpose of this Unit is to enable the candidate to add value by improving a
process, service or activity. The candidate is required to acquire information on their
improvement. This could be drawn from any aspect of the supply chain then the
candidate should plan how the improvement should be implemented in line with the
organisations requirements. The candidate is then required to collate and prepare the
appropriate data and analyse it to produce a set of results. These results are discussed
with colleagues to verify their usefulness. Any problems with these results are
identified and solutions found. Finally the finished results are presented to relevant
people in an appropriate form.

Standards
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the a) information is obtained from the
improvements being introduced to the appropriate colleagues
supply chain
2 Apply improvements to the supply chain b) plans are implemented wherever
according to the implementation plan possible
c) colleagues are consulted on their
views
3 Comply with procedures for monitoring d) supply chain management systems
the supply chain are used
e) legal and organisational
requirements are complied with
4 Collate and prepare data on the impact f) suitable sources of data are
of improvements to the supply chain accessed
g) relevant data for the analysis are
sorted and collated
5 Analyse data on the impact of h) appropriate analysis methods and
improvements to the supply chain procedures are used
i) results are discussed with all
relevant colleagues
6 Identify problems relating to the j) problems are clearly identified as
application of the improvements to the soon as possible
supply chain k) colleagues are informed of
problems according to
organisational procedures

58
7 Provide feedback on the application l) information is provided to all relevant
of the improvements to the supply colleagues
chain m) issues that have an impact on the
organisations effectiveness are clearly
expressed

Application of knowledge:
K2) Change management theories, models, and practices
K22) Organisational objectives and activities
K25) Planning methods and procedures
K29) Quality management theories, models, and practices
K33) Supply chain management theories, models, and practices

Assessment Guidance
The assessor should ensure the candidate meets all of the performance requirements in
full (Outcomes and Achievement Criteria). The assessor should examine evidence
from the candidate derived from the work environment in the shape of product
evidence, personal statements or reports primarily, but this may be supplemented by
assignments or case studies. Witness statements can be used but this should only be
used where a recognised and competent person can verify the candidates competence
in the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test the
knowledge of the candidate in the subjects of this Unit thoroughly in all of the
application of knowledge aspects of the standards. The assessor achieves this by
integrated questions, product evidence, and observation, oral or written questions.

The main purpose of this Unit is to enable the candidate to gain exposure to
improvement techniques.

The first Outcome is a discussion with appropriate colleagues eg, line manager, team
leader, to select an area of the supply chain which needs some improvement.
Potential areas might include goods inwards operations, supplier performance,
sourcing issues, deliveries, store locations and contracts. The evidence is the decision
making process of selecting an appropriate subject, therefore records of the dialogue,
meetings, e-mails etc., will act as product evidence to show the candidates
involvement in this process.

Outcome Two is about creating a plan of action. The evidence is the implementation
plan eg, what needs to be done and the timescales involved and this would be product
evidence along with the discussions with colleagues needed to form the
implementation plan. These could be acquired by witness statements, observation or
product evidence in the form of minutes, records or e-mails.

59
Outcome three is a check on the compliance of the implementation plan to the
organisational monitoring systems as well as for legal requirements. The candidate
has to show how they have complied with all of these needs by creating a personal
report explaining how they have complied with these quoting the relevant
organisational monitoring systems and legal requirements.

Outcomes four and five have an opportunity to produce an integrated result. In


Outcome four the candidate has to collate and prepare data to support their chosen
improvement. The principle evidence will be the collection of the data and forming it
into a usable style. This could be in the form of a table or graph as product evidence.
The next Outcome, five, is to analyse this data and this has to be discussed with
colleagues. A report showing the results along with some analysis would be a way to
show the results in an appropriate form. This report would be product evidence and
the discussions with colleagues could also take the form of product evidence eg,
emails, observation or witness statement.

In Outcome six the results from the previous outcomes creates an opportunity to
review and revisit the results to date and solve any problems that may have arisen.
Therefore, this Outcome would provide some product evidence in the solution of
potential problems, or a personal statement to explain what discussions/problems were
experienced at this stage.

Outcome seven is the final report and the implementation of the improvements and
subsequent results, eg, how successful it was in practice. Evidence will be the results
and feedback from others involved. This could take the form of a personal report and
product evidence eg, the results and witness statements or an observation.

60
Level 4 Mandatory Units

61
M1 Develop operational relationships within the supply
chain (DX59 04)
Unit Summary
In this Unit - Develop operational relationships within the supply chain, you are
required to show how you evaluate current relationships in the supply chain and also
how you maintain these relationships. You are also shown the risks and benefits of
developing relationships in the supply chain. In addition it shows how you resolve any
problems which may arise from these relationships and finally how to ensure these
operational relationships are maintained.

Standards
Performance requirements
Outcomes Achievement Criteria
1 Evaluate current operational a) suitable sources of information are
relationships within the supply chain accessed
b) all relevant information is considered
c) appropriate evaluation processes are
used
d) colleagues are consulted on their
views

2 Maintain and improve current e) communications are maintained and


operational relationships within the improved
supply chain f) supply chain processes are conducted
in ways that are mutually beneficial to
all stakeholders

3 Explore the benefits and risks of g) factors affecting the supply chain are
developing operational relationships clearly identified
within the supply chain h) benefits and risks are fully analysed

4 Develop operational relationships that i) improvements to the supply chain are


improve the performance of the supply clearly identified
chain j) organisational objectives can be
achieved more effectively
5 Resolve problems with operational k) problems are clearly identified as
relationships soon as possible
l) problems are resolved in a way that
minimises disruption to the supply
chain

6 Ensure operational relationships are m) supply chain relationships are


maintained monitored regularly
n) communication methods are used
effectively

62
Application of knowledge:
K1) Analysis methods and procedures
K6) Cost and benefit analysis methods and procedures
K7) Database management and monitoring methods and procedures
K8) Evaluation methods and procedures
K13) Industry-specific networks and sources of information
K14) Information sources on supply chain processes
K18) Market research methods and procedures
K22) Organisational objectives and activities
K33) Supply chain management theories, models, and practices

Assessment Guidance
The assessor should ensure the candidate meets all of the performance requirements in
full (Outcomes and Achievement Criteria). The assessor should examine evidence
from the candidate derived from the work environment in the shape of product
evidence, personal statements or reports primarily, but this may be supplemented by
assignments or case studies. Witness statements can be used but this should only be
used where a recognised and competent person can verify the candidates competence
in the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test the
knowledge of the candidate in the subjects of this Unit thoroughly in all of the
application of knowledge aspects of the standards. The assessor achieves this by
integrated questions, product evidence, and observation, oral or written questions.

The Unit is primarily an examination of the complex interactions that occur in the
supply chain. Therefore the first stage is to look at the current relationships that exist.
As a result the candidate should show competence by evaluating a range of the
sources of information which relate to supply chain and how this is related to various
people. An example of the sources of information is an order from a customer and to
follow it through the various stages to completion. Also to see how this causes
interaction between the various departments and people.

In the second Outcome the candidate should show how communications are used to
relate to the flow of goods through the supply chain to the customer. Evidence could
be an explanation of how this happens in practice and how this affects the service to
the customer.

In the third Outcome the candidate should show competence in understanding the
risks and benefits. This means awareness of potential risk areas and the value of
potential benefits. An example of the risks might be looking at a new vendor and
assessing the risks and to contrast this with a known vendor. The benefits can be
expressed in some monetary way to explain how the value of the benefit eg, a
reduction in a delivery time and how this cost saving benefits the customer.

In Outcome four the assessor should require evidence from the candidate that they
have identified improvements in the supply chain and relate those to the objectives or

63
goals of the organisation. This could be an analysis of an operation and suggestions
for improvements. The candidate should show how these improvements relate to the
overall goals of the organisation therefore some statement of what the organisational
goals or objectives are should be present in the evidence. A minimum of two
improvements should be presented to the assessor.

In Outcome five the issue is one of disruptions in supply and the problems which
ensue. The assessor should look for information from the candidate that shows their
competence in identifying problems and resolving them. The product of this could be
a personal report and supporting evidence showing how the candidate became aware
of the problem (eg, a late delivery) and then dealt with the issue successfully. A
minimum of 2 problems should be presented to the assessor.

The sixth Outcome deals with monitoring of supply chain relationships and how these
are communicated to others. The evidence collected from the candidate to show
competence might include an explanation of how they monitor deviations in supplies
eg, late deliveries from all suppliers, then how this can be formalised and
communicated as a monthly report for other departments.

64
Unit M2 Evaluate information on the supply chain
(DX5H 04)

Unit Summary
In this Unit you should be able to obtain information on the supply chain and
additionally identify the critical factors that affect the supply chain. To achieve this
you should be able to evaluate information from relevant sources and identify
potential problems requiring immediate actions. You should also be able to ensure
the results you evaluated provide a way to improve the performance of the supply
chain. Finally you should provide the results of the evaluation to colleagues.

Standards
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the supply chain a) suitable sources of information
are accessed
b) colleagues are consulted on their
views
2 Identify the critical factors that affect the c) benefits and risks are fully
supply chain analysed
d) resource implications are clearly
identified
3 Evaluate information on the supply chain e) all relevant information is
considered
f) appropriate evaluation processes
are used
4 Identify any problems that require g) problems are clearly identified
immediate action as soon as possible
h) problems are resolved in a way
that minimises disruption to the
supply chain
5 Ensure the results of the evaluation are
provided in a way that helps to improve the i) results of the evaluation are
performance of the supply chain relevant to the organisation and
the supply chain

6 Provide the results of the evaluation to j) results are effectively presented


colleagues at the appropriate time and place
k) results are discussed with all
relevant colleagues

65
Application of knowledge:
K2) Change management theories, models, and practices
K11) Financial analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and practices
K26) Presentation theories, models, and practices
K29) Quality management theories, models, and practices
K33) Supply chain management theories, models, and practices

Assessment Guidance
The assessor should ensure the candidate meets all of the performance requirements in
full (Outcomes and Achievement Criteria). The assessor should examine evidence
from the candidate derived from the work environment in the shape of product
evidence, personal statements or reports primarily, but this may be supplemented by
assignments or case studies. Witness statements can be used but this should only be
used where a recognised and competent person can verify the candidates competence
in the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test the
knowledge of the candidate in the subjects of this Unit thoroughly in all of the
application of knowledge aspects of the standards. The assessor achieves this by
integrated questions, product evidence, and observation, oral or written questions.

The Unit deals with the acquisition of information used in the supply chain and what
that information is used for and how it is distributed to relevant people in the effective
supply chain operation. Finally forming and reporting this information in a
managerial style to colleagues/managers.

An example could be a report created by the candidate where they collected


information on an operational problem eg, congestion in loading/delivery or
environmental waste.

Therefore the first requirement is to discuss with colleagues etc., and collect base
information from various sources eg, journals, newspapers, internet sites. In addition
collect relevant information or data from the supply chain in their organisation.
Thereby creating a balanced view between their own organisation and the wider
information available elsewhere. Therefore Outcome one is the evidence from the
information (product evidence) and transcripts of dialogue with others which will also
be product evidence.

In Outcome two and three, the candidate analyses the information collected in the
previous Outcome and develops an analysis of the risks and benefits. Therefore this
will entail forming graphs, tables of data, risk assessments and detailed plans of
resources which are needed to show how they have perceived the issue whilst also

66
prioritising the information collected in terms of their relevance to the task in hand
and evaluating their value in the work they are engaged in eg, the report.

Outcome four is to problem solve the information to date: - is there enough; is it


relevant; can it stand up to scrutiny by others; is it robust? In all cases it is a review
and another chance to review before writing further. The result may involve
amending the information assembled, replacing more relevant information and
dealing with omissions or additional graphs.

Outcome five is the forming of the final report which should show how the candidate
has formed solutions based on information they have acquired. As it is a managerial
report it should be created in an appropriate style and be supported by the data,
graphs, tables etc.

Outcome six involves presenting this report to colleagues and managers at an


appropriate opportunity eg, monthly meeting. The candidates evidence should
include the final report and the feedback from the report from the assembled group as
well as any further actions taken at the meeting eg, minutes of the meeting.

67
Unit M3 Propose improvements to the supply chain
(DX6Y 04)

Unit Summary
The purpose of this Unit is to instigate an improvement in effectiveness of the supply
chain. This is achieved by examining the current operation and practices, reviewing
these and seeking improvements in them. From the review, potential areas which
could be improved would be identified and also the potential value of those
improvements to the overall performance. The Unit then examines the ways this
improvement can be evaluated in terms of practicality, feasibility and delivery eg,
performance added. Before progressing further the improvement needs an assessment
of the cost/benefit and risk assessment to the organisation.

Standards
Performance requirements
Outcomes Achievement Criteria
1 Review the current performance of the a) suitable sources of information are
supply chain accessed
b) all relevant information is considered
c) colleagues are consulted on their
views
2 Identify potential improvements to the d) improvements to the supply chain are
supply chain clearly identified
e) organisational objectives can be
achieved more effectively
f) improvements to costs, service levels,
quality, and timescales are identified
3 Explore methods to improve the g) methods are capable of delivering the
supply chain improvements
h) methods are feasible and practicable
4 Assess the costs, benefits, and risks in i) costs and timescales are clearly
introducing improvements to the identified
supply chain j) benefits and risks are fully analysed
k) risks that are identified are realistic
and significant to the organisation
5 Recommend improvements to the l) recommendations contain clear
supply chain indications of the actions that are
required
m) recommendations are feasible

68
Application of knowledge:
K2) Change management theories, models, and practices
K6) Cost and benefit analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K25) Planning methods and procedures
K29) Quality management theories, models, and practices
K33) Supply chain management theories, models, and practices

Assessment Guidance
The assessor should ensure the candidate meets all of the performance requirements in
full (Outcomes and Achievement Criteria). The assessor should examine evidence
from the candidate derived from the work environment in the shape of product
evidence, personal statements or reports primarily, but this may be supplemented by
assignments or case studies. Witness statements can be used but this should only be
used where a recognised and competent person can verify the candidates competence
in the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test the
knowledge of the candidate in the subjects of this Unit thoroughly in all of the
application of knowledge aspects of the standards. The assessor achieves this by
integrated questions, product evidence, and observation, oral or written questions.

The main characteristic of this Unit is improvement. There is a series of stages and
the candidate needs to show competence in all of the stages through to a final
recommendation report which summarises and collates all of the previous stages.

The first stage is the subject of Outcome one. This is to review current performance,
vendor performances, lead times and customer engagement.

Reviewing these can be evidenced by statistical data showing performance, regular


monitoring measures eg, budgets, savings etc; also dialogue with users and
colleagues. The result should be an understanding of how improvements are possible.

Outcome two is to crystallise this into forming clear areas where improvements can be
made. Therefore the candidate should show evidence of how they selected their area
of improvement and support this with evidence eg, outline proposals. However there
is an opportunity for integration with Outcome three at this point. Therefore a
composite report consolidating both the identification (Outcome 2) and the evaluation
(Outcome 3), thereby including the practicality and feasibility of the ideas for
improvements whilst also incorporating the deliverable, eg, what the benefits might
be and for whom.

Outcome four is the justification stage where the candidate has produced robust
outline costs, risk assessment, identifying any potential problems and their solutions,
plan of action and timescales, clear benefits and rationale to support the improvement
to managers.

69
Finally Outcome five is the recommendation and could be evidenced by the
candidates report of the whole process with a balanced recommendation to
appropriate management. However at all stages the candidate needs supporting
evidence of the process. This could be in a personal report, witness statements, or
product evidence. Observation may also be possible.

70
Unit M4 Introduce improvements to the supply chain
(DX5W 04)

Unit Summary
This Unit is about identifying, planning and executing improvements and the
confirmation of the improvement plan is approved and an implementation plan is
established. The implementation plan should identify the details and the timescales.
Also any relevant costs or estimates related to the improvement plan. The plan is
presented to colleagues involved along with a supporting rationale. The improvement
is then actioned with monitoring of progress and achieving the agreed timescales to
meet the objectives of the organisation. Any problems or difficulties are identified
and amicably resolved with a minimum of disruption. Finally you have to gain
commitment from your colleagues and have discussions about any issues raised
during the implementation.

Standards
Performance requirements
Outcomes Achievement Criteria
1 Confirm the improvements to the a) improvements achieve the
supply chain that need to be introduced requirements of the supply chain
strategy of the organisation
2 Establish an implementation plan to b) plans are feasible
introduce improvements to the supply c) plans contain a sufficient level of detail
chain on timescale and costs
3 Inform colleagues about the d) information is provided to all relevant
improvements to the supply chain colleagues
e) a rationale for the improvements is
provided to colleagues
4 Ensure the improvements to the supply f) improvements are monitored
chain are effective appropriately
g) organisational objectives can be
achieved more effectively
5 Resolve problems relating to the h) problems are clearly identified as soon
introduction of the improvements to as possible
the supply chain i) problems are resolved in a way that
minimises disruption to the supply
chain
j) difficulties in resolving problems are
discussed with colleagues

71
6 Gain the commitment of colleagues to k) colleagues are consulted on
implementing the improvements to the supply their views
chain l) concerns and issues raised by
colleagues are discussed

Application of knowledge:
K2) Change management theories, models, and practices
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K25) Planning methods and procedures
K29) Quality management theories, models, and practices
K33) Supply chain management theories, models, and practices

Assessment Guidance
The assessor should ensure the candidate meets all of the performance requirements in
full (Outcomes and Achievement Criteria). The assessor should examine evidence
from the candidate derived from the work environment in the shape of product
evidence, personal statements or reports primarily, but this may be supplemented by
assignments or case studies. Witness statements can be used but this should only be
used where a recognised and competent person can verify the candidates competence
in the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test the
knowledge of the candidate in the subjects of this Unit thoroughly in all of the
application of knowledge aspects of the standards. The assessor achieves this by
integrated questions, product evidence, and observation, oral or written questions.

The first Outcome is to establish an improvement which will contribute to the


operational effectiveness of the supply chain and match with the objectives of the
organisation. This evidence would include how the candidate established the need for
improvements eg, by seeing a performance target is being missed frequently or
current suppliers are no longer matching with the requirements. In addition this need
has to be correlated to the organisations objectives with supporting evidence on how
this was done

In Outcome two the candidate should create an outline implementation plan. This
plan should have details as follows:-

a) Timescales d) Benefits
b) Costs e) Monitoring Mechanisms
c) Purpose f) Reporting lines

In addition the candidate should provide a supporting rationale. This evidence could
be provided as a personal report and the implementation as product evidence.

72
For Outcome three the candidates outline plan is discussed with colleagues and the
evidence would be the product evidence of this dialogue. In collecting evidence for
Outcome four the candidate must show how they have monitored the implementation
plan. This could be a PERT or GANNT chart or a similar project management
program reporting tool. The candidate should show this monitoring in several stages
as the implementation plan progresses to show how effective it has been.

For Outcome five the candidate needs to show that any problems in the improvement
plan have been dealt with in an effective manner. The evidence could be in the form
of a witness statement associated with problems resolved and product evidence to
support this, in the form of meetings or dialogue with affected parties.

Finally Outcome six requires the candidate to show how well they managed their
colleagues (and others) in the implementation. The product evidence could be in the
form of dialogue or meetings where the implementation was discussed and a
reflective personal report by the candidate on how the implementation was managed
and any learning points they gained.

73
Unit B6 Provide Leadership in your area of responsibility
(DR75 04)

Note for Assessors


This Unit is a Management Unit and as such does not follow the same layout and
context of the previous Units. The principle difference is in the evidence
requirements. In the Management Units the evidence requirements include:

Outcomes of Effective Performance


Behaviours which Underpin Effective Performance
Knowledge and Understanding General knowledge and Understanding
Industry/Sector Specific Knowledge
Context Specific Knowledge and
Understanding

All of these have to be complied with in full to complete this Unit. Therefore
assessors should ensure the candidate is fully aware of these differences. The assessor
should ensure the evidence for these Units will need comprehensive changes to the
assessment plan etc.

However, there are opportunities to integrate Outcomes, behaviours and contextual


knowledge and understanding.

In addition to these differences assessors should examine the assessment strategy for
the management Units as there are issues of currency, consistency, authenticity and
sufficiency which need to be addressed in the evidence of this award.

Unit Summary
This Unit is primarily about providing effective leadership to those around you as a
manager. This entails developing effective plans and setting objectives in your team
then communicating this to the members and resolving any issues that may arise.
Also creating a culture of innovation, creativity and encouragement for the team
members/colleagues and in addition, recognising a need to develop management
styles to adapt to changing environments. In all of these aspects there is a
requirement to communicate, listen and give support and advice as required and also
to give encouragement and empower/develop others. Finally to give meaningful
feedback that leads to performance improvement.

74
Standards

Outcomes of Effective Performance

1 Create a vision of where your area is 7 Give people in your area support and
going and clearly and enthusiastically advice when they need it especially during
communicate it, together with supportive periods of setback and change.
objectives and operational plans, to the
people working within your area.
2 Ensure that people working within your 8 Motivate and support people in your area to
area understand and can see how the achieve their work and development
vision, objectives and operational plans objectives and provide recognition when
link to the vision and objectives of the they are successful.
overall organisation.
3 Steer your area successfully through 9 Empower people in your area to develop
difficulties and challenges, including their own ways of working and take their
conflict within the area. own decisions within agreed boundaries.
4 Create and maintain a culture within your 10 Encourage people to give a lead in their
area which encourages and recognises own areas of expertise and show
creativity and innovation willingness to follow this lead.

5 Develop a range of leadership styles and 11 Win, through your performance, the trust
select and apply them to appropriate and support of people within your area for
situations and people. your leadership and get regular feedback on
your performance.
6 Communicate regularly, making
effective use of a range of different
communication methods, with all the
people working within your area and
show that you listen to what they say.

Behaviours which Underpin Effective Performance

1 You articulate a vision that generates 7 You make time available to support others
excitement, enthusiasm and commitment
2 You create a sense of common purpose 8 You show integrity, fairness and
consistency in decision-making
3 You take personal responsibility for 9 You seek to understand peoples needs and
making things happen motivations
4 You make complex things simple for the 10 You model behaviour that shows respect,
benefit of others. helpfulness and co-operation
5 You encourage and support others to take 11 You encourage and support others to make
decisions autonomously the best use of their abilities
6 You act within the limits of your
authority

75
Knowledge and Understanding

General knowledge and understanding Industry/sector specific knowledge and


understanding
1 The fundamental differences between 1 Leadership styles common in the
management and leadership. industry/sector.
2 How to create a compelling vision for an 2 Legal, regulatory and ethical requirements
area of responsibility. in the industry/sector.

3 How to select and successfully apply Context specific knowledge and understanding
different methods for communicating
with people across an area of
responsibility.
4 A range of different leadership styles and 1 Your own values, motivations and
how to select and apply these to different emotions.
situations and people.
5 How to get and make use of feedback 2 Your own strengths and limitations in the
from people on your leadership leadership role.
performance.
6 Types of difficulties and challenges that 3 The strengths, limitations and potential of
may arise, including conflict within the people that you lead.
area, and ways of identifying and
overcoming them.
7 The benefits of and how to create and 4 Your own role, responsibilities and level of
maintain a culture which encourages and power.
recognises creativity and innovation.
8 The importance of encouraging others to 5 The vision and objectives of the overall
take the lead and ways in which this can organisation.
be achieved.
9 How to empower people effectively. 6 The vision, objectives, culture and
operational plans for your area of
responsibility.
10 How to select and successfully apply 7 Types of support and advice that people are
different methods for encouraging, likely to need and how to respond to these.
motivating and supporting people and
recognising achievement.
8 Leadership styles used across the
organisation.

76
Assessment Guidance
The assessor should ensure the candidate meets all of the performance requirements
in full (Outcomes of Effective Performance, Behaviours which Underpin Effective
Performance and Knowledge and Understanding). The assessor should examine
evidence from the candidate derived from the work environment in the shape of
product evidence, personal statements or reports primarily, but this may be
supplemented by assignments or case studies. Witness statements can be used but this
should only be used where a recognised and competent person can verify the
candidates competence in the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test
their knowledge in the subjects of this Unit thoroughly in all of the application of
knowledge and understanding aspects of the standards. The assessor achieves this by
means of integrated questions, product evidence, and observation, oral or written
questions.

In assessing this Unit the candidate should show competence through the outcomes,
behaviours and contextualised knowledge and understanding. There are opportunities
for integration in these three elements.

The first Outcome deals with the operational plans and supportive objectives and how
these are communicated for the candidates team. Therefore this could be done by
observation or by product evidence and a supporting witness testimony. There is
opportunity for integration with Outcome two as similar evidence could be similarly
acquired.

In Outcome three there is a need to show competence in dealing with challenges and
conflicts. The evidence for this could be derived samples of challenges/conflicts dealt
with by the candidate in the form of a personal report or a case study.

Outcome four requires the candidate to show competence in creating a culture which
fosters environment, innovation and creativity. The evidence could include personal
reports, witness testimony and the use of case study material.

Outcome five shows how the candidate has developed various leadership styles and
can adapt them to suit various solutions. For this Outcome the evidence could be
drawn from experiences of the candidate as personal report, witness testimony and
observation.

In Outcome six, communication is the key element therefore the candidate needs to
show competence in various communication methods and including feedback from
recipients. Observation at several meetings may be possible. Alternatively it might
be product evidence from various sources with appropriate feedback. Witness
testimony could also be used to show feedback. Outcomes 7, 8, 9 and 10 have
opportunities for integration.

Outcome seven requires the candidate to show they have a capacity to provide support
and advice in challenging or changing times. For this Outcome the evidence could be

77
drawn from experiences resulting in a personal report or observations/witness
testimony.

In Outcome eight the candidate needs to show their competence in the


motivation/support of others as they achieve their objectives. The evidence could be
collected by observation or by personal reports to show how they have achieved this.

In Outcome nine the candidate needs to show how they have empowered their team,
leading to the team making some of their decisions autonomously. The evidence
could take the form of witness testimony from team members or a personal report by
the candidate to explain how they achieved this.

Outcome ten asks the candidate to demonstrate their competence in encouraging


expertise in others by leading. The candidate could evidence their skills by
observation, witness testimony or by a personal report of the actions taken.

The final Outcome asks the candidate to show their performance based on the
leadership and provide evidence of regular feedback to reflect their performance.

78
Level 5 Mandatory Units

79
Unit S1 Develop a supply chain strategy for the
organisation (DX57 04)

Unit Summary
This Unit examines supply chain strategy and its development in an organisation. The
candidate identifies the organisations objectives and strategies for achieving them.
The candidate is then required to review the current supply chain strategy and how it
helps to deliver other strategies associated in other organisations. After this review a
more detailed and external view of impacts to the strategy from other elements eg,
supply markets is completed. Once this analysis is completed the candidate examines
the opportunities which may be presented in the analysis for adding
value/improvements. All of the previous analysis is then compiled to form a supply
chain strategy which will more effectively achieve the organisations objectives. In
compiling this strategy the candidate should identify any potential obstacles and seek
to placate this and produce supporting rationale to support their strategy. The final
strategy is then presented to the affected parties and commitment gained from them
before communicating to the rest of the organisation.

Standards
Performance requirements
Outcomes Achievement Criteria
1 Identify the organisations objectives and a) colleagues are consulted on the
its strategies for achieving them organisations objectives and
strategies
2 Review the current supply chain strategy b) relevant evaluations are
and how it helps to deliver other undertaken
organisational strategies c) results of the evaluations are
considered
d) views of all relevant colleagues
and stakeholders are obtained
3 Review all factors that are relevant to the e) market, economic, social, and
development of the supply chain strategy political environments are taken
into account
f) realistic forecasts of conditions
and trends are produced
4 Explore opportunities that will add value g) opportunities are identified and
to the organisation fully investigated
h) benefits and risks are fully
evaluated

80
5 Establish a supply chain strategy that i) improvements to the supply chain are
will make the organisation more clearly identified
effective in achieving its objectives j) supply chain strategy is feasible and
capable of being implemented by the
organisation
k) organisational strategic objectives can
be achieved more effectively
6 Identify obstacles to the development l) obstacles are clearly identified as soon
of the supply chain strategy and as possible
explore methods for overcoming them m) methods for overcoming obstacles are
explored with all relevant people
7 Provide a rationale for the supply n) stakeholders are provided with
chain strategy sufficient information to understand
the reasoning behind the supply chain
strategy
o) supply chain strategy can be promoted
and defended by others
8 Gain the commitment of stakeholders p) stakeholders and colleagues are
and colleagues to implement the consulted on their views
supply chain strategy q) presentations are made to all relevant
stakeholders and colleagues
9 Implement appropriate communication r) communication methods within the
methods to provide the organisation organisation are used effectively
with information on the supply chain s) all relevant people are kept informed
strategy of developments in the supply chain
strategy

Application of knowledge:
K2) Change management theories, models, and practices
K3) Communication methods and procedures
K6) Cost and benefit analysis methods and procedures
K11) Financial analysis methods and procedures
K16) Legal and regulatory requirements
K23) Organisational strategic aims and objectives
K24) Performance measurement and benchmarking theories, models, and practices
K26) Presentation theories, models, and practices
K29) Quality management theories, models, and practices
K30) Risk analysis methods and procedures
K31) Stakeholder management methods and procedures
K33) Supply chain management theories, models, and practices

81
Assessment Guidance

Note for Level 5 candidates and assessors.

Confidentiality and Security


This award does entail evidence which may contain commercial details eg prices.
It is essential that the candidate and their organisation know when any documents are
viewed and by whom and that the assessor, internal verifier and the external verifier
has no commercial interest in the evidence provided.

The assessor should discuss with the candidate any commercially sensitive material
they have which will be assessed externally eg off site. If it is essential evidence then
some sanitising eg company names, prices, might be possible whilst maintaining the
soundness of the evidence.

When in the custody of the assessor it is essential that the candidates material is
accessed only by a limited amount of people (IV & EV) and secured at all times. It
will be the responsibility of the centre to control access and safe custody of all
assessment materials in their care until they are returned to the candidate. It might be
prudent to have a written statement to protect both parties from possible conflicts in
the future. Also the employer should give authority to access the assessment material
to the assessor etc.

This Unit is about reviewing and developing an effective strategy for the candidates
organisation therefore the candidate should seek approval from the organisation to
gain access to appropriate information which may be confidential in nature.

The assessor should ensure the candidate meets all of the performance requirements in
full (Outcomes and Achievement Criteria). The assessor should examine evidence
from the candidate derived from the work environment in the shape of product
evidence, personal statements or reports primarily, but this may be supplemented by
assignments or case studies. Witness statements can be used but this should only be
used where a recognised and competent person can verify the candidates competence
in the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test the
knowledge of the candidate in the subjects of this Unit thoroughly in all of the
application of knowledge aspects of the standards. The assessor achieves this by
integrated questions, product evidence, and observation, oral or written questions.

The Unit requires the candidate to review an existing supply chain strategy and re-
engineer it to make it more effective. This requires an in-depth analysis of the current
supply chain operation and the external mechanisms which impact upon it and then to
look at potential opportunities which may exist and formalise this into a new supply
chain strategy

Therefore the candidate needs to show a clear understanding of supply chain strategy
in their organisation before attempting this Unit. The assessor should ensure the
candidate is amply prepared for this Unit.

82
eg The assessor should establish the following:

Does the candidate have sufficient work experience to achieve this


qualification?
Does their role allow access to this level of information in their
organisation?
Have they completed a qualification at Level 3 or similar?
Does the candidate have a record of achievement at this level or similar?

Similarly there is a need for an assessor with experience at this level eg experience of
strategy and management at this level ideally with qualifications at this level or
higher.

In order to support the candidate and facilitate the award, a centre should consider
their resources they have available eg a base of supporting material to enable the
candidate to gain the knowledge at this level.

The first Outcome involves the candidate identifying the organisational objectives and
strategies. The candidate may source this information within the resources of the
organisation and consult with those involved with these in the organisation. Therefore
the candidate could provide product evidence and a supported statement to explain the
objectives and strategies. Also a personal report to show discussion with colleagues
or alternatively minutes of a meeting which discussed this would be product evidence.

In the second Outcome the subject is to review the current strategy and how it
interacts with the rest of the other strategies in other parts of the organisation. The
evidence should include an explanation of the evaluations undertaken and the results.
This could be a personal statement or production of a report. Also discussions with
the candidates colleagues and this could be achieved again in the form of minutes of
a meeting, communications or a personal statement summarising the discussions.

Outcome three is to examine the external factors which might affect the strategy. The
candidate needs to show evidence that they have researched the external markets
including potential trends and forecasts. Therefore the evidence could be drawn from
various sources and methods and collated into a report or similar form as product
evidence.

In Outcome four the candidate needs to show they are capable of seeking out
opportunities and investigating these whilst also refining these to evaluate the possible
benefits and risks. The evidence would be a written report or personal statement by
the candidate to show how they have demonstrated these skills.

Outcome five requires the candidate to create a supply chain strategy to effectively
meet their organisations objectives. This report should be based on the preceding
analysis in outcomes one to four. It should include what improvements are sought,
how feasible and practical they may be and a clear indicator of how this will achieve
the organisational objectives. The scope of this report should be fairly wide reaching
as it affects the organisation both internally and externally, eg, Supply Markets.

83
Outcomes six and seven can be integrated with Outcome five as they deal with
potential obstacles and their solutions.

Outcome seven is the rationale which supports the supply chain strategy and this
should explain the reasons for the supply chain strategy and for promoting the strategy
to colleagues/other affected parties.

Therefore Outcomes five, six and seven have potential integration but could be done
individually. The evidence would be in a written report and supporting
documentation as product evidence.

Outcome eight suggests the candidate should present this to relevant stakeholders or
colleagues to gain their commitment to implement and to also seek feedback. The
evidence might include the presentation material, eg, OHPs, supporting documents all
as product evidence and supported by a witness statement or personal statement to
substantiate the evidence.

Outcome nine is about communicating the final strategy to the relevant people
involved in the supply chain in the organisation. This could be achieved by team
briefs, direct communication, eg, email, posting or an intranet or company site. The
candidate should provide evidence that the strategy has reached its target population
and show it has been effective by giving feedback. Also the candidate should provide
a personal statement to show how they chose the channels of communication used and
how they judged their effectiveness.

84
Unit S2 Establish strategic relationships within the supply
chain (DX5A 04)

Unit Summary
This Unit examines the relationship which makes the supply chain function. This
starts with an analysis of the current range of strategic relations which currently occur
in the supply chain and how effective these are. Then seeking out new opportunities
where these strategic relationships could be identified and investigated. If these are
shown to be well founded look at the broader aspects of the impact elsewhere in the
supply chain, leading to an analysis of the potential benefits and an assessment of the
risks presented. The impact of the new strategic relationships has to be assessed by
the stakeholders views and that of colleagues or affected parties. The result should
be the establishment of new strategic relationships for the organisation which should
contribute to the organisational strategic goals and improved performance.

Finally the development of strategic relationships should involve the stakeholders and
colleagues maintaining these. In the event of a problem with these strategic
relationships the matter should be effectively identified and resolved by efficient
communications which will maintain these relationships.

Standards
Performance requirements
Outcomes Achievement Criteria
a) results of all relevant evaluations
1 Review the effectiveness of current are considered
strategic relationships within the supply
chain b) views of all relevant colleagues
and stakeholders are obtained

2 Identify opportunities for establishing c) networks are utilised to provide


new strategic relationships within the opportunities
supply chain d) opportunities are identified and
fully investigated
e) market, economic, social, and
3 Explore the benefits and risks of political environments are taken
establishing new strategic relationships into account
within the supply chain f) benefits and risks are fully
evaluated
g) views of stakeholders are taken
4 Assess the impact of new relationships on fully into account
existing strategic relationships within the
supply chain h) colleagues are consulted on their
views

85
5 Establish strategic relationships i) improvements to the supply chain are
that improve the performance of clearly identified
the supply chain j) organisational strategic objectives can be
achieved more effectively
6 Ensure existing strategic k) stakeholders and colleagues are
relationships are developed and encouraged to develop and maintain
maintained supply chain relationships
l) problems affecting existing supply chain
relationships are clearly identified and
resolved
m) communication methods within the
organisation are used effectively

Application of knowledge:
K3) Communication methods and procedures
K6) Cost and benefit analysis methods and procedures
K8) Evaluation methods and procedures
K13) Industry-specific networks and sources of information
K20) Networking methods and procedures
K22) Organisational objectives and activities
K23) Organisational strategic aims and objectives
K24) Performance measurement and benchmarking theories, models, and practices
K30) Risk analysis methods and procedures
K31) Stakeholder management methods and procedures
K33) Supply chain management theories, models, and practices

Assessment Guidance

Note for Level 5 candidates and assessors.

Confidentiality and Security


This award does entail evidence which may contain commercial details eg prices.
It is essential that the candidate and their organisation know when any documents are
viewed and by whom and also that the assessor, internal verifier and the external
verifier has no commercial interest in the evidence provided.

The assessor should discuss with the candidate any commercially sensitive material
they have which will be assessed externally eg off site. If it is essential evidence then
some sanitising eg company names, prices, might be possible whilst maintaining the
soundness of the evidence.

When in the custody of the assessor it is essential that the candidates material is
accessed only by a limited amount of people (IV & EV) and secured at all times. It
will be the responsibility of the centre to control access and safe custody of all
assessment materials in their care until they are returned to the candidate.

86
It might be prudent to have a written statement to protect both parties from possible
conflicts in the future. Also the employer should give authority to access the
assessment material to the assessor etc.

This Unit is about reviewing and developing an effective strategy for the candidates
organisation therefore the candidate should seek approval from the organisation to
gain access to appropriate information which may be confidential in nature.

The assessor should ensure the candidate meets all of the performance requirements in
full (Outcomes and Achievement Criteria). The assessor should examine evidence
from the candidate derived from the work environment in the shape of product
evidence, personal statements or reports primarily, but may be supplemented by
assignments or case studies. Witness statements can be used but this should only be
used where a recognised and competent person can verify the candidates competence
in the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test the
knowledge of the candidate in the subjects of this Unit thoroughly in all of the
application of knowledge aspects of the standards. The assessor achieves this by
integrated questions, product evidence, and observation, oral or written questions.

In this Unit there is an emphasis on the developing and maintaining of strategic


relationships in the supply chain. The candidate is required to know how strategic
relationships are formed and maintained.

In Outcome one the candidate needs to show a competence in evaluating the current
strategic relationships in the organisation. The evidence of this can be obtained by
several means, personal statement, and product evidence eg, minutes of meetings,
witness statement.

In Outcome two the candidate is expected to show a full understanding of the


available networks inside and outside their organisation. In addition this outcome
needs the candidate to show practical application of creative, innovative and
entrepreneurial approach to seeking out opportunities for their organisation. Once
these opportunities are identified and investigated an outline of each is established.
The product of this outcome is the utilisation of the existing networks and the
evidence could be personal statements of encounters, formalised meetings eg, minutes
of the meeting is product evidence and witness statements from attendees. The
opportunities created in forming new strategic relationships by the candidate is
product evidence in the form of a series of opportunity outlines including the
investigations undertaken, methods used and rationale to support each opportunity.

Outcome three builds on the previous Outcome by examining the wider aspects of the
opportunities presented by considering analysis of the commercial environment
supply markets, socio-economic elements, political issues, sustainability and
corporate social responsibility etc. The product of this analysis, along with the
products of the outcome should be a more comprehensive strategic relationship report
for each of the opportunities including the potential benefits and an assessment of any
risks along with a strategy to control the risks. Therefore the product of this outcome
is the analysis and subsequent reporting; this will be hard copies of supporting

87
evidence, reporting the analysis and business report and will all be product evidence
with a possible use of a personal statement to suggest the methods used in the
analysis.

Outcome four is the buy-in process of gaining support from stakeholders and
colleagues to assess the impact of the presented opportunities. Therefore presenting
information and feedback from the other parties is a clear evidence requirement.
Product evidence of the presentation, supported by witness statements or personal
statements related to the feedback of the others affected could be used.

In Outcome five the candidate needs to show the results of their previous outcomes by
measuring the improvements emanating from the new strategic relationships formed.
The evidence would be product evidence of the before and after situation along
with the monitoring methods used and a personal statement from the candidate to
show how the results relate to the strategic objectives of the organisation.

Outcome six presents the candidate with a view of how the organisation should
develop and how to maintain them for their current strategic relationships. The
preceding five outcomes are principally about creating better strategic relationships,
the final part is to create a climate of improving strategic relationships by developing
and maintaining current relationships in the supply chain. The main aspects of the
Outcome are the interaction with the principals in the relationship and that
communications are effective and any arising problems are effectively dealt with.
There is an opportunity to integrate the elements of this Outcome into two facets;
resolving problems and developing/maintaining relationships, both of which will
entail communication at various levels. The evidence might include the following
interactions eg, meetings, formal events eg, meet the buyer, networking, industry
interfaces etc. These could produce product evidence of involvement along with
personal statements indicating the value of such interactions.

Evidence of problems and their resolution could be examples of how the candidate
dealt with strategic relationship issues in a positive and effective way. These could be
provided by personal statements, witness statements and product evidence in the form
of meetings which resulted in resolving the issues.

88
Unit S3 Improve the performance of the supply chain
(DX5T 04)

Unit Summary
This Unit explores the performance of the supply chain; how it measures and
evaluates before seeking to improve the performance. These improvements in
performance are derived from a review of the current performance and identifying
potential areas of performance enhancement. These can then be developed further
and assessed against the organisational strategic goals. If the improvements in
performance are agreed then resources and planning follows with an implementation
of the desired improvements. During this stage there might be potential problems to
be resolved. The successful improvements are presented to stakeholders and
colleagues to gain their approval. All performance improvements should be
compliant with legal and regulatory requirements and meet with the organisations
requirements.

Standards
Performance requirements
Outcomes Achievement Criteria
1 Review the current performance of a) results of all relevant evaluations are
the supply chain considered
b) views of all relevant colleagues and
stakeholders are obtained
2 Identify improvements to the c) market, economic, social, and political
performance of the supply chain environments are taken into account
d) benefits and risks are fully evaluated
e) improvements to costs, service levels,
quality, and timescales are identified
3 Decide methods to improve the f) decisions are in line with the supply chain
performance of the supply chain strategy of the organisation
g) key decisions are made at the appropriate
time
4 Introduce improvements to the h) introduction of improvements is carefully
performance of the supply chain planned
i) organisational strategic objectives can be
achieved more effectively
j) systems, resources, and people are used
effectively

89
5 Review the results of introducing k) improvements to the supply chain are
improvements to the supply chain clearly identified
l) improvements to the overall
effectiveness of the organisation are
clearly identified
6 Identify and resolve any problems m) problems are clearly identified as soon
relating to the introduction of as possible
improvements n) problems are resolved in a way that
improves the effectiveness of the
organisation
7 Gain the commitment of stakeholders o) stakeholders and colleagues are
and colleagues for implementing consulted on their views
improvements p) presentations are made to all relevant
stakeholders and colleagues
8 Ensure the improvements to the supply q) legal and regulatory requirements are
chain comply with all relevant complied with
requirements r) organisational requirements are
complied with

Application of knowledge:
K2) Change management theories, models, and practices
K6) Cost and benefit analysis methods and procedures
K22) Organisational objectives and activities
K23) Organisational strategic aims and objectives
K25) Planning methods and procedures
K29) Quality management theories, models, and practices
K31) Stakeholder management methods and procedures
K33) Supply chain management theories, models, and practices

90
Assessment Guidance

Note for Level 5 candidates and assessors.

Confidentiality and Security


This award does entail evidence which may contain commercial details eg prices.
It is essential that the candidate and their organisation know when any documents are
viewed and by whom. Also that the assessor, internal verifier and the external verifier
has no commercial interest in the evidence provided.

The assessor should discuss with the candidate any commercially sensitive material
they have which will be assessed externally eg off site. If it is essential evidence then
some sanitising eg company names, prices, might be possible whilst maintaining the
soundness of the evidence.

When in the custody of the assessor it is essential that the candidates material is
accessed only by a limited amount of people (IV & EV) and secured at all times. It
will be the responsibility of the centre to control access and safe custody of all
assessment materials in their care until they are returned to the candidate.

It might be prudent to have a written statement to protect both parties from possible
conflicts in the future. Also the employer should give authority to access the
assessment material to the assessor etc.

The assessor should ensure the candidate meets all of the performance requirements in
full (Outcomes and Achievement Criteria). The assessor should examine evidence
from the candidate derived from the work environment in the shape of product
evidence, personal statements or reports primarily, but may be supplemented by
assignments or case studies. Witness statements can be used but this should only be
used where a recognised and competent person can verify the candidates competence
in the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test the
knowledge of the candidate in the subjects of this Unit thoroughly in all of the
application of knowledge aspects of the standards. The assessor achieves this by
integrated questions, product evidence, and observation, oral or written questions.

Note:
The Outcomes in this Unit might need some re-ordering to form a natural order.
This assessment guidance therefore shows this sequence of events in order to make it
easy for candidates and assessors: - Outcomes 1, 2, 3, 6, 7, 8, 4, 5.

Outcome one is a review of the current performance of the supply chain therefore the
candidate should review the supply chain performance including relevant matrices
used in their operation. This will include dialogue with colleagues and stakeholders
to establish their views of the current situation. This evidence would include product
evidence and a potential for a personal report on the views of others.

91
In Outcome two the candidate can investigate potential areas of improvement from a
wide range of sources including markets, political, social and economic environments
which have to be supported by the assessment of potential risks and potential benefits
in improvements in cost control, service levels, quality and timescales. Ideally this
should be done as personal reports supported with appropriate product evidence to
support the suggested improvements.

Outcome three could be integrated into the previous Outcome to complete the report
or alternatively added as it relates to the decisions for improvements suggested in
Outcome two. The evidence can be in the form of personal reports to show how the
improvement relates to the supply chain strategy and the timing of these decisions.

See note on the order of completion

Outcome six could be attempted next which asks the candidate to identify potential
problem areas relating to their suggested improvements and to offer effective
solutions. This evidence can be seen as product evidence of how they have dealt with
problem areas and then found solutions.

Outcome seven involves the candidate consulting with stakeholders and colleagues by
presenting their improvement suggestions to them to gauge their approval and
concerns. Therefore this evidence would include the presentation, product evidence
and witness statements or personal reports to support the presentation. Also the
candidate should show evidence that there was positive feedback from the
stakeholders/colleagues; again by witness statements or product evidence by the way
of documentary evidence of consensus.

Outcome eight should entail the candidates awareness of the statutory framework
relating to supply chain operations and their own organisational requirements. The
evidence of this is likely to be in the form of product evidence eg a report of the legal
and statutory requirements which might be related to the suggested performance
changes which also affect the organisational requirements. There is a possibility to
integrate this with the final report from outcome three.

Returning to the remaining Units Outcome four requires the candidate to demonstrate
the implementation of the performance improvements. This should involve the
structural planning of activities, monitoring of the progress made and the managing of
the resources, systems and people to implement. The evidence could be in the form of
witness statements, personal reports and product evidence eg, plans, structures,
deployment of resources.

The final Outcome is the review of the results by the candidate to establish the
improvements in performance made and the affect this has had in the organisations
supply chain effectiveness. Therefore the candidate should provide factual evidence
to demonstrate the improvement eg contrasting data, lower lead times.
In addition the candidate should show how these improvements have a wider reaching
consequence for the organisations effectiveness. The evidence could be in a formal
report (product evidence) or personal statement showing how the candidate was
integral in this improvement. This could be supplemented by witness statements from
involved managers or peers.

92
Unit MSC B7 Provide Leadership for your organisation
(DR70 04)

Note for Assessors

This Unit is a Management Unit and as such it does not follow the same layout and
context of the previous Units. The principle difference is in the evidence
requirements.

In the Management Units the evidence requirements include:

Outcomes of Effective Performance


Behaviours which Underpin Effective Performance
Knowledge and Understanding General knowledge and Understanding
Industry/Sector Specific Knowledge
Context Specific Knowledge and Understanding

All of these have to be complied with in full to complete this Unit. Therefore
assessors should ensure the candidate is fully aware of these differences. The assessor
should ensure the evidencing of these Units will need comprehensive changes to the
assessment plan etc. However, there are opportunities to integrate outcomes,
behaviours and contextual knowledge and understanding.

In addition to these differences assessors should examine the assessment strategy for
the management units as there are issues of currency, consistency, authenticity and
sufficiency which need to be addressed in the evidence of this award.

Unit Summary
This unit is to establish leadership for your organisation starting with the strategic
vision, purpose and values of the organisation. Then the plans are supported and any
difficulties are resolved. It should also develop a culture of innovation and creativity,
showing an ability to adapt different leadership styles to match differing situations. In
addition to motivate others across the organisation and reward when successful and
support or advise when there are challenges whilst motivating others to foster their
own ideas and empower when appropriate to lead and develop others. Also to
encourage others to develop expertise and lead them to greater knowledge through
your own performance and regular feedback, promote trust and support across the
organisation. Finally, the monitoring of activities and progress through the
organisation.

93
Standards
Outcomes of Effective Performance
1 Develop and clearly and enthusiastically 7 Give people across the organisation
communicate and reinforce the support and advice when they need it
organisations purpose, values and vision especially during periods of setback
to people across the organisation and, and change.
where appropriate, to external
stakeholders
2 Ensure that organisational plans support 8 Motivate people across the
the organisations purpose, values and organisation to present their own
vision. ideas and listen to what they say.
3 Steer the organisation successfully 9 Empower people across the
through difficulties and challenges, organisation to develop their own
including conflict within the organisation. ways of working within agreed
boundaries.
4 Create and maintain a culture within the 10 Encourage people across the
organisation which encourages and organisation to take the lead when
rewards creativity and innovation. they have the knowledge and
expertise and show willingness to
follow this lead.
5 Develop, select and apply leadership 11 Win, through your performance, the
styles which are appropriate to the trust and support of people across the
different people and situations you face. organisation and key stakeholders for
your leadership of the organisation
and get regular feedback on your
performance.
6 Motivate people across the organisation to 12 Monitor activities and progress in
achieve their objectives and reward them different areas of the organisation
when they are successful. without interfering

Behaviours which Underpin Effective Performance


1 You articulate a vision that generates 7 You make time available to support
excitement, enthusiasm and commitment. others.
2 You create a sense of common purpose 8 You show integrity, fairness and
consistency in decision-making.
3 You take personal responsibility for 9 You seek to understand peoples
making things happen. needs and motivations.
4 You present information clearly, 10 You model behaviour that shows
concisely, accurately and in ways that respect, helpfulness and co-operation.
promote understanding.
5 You encourage and support others to take 11 You make complex things simple for
decisions autonomously. the benefit of others.
6 You act within the limits of your
authority.

94
Knowledge and Understanding
General knowledge and understanding Industry/sector specific knowledge and
understanding
1 The differences between management and 1 Leadership styles common in the
leadership. industry/sector and their strengths and
limitations.
2 How to develop a compelling vision for 2 Legal, regulatory and ethical
an organisation. requirements in the industry/sector.
3 The importance of and what is meant by Context specific knowledge
organisational values. and understanding

4 Ways of ensuring that organisational 1 Your own values, motivations and


plans support the organisations purpose, emotions, and the effect these have on
values and vision. your own actions and on other people
5 How to select and successfully apply 2 Your own strengths and limitations in
different methods and techniques for the leadership role.
communicating with people across an
organisation.
6 Types of challenges and difficulties that 3 The strengths, limitations and
may arise, including conflict within the potential of people that you lead.
organisation, and ways of identifying and
overcoming them.
7 Different theories, models and styles of 4 Your own role, responsibilities and
leadership and how to select and level of power.
successfully apply these to different
people and situations.
8 The effect that different leadership styles 5 The purpose and values of and vision
can have on organisations. for your organisation.
9 How to select and successfully apply 6 The leadership culture and capability
different methods and techniques for of your organisation.
motivating, rewarding, influencing and
persuading people.
10 How to empower people effectively. 7 The plans of your organisation.
11 How to get and make use of feedback on 8 The types of support and advice that
your leadership performance. people are likely to need and how to
respond to these.
12 The organisational benefits of and how to 9 External stakeholders whom you may
create a culture which encourages and need to communicate and work with.
recognises creativity and innovation.
13 How to recognise and develop the
leadership capability of other people and
follow their lead.

95
Assessment Guidance

The assessor should ensure the candidate meets all of the performance requirements in
full (Outcomes of Effective Performance, Behaviours which Underpin Effective
Performance and Knowledge and Understanding). The assessor should examine
evidence from the candidate derived from the work environment in the shape of
product evidence, personal statements or reports primarily, but may be supplemented
by assignments or case studies. Witness statements can be used but this should only
be used where a recognised and competent person can verify the candidates
competence in the workplace.

In addition the assessor should assess the knowledge gain of the candidate and test the
knowledge of the candidate in the subjects of this unit thoroughly in all of the
application of knowledge and understanding aspects of the standards. The assessor
achieves this by integrated questions, product evidence, and observation, oral or
written questions.
There are several integration opportunities available to assessors in these Outcomes.

The first Outcome shows competence in communicating the organisations purpose,


values and vision to others across the organisation. The evidence can be drawn from
product evidence eg, strategies and by personal reports or witness testimony of how
this was communicated to others (internal and external stakeholders).

In Outcome two the candidate shows how the operational plans relate to the purpose,
values and vision of the organisation. This is associated with the previous outcome in
a cascading communication chain. The evidence can be product evidence eg, the
operational plans and how these relate to the strategy from outcome one. Further
evidence can be supported by a personal report from the candidate showing how they
relate to these views eg, strategic and operational.

In Outcome three the candidate needs to show how they have successfully dealt with
the difficulties/challenges and possible conflicts in changes in supply chain
operations. For this evidence the candidate should show how they dealt with
challenges and conflict by personal reports or product evidence.

The requirement for Outcome four is to show how the candidate has created a culture
which encourages/rewards innovation and creativity. This could be derived from the
experiences of the candidate, evidence being a personal report or alternatively could
be the use of a case study/assignment.

In Outcome five the candidate should show they have several management styles and
can adapt to differing situations. The evidence could be witness testimony, personal
reports or observation whichever is appropriate for the candidates environment.

There is an opportunity for some integration over Outcomes 6, 7, 8, 9 and 10.


However the assessor should ensure the candidate has generated sufficient evidence to
meet the requirement for two occasions and currency guidance given as stated in the
management assessment strategy.

96
Outcome six deals with the candidates ability to motivate and reward an
achievement. The evidence should provide opportunities when the candidate has
motivated others in the form of a personal report relating to those occasions and/or
witness testimony of those experiencing motivation; both should include how
achievement was accomplished and how rewards were given.

In Outcome seven the candidate needs to show evidence of how they have given
advice and support to others across their organisation especially through turbulent
periods. For this evidence the candidate should use product evidence sampling the
advice/support given accompanied by a personal report of how they gave this
support/advice and situations related to this. Again witness testimony could also be
used for some of this evidence.

Outcome eight requires the candidate to show how they motivated others to present
ideas and listened to their views. The evidence from this could be derived from
personal reports, product evidence eg, minutes of meetings held by the candidate or
witness testimony of several attendees.

In Outcome nine the candidate should show how they have empowered others in their
team. Again this can be evidenced by product evidence in the form of guidance from
the candidate which enabled empowerment. Alternatively this can be provided by a
personal report explaining how the candidate enabled others to become more
empowered in their roles.

Outcome ten is similar to outcome nine as it enables the candidate to demonstrate how
they encourage others to develop expertise and knowledge. Therefore this evidence
can be derived from occasions where the candidate has encouraged others across the
organisation eg, presentations, communications product evidence, supported by a
personal report of how and why they needed to give this encouragement.

Outcome eleven requires the candidate to exhibit an understanding of how


performance can show leadership in others to promote trust and support. Also to
demonstrate how valuable regular feedback is used to reinforce these concepts. The
evidence for this outcome can be drawn from personal experiences of the candidate
eg, personal reports, also product evidence to show regular feedback mechanisms eg,
review, results, performance data.

Outcome twelve relates to monitoring activities which the candidate would undertake
to establish the activities and progress in different parts of the organisation. The
evidence for this Outcome can be derived from formalised meetings with other
functions eg, meetings product evidence. Also informal meetings with other
managers at gatherings/meetings, again product evidence can be used. Alternatively
this can also be drawn from interactions with other departments which support the
supply chain; again this could be product evidence. All of the product evidence
should be supported by the candidates personal report to explain the monitoring
undertaken.

97
7 Blank recording forms

98
Unit progress record
Qualification and level: Supply Chain Management

Candidate:

To achieve the whole qualification, you must prove competence in ___ mandatory Units and
___ optional Units.

Unit Checklist
Mandatory
Optional

Mandatory Units achieved


Unit Number Title Assessors Date
Signature

Optional Units achieved

99
Index of evidence
SVQ title and level: Supply Chain Management

Evidence Description of evidence Included Sampled


number in portfolio by the IV
(Yes/No) (initials
If no, state and date)
location

100
Achievement record
Unit:

Performance Requirement, Achievement Criteria, Application of Knowledge

Evidence Description of Evidence Performance Requirements Achievement Criteria Application of Knowledge


Index No
1 2 3 4 a b c d e f g h

101
Unit:

Performance Requirement, Achievement Criteria, Application of Knowledge

Notes/Comments

The candidate has satisfied the Assessor and Internal Verifier that the performance evidence has been met.

Candidate: Date:

Assessor: Date:

Internal Verifier: Date:

102
Personal statement
Date Evidence Details of statement Links to other evidence Unit,
index (enter numbers) Performance
number Requirements,
Achievement
Criteria covered

Signed by candidate:

Date:

103
Observation record
Unit/Performance Requirements & Achievement Criteria(s):

Candidate: Date of observation:

Evidence index number:

Skills/activities observed: Performance Requirements covered:

Knowledge and understanding apparent from this observation:

Other Units Requirement to which this evidence may contribute:

Assessors comments and feedback to candidate:

I can confirm the candidates performance was satisfactory.

Assessors signature: Date:

Candidates signature: Date:

104
Witness testimony
SVQ title and level:
Candidates name:
Evidence index no:
Index no of other evidence which
this testimony relates to (if any):
Element(s):
Date of evidence & location:
Name of witness:
Designation/relationship to
candidate:
Details of testimony:

I can confirm the candidates evidence is authentic and accurate.


Signed by witness: Date:

Witness (please tick the appropriate box):

Holds D32/D33 Award or equivalent

Is familiar with the SVQ standards to which the candidate is working

105
Record of questions and candidates answers
Unit: Element(s):
Evidence index number:
Circumstances of assessment:

List of questions and candidates responses:

Assessors signature: Date:

Candidates signature: Date

106
8 Supply Chain Management:
The Units (Standards)

Includes Units imported from the Management Standards


Centre

107
Guidance Note
Levels of Units
The units of competence have been designed for use at three main levels of
competence.

Strategic Level: Units coded with an S, eg Unit S1 Develop a supply chain


strategy for the organisation. These Units are designed for supply chain
practitioners who are senior managers or senior specialists, providing strategic
leadership roles within the supply chain. It is recommended that these strategic
Units are used only in NVQ or SVQ Level 5 qualifications.

Management Level: Units coded with an M, eg Unit M1 Develop operational


relationships within the supply chain. These Units are designed for supply chain
practitioners who are managers or specialists, providing management roles within
the supply chain. It is recommended that these management level Units are used
only in NVQ or SVQ Level 4 qualifications.

Technical Level: Units coded with a T, eg Unit T1 Maintain operational


relationships within the supply chain. These Units are designed for supply chain
practitioners who provide mainly technical or support roles within the supply
chain. It is recommended that these technical level Units are used only in NVQ or
SVQ level 3 and 2 qualifications.

Definitions of key words used in the standards

Colleagues any people who are directly employed or


under contract by the same organisation.
Contracts (noun) usually comprise of formal legally binding
agreements, but can be informal agreements:
both can be enforced through civil law.
Organisation any type of private or public body, eg a
private limited company or a local
government body, regardless of size.
Because of the complexity of ownership and
control systems, each person will have to
decide what their organisation is.
Resources the facilities, equipment, materials, and
finances that are required to sustain the
supply chain.
Stakeholders all organisations or individuals who have a
vested interest in the organisation.
Supplies any combination of goods or services that
are procured, delivered, or stored in the
supply chain.

108
Supply chain management covers the application of procurement,
purchasing and supply, logistics, transport,
and operations management, within and
between international boundaries

Assessment Strategy
If the supply chain management Units are incorporated into SVQs the Assessment
Strategy which accompanies these standards must be implemented.

Key Skills and Core Skills


The key skills and core skills that are relevant to the supply chain management
Units have been identified, and this information is available in a separate
document.

109
Index

S1 Develop a Supply Chain Strategy for the organisation (DX57 04)


S2 Establish strategic relationships within the supply chain (DX5A 04)
S3 Improve the performance of the supply chain (DX5T 04)
S4 Commission projects to develop the supply chain (DX51 04)
S5 Plan the flow of supplies through the supply chain (DX6R 04)
S6 Plan the procurement of supplies (DX6T 04)
S7 Plan the storage of supplies in the supply chain (DX6V 04)
S8 Plan the distribution of supplies (DX6N 04)
S9 Plan the transportation of supplies (DX6W 04)
S10 Plan the export and import of supplies (DX6P 04)
M1 Develop operational relationships within the supply chain (DX59 04)
M2 Evaluate information on the supply chain (DX5H 04)
M3 Propose improvements to the supply chain (DX6Y 04)
M4 Introduce improvements to the supply chain (DX5W 04)
M5 Plan projects to develop the supply chain (DX6M 04)
M6 Manage projects to develop the supply chain (DX60 04)
M7 Negotiate for supplies (DX6E 04)
M8 Contract with other organisations (DX54 04)
M9 Review the outcomes of contracts (DX70 04)
M10 Evaluate information on the procurement of supplies in the supply chain (DX5F 04)
M11 Select suppliers for the supply chain (DX79 04)
M12 Produce specifications for suppliers (DX6X 04)
M13 Evaluate the capability of suppliers to meet supply specifications (DX5K 04)
M14 Schedule and approve the placing of orders (DX71 04)
M15 Evaluate the performance of suppliers (DX5M 04)
M16 Schedule the flow of supplies in the supply chain (DX72 04)
M17 Specify the requirements for the storage of supplies (DX7D 04)
M18 Select locations and facilities for storing supplies (DX75 04)
M19 Evaluate information on the storage of supplies (DX5E 04)
M20 Specify the requirements for the distribution of supplies (DX7C 04)
M21 Select distribution methods for supplies (DX74 04)
M22 Schedule the distribution of supplies (DX7W 04)
M23 Select methods to receive returned supplies (DX78 04)
M24 Select transportation methods for supplies (DX7A 04)
M25 Schedule the transportation of supplies (DX73 04)
M26 Select methods for exporting supplies (DX76 04)
M27 Select methods for importing supplies (DX77 04)
T1 Maintain operational relationships within the supply chain (DX5Y 04)
T2 Analyse information on the supply chain (DX4X 04)
T3 Apply improvements to the supply chain (DX50 04)
T4 Monitor the achievement of project tasks (DX63 04)
T5 Control supplies at storage locations and facilities (DX56 04)
T6 Complete export procedures and requirements (DX52 04)
T7 Complete import procedures and requirements (DX53 04)
T8 Administer contracts (DX4V 04)
T9 Analyse information on the procurement of supplies in the supply chain (DX4W 04)
T10 Verify the capability to meet supply specifications (DX7E 04)
T11 Analyse the performance of suppliers (DX4Y 04)
T12 Identify potential suppliers for the supply chain (DX5P 04)
T13 Place orders with suppliers (DX6L 04)
T14 Monitor and progress the delivery of orders (DX61 04)
T15 Monitor the flow of supplies in the supply chain (DX67 04)
T16 Obtain information on storage locations and facilities (DX6G 04)
T17 Obtain information on distribution requirements (DX6F 04)
T18 Monitor the distribution of supplies (DX65 04)
T19 Monitor the flow of returned supplies (DX69 04)
T20 Monitor the transportation of supplies (DX6D 04)
T21 Contribute to operational relationships within the supply chain (DX55 04)
T22 Obtain information on the supply chain (DX6K 04)
MSC B6 Provide leadership in your area of responsibility (DR75 04)
MSC B7 Provide leadership for your organisation (DR70 04)
MSC D3 Recruit, select and keep colleagues (DR7K 04)
MSC D4 Plan the workforce (DR6M 04)
MSC E2 Manage finance in your area of responsibility (DR5T 04)
MSC F9 Build your organisations understanding of its market and customers (DR41 04)

110
Unit S1 Develop a supply chain strategy for the
organisation (DX57 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1. Identify the organisations a) colleagues are consulted on the
objectives and its strategies for organisations objectives and
achieving them strategies
2 Review the current supply chain b) relevant evaluations are undertaken
strategy and how it helps to deliver c) results of the evaluations are
other organisational strategies considered
d) views of all relevant colleagues and
stakeholders are obtained
3 Review all factors that are relevant e) market, economic, social, and
to the development of the supply political environments are taken
chain strategy into account
f) realistic forecasts of conditions and
trends are produced
4 Explore opportunities that will add g) opportunities are identified and
value to the organisation fully investigated
h) benefits and risks are full evaluated
5 Establish a supply chain strategy i) improvements to the supply chain
that will make the organisation are clearly identified
more effective in achieving its j) supply chain strategy is feasible and
objectives capable of being implemented by
the organisation
k) organisational strategic objectives
can be achieved more effectively
6 Identify obstacles to the l) obstacles are clearly identified as
development of the supply chain soon as possible
strategy and explore methods for m) methods for overcoming obstacles
overcoming them are explored with all relevant
people
7 Provide a rationale for the supply n) stakeholders are provided with
chain strategy sufficient information to understand
the reasoning behind the supply
chain strategy
o) supply chain strategy can be
promoted and defended by others

111
8 Gain the commitment of p) stakeholders and colleagues are
stakeholders and colleagues to consulted on their views
implement the supply chain strategy q) presentations are made to all
relevant stakeholders and
colleagues
9 Implement appropriate r) communication methods within the
communication methods to provide organisation are used effectively
the organisation with information s) all relevant people are kept
on the supply chain strategy informed of developments in the
supply chain strategy

Application of knowledge:
K2) Change management theories, models, and practices
K3) Communication methods and procedures
K6) Cost and benefit analysis methods and procedures
K11) Financial analysis methods and procedures
K16) Legal and regulatory requirements
K23) Organisational strategic aims and objectives
K24) Performance measurement and benchmarking theories, models, and
practices
K26) Presentation theories, models, and practices
K29) Quality management theories, models, and practices
K30) Risk analysis methods and procedures
K31) Stakeholder management methods and procedures
K33) Supply chain management theories, models, and practices

112
Unit S2 Establish strategic relationships within the
supply chain (DX5A 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Review the effectiveness of current a) results of all relevant evaluations
strategic relationships within the are considered
supply chain b) views of all relevant colleagues and
stakeholders are obtained
2 Identify opportunities for c) networks are utilised to provide
establishing new strategic opportunities
relationships within the supply d) opportunities are identified and
chain fully investigated
3 Explore the benefits and risks of e) market, economic, social, and
establishing new strategic political environments are taken
relationships within the supply into account
chain f) benefits and risks are fully
evaluated
4 Assess the impact of new g) views of stakeholders are taken
relationships on existing strategic fully into account
relationships within the supply h) colleagues are consulted on their
chain views
5 Establish strategic relationships that i) improvements to the supply chain
improve the performance of the are clearly identified
supply chain j) organisational strategic objectives
can be achieved more effectively
6 Ensure existing strategic k) stakeholders and colleagues are
relationships are developed and encouraged to develop and maintain
maintained supply chain relationships
l) problems affecting existing supply
chain relationships are clearly
identified and resolved
m) communication methods within the
organisation are used effectively

113
Application of knowledge:
K3) Communication methods and procedures
K6) Cost and benefit analysis methods and procedures
K8) Evaluation methods and procedures
K13) Industry-specific networks and sources of information
K20) Networking methods and procedures
K22) Organisational objectives and activities
K23) Organisational strategic aims and objectives
K24) Performance measurement and benchmarking theories, models, and
practices
K30) Risk analysis methods and procedures
K31) Stakeholder management methods and procedures
K33) Supply chain management theories, models, and practices

114
Unit S3 Improve the performance of the supply chain
(DX5T 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Review the current performance of a) results of all relevant evaluations
the supply chain are considered
b) views of all relevant colleagues and
stakeholders are obtained
2 Identify improvements to the c) market, economic, social, and
performance of the supply chain political environments are taken
into account
d) benefits and risks are fully
evaluated
e) improvements to costs, service
levels, quality, and timescales are
identified
3 Decide methods to improve the f) decisions are in line with the supply
performance of the supply chain chain strategy of the organisation
g) key decisions are made at the
appropriate time
4 Introduce improvements to the h) introduction of improvements is
performance of the supply chain carefully planned
i) organisational strategic objectives
can be achieved more effectively
j) systems, resources, and people are
used effectively
5 Review the results of introducing k) improvements to the supply chain
improvements to the supply chain are clearly identified
l) improvements to the overall
effectiveness of the organisation are
clearly identified
6 Identify and resolve any problems m) problems are clearly identified as
relating to the introduction of soon as possible
improvements n) problems are resolved in a way that
improves the effectiveness of the
organisation

115
7 Gain the commitment of o) stakeholders and colleagues are
stakeholders and colleagues for consulted on their views
implementing improvements p) presentations are made to all
relevant stakeholders and
colleagues
8 Ensure the improvements to the q) legal and regulatory requirements
supply chain comply with all are complied with
relevant requirements r) organisational requirements are
complied with

Application of knowledge:
K2) Change management theories, models, and practices
K6) Cost and benefit analysis methods and procedures
K22) Organisational objectives and activities
K23) Organisational strategic aims and objectives
K25) Planning methods and procedures
K29) Quality management theories, models, and practices
K31) Stakeholder management methods and procedures
K33) Supply chain management theories, models, and practices

116
Unit S4 Commission projects to develop the supply
chain (DX51 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Identify potential projects to deliver a) organisational strategic objectives
changes and improvements to the can be achieved more effectively
supply chain b) improvements to the supply chain
are clearly identified
2 Decide the aims and objectives of c) aims and objectives are feasible
the project d) benefits and risks are fully
evaluated
3 Determine the way the project e) options for undertaking the work
should be managed are identified and assessed
4 Establish the costs of undertaking f) costs are calculated using
the project appropriate financial analysis
methods
5 Assign a project manager g) project manager is committed to the
projects aims and objectives
h) project manager is capable of
planning and managing the project
6 Support colleagues to achieve i) information is provided to all
project aims and objectives relevant colleagues
j) support is provided whenever
required
7 Monitor the achievement of project k) systems are implemented for
aims and objectives monitoring progress
l) activities and outcomes are
monitored regularly
8 Identify and resolve any major
m) major obstacles are clearly
obstacles in achieving the aims and
identified as soon as possible
objectives of the project
9 Present reports on the results and n) presentations are clear and
outcomes of the project persuasive
o) presentations are made to all
relevant stakeholders and
colleagues
p) confidentiality of information is
maintained

117
Application of knowledge:
K1) Analysis methods and procedures
K11) Financial analysis methods and procedures
K22) Organisational objectives and activities
K23) Organisational strategic aims and objectives
K25) Planning methods and procedures
K30) Risk analysis methods and procedures
K33) Supply chain management theories, models, and practices

118
Unit S5 Plan the flow of supplies through the supply
chain (DX6R 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Identify the current demand for a) results of all relevant evaluations
supplies in the supply chain are considered
b) views of all relevant colleagues and
stakeholders are obtained
2 Review how current supplies flow c) procurement, storage,
through the supply chain transportation, and distribution
systems are identified
3 Identify and resolve any problems d) problems are clearly identified as
with the flow of supplies through soon as possible
the supply chain e) problems are resolved in a way that
improves the effectiveness of the
organisation
4 Review the benefits and risks to the f) market, economic, social, and
flow of supplies through the supply political environments are taken
chain into account
g) benefits and risks are fully
evaluated
5 Decide methods to improve the h) decisions are in line with the supply
flow of supplies through the supply chain strategy of the organisation
chain i) key decisions are made at the
appropriate time
6 Plan the flow of supplies in the j) plans are capable of meeting the
supply chain requirements of the supply chain
strategy
k) plans are feasible
l) resources are used efficiently
7 Gain the commitment of m) stakeholders and colleagues are
stakeholders and colleagues for consulted on their views
implementing the plan n) presentations are made to all
relevant stakeholders and
colleagues

119
Application of knowledge:
K11) Financial analysis methods and procedures
K21) Operations management theories, models, and practices
K22) Organisational objectives and activities
K23) Organisational strategic aims and objectives
K24) Performance measurement and benchmarking theories, models, and
practices
K25) Planning methods and procedures
K26) Presentation theories, models, and practices
K31) Stakeholder management methods and procedures
K33) Supply chain management theories, models, and practices

120
Unit S6 Plan the procurement of supplies (DX6T 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Identify the current demand for a) results of all relevant evaluations
supplies in the supply chain are considered
b) views of all relevant colleagues and
stakeholders are obtained
2 Review how current supplies are c) procurement systems are identified
procured in the supply chain d) procurement is considered
alongside storage, transportation,
and distribution systems
3 Identify and resolve any problems e) problems are clearly identified as
with the procurement of supplies in soon as possible
the supply chain f) problems are resolved in a way that
improves the effectiveness of the
organisation
4 Review the benefits and risks to the g) market, economic, social, and
procurement of supplies through the political environments are taken
supply chain into account
h) risks and effects of market trends
and conditions are clearly specified
5 Decide methods to improve the i) decisions are in line with the supply
procurement of supplies in the chain strategy of the organisation
supply chain j) key decisions are made at the
appropriate time
6 Plan the procurement of supplies in k) plans are capable of meeting the
the supply chain requirements of the supply chain
strategy
l) plans are feasible
m) resources are used efficiently
7 Gain the commitment of n) stakeholders and colleagues are
stakeholders and colleagues for consulted on their views
implementing the plan o) presentations are made to all
relevant stakeholders and
colleagues

121
Application of knowledge:
K11) Financial analysis methods and procedures
K13) Industry-specific networks and sources of information
K16) Legal and regulatory requirements
K22) Organisational objectives and activities
K23) Organisational strategic aims and objectives
K24) Performance measurement and benchmarking theories, models, and
practices
K25) Planning methods and procedures
K26) Presentation theories, models, and practices
K27) Procurement theories, models, and practices
K31) Stakeholder management methods and procedures
K33) Supply chain management theories, models, and practices

122
Unit S7 Plan the storage of supplies in the supply chain
(DX6V 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Identify the current storage a) results of all relevant evaluations
requirements of supplies in the are considered
supply chain b) views of all relevant colleagues and
stakeholders are obtained
2 Review how current supplies are c) storage systems are identified
stored in the supply chain d) storage is considered alongside
procurement, transportation, and
distribution systems
3 Identify and resolve any problems e) problems are clearly identified as
with the storage of supplies in the soon as possible
supply chain f) problems are resolved in a way that
improves the effectiveness of the
organisation
4 Review the benefits and risks to the g) market, economic, social, and
storage of supplies through the political environments are taken
supply chain into account
h) risks and effects of market trends
and conditions are clearly specified
5 Decide methods to improve the i) decisions are in line with the supply
storage of supplies in the supply chain strategy of the organisation
chain j) key decisions are made at the
appropriate time
6 Plan the storage of supplies in the k) plans are capable of meeting the
supply chain requirements of the supply chain
l) plans are feasible
m) resources are used efficiently
7 Gain the commitment of n) stakeholders and colleagues are
stakeholders and colleagues for consulted on their views
implementing the plan o) presentations are made to all
relevant stakeholders and
colleagues

123
Application of knowledge:
K11) Financial analysis methods and procedures
K16) Legal and regulatory requirements
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K23) Organisational strategic aims and objectives
K24) Performance measurement and benchmarking theories, models, and
practices
K25) Planning methods and procedures
K26) Presentation theories, models, and practices
K31) Stakeholder management methods and procedures
K33) Supply chain management theories, models, and practices

124
Unit S8 Plan the distribution of supplies (DX6N 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Identify the current distribution a) results of all relevant evaluations
requirements of supplies in the are considered
supply chain b) views of all relevant colleagues and
stakeholders are obtained
2 Review how current supplies are c) distribution systems are identified
distributed in the supply chain d) distribution is considered alongside
procurement, storage, and
transportation systems
3 Identify and resolve any problems e) problems are clearly identified as
with the distribution of supplies in soon as possible
the supply chain f) problems are resolved in a way that
improves the effectiveness of the
organisation
4 Review the benefits and risks to the g) market, economic, social, and
distribution of supplies through the political environments are taken
supply chain into account
h) risks and effects of market trends
and conditions are clearly specified
5 Decide methods to improve the i) decisions are in line with the supply
distribution of supplies in the chain strategy of the organisation
supply chain j) key decisions are made at the
appropriate time
6 Plan the distribution of supplies in k) plans are capable of meeting the
the supply chain requirements of the supply chain
l) plans are feasible
m) resources are used efficiently
7 Gain the commitment of n) stakeholders and colleagues are
stakeholders and colleagues for consulted on their views
implementing the plan o) presentations are made to all
relevant stakeholders and
colleagues

125
Application of knowledge:
K11) Financial analysis methods and procedures
K16) Legal and regulatory requirements
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K23) Organisational strategic aims and objectives
K24) Performance measurement and benchmarking theories, models, and
practices
K25) Planning methods and procedures
K26) Presentation theories, models, and practices
K31) Stakeholder management methods and procedures
K33) Supply chain management theories, models, and practices

126
Unit S9 Plan the transportation of supplies (DX6W 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Identify the current transportation a) results of all relevant evaluations
requirements of supplies in the are considered
supply chain b) views of all relevant colleagues and
stakeholders are obtained
2 Review how current supplies are c) transportation systems are identified
transported in the supply chain d) transportation is considered
alongside procurement, storage, and
distribution systems
3 Identify and resolve any problems e) problems are clearly identified as
with the transportation of supplies soon as possible
in the supply chain f) problems are resolved in a way that
improves the effectiveness of the
organisation
4 Review the benefits and risks to the g) market, economic, social, and
transportation of supplies through political environments are taken
the supply chain into account
h) risks and effects of market trends
and conditions are clearly specified
5 Decide methods to improve the i) decisions are in line with the supply
transportation of supplies in the chain strategy of the organisation
supply chain j) key decisions are made at the
appropriate time
6 Plan the transportation of supplies k) plans are capable of meeting the
in the supply chain requirements of the supply chain
l) plans are feasible
m) resources are used efficiently
7 Gain the commitment of n) stakeholders and colleagues are
stakeholders and colleagues for consulted on their views
implementing the plan o) presentations are made to all
relevant stakeholders and
colleagues

127
Application of knowledge:
K11) Financial analysis methods and procedures
K16) Legal and regulatory requirements
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K23) Organisational strategic aims and objectives
K24) Performance measurement and benchmarking theories, models, and
practices
K25) Planning methods and procedures
K26) Presentation theories, models, and practices
K31) Stakeholder management methods and procedures
K33) Supply chain management theories, models, and practices
K34) Transportation methods and procedures

128
Unit S10 Plan the export and import of supplies (DX6P 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Identify the current export and a) results of all relevant evaluations
import requirements of supplies in are considered
the supply chain b) views of all relevant colleagues and
stakeholders are obtained
2 Review how current supplies are c) export and import systems are
exported or imported in the supply identified
chain d) export and import is considered
alongside procurement, storage,
distribution, and transportation
systems
3 Identify and resolve any problems e) problems are clearly identified as
with the export or import of soon as possible
supplies in the supply chain f) problems are resolved in a way that
improves the effectiveness of the
organisation
4 Review the benefits and risks to the g) market, economic, social, and
export or import of supplies through political environments are taken
the supply chain into account
h) risks and effects of market trends
and conditions are clearly specified
5 Decide methods to improve the i) decisions are in line with the supply
export or import of supplies in the chain strategy of the organisation
supply chain j) key decisions are made at the
appropriate time
6 Plan the export or import of k) plans are capable of meeting the
supplies in the supply chain requirements of the supply chain
l) plans are feasible
m) resources are used efficiently
7 Gain the commitment of n) stakeholders and colleagues are
stakeholders and colleagues for consulted on their views
implementing the plan o) presentations are made to all
relevant stakeholders and
colleagues

129
Application of knowledge:
K9) Export and import methods and procedures
K11) Financial analysis methods and procedures
K15) International trade issues
K16) Legal and regulatory requirements
K22) Organisational objectives and activities
K23) Organisational strategic aims and objectives
K24) Performance measurement and benchmarking theories, models, and
practices
K25) Planning methods and procedures
K31) Stakeholder management methods and procedures
K33) Supply chain management theories, models, and practices

130
Unit M1 Develop operational relationships within the
supply chain (DX59 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Evaluate current operational a) suitable sources of information are
relationships within the supply accessed
chain b) all relevant information is
considered
c) appropriate evaluation processes are
used
d) colleagues are consulted on their
views
2 Maintain and improve current e) communications are maintained and
operational relationships within the improved
supply chain f) supply chain processes are
conducted in ways that are mutually
beneficial to all stakeholders
3 Explore the benefits and risks of g) factors affecting the supply chain
developing operational relationships are clearly identified
within the supply chain h) benefits and risks are fully analysed
4 Develop operational relationships i) improvements to the supply chain
that improve the performance of the are clearly identified
supply chain j) organisational objectives can be
achieved more effectively
5 Resolve problems with operational k) problems are clearly identified as
relationships soon as possible
l) problems are resolved in a way that
minimises disruption to the supply
chain
6 Ensure operational relationships are m) supply chain relationships are
maintained monitored regularly
n) communication methods are used
effectively

131
Application of knowledge:
K1) Analysis methods and procedures
K6) Cost and benefit analysis methods and procedures
K7) Database management and monitoring methods and procedures
K8) Evaluation methods and procedures
K13) Industry-specific networks and sources of information
K14) Information sources on supply chain processes
K18) Market research methods and procedures
K22) Organisational objectives and activities
K33) Supply chain management theories, models, and practices

132
Unit M2 Evaluate information on the supply chain
(DX5H 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the supply a) suitable sources of information are
chain accessed
b) colleagues are consulted on their
views
2 Identify the critical factors that c) benefits and risks are fully analysed
affect the supply chain d) resource implications are clearly
identified
3 Evaluate information on the supply e) all relevant information is
chain considered
f) appropriate evaluation processes are
used
4 Identify any problems that require g) problems are clearly identified as
immediate action soon as possible
h) problems are resolved in a way that
minimises disruption to the supply
chain
5 Ensure the results of the evaluation i) results of the evaluation are relevant
are provided in a way that helps to to the organisation and the supply
improve the performance of the chain
supply chain
6 Provide the results of the evaluation j) results are effectively presented at
to colleagues the appropriate time and place
k) results are discussed with all
relevant colleagues

133
Application of knowledge:
K2) Change management theories, models, and practices
K11) Financial analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and
practices
K26) Presentation theories, models, and practices
K29) Quality management theories, models, and practices
K33) Supply chain management theories, models, and practices

134
Unit M3 Propose improvements to the supply chain
(DX6Y 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Review the current performance of a) suitable sources of information are
the supply chain accessed
b) all relevant information is
considered
c) colleagues are consulted on their
views
2 Identify potential improvements to d) improvements to the supply chain
the supply chain are clearly identified
e) organisational objectives can be
achieved more effectively
f) improvements to costs, service
levels, quality, and timescales are
identified
3 Explore methods to improve the g) methods are capable of delivering
supply chain the improvements
h) methods are feasible and practicable
4 Assess the costs, benefits, and risks i) costs and timescales are clearly
in introducing improvements to the identified
supply chain j) benefits and risks are fully analysed
k) risks that are identified are realistic
and significant to the organisation
5 Recommend improvements to the l) recommendations contain clear
supply chain indications of the actions that are
required
m) recommendations are feasible

Application of knowledge:
K2) Change management theories, models, and practices
K6) Cost and benefit analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K25) Planning methods and procedures
K29) Quality management theories, models, and practices
K33) Supply chain management theories, models, and practices

135
Unit M4 Introduce improvements to the supply chain
(DX5W 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm the improvements to the a) improvements achieve the
supply chain that need to be requirements of the supply chain
introduced strategy of the organisation
2 Establish an implementation plan to b) plans are feasible
introduce improvements to the c) plans contain a sufficient level of
supply chain detail on timescale and costs
3 Inform colleagues about the d) information is provided to all
improvements to the supply chain relevant colleagues
e) a rationale for the improvements is
provided to colleagues
4 Ensure the improvements to the f) improvements are monitored
supply chain are effective appropriately
g) organisational objectives can be
achieved more effectively
5 Resolve problems relating to the h) problems are clearly identified as
introduction of the improvements to soon as possible
the supply chain i) problems are resolved in a way that
minimises disruption to the supply
chain
j) difficulties in resolving problems
are discussed with colleagues
6 Gain the commitment of colleagues k) colleagues are consulted on their
to implementing the improvements views
to the supply chain l) concerns and issues raised by
colleagues are discussed

Application of knowledge:
K2) Change management theories, models, and practices
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K25) Planning methods and procedures
K29) Quality management theories, models, and practices
K33) Supply chain management theories, models, and practices

136
Unit M5 Plan projects to develop the supply chain
(DX6M 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the a) all relevant information is
requirements of the project considered
b) suitable sources of information are
accessed
2 Specify the aims and objectives of c) aims and objectives are clearly
the project specified
d) aims and objectives are feasible
3 Identify the project tasks and e) tasks and milestones are clearly
milestones specified
4 Identify the scheduling and duration f) timescales and durations take
of tasks, and the overall timescale account of lead and lag times
for the project g) scheduling takes account of all key
factors during the course of the
project
5 Determine the suitability of h) specific resources required to
resources available to undertake the achieve the project objectives are
project clearly identified
i) alternative resources are identified
if necessary
6 Calculate the costs of undertaking j) costs are calculated using
the project appropriate financial analysis
methods
7 Assess all relevant factors and risks k) risks are assessed for their impact
that could affect the success of the on the organisation
project l) risks that are identified are realistic
and significant to the organisation
8 Identify and resolve any problems m) problems are clearly identified as
in planning the project soon as possible
n) difficulties in resolving problems
are discussed with colleagues
9 Inform all relevant colleagues of the o) colleagues are consulted on their
project plans views
p) concerns and issues raised by
colleagues are discussed

137
Application of knowledge:
K2) Change management theories, models, and practices
K11) Financial analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K25) Planning methods and procedures
K28) Project management and administration methods and procedures
K30) Risk analysis methods and procedures
K33) Supply chain management theories, models, and practices

138
Unit M6 Manage projects to develop the supply chain
(DX60 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the a) all relevant information is
requirements of the project considered
b) suitable sources of information are
accessed
2 Clarify the aims, objectives, and c) aims and objectives are clear and
plans of the project achievable
d) plans are feasible
e) plans contain a sufficient level of
detail on timescale and costs
3 Allocate project tasks to self and f) colleagues capable of undertaking
colleagues tasks are identified
g) availability of colleagues is
confirmed
4 Support colleagues to achieve h) information is provided to all
project tasks and milestones relevant colleagues
i) support is provided whenever
required
5 Monitor the achievement of j) systems are implemented for
objectives monitoring progress
k) activities and outcomes are
monitored regularly
6 Control the costs and timescales of l) systems are implemented to monitor
the project costs and timescales
7 Provide information on the progress m) information is provided to all
of the project relevant colleagues
8 Identify and resolve any problems n) problems are clearly identified as
in implementing the project plan soon as possible
o) difficulties in resolving problems
are discussed with colleagues
9 Present reports on the results and p) reports are presented using
outcomes of the project appropriate media
q) reports are distributed to the
relevant people
r) confidentiality of information is
maintained

139
Application of knowledge:
K2) Change management theories, models, and practices
K11) Financial analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K25) Planning methods and procedures
K28) Project management and administration methods and procedures
K30) Risk analysis methods and procedures
K33) Supply chain management theories, models, and practices

140
Unit M7 Negotiate for supplies (DX6E 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain the information required to a) suitable sources of information are
complete negotiations accessed
b) all relevant information is
considered
c) colleagues are consulted on their
views
2 Explore what is required by all d) requirements of all parties to the
parties to the negotiation negotiation are identified and
understood
3 Establish the parameters for e) limits of authority are clearly
negotiating the terms and conditions specified
for the supplies f) the authorisation of appropriate
colleagues is obtained
4 Conduct negotiations to achieve the g) negotiations are conducted
objectives of the organisation according to the agreed negotiation
strategy
h) negotiations maintain goodwill
wherever possible
5 Adapt negotiation strategies to cope i) new circumstances or issues are
with new circumstances or issues discussed with all relevant people
j) negotiation strategies are
sufficiently flexible to deal with
new situations
6 Ensure the supplies meet the supply k) improvements to the supply chain
chain requirements of the are clearly identified
organisation l) organisational objectives can be
achieved more effectively
7 Provide information on the results m) information is provided to all
of the negotiation relevant colleagues
8 Ensure the results of the negotiation n) legal and regulatory requirements
comply with all relevant are complied with
requirements o) organisational requirements are
complied with

141
Application of knowledge:
K5) Contract law and drafting methods and procedures
K11) Financial analysis methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K19) Negotiation strategies, methods, and procedures
K22) Organisational objectives and activities
K27) Procurement theories, models, and practices
K32) Supplier evaluation methods and procedures
K33) Supply chain management theories, models, and practices

142
Unit M8 Contract with other organisations (DX54 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Specify the details needed to be a) terms and conditions are clearly
included in the contract identified
b) costs and timescales are clearly
identified
2 Exchange information on the c) suitable sources of information are
contracts accessed
d) information is provided to all
relevant colleagues
e) confidentiality of information is
maintained
3 Ensure the contract contains the f) contracts are complete with all
correct details relevant details of terms and
conditions
g) all pages and parts are contained in
the contract
4 Ensure the contract meets the needs h) the interests of the organisation are
of the organisation protected
i) organisational objectives can be
achieved more effectively
j) improvements to the supply chain
are clearly identified
5 Resolve any problems relating to k) problems are clearly identified as
the completion of contracts soon as possible
l) problems are resolved in a way that
minimises disruption to the supply
chain
6 Obtain authorisations and signatures m) limits of authority are clearly
to complete contracts specified
n) the authorisation of appropriate
colleagues is obtained
7 Provide information on the content o) information is provided to all
of contracts relevant colleagues
8 Ensure the contract complies with p) legal and regulatory requirements
all relevant requirements are complied with
q) organisational requirements are
complied with

143
Application of knowledge:
K5) Contract law and drafting methods and procedures
K11) Financial analysis methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K19) Negotiation strategies, methods, and procedures
K22) Organisational objectives and activities
K27) Procurement theories, models, and practices
K32) Supplier evaluation methods and procedures
K33) Supply chain management theories, models, and practices

144
Unit M9 Review the outcomes of contracts (DX70 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the outcomes a) suitable sources of information are
of contracts accessed
b) colleagues are consulted on their
views
2 Evaluate information on the c) all relevant information is
outcomes of contracts considered
d) appropriate evaluation processes are
used
3 Decide what to do to improve the e) improvements to the supply chain
outcomes of contracts are clearly identified
f) organisational objectives can be
achieved more effectively
g) the interests of the organisation are
protected
4 Identify any problems that require h) problems are clearly identified as
immediate action soon as possible
i) problems are resolved in a way that
minimises disruption to the supply
chain
5 Provide results of the review to the j) results are discussed with all
appropriate colleagues relevant colleagues
k) results are effectively presented at
the appropriate time and place
6 Recommend improvements to l) recommendations contain clear
contracting processes indications of the actions that are
required
m) recommendations are feasible

Application of knowledge:
K5) Contract law and drafting methods and procedures
K11) Financial analysis methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K22) Organisational objectives and activities
K27) Procurement theories, models, and practices
K33) Supply chain management theories, models, and practices

145
Unit M10 Evaluate information on the procurement of
supplies in the supply chain (DX5F 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the a) suitable sources of information are
procurement of supplies in the accessed
supply chain b) colleagues are consulted on their
views
2 Identify the critical factors that c) benefits and risks are fully analysed
affect the procurement of supplies d) resource implications are clearly
in the supply chain identified
3 Identify the demand for supplies in e) quantity and rate of supplies
the supply chain demanded is clearly identified
f) specifications and quality of
supplies demanded is clearly
identified
4 Evaluate information on the g) all relevant information is
procurement of supplies in the considered
supply chain h) appropriate evaluation processes are
used
5 Ensure the results of the evaluation i) results of the evaluation are relevant
are provided in a way that helps to to the organisation and the supply
improve the performance of the chain
supply chain
6 Provide the results of the evaluation j) results are effectively presented at
to colleagues the appropriate time and place
k) results are discussed with all
relevant colleagues
l) colleagues are consulted on their
views

Application of knowledge:
K8) Evaluation methods and procedures
K11) Financial analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K27) Procurement theories, models, and practices
K29) Quality management theories, models, and practices
K33) Supply chain management theories, models, and practices

146
Unit M11 Select suppliers for the supply chain (DX79 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Forecast the demand for supplies by a) forecasts take account of all
the supply chain relevant factors
b) demand for supplies is clearly
identified
2 Obtain information on sources of c) suitable sources of information are
supply accessed
d) all relevant information is
considered
3 Establish criteria for selecting e) type of criteria for selecting
suppliers suppliers is determined
f) overall requirements of the supply
chain are taken into account
4 Ensure supply specifications are g) specifications for supplies are
provided to suppliers detailed and complete
h) specifications are drawn up using
the appropriate formats and media
i) specifications are delivered to
suppliers using the appropriate
methods
5 Select the suppliers that are capable j) suppliers are capable of providing
of meeting the specifications the required supplies and effectively
working in the supply chain
k) suppliers are measured against the
evaluation criteria
6 Assess all relevant factors and risks l) benefits and risks are fully analysed
that could affect the procurement of m )resource implications are clearly
supplies identified
7 Identify and resolve any problems n) problems are clearly identified as
with the selection of suppliers soon as possible
o) problems are resolved in a way that
improves the effectiveness of the
organisation
p) difficulties in resolving problems
are discussed with colleagues
8 Provide information on the q) information is provided to all
selection of suppliers to colleagues relevant colleagues
r) colleagues are consulted on their
views

147
Application of knowledge:
K22) Organisational objectives and activities
K23) Organisational strategic aims and objectives
K26) Presentation theories, models, and practices
K29) Quality management theories, models, and practices
K27) Procurement theories, models, and practices
K32) Supplier evaluation methods and procedures
K33) Supply chain management theories, models, and practices

148
Unit M12 Produce specifications for suppliers (DX6X 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the supplies a) suitable sources of information are
that are required accessed
b) all relevant information is
considered
2 Produce information on the supplies c) specifications and quality of
that are required supplies required is clearly
identified
d) quantity and rate of supplies
required is clearly identified
e) delivery schedules and other
requirements are clearly specified
3 Confirm the specifications with f) information is provided to all
colleagues relevant colleagues
g) colleagues are consulted on their
views
4 Present the specifications clearly h) specifications are drawn up using
the appropriate formats and media
i) specifications contain all relevant
details
5 Comply with procedures for j) specifications are drawn up
producing specifications according to organisational
guidelines
k) specifications are made available to
suppliers according to legal
requirements
l) confidentiality and security of
specifications is maintained
6 Deliver specifications to suppliers m) specifications are delivered using
the appropriate methods
n) confirmation of receipt of
specifications is sought when
necessary

149
Application of knowledge:
K8) Evaluation methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K27) Procurement theories, models, and practices
K32) Supplier evaluation methods and procedures
K33) Supply chain management theories, models, and practices

150
Unit M13 Evaluate the capability of suppliers to meet
supply specifications (DX5K 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm the type of supplies that a) specifications and quality of
are required supplies required is clearly
identified
b) quantity and rate of supplies
required is clearly identified
c) delivery schedules and other
requirements are clearly specified
2 Obtain information from suppliers d) suitable sources of information are
on their capability to provide accessed
supplies e) all relevant information on costs,
timescales, and quality is
considered
3 Evaluate information on the f) appropriate evaluation processes are
capability of suppliers used
g) evaluation criteria are established
4 Identify the suppliers that are h) costs, timescales, and quality are
capable of meeting the evaluated
specifications i) suppliers are capable of providing
the required supplies
j) suppliers are measured against the
evaluation criteria
5 Assess all relevant factors and risks k) factors affecting the supply chain
of using suppliers are clearly identified
l) risks are assessed for their impact
on the supply chain
6 Provide the results of the evaluation m) information is provided to all
to colleagues relevant colleagues
n) colleagues are consulted on their
views
7 Comply with procedures for o) legal and regulatory requirements
evaluating the capability of are complied with
suppliers p) organisational requirements are
complied with

151
Application of knowledge:
K8) Evaluation methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K27) Procurement theories, models, and practices
K32) Supplier evaluation methods and procedures
K33) Supply chain management theories, models, and practices

152
Unit M14 Schedule and approve the placing of orders
(DX71 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Specify information on the supplies a) specifications and quality of
that need to be ordered supplies required is clearly
identified
b) quantity and rate of supplies
required is clearly identified
c) delivery schedules and other
requirements are clearly specified
2 Confirm the specifications with d) information is provided to all
colleagues relevant colleagues
e) colleagues are consulted on their
views
3 Schedule orders to meet the f) timing of orders is appropriate to
requirements of the supply chain the needs of the supply chain
g) orders are placed within sufficient
time for them to be fulfilled by
suppliers
4 Ensure orders are placed with h) orders are drawn up according to
suppliers organisational guidelines
i) orders are delivered using the
appropriate methods
5 Identify and resolve problems with j) problems are clearly identified as
orders soon as possible
k) problems are resolved in a way that
minimises disruption to the supply
chain
6 Ensure the placing of orders l) legal and regulatory requirements
complies with all relevant are complied with
requirements m) organisational requirements are
complied with

153
Application of knowledge:
K8) Evaluation methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K27) Procurement theories, models, and practices
K32) Supplier evaluation methods and procedures
K33) Supply chain management theories, models, and practices

154
Unit M15 Evaluate the performance of suppliers
(DX5M 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm the supplies that have been a) specifications and quality of
ordered supplies required is clearly
identified
b) quantity and rate of supplies
required is clearly identified
c) delivery schedules and other
requirements are clearly specified
2 Obtain information on the supplies d) suitable sources of information are
provided by suppliers accessed
e) all relevant information on costs,
timescales, and quality is
considered
3 Evaluate information on the f) appropriate evaluation processes are
performance of suppliers used
g) evaluation criteria are established
4 Identify the suppliers that have h) suppliers are capable of providing
achieved the specifications the required supplies
i) suppliers are measured against the
evaluation criteria
j) costs, timescales, and quality are
evaluated
5 Assess the risk to the supply chain k) factors affecting the supply chain
of continuing to use suppliers are clearly identified
l) risks are assessed for their impact
on the supply chain
6 Provide the results of the evaluation m) information is provided to all
to colleagues relevant colleagues
n) colleagues are consulted on their
views
7 Comply with procedures for o) legal and regulatory requirements
evaluating the performance of are complied with
suppliers p) organisational requirements are
complied with

155
Application of knowledge:
K8) Evaluation methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K27) Procurement theories, models, and practices
K32) Supplier evaluation methods and procedures
K33) Supply chain management theories, models, and practices

156
Unit M16 Schedule the flow of supplies in the supply
chain (DX72 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the supplies a) specifications and quality of
that need to be moved supplies are clearly identified
b) quantity and delivery schedules of
supplies are clearly identified
2 Confirm the availability of c) specific resources required to
resources to ensure the flow of ensure the flow of supplies are
supplies clearly identified
d) alternative resources are identified
if necessary
3 Schedule the flow of supplies to e) use of resources is sequenced in the
meet the requirements of the supply correct order to maintain the flow of
chain supplies
f) timescales and durations take
account of lead and lag times
4 Assess all relevant factors and risks g) factors affecting the supply chain
that could affect the scheduling of are clearly identified
supplies h) risks are assessed for their impact
on the supply chain
5 Identify and resolve any problems i) problems are clearly identified as
with the scheduling of supplies soon as possible
j) problems are resolved in a way that
improves the effectiveness of the
organisation
k) difficulties in resolving problems
are discussed with colleagues
6 Inform all relevant colleagues of the l) colleagues are consulted on their
schedules views
m) concerns and issues raised by
colleagues are discussed
7 Ensure the scheduling complies n) legal and regulatory requirements
with all relevant requirements are complied with
o) organisational requirements are
complied with

157
Application of knowledge:
K8) Evaluation methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K17) Logistics theories, models, and practices
K21) Operations management theories, models, and practices
K22) Organisational objectives and activities
K25) Planning methods and procedures
K33) Supply chain management theories, models, and practices

158
Unit M17 Specify the requirements for the storage of
supplies (DX7D 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the supplies a) specifications and quality of
being stored supplies are clearly identified
b) quantity and delivery schedules of
supplies are clearly identified
2 Confirm the availability of c) specific resources required to
resources to ensure the storage of ensure the storage of supplies are
supplies clearly identified
d) alternative resources are identified
if necessary
3 Provide specifications for storage e) size and location of storage
locations and facilities locations and facilities is clearly
specified
f) site position and access for storage
locations and facilities is clearly
specified
g) cost and condition of storage
locations and facilities is clearly
specified
4 Assess all relevant factors and risks h) factors affecting the supply chain
that could affect the storage of are clearly identified
supplies i) risks are assessed for their impact
on the supply chain
5 Inform all relevant colleagues of the j) colleagues are consulted on their
storage specifications views
k) concerns and issues raised by
colleagues are discussed
6 Ensure the storage specifications l) legal and regulatory requirements
comply with all relevant are complied with
requirements m) organisational requirements are
complied with

159
Application of knowledge:
K8) Evaluation methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K33) Supply chain management theories, models, and practices

160
Unit M18 Select locations and facilities for storing
supplies (DX75 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes by ensuring that you:
1 Confirm the type of storage a) size and location of storage
locations and facilities that are locations and facilities is clearly
required specified
b) site position and access for storage
locations and facilities is clearly
specified
c) cost and condition of storage
locations and facilities is clearly
specified
2 Obtain information on storage d) suitable sources of information are
locations and facilities accessed
e) all relevant information on costs,
timescales, and quality is
considered
3 Evaluate information on the f) appropriate evaluation processes are
suitability of storage locations and used
facilities g) evaluation criteria are established
4 Identify the storage locations and h) storage locations and facilities are
facilities that are capable of meeting measured against the evaluation
the specifications criteria
i) storage is considered alongside
procurement, transportation, and
distribution systems
5 Assess the benefits and risks of j) benefits to the organisation and the
using storage locations and facilities supply chain are clearly identified
k) risks that are identified are realistic
and significant to the organisation
6 Identify and resolve any problems l) problems are clearly identified as
with the locations and facilities soon as possible
m) problems are resolved in a way that
improves the effectiveness of the
organisation
n) difficulties in resolving problems
are discussed with colleagues
7 Provide the results of the selection o) information is provided to all
to colleagues relevant colleagues
p) colleagues are consulted on their
views

161
8 Ensure the locations and facilities q) legal and regulatory requirements
comply with all relevant are complied with
requirements r) organisational requirements are
complied with

Application of knowledge:
K8) Evaluation methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K33) Supply chain management theories, models, and practices

162
Unit M19 Evaluate information on the storage of supplies
(DX5E 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm the supplies that are being a) specifications and quality of
stored supplies required is clearly
identified
b) quantity and rate of supplies
required is clearly identified
c) delivery schedules and other
requirements are clearly specified
2 Obtain information on the storage d) suitable sources of information are
of supplies accessed
e) all relevant information is
considered
3 Evaluate information on the storage f) appropriate evaluation processes are
of supplies used
g) evaluation criteria are established
4 Identify the supplies available in the h) supply levels are clearly identified
supply chain i) location and condition of supplies is
clearly identified
5 Ensure supplies are stored to meet j) use of resources is sequenced in the
the requirements of the supply chain correct order to maintain the storage
of supplies
k) timescales and durations take
account of lead and lag times
6 Identify and resolve any problems l) problems are clearly identified as
with the storage of supplies soon as possible
m) problems are resolved in a way that
improves the effectiveness of the
organisation
n) difficulties in resolving problems
are discussed with colleagues
7 Assess all relevant factors and risks o) factors affecting the supply chain
of storing supplies are clearly identified
p) risks are assessed for their impact
on the supply chain
8 Provide the results of the evaluation q) information is provided to all
to colleagues relevant colleagues
r) colleagues are consulted on their
views

163
9 Comply with procedures for s) legal and regulatory requirements
evaluating information on the are complied with
storage of supplies t) organisational requirements are
complied with

Application of knowledge:
K8) Evaluation methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K33) Supply chain management theories, models, and practices

164
Unit M20 Specify the requirements for the distribution of
supplies (DX7C 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the supplies a) specifications and quality of
being distributed supplies are clearly identified
b) quantity and delivery schedules of
supplies are clearly identified
2 Confirm the availability of c) specific resources required to
resources to ensure the distribution ensure the distribution of supplies
of supplies are clearly identified
d) alternative resources are identified
if necessary
3 Provide specifications for the e) positioning and movement of
distribution of supplies supplies is clearly identified
f) role of suppliers and customers
within the distribution system are
clearly identified
g) distribution requirements of
different types of supplies are
identified
4 Assess all relevant factors and risks h) factors affecting the supply chain
that could affect the distribution of are clearly identified
supplies i) risks are assessed for their impact
on the supply chain
5 Inform all relevant colleagues of the j) colleagues are consulted on their
distribution requirements views
k) concerns and issues raised by
colleagues are discussed
6 Ensure the distribution requirements l) legal and regulatory requirements
comply with all relevant are complied with
requirements m) organisational requirements are
complied with

165
Application of knowledge:
K8) Evaluation methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K33) Supply chain management theories, models, and practices

166
Unit M21 Select distribution methods for supplies
(DX74 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm information on the a) positioning and movement of
supplies being distributed supplies is clearly identified
b) role of suppliers and customers
within the distribution system are
clearly identified
c) distribution requirements of
different types of supplies are
identified
2 Obtain information on the d) suitable sources of information are
distribution methods that are accessed
available e) all relevant information on costs,
timescales, and quality is
considered
3 Evaluate information on the f) appropriate evaluation processes are
suitability of distribution methods used
g) evaluation criteria are established
4 Select the distribution methods that h) distribution methods are measured
are capable of meeting the against the evaluation criteria
specifications i) distribution is considered alongside
procurement, storage, and
transportation systems
5 Assess the benefits and risks of j) benefits to the organisation and the
using distribution methods supply chain are clearly identified
k) risks that are identified are realistic
and significant to the organisation
6 Identify and resolve any problems l) problems are clearly identified as
with the distribution methods soon as possible
m) problems are resolved in a way that
improves the effectiveness of the
organisation
n) difficulties in resolving problems
are discussed with colleagues
7 Provide the results of the selection o) information is provided to all
to colleagues relevant colleagues
p) colleagues are consulted on their
views

167
8 Ensure the distribution methods q) legal and regulatory requirements
comply with all relevant are complied with
requirements r) organisational requirements are
complied with

Application of knowledge:
K8) Evaluation methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K33) Supply chain management theories, models, and practices

168
Unit M22 Schedule the distribution of supplies (DX7W 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm the supplies that are being a) positioning and movement of
distributed supplies is clearly identified
b) specifications and quality of
supplies required is clearly
identified
2 Obtain information on the supplies c) suitable sources of information are
that need to be distributed accessed
d) all relevant information is
considered
3 Confirm the distribution of supplies e) information is provided to all
with colleagues relevant colleagues
f) colleagues are consulted on their
views
4 Schedule the distribution of g) distribution methods are available at
supplies to meet the requirements of the appropriate time
the supply chain h) use of distribution methods is
sequenced in the correct order
i) scheduling takes account of all key
factors
5 Assess all relevant factors and risks j) risks are assessed for their impact
that could affect the distribution on the organisation
schedule k) risks that are identified are realistic
and significant to the organisation
6 Identify and resolve any problems l) problems are clearly identified as
with the distribution schedule soon as possible
m) problems are resolved in a way that
improves the effectiveness of the
organisation
n) difficulties in resolving problems
are discussed with colleagues
7 Inform all relevant colleagues of the o) colleagues are consulted on their
schedules views
p) concerns and issues raised by
colleagues are discussed
8 Ensure the scheduling complies q) legal and regulatory requirements
with all relevant requirements are complied with
r) organisational requirements are
complied with

169
Application of knowledge:
K14) Information sources on supply chain processes
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K25) Planning methods and procedures
K26) Presentation theories, models, and practices
K33) Supply chain management theories, models, and practices

170
Unit M23 Select methods to receive returned supplies
(DX78 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm information on the a) positioning and movement of
supplies being returned supplies is clearly identified
b) role of suppliers and customers
within the distribution system are
clearly identified
c) distribution requirements of
different types of supplies are
identified
2 Obtain information on the supply d) suitable sources of information are
return methods that are available accessed
e) all relevant information on costs,
timescales, and quality is
considered
3 Evaluate information on the f) appropriate evaluation processes are
suitability of supply return methods used
g) evaluation criteria are established
4 Identify the supply return methods h) supply return methods are measured
that are capable of meeting the against the evaluation criteria
specifications i) return of supplies is considered
alongside procurement, storage,
distribution, and transportation
systems
5 Assess the benefits and risks of j) benefits to the organisation and the
using supply return methods supply chain are clearly identified
k) risks that are identified are realistic
and significant to the organisation
6 Identify and resolve any problems l) problems are clearly identified as
with the supply return methods soon as possible
m) problems are resolved in a way that
improves the effectiveness of the
organisation
n) difficulties in resolving problems
are discussed with colleagues
7 Provide the results of the selection o) information is provided to all
to colleagues relevant colleagues
p) colleagues are consulted on their
views

171
8 Ensure the supply return methods q) legal and regulatory requirements
comply with all relevant are complied with
requirements r) organisational requirements are
complied with

Application of knowledge:
K8) Evaluation methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K33) Supply chain management theories, models, and practices

172
Unit M24 Select transportation methods for supplies
(DX7A 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm information on the a) positioning and movement of
supplies being transported supplies is clearly identified
b) transportation requirements of
different types of supplies are
identified
2 Obtain information on the c) suitable sources of information are
transportation methods that are accessed
available d) all relevant information on costs,
timescales, and quality is
considered
3 Evaluate information on the e) appropriate evaluation processes are
suitability of transportation methods used
f) evaluation criteria are established
4 Identify the transportation methods g) transportation methods are
that are capable of meeting the measured against the evaluation
specifications criteria
h) transportation is considered
alongside procurement, storage, and
distribution systems
5 Assess the benefits and risks of i) benefits to the organisation and the
using transportation methods supply chain are clearly identified
j) risks that are identified are realistic
and significant to the organisation
6 Identify and resolve any problems k) problems are clearly identified as
with the transportation methods soon as possible
l) problems are resolved in a way that
improves the effectiveness of the
organisation
m) difficulties in resolving problems
are discussed with colleagues
7 Provide the results of the selection n) information is provided to all
to colleagues relevant colleagues
o) colleagues are consulted on their
views
8 Ensure the transportation methods p) legal and regulatory requirements
comply with all relevant are complied with
requirements q) organisational requirements are
complied with

173
Application of knowledge:
K8) Evaluation methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K33) Supply chain management theories, models, and practices
K34) Transportation methods and procedures

174
Unit M25 Schedule the transportation of supplies (DX73 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm the supplies that are being a) positioning and movement of
transported supplies is clearly identified
b) transportation requirements of
different types of supplies are
identified
2 Obtain information on the supplies c) suitable sources of information are
that need to be transported accessed
d) all relevant information is
considered
3 Confirm the transportation of e) information is provided to all
supplies with colleagues relevant colleagues
f) colleagues are consulted on their
views
4 Schedule the transportation of g) transportation methods are available
supplies to meet the requirements of at the appropriate time
the supply chain h) use of transportation methods is
sequenced in the correct order
i) scheduling takes account of all key
factors
5 Assess all relevant factors and risks j) risks are assessed for their impact
that could affect the transportation on the organisation
schedule k) risks that are identified are realistic
and significant to the organisation
6 Identify and resolve any problems l) problems are clearly identified as
with the transportation schedule soon as possible
m) problems are resolved in a way that
improves the effectiveness of the
organisation
n) difficulties in resolving problems
are discussed with colleagues
7 Inform all relevant colleagues of the o) colleagues are consulted on their
schedules views
p) concerns and issues raised by
colleagues are discussed
8 Ensure the scheduling complies q) legal and regulatory requirements
with all relevant requirements are complied with
r) organisational requirements are
complied with

175
Application of knowledge:
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K25) Planning methods and procedures
K26) Presentation theories, models, and practices
K33) Supply chain management theories, models, and practices
K34) Transportation methods and procedures

176
Unit M26 Select methods for exporting supplies (DX76 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm information on the a) positioning and movement of
supplies being exported supplies is clearly identified
b) export requirements of different
types of supplies are identified
2 Obtain information on the export c) suitable sources of information are
methods that are available accessed
d) all relevant information on costs,
timescales, and quality is
considered
3 Evaluate information on the e) appropriate evaluation processes are
suitability of export methods used
f) evaluation criteria are established
4 Identify the export methods that are g) export methods are measured
capable of meeting the against the evaluation criteria
specifications h) export is considered alongside
procurement, storage, distribution,
and transportation systems
5 Assess the benefits and risks of i) benefits to the organisation and the
using export methods supply chain are clearly identified
j) risks that are identified are realistic
and significant to the organisation
6 Identify and resolve any problems k) problems are clearly identified as
with the export methods soon as possible
l) problems are resolved in a way that
improves the effectiveness of the
organisation
m) difficulties in resolving problems
are discussed with colleagues
7 Provide the results of the selection n) information is provided to all
to colleagues relevant colleagues
o) colleagues are consulted on their
views
8 Ensure the export methods comply p) legal and regulatory requirements
with all relevant requirements are complied with
q) organisational requirements are
complied with

177
Application of knowledge:
K10) Export methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and
practices
K26) Presentation theories, models, and practices
K33) Supply chain management theories, models, and practices

178
Unit M27 Select methods for importing supplies (DX77 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm information on the a) positioning and movement of
supplies being imported supplies is clearly identified
b) import requirements of different
types of supplies are identified
2 Obtain information on the import c) suitable sources of information are
methods that are available accessed
d) all relevant information on costs,
timescales, and quality is
considered
3 Evaluate information on the e) appropriate evaluation processes are
suitability of import methods used
f) evaluation criteria are established
4 Identify the import methods that are g) import methods are measured
capable of meeting the against the evaluation criteria
specifications h) import is considered alongside
procurement, storage, distribution,
and transportation systems
5 Assess the benefits and risks of i) benefits to the organisation and the
using import methods supply chain are clearly identified
j) risks that are identified are realistic
and significant to the organisation
6 Identify and resolve any problems k) problems are clearly identified as
with the import methods soon as possible
l) problems are resolved in a way that
improves the effectiveness of the
organisation
m) difficulties in resolving problems
are discussed with colleagues
7 Provide the results of the selection n) information is provided to all
to colleagues relevant colleagues
o) colleagues are consulted on their
views
8 Ensure the import methods comply p) legal and regulatory requirements
with all relevant requirements are complied with
q) organisational requirements are
complied with

179
Application of knowledge:
K12) Import methods and procedures
K14) Information sources on supply chain processes
K16) Legal and regulatory requirements
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and
practices
K26) Presentation theories, models, and practices
K33) Supply chain management theories, models, and practices

180
Unit T1 Maintain operational relationships within the
supply chain (DX5Y 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Maintain and improve current a) communications are maintained and
operational relationships within the improved
supply chain b) options to improve supply chain
processes are clearly identified
2 Recommend opportunities to c) operational relationships could
develop operational relationships potentially benefit the supply chain
within the supply chain d) information on opportunities is
provided to all relevant colleagues
3 Identify problems with supply chain e) problems are clearly identified as
relationships soon as possible
f) colleagues are informed of
problems according to
organisational procedures
4 Ensure operational relationships are g) supply chain processes are
suitable for maintaining the monitored regularly
performance of the supply chain h) operational relationships are
conducted in ways that are mutually
beneficial

Application of knowledge:
K3) Communication methods and procedures
K7) Database management and monitoring methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K33) Supply chain management theories, models, and practices

181
Unit T2 Analyse information on the supply chain
(DX4X 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Specify the purpose of the analysis a) confirmation is obtained from
appropriate colleagues
2 Collate and prepare data for the b) suitable sources of data are accessed
analysis c) relevant data for the analysis are
sorted and collated
3 Analyse data on the organisations d) appropriate analysis methods and
supply chain procedures are used
e) results are discussed with all
relevant colleagues
4 Use analysis procedures and f) results are provided according to
techniques that are appropriate to agreed schedules
the information required g) key findings are clearly identified
5 Identify any problems with the h) problems are clearly identified as
supply chain soon as possible
i) colleagues are informed of
problems according to
organisational procedures
6 Provide the results of the analysis to j) information is provided to all
colleagues relevant colleagues

Application of knowledge:
K1) Analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and
practices
K33) Supply chain management theories, models, and practices

182
Unit T3 Apply improvements to the supply chain
(DX50 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the a) information is obtained from the
improvements being introduced to appropriate colleagues
the supply chain
2 Apply improvements to the supply b) plans are implemented wherever
chain according to the possible
implementation plan c) colleagues are consulted on their
views
3 Comply with procedures for d) supply chain management systems
monitoring the supply chain are used
e) legal and organisational
requirements are complied with
4 Collate and prepare data on the f) suitable sources of data are accessed
impact of improvements to the g) relevant data for the analysis are
supply chain sorted and collated
5 Analyse data on the impact of h) appropriate analysis methods and
improvements to the supply chain procedures are used
i) results are discussed with all
relevant colleagues
6 Identify problems relating to the j) problems are clearly identified as
application of the improvements to soon as possible
the supply chain k) colleagues are informed of
problems according to
organisational procedures
7 Provide feedback on the application l) information is provided to all
of the improvements to the supply relevant colleagues
chain m) issues that have an impact on the
organisations effectiveness are
clearly expressed

183
Application of knowledge:
K2) Change management theories, models, and practices
K22) Organisational objectives and activities
K25) Planning methods and procedures
K29) Quality management theories, models, and practices
K33) Supply chain management theories, models, and practices

184
Unit T4 Monitor the achievement of project tasks
(DX63 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Clarify information on the a) clarification is obtained from
requirements of the project appropriate colleagues
2 Confirm the project tasks to be b) colleagues responsible for project
achieved tasks are identified
3 Obtain information from colleagues c) information is obtained from the
on the achievement of project tasks appropriate colleagues
and milestones d) information is relevant to the
project being monitored
4 Monitor the achievement of project e) project tasks are monitored
tasks regularly
5 Provide information on the progress f) information is provided to all
of project tasks relevant colleagues
6 Identify any problems in delivering g) problems are clearly identified as
project tasks soon as possible
h) colleagues are informed of
problems according to
organisational procedures

Application of knowledge:
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K28) Project management and administration methods and procedures
K33) Supply chain management theories, models, and practices

185
Unit T5 Control supplies at storage locations and
facilities (DX56 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm information on the a) specifications and quality of
supplies being stored supplies are clearly identified
b) quantity and delivery schedules of
supplies are clearly identified
2 Obtain information on the supplies c) suitable sources of data are accessed
being stored d) information is obtained from the
appropriate colleagues
3 Collate and prepare data for the e) relevant data for the analysis are
analysis sorted and collated
4 Analyse information on the storage f) appropriate analysis methods and
locations and facilities procedures are used
5 Monitor the location and condition g) supplies being stored are monitored
of the supplies being stored at regular intervals
6 Identify any problems with the h) problems are clearly identified as
supplies being stored soon as possible
i) colleagues are informed of
problems according to
organisational procedures
7 Provide the results of the j) results are discussed with all
monitoring to colleagues relevant colleagues
k) results are provided according to
agreed schedules
8 Comply with procedures for l) supply chain management systems
controlling the supplies being stored are used
m) legal and organisational
requirements are complied with

186
Application of knowledge:
K1) Analysis methods and procedures
K6) Cost and benefit analysis methods and procedures
K14) Information sources on supply chain processes
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and
practices
K33) Supply chain management theories, models, and practices

187
Unit T6 Complete export procedures and requirements
(DX52 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Identify export requirements for the a) position and movement of supplies
supplies is clearly identified
b) specifications and quality of
supplies required is clearly
identified
c) financial, legal, and transportation
requirements are clearly identified
2 Obtain information on the exporting d) suitable sources of data are accessed
of supplies e) information is obtained from the
appropriate colleagues
3 Complete export documentation for f) financial and insurance details are
the supplies finalised
g) customs documentation is
completed correctly
h) transportation details are complete
4 Monitor the completion of export i) export procedures are monitored at
procedures all key stages
5 Identify any problems with the j) problems are clearly identified as
export procedures and requirements soon as possible
k) colleagues are informed of
problems according to
organisational procedures
6 Provide information on the export l) information is provided to all
of supplies relevant colleagues
m) confidentiality of information is
maintained
7 Comply with export procedures and n) supply chain management systems
requirements are used
o) legal and organisational
requirements are complied with

188
Application of knowledge:
K3) Communication methods and procedures
K6) Cost and benefit analysis methods and procedures
K10) Export methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K33) Supply chain management theories, models, and practices

189
Unit T7 Complete import procedures and requirements
(DX53 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Identify import requirements for the a) position and movement of supplies
supplies is clearly identified
b) specifications and quality of
supplies required is clearly
identified
c) financial, legal, and transportation
requirements are clearly identified
2 Obtain information on the d) suitable sources of data are accessed
importing of supplies e) information is obtained from the
appropriate colleagues
3 Complete import documentation for f) financial and insurance details are
the supplies finalised
g) customs documentation is
completed correctly
h) transportation details are complete
4 Monitor the completion of import i) import procedures are monitored at
procedures all key stages
5 Identify any problems with the j) problems are clearly identified as
import procedures and requirements soon as possible
k) colleagues are informed of
problems according to
organisational procedures
6 Provide information on the import l) information is provided to all
of supplies relevant colleagues
m) confidentiality of information is
maintained
7 Comply with import procedures and n) supply chain management systems
requirements are used
o) legal and organisational
requirements are complied with

190
Application of knowledge:
K3) Communication methods and procedures
K6) Cost and benefit analysis methods and procedures
K12) Import methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K33) Supply chain management theories, models, and practices

191
Unit T8 Administer contracts (DX4V 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain authorisations to administer a) the authorisation of appropriate
the contracts colleagues is obtained
2 Obtain and clarify instructions and b) information is obtained from the
information required to negotiate appropriate colleagues
contracts c) clarification is obtained from
appropriate colleagues
3 Provide documents specified in the d) all pages and parts of the contract
contract are compiled correctly
4 Analyse information on contract e) relevant data for the analysis are
outcomes sorted and collated
f) appropriate analysis methods and
procedures are used
5 Identify any problems relating to g) problems are clearly identified as
the content and outcomes of soon as possible
contracts h) colleagues are informed of
problems according to
organisational procedures
6 Exchange information on the i) information is provided to all
content and outcomes of contracts relevant colleagues
j) confidentiality of information is
maintained
7 Confirm the contract complies with k) legal and regulatory requirements
all relevant requirements are complied with
l) organisational requirements are
complied with

Application of knowledge:
K3) Communication methods and procedures
K4) Contract administration methods and procedures
K16) Legal and regulatory requirements
K22) Organisational objectives and activities
K27) Procurement theories, models, and practices
K33) Supply chain management theories, models, and practices

192
Unit T9 Analyse information on the procurement of
supplies in the supply chain (DX4W 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Specify the purpose of the analysis a) confirmation is obtained from
appropriate colleagues
2 Collate and prepare data for the b) suitable sources of data are accessed
analysis c) relevant data for the analysis are
sorted and collated
3 Analyse data on the procurement of d) appropriate analysis methods and
supplies in the supply chain procedures are used
e) results are discussed with all
relevant colleagues
4 Identify any problems with the f) problems are clearly identified as
procurement of supplies in the soon as possible
supply chain g) colleagues are informed of
problems according to
organisational procedures
5 Provide the results of the analysis to h) results are provided according to
colleagues agreed schedules
i) key findings are clearly identified
j) information is provided to all
relevant colleagues

Application of knowledge:
K1) Analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and
practices
K26) Presentation theories, models, and practices
K27) Procurement theories, models, and practices
K33) Supply chain management theories, models, and practices

193
Unit T10 Verify the capability of suppliers to meet supply
specifications (DX7E 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm the type of supplies that a) specifications and quality of
are required supplies required is clearly
identified
b) quantity and rate of supplies
required is clearly identified
c) delivery schedules and other
requirements are clearly specified
2 Obtain information from suppliers d) suitable sources of information are
on their capability to provide accessed
supplies e) all relevant information is
considered
3 Analyse information on the f) appropriate analysis methods and
capability of suppliers procedures are used
4 Verify the information provided by g) information is checked using
suppliers organisationally specified methods
h) suppliers are suitable for being used
5 Identify any problems in using the i) problems are clearly identified as
suppliers soon as possible
j) colleagues are informed of
problems according to
organisational procedures
6 Provide the results to colleagues k) results are discussed with all
relevant colleagues
l) results are provided according to
agreed schedules
7 Comply with procedures for m) supply chain management systems
verifying suppliers are used
n) legal and organisational
requirements are complied with

194
Application of knowledge:
K1) Analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K27) Procurement theories, models, and practices
K32) Supplier evaluation methods and procedures
K33) Supply chain management theories, models, and practices

195
Unit T11 Analyse the performance of suppliers (DX4Y 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm the type of supplies that a) specifications and quality of
are required supplies required is clearly
identified
b) quantity and rate of supplies
required is clearly identified
c) delivery schedules and other
requirements are clearly specified
2 Obtain information on the d) suitable sources of information are
performance of suppliers accessed
e) all relevant information is
considered
3 Collate and prepare data for the f) relevant data for the analysis are
analysis sorted and collated
4 Analyse data on the performance of g) appropriate analysis methods and
suppliers procedures are used
5 Identify any problems in using the h) problems are clearly identified as
suppliers soon as possible
i) colleagues are informed of
problems according to
organisational procedures
6 Provide the results of the analysis to j) results are discussed with all
colleagues relevant colleagues
k) results are provided according to
agreed schedules
7 Recommend options for improving l) appropriate options for improving
the performance of suppliers the supply chain are identified
m) alternative sources of supply are
identified

196
Application of knowledge:
K1) Analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and
practices
K26) Presentation theories, models, and practices
K27) Procurement theories, models, and practices
K33) Supply chain management theories, models, and practices

197
Unit T12 Identify potential suppliers for the supply chain
(DX5P 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the supplies a) information is obtained from the
that are required appropriate colleagues
b) information is clarified if necessary
2 Confirm the type of supplies that c) specifications and quality of
are required supplies required is clearly
identified
d) quantity and rate of supplies
required is clearly identified
e) delivery schedules and other
requirements are clearly specified
3 Obtain information on suppliers in f) suitable sources of data are accessed
the market g) colleagues are consulted on their
views
4 Identify potential suppliers h) suppliers are capable of providing
supplies
i) suppliers are available to provide
the supplies
5 Identify any problems in using the j) problems are clearly identified as
suppliers soon as possible
k) colleagues are informed of
problems according to
organisational procedures
6 Provide the results to colleagues l) results are discussed with all
relevant colleagues
m) results are provided according to
agreed schedules
7 Comply with procedures for n) supply chain management systems
identifying potential suppliers are used
o) legal and organisational
requirements are complied with

198
Application of knowledge:
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K27) Procurement theories, models, and practices
K32) Supplier evaluation methods and procedures
K33) Supply chain management theories, models, and practices

199
Unit T13 Place orders with suppliers (DX6L 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Obtain information on the supplies a) specifications and quality of
that need to be ordered supplies required is clearly
identified
b) quantity and rate of supplies
required is clearly identified
c) delivery schedules and other
requirements are clearly specified
2 Confirm the specifications with d) information is provided to all
colleagues relevant colleagues
e) colleagues are consulted on their
views
3 Place orders with suppliers f) orders are placed according to the
specified schedule
g) orders are placed according to
procedures agreed with the supplier
4 Confirm the orders with suppliers h) price and specifications are
confirmed
i) delivery instructions are agreed
5 Identify any problems in placing j) problems are clearly identified as
orders soon as possible
k) colleagues are informed of
problems according to
organisational procedures
6 Comply with procedures for placing l) supply chain management systems
orders are used
m) legal and organisational
requirements are complied with

Application of knowledge:
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K27) Procurement theories, models, and practices
K32) Supplier evaluation methods and procedures
K33) Supply chain management theories, models, and practices

200
Unit T14 Monitor and progress the delivery of orders
(DX61 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm information on the a) specifications and quality of
supplies that need to be ordered supplies required is clearly
identified
b) quantity and rate of supplies
required is clearly identified
c) delivery schedules and other
requirements are clearly specified
2 Monitor the delivery of orders d) Supplies are monitored against
delivery times and specifications
e) cost and quality of supplies is
monitored
3 Progress orders with suppliers f) orders are progressed according to
the specified schedule
g) orders are progressed according to
procedures agreed with the supplier
4 Identify any problems with the h) problems are clearly identified as
delivery of orders soon as possible
i) colleagues are informed of
problems according to
organisational procedures
5 Recommend options for progressing j) additional support is provided to
the delivery of orders suppliers
k) alternative sources of supply are
identified
6 Comply with procedures for l) supply chain management systems
progressing orders are used
m) legal and organisational
requirements are complied with

201
Application of knowledge:
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K26) Presentation theories, models, and practices
K27) Procurement theories, models, and practices
K32) Supplier evaluation methods and procedures
K33) Supply chain management theories, models, and practices

202
Unit T15 Monitor the flow of supplies in the supply chain
(DX67 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm information on the a) specifications and quality of
supplies that are flowing through supplies are clearly identified
the supply chain b) quantity and delivery schedules of
supplies are clearly identified
2 Collate and prepare data to monitor c) suitable sources of data are accessed
the flow of supplies d) relevant data for the analysis are
sorted and collated
3 Analyse data on the flow of e) appropriate analysis methods and
supplies procedures are used
f) results are discussed with all
relevant colleagues
4 Identify any problems with the flow g) problems are clearly identified as
of supplies soon as possible
h) colleagues are informed of
problems according to
organisational procedures
5 Provide the results of the analysis to i) results are provided according to
colleagues agreed schedules
j) key findings are clearly identified
k) information is provided to all
relevant colleagues
6 Comply with procedures for l) supply chain management systems
monitoring the flow of supplies are used
m) legal and organisational
requirements are complied with

Application of knowledge:
K1) Analysis methods and procedures
K14) Information sources on supply chain processes
K17) Logistics theories, models, and practices
K21) Operations management theories, models, and practices
K22) Organisational objectives and activities
K33) Supply chain management theories, models, and practices

203
Unit T16 Obtain information on storage locations and
facilities (DX6G 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm information on the a) specifications and quality of
supplies being stored supplies are clearly identified
b) quantity and delivery schedules of
supplies are clearly identified
2 Obtain information on storage c) suitable sources of data are accessed
locations and facilities d) information is obtained from the
appropriate colleagues
3 Collate and prepare data for the e) relevant data for the analysis are
analysis sorted and collated
4 Analyse information on the storage f) appropriate analysis methods and
locations and facilities procedures are used
5 Identify any problems in using the g) problems are clearly identified as
storage locations and facilities soon as possible
h) colleagues are informed of
problems according to
organisational procedures
6 Provide the results of the analysis to i) results are discussed with all
colleagues relevant colleagues
j) results are provided according to
agreed schedules
7 Recommend options for using k) appropriate options for the supply
storage locations and facilities chain are identified
l) alternative storage locations and
facilities are identified

204
Application of knowledge:
K1) Analysis methods and procedures
K6) Cost and benefit analysis methods and procedures
K14) Information sources on supply chain processes
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and
practices
K33) Supply chain management theories, models, and practices

205
Unit T17 Obtain information on distribution requirements
(DX6F 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm information on the a) positioning and movement of
supplies being distributed supplies is clearly identified
b) role of suppliers and customers
within the distribution system are
clearly identified
c) distribution requirements of
different types of supplies are
identified
2 Obtain information on distribution d) suitable sources of data are accessed
requirements e) information is obtained from the
appropriate colleagues
3 Collate and prepare data for the f) relevant data for the analysis are
analysis sorted and collated
4 Analyse information on the g) appropriate analysis methods and
distribution requirements procedures are used
5 Identify any problems in the h) problems are clearly identified as
distribution requirements soon as possible
i) colleagues are informed of
problems according to
organisational procedures
6 Provide the results of the analysis to j) results are discussed with all
colleagues relevant colleagues
k) results are provided according to
agreed schedules
7 Recommend options for using l) appropriate options for the supply
storage locations and facilities chain are identified
m) alternative storage locations and
facilities are identified

206
Application of knowledge:
K1) Analysis methods and procedures
K6) Cost and benefit analysis methods and procedures
K14) Information sources on supply chain processes
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and
practices
K33) Supply chain management theories, models, and practices

207
Unit T18 Monitor the distribution of supplies (DX65 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm information on the a) positioning and movement of
supplies being distributed supplies is clearly identified
b) specifications and quality of
supplies required is clearly
identified
2 Obtain information on the c) suitable sources of data are accessed
distribution of supplies d) information is obtained from the
appropriate colleagues
3 Collate and prepare data for the e) relevant data for the analysis are
analysis sorted and collated
4 Analyse information on the f) appropriate analysis methods and
distribution of supplies procedures are used
5 Monitor the distribution of supplies g) supply distribution is monitored at
regular intervals
6 Identify any problems with the h) problems are clearly identified as
distribution of supplies soon as possible
i) colleagues are informed of
problems according to
organisational procedures
7 Provide the results of the j) results are discussed with all
monitoring to colleagues relevant colleagues
k) results are provided according to
agreed schedules
8 Comply with procedures for l) supply chain management systems
monitoring the distribution of are used
supplies m) legal and organisational
requirements are complied with

208
Application of knowledge:
K1) Analysis methods and procedures
K6) Cost and benefit analysis methods and procedures
K14) Information sources on supply chain processes
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and
practices
K33) Supply chain management theories, models, and practices

209
Unit T19 Monitor the flow of returned supplies (DX69 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm information on the a) information on quantity and type of
supplies being returned returns is obtained
2 Collate and prepare data on the flow b) suitable sources of data are accessed
of returned supplies c) information is obtained from the
appropriate colleagues
3 Analyse information on the flow of d) appropriate analysis methods and
returned supplies procedures are used
4 Identify any problems with the flow e) problems are clearly identified as
of returned supplies soon as possible
f) colleagues are informed of
problems according to
organisational procedures
5 Provide the results of the analysis to g) results are discussed with all
colleagues relevant colleagues
h) results are provided according to
agreed schedules
6 Recommend options for improving i) appropriate options for the supply
the flow of returned supplies chain are identified
j) alternative methods for returning
supplies are identified
7 Comply with procedures for k) supply chain management systems
monitoring the flow of returned are used
supplies l) legal and organisational
requirements are complied with

Application of knowledge:
K1) Analysis methods and procedures
K6) Cost and benefit analysis methods and procedures
K14) Information sources on supply chain processes
K17) Logistics theories, models, and practices
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and
practices
K33) Supply chain management theories, models, and practices

210
Unit T20 Monitor the transportation of supplies (DX6D 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Confirm information on the a) positioning and movement of
supplies being transported supplies is clearly identified
b) transportation requirements of
different types of supplies are
identified
2 Obtain information on the c) suitable sources of data are accessed
transportation of supplies d) information is obtained from the
appropriate colleagues
3 Collate and prepare data for the e) relevant data for the analysis are
analysis sorted and collated
4 Analyse information on the f) appropriate analysis methods and
transportation of supplies procedures are used
5 Monitor the transportation of g) supply transportation is monitored
supplies at regular intervals
6 Identify any problems with the h) problems are clearly identified as
transportation of supplies soon as possible
i) colleagues are informed of
problems according to
organisational procedures
7 Provide the results of the j) results are discussed with all
monitoring to colleagues relevant colleagues
k) results are provided according to
agreed schedules
8 Comply with procedures for l) supply chain management systems
monitoring the transportation of are used
supplies m) legal and organisational
requirements are complied with

211
Application of knowledge:
K1) Analysis methods and procedures
K6) Cost and benefit analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and
practices
K33) Supply chain management theories, models, and practices
K34) Transportation methods and procedures

212
Unit T21 Contribute to operational relationships within
the supply chain (DX55 04)

This Unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Contribute to the maintenance and a) communications are maintained
improvement of current operational effectively
relationships within the supply b) possibilities for improving supply
chain chain processes are clearly
identified
2 Provide information on c) operational relationships could
opportunities to develop operational potentially benefit the supply chain
relationships within the supply d) information on opportunities is
chain provided to all relevant colleagues
3 Identify problems with supply chain e) problems are clearly identified as
relationships soon as possible
f) colleagues are informed of
problems according to
organisational procedures
4 Assist colleagues to ensure that g) supply chain processes are
operational relationships are monitored regularly
suitable for maintaining the h) operational relationships are
performance of the supply chain conducted in ways that are mutually
beneficial

Application of knowledge:
K3) Communication methods and procedures
K7) Database management and monitoring methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K33) Supply chain management theories, models, and practices

213
Unit T22 Obtain information on the supply chain
(DX6K 04)

This unit must be used in accompaniment with the Supply Chain Management
Standards Guidance Note.
Performance requirements
Outcomes Achievement Criteria
1 Identify the processes that comprise a) procurement, logistics, operations
the supply chain management, transportation, and
export and import systems are
identified
2 Identify the supplies flowing b) specifications and quality of
through the supply chain supplies are clearly identified
3 Obtain information on the supplies c) suitable sources of data are accessed
flowing through the supply chain d) information is obtained from the
appropriate colleagues
4 Sort information on the supply e) appropriate sorting methods and
chain procedures are used
5 Record information ready for f) relevant information for analysis is
analysis recorded in appropriate systems
6 Identify any problems in obtaining g) problems are clearly identified as
information on the supply chain soon as possible
h) colleagues are informed of
problems according to
organisational procedures
7 Provide the information to i) information is provided in the
colleagues when required for appropriate formats
analysis j) information is provided according
to agreed schedules
8 Recommend options for using k) appropriate options for the supply
storage locations and facilities chain are identified
l) alternative storage locations and
facilities are identified

Application of knowledge:
K1) Analysis methods and procedures
K6) Cost and benefit analysis methods and procedures
K14) Information sources on supply chain processes
K22) Organisational objectives and activities
K24) Performance measurement and benchmarking theories, models, and
practices
K33) Supply chain management theories, models, and practices

214
9 Imported Management Standards
Centre Units (Standards)

215
MSC B6 Provide leadership in your area of responsibility
(DR75 04)

What is the unit about?


The unit is about providing direction to people in a clearly and formally defined
area or part of an organisation and motivating and supporting them to achieve the
vision and objectives for the area.

The area of responsibility may be, for example, a branch or department or


functional area or an operating site within an organisation.

Who is the unit for?


The unit is recommended for first line managers and middle managers.

Links with other units


This unit is linked to the following units in the overall suite of National
Occupational Standards for management and leadership:

B1 Develop and implement operational plans for your area of responsibility


B5 Provide leadership for your team
B7 Provide leadership for your organisation
D6 Allocate and monitor the progress and quality of work in your area of
responsibility

Skills
Listed below are the main generic skills which need to be applied in providing
leadership in your area of responsibility. These skills are explicit/implicit in the
detailed content of the unit and are listed here as additional information.

Communicating
Influencing and persuading
Leading by example
Motivating
Consulting
Planning
Setting objectives
Providing feedback
Coaching
Mentoring
Valuing and supporting others
Empowering
Learning
Following
Managing conflict
Obtaining feedback

216
Outcomes of Effective Performance

You must be able to do the following:


1. Create a vision of where your area is going and clearly and enthusiastically
communicate it, together with supportive objectives and operational plans, to
the people working within your area.
2. Ensure that people working within your area understand and can see how the
vision, objectives and operational plans link to the vision and objectives of the
overall organisation.
3. Steer your area successfully through difficulties and challenges, including
conflict within the area.
4. Create and maintain a culture within your area which encourages and
recognises creativity and innovation.
5. Develop a range of leadership styles and select and apply them to appropriate
situations and people.
6. Communicate regularly, making effective use of a range of different
communication methods, with all the people working within your area and
show that you listen to what they say.
7. Give people in your area support and advice when they need it especially
during periods of setback and change.
8. Motivate and support people in your area to achieve their work and
development objectives and provide recognition when they are successful.
9. Empower people in your area to develop their own ways of working and take
their own decisions within agreed boundaries.
10. Encourage people to give a lead in their own areas of expertise and show
willingness to follow this lead.
11. Win, through your performance, the trust and leadership and get regular
feedback on your performance.

Behaviours which underpin effective performance


1. You articulate a vision that generates excitement, enthusiasm and
commitment.
2. You create a sense of common purpose.
3. You take personal responsibility for making things happen.
4. You make complex things simple for the benefit of others.
5. You encourage and support others to take decisions autonomously.
6. You act within the limits of your authority.
7. You make time available to support others.
8. You show integrity, fairness and consistency in decision-making.
9. You seek to understand peoples needs and motivations.
10. You model behaviour that shows respect, helpfulness and co-operation.
11. You encourage and support others to make the best use of their abilities.

217
Knowledge and Understanding

You need to know and understand the following:

General knowledge and understanding


1. The fundamental differences between management and leadership.
2. How to create a compelling vision for an area of responsibility.
3. How to select and successfully apply different methods for communicating
with people across an area of responsibility.
4. A range of different leadership styles and how to select and apply these to
different situations and people.
5. How to get and make use of feedback from people on your leadership
performance.
6. Types of difficulties and challenges that may arise, including conflict within
the area, and ways of identifying and overcoming them.
7. The benefits of and how to create and maintain a culture which encourages
and recognises creativity and innovation.
8. The importance of encouraging others to take the lead and ways in which this
can be achieved.
9. How to empower people effectively.
10. How to select and successfully apply different methods for encouraging,
motivating and supporting people and recognising achievement.

Industry/sector specific knowledge and understanding


1. Leadership styles common in the industry/sector.
2. Legal, regulatory and ethical requirements in the industry/sector.

Context specific knowledge and understanding


1. Your own values, motivations and emotions.
2. Your own strengths and limitations in the leadership role.
3. The strengths, limitations and potential of people that you lead.
4. Your own role, responsibilities and level of power.
5. The vision and objectives of the overall organisation.
6. The vision, objectives, culture and operational plans for your area of
responsibility.
7. Types of support and advice that people are likely to need and how to respond
to these.
8. Leadership styles used across the organisation.

218
MSC B7 Provide leadership for your organisation
(DR70 04)

What is the Unit about?


This Unit is about providing direction to people in the organisation and enabling,
inspiring, motivating and supporting them to achieve what the organisation has set
out to do.

It is expected that you will be aware of and be able to apply different styles of
leadership appropriate to different people and situations. For the purposes of this
Unit, an organisation can mean a self-contained entity such as a private sector
company, a charity or a local authority or a significant operating unit, with a
relative degree of autonomy, within a larger organisation.

Who is the Unit for?


The Unit is recommended for senior managers.

Links with other Units


This Unit is linked to the following Units in the overall suite of National
Occupational Standards for management and leadership.

B3 Develop a strategic business plan for your organisation


B4 Put the strategic business plan into action
B6 Provide leadership in your area of responsibility

Skills
Listed below are the main generic skills which need to be applied in providing
leadership for your organisation. These skills are explicit/implicit in the detailed
content of the Unit and are listed here as additional information.

Thinking strategically
Empowering
Communicating
Influencing and persuading
Leading by example
Planning
Inspiring
Motivating
Problem solving
Valuing and supporting others
Monitoring
Consulting
Obtaining feedback
Following
Managing conflict

219
Outcomes of Effective Performance

You must be able to do the following:


1. Develop and clearly and enthusiastically communicate and reinforce the
organisations purpose, values and vision to people across the organisation
and, where appropriate, to external stakeholders.
2. Ensure that organisational plans support the organisations purpose, values
and vision.
3. Steer the organisation successfully through difficulties and challenges,
including conflict within the organisation.
4. Create and maintain a culture within the organization which encourages and
rewards creativity and innovation.
5. Develop, select and apply leadership styles which are appropriate to the
different people and situations you face.
6. Motivate people across the organisation to achieve their objectives and reward
them when they are successful.
7. Give people across the organisation support and advice when they need it
especially during periods of setback and change.
8. Motivate people across the organisation to present their own ideas and listen
to what they say.
9. Empower people across the organisation to develop their own ways of
working within agreed boundaries.
10. Encourage people across the organisation to take the lead when they have the
knowledge and expertise and show willingness to follow this lead.
11. Win, through your performance, the trust and support of people across the
organisation and key stakeholders for your leadership of the organisation and
get regular feedback on your performance.
12. Monitor activities and progress in different areas of the organisation without
interfering.

Behaviours which underpin effective performance


1. You articulate a vision that generates excitement, enthusiasm and
commitment.
2. You create a sense of common purpose.
3. You take personal responsibility for making things happen.
4. You present information clearly, concisely, accurately and in ways that
promote understanding.
5. You encourage and support others to take decisions autonomously.
6. You act within the limits of your authority.
7. You make time available to support others.
8. You show integrity, fairness and consistency in decision-making.
9. You seek to understand peoples needs and motivations.
10. You model behaviour that shows respect, helpfulness and co-operation.
11. You make complex things simple for the benefit of others.

220
Knowledge and understanding

You need to know and understand the following:

General knowledge and understanding


1. The differences between management and leadership.
2. How to develop a compelling vision for an organisation.
3. The importance of and what is meant by organisational values.
4. Ways of ensuring that organisational plans support the organisations purpose,
values and vision.
5. How to select and successfully apply different methods and techniques for
communicating with people across an organisation.
6. Types of challenges and difficulties that may arise, including conflict within
the organisation, and ways of identifying and overcoming them.
7. Different theories, models and styles of leadership and how to select and
successfully apply these to different people and situations.
8. The effect that different leadership styles can have on organisations.
9. How to select and successfully apply different methods and techniques for
motivating, rewarding, influencing and persuading people.
10. How to empower people effectively.
11. How to get and make use of feedback on your leadership performance.
12. The organisational benefits of and how to create a culture which encourages
and recognises creativity and innovation.
13. How to recognise and develop the leadership capability of other people and
follow their lead.

Industry/sector specific knowledge and understanding


1. Leadership styles common in the industry/sector and their strengths and
limitations.
2. Legal, regulatory and ethical requirements in the industry/sector.

Context specific knowledge and understanding


1. Your own values, motivations and emotions, and the effect these have on your
own actions and on other people.
2. Your own strengths and limitations in the leadership role.
3. The strengths, limitations and potential of people that you lead.
4. Your own role, responsibilities and level of power.
5. The purpose and values of and vision for your organisation.
6. The leadership culture and capability of your organisation.
7. The plans of your organisation.
8. The types of support and advice that people are likely to need and how to
respond to these.
9. External stakeholders whom you may need to communicate and work with.

221
MSC D3 Recruit, select and keep colleagues (DR7K 04)

What is the Unit about?


This Unit is mainly about recruiting and selecting people to undertake identified
activities or work-roles within your area of responsibility. It involves taking a fair
and objective approach to recruitment and selection to ensure that individuals with
the required skills, knowledge and understanding and who are likely to perform
effectively are appointed.

As recruitment and selection can be expensive and time-consuming activities, the


Unit also involves taking action to understand why colleagues are leaving and
taking action to keep colleagues. Whilst you would be expected to draw on the
expertise of personnel specialists, you are not expected to be a personnel specialist
yourself.

For the purposes of this Unit, colleagues means those people for whom you have
line management responsibility.

Who is the Unit for?


The Unit is recommended for first line managers and middle managers.

Links with other Units


This Unit is closely linked to Unit D4 Plan the workforce in the overall suite of
National Occupational Standards for management and leadership. If your
organisation is a small firm, you should look at Unit J4 Recruit staff which has
been developed by the Small Firms Enterprise and Development Initiative
(SFEDI) specifically for small firms and which may be more suitable to your
needs. You can obtain information on the Unit from SFEDI on tel 0114 241 2155
or the SFEDI website (www.sfedi.co.uk).

Skills
Listed below are the main generic skills which need to be applied in recruiting,
selecting and keeping colleagues. These skills are explicit/implicit in the detailed
content of the Unit and are listed here as additional information.

Reviewing
Interviewing
Negotiating
Planning
Team building
Communicating
Valuing and supporting others
Decision making
Consulting
Problem solving
Information management

222
Outcomes of Effective Performance

You must be able to do the following:


1. Talk with colleagues who are leaving your area of responsibility to identify
and discuss their reasons for leaving.
2. Identify ways of addressing staff turnover problems, implementing those
which clearly fall within your authority and communicating others to the
relevant people for consideration.
3. Review, on a regular basis, the work required in your area of responsibility,
identifying any shortfall in the number of colleagues and/or the pool of skills,
knowledge, understanding and experience.
4. Identify and review the options for addressing any identified shortfalls and
decide on the best option(s) to follow.
5. Consult with others to produce or update job descriptions and person
specifications where there is a clear need to recruit.
6. Consult with others to discuss and agree stages in the recruitment and
selection process for identified vacancies, the methods that will be used, the
associated timings and who is going to be involved.
7. Ensure that any information on vacancies is fair, clear and accurate before it
goes to potential applicants.
8. Seek and make use of specialist expertise in relation to recruiting, selecting
and keeping colleagues.
9. Participate in the recruitment and selection process, as agreed, making sure
that the process is fair, consistent and effective.
10. Make sure that applicants who are offered positions are likely to be able to
perform effectively and work with their new colleagues.
11. Judge whether the recruitment and selection process has been successful in
relation to recent appointments in your area and identify any areas for
improvements.

Behaviours which underpin effective performance


1. You recognise the opportunities presented by the diversity of people.
2. You work to turn unexpected events into opportunities rather than threats.
3. You try out new ways of working.
4. You identify peoples information needs.
5. You seek to understand peoples needs and motivations.
6. You comply with, and ensure others comply with, legal requirements, industry
regulations, organisational policies and professional codes
7. You take and implement difficult and/or unpopular decisions, if necessary.
8. You act within the limits of your authority.
9. You show integrity, fairness and consistency in decision making.

223
Knowledge and understanding:

You need to know and understand the following:

General knowledge and understanding


1. Why it is important to identify and understand why colleagues are leaving and
how to do so constructively and sensitively.
2. The types of reasons colleagues might give for leaving.
3. How to measure staff turnover.
4. The causes and effects of high and low staff turnover.
5. Measures which can be undertaken to address staff turnover problems.
6. How to review the workload in your area in order to identify shortfalls in the
number of colleagues and/or the pool of skills, knowledge, understanding and
experience.
7. Different options for addressing identified shortfalls and their associated
advantages and disadvantages.
8. What job descriptions and person specifications should cover and why it is
important to consult with others in producing or updating them.
9. Different stages in the recruitment and selection process and why it is
important to consult with others on the stages, recruitment and selection
methods to be used, associated timings and who is going to be involved.
10. Different recruitment and selection methods and their associated advantages
and disadvantages.
11. Why it is important to give fair, clear and accurate information on vacancies to
potential applicants.
12. How to judge whether applicants meet the stated requirements of the vacancy.
13. Sources of specialist expertise in relation to recruitment, selection and
retention.
14. How to take account of equality and diversity issues, including legislation and
any relevant codes of practice, when recruiting and selecting people and
keeping colleagues.
15. How to review the effectiveness of recruitment and selection in your area.

Industry/sector specific knowledge and understanding


1. Turnover rates within similar organisation in the industry/sector.
2. Recruitment, selection and retention issues and specific initiatives and
arrangements within the industry/sector.
3. Working culture and practices of the industry/sector.

Context specific knowledge and understanding


1. Current people resources available to your area, including skills, knowledge,
understanding and experience of colleagues.
2. Work requirements in your area.
3. Agreed operational plans and changes in your area.
4. The staff turnover rate in your area.
5. Job descriptions and person specifications for confirmed vacancies.
6. Local employment market conditions.
7. The organisations structure, values and culture.

224
8. Employment policies and practices within the organisation including
recruitment, selection, induction, development, promotion, retention,
redundancy, dismissal, pay and other terms and conditions.
9. Sources of specialist expertise in relation to recruitment, selection and
retention used by your organisation.

225
MSC D4 Plan the workforce (DR6M 04)

What is the Unit about?


This Unit is about taking a lead in identifying the workforce requirements of your
organisation and how these will be satisfied. It involves considering the strategic
objectives and plans of the organisation to decide whether the workforce should
be expanded, maintained or contracted.

It also involves considering whether there is an appropriate mix of people to


achieve the organisations objectives, and whether any problems with this can be
sorted out by recruiting staff, moving staff to other positions of making staff
redundant. Workforce covers any person who works for the organisation.
Colleagues do not have to be directly employed as there is a wide range of
contractual arrangements which could be used to provide the people the
organisation needs, and part of the planning process is to decide how this is
managed. For the purposes of this Unit, an organisation can mean a self-
contained entity such as a private sector company, a charity or a local authority or
a significant operating unit, with a relative degree of autonomy, within a larger
organisation.

Who is the unit for?


The unit is recommended for senior managers.

Links with other units


This unit is closely linked to the following units in the overall suite of National
Occupational Standards for management and leadership:

B3 Develop a strategic business plan for your organization


B4 Put the strategic business plan into action

If your organisation is a small firm, you should look at unit J1 Review your
staffing which has been developed by the Small Firms Enterprise and
Development Initiative (SFEDI) specifically for small firms and which may be
more suitable to your needs. You can obtain information on the unit from SFEDI
on tel 0114 241 2155 or at the SFEDI website (www.sfedi.co.uk).

Skills
Listed below are the main generic skills which need to be applied in planning the
workforce. These skills are explicit/implicit in the detailed content of the unit and
are listed here as additional information.

Planning
Thinking strategically
Prioritising
Contingency planning
Information management

226
Monitoring
Evaluating
Decision making
Communicating
Analysing
Thinking creatively
Balancing competing needs and interests

Outcomes of Effective Performance

You must be able to do the following:


1 Evaluate the organisations strategic objectives and associated plans to
obtain information needed for workforce planning purposes and identify
any key issues for further consideration.
2 Identify the type of skills, knowledge, understanding and experience
required to undertake current and planned organisational activities.
3 Review capacity and capability of the current workforce to meet identified
skills, knowledge, understanding and experience requirements
4 Seek and make use of specialist expertise to assist in workforce planning
activities, as necessary.
5 Specify workforce requirements that are capable of achieving the
organisations objectives.
6 Make sure that the organisation has a diverse workforce which provides a
suitable mix of people to achieve its objectives.
7 Develop plans that meet the organisations long, medium, and short-term
requirements, making best use of people from inside and from outside
the organisation.
8 Ensure a mix of full-time, part-time, temporary and contractual workers
appropriate to the needs of the organisation.
9 Make sure that resources needed to recruit, keep and re-deploy people are
available.
10 Make sure that plans incorporate contingency arrangements to deal with
unforeseen circumstances and maintain business continuity.
11 Communicate workforce plans to relevant people for information.

Behaviours which underpin effective performance


1. You recognise the opportunities presented by the diversity of people.
2. You are vigilant for potential risks.
3. You identify systemic issues and trends and recognise their effect on current
and future work.
4. You anticipate likely future scenarios based on realistic analysis of trends and
developments.
5. You take decisions in uncertain situations or based on incomplete information
when necessary.
6. You take and implement difficult and/or unpopular decisions, if necessary.
7. You work towards a clearly defined vision of the future.
8. You use communication styles that are appropriate to different people and
situations.

227
Knowledge and Understanding

You need to know and understand the following:

General knowledge and understanding


1. What an effective workforce plan should cover.
2. The information required to undertake workforce planning.
3. Sources of specialist expertise in relation to workforce planning and how to
make use of them.
4. Legislation and requirements relating to employment, workers' welfare and
rights, equality and health and safety.
5. How to take account of equality and diversity issues in workforce planning.
6. Strategies and/or services which need to be in place for when people leave,
including redundancy counselling.
7. The importance of putting contingency arrangements in place and how to do
so effectively.
8. The different ways in which workforce requirements can be met, their
advantages and disadvantages, costs and benefits.

Industry/sector specific knowledge and understanding


1. Types of employment agreements typically used within the industry/sector.
2. Patterns for employing, recruiting, and keeping people in the industry/sector.
3. Trends and developments in the sector which are relevant to workforce
planning.
4. Legislation, regulations and codes of practice that apply in the industry/sector.
5. Working culture and practices of the industry/sector.

Context specific knowledge and understanding


1. The organisations vision, strategic objectives and associated plans, structure,
values and culture.
2. Employment agreements with people working in and for the organisation.
3. The capacity and capability of the current workforce.
4. The diversity of the organisations workforce.
5. Factors affecting workforce planning in the organisation.
6. Local employment market conditions.
7. Employment policies and practices within the organisation including
recruitment, selection, induction, development, promotion, retention,
redundancy, dismissal, pay and other terms and conditions.

228
MSC E2 Manage finance for your area of responsibility
(DR5T 04)

What is this unit about?


This unit is about managing finance in order to achieve the stated objectives for
your area of responsibility. It involves developing and agreeing a master budget
for your area and using this to monitor, evaluate and control performance and take
action to deal with identified variances.

Delegating responsibility for budgets for clearly defined activities is a key aspect
of this unit. The area of responsibility may be, for example, a branch or
department or functional area or an operating site within an organisation.

Who is this unit for?


The unit is recommended for middle managers.

Links with other units


This unit is linked to the following units in the overall suite of National
Occupational Standards for management and leadership:

B1 Develop and implement operational plans for your area of responsibility


E1 Manage a budget

Skills
Listed below are the main generic skills which need to be applied in managing
finance for your area of responsibility. These skills are explicit/implicit in the
detailed content of the unit and are listed here as additional information.

Communicating
Decision making
Questioning
Consulting
Monitoring
Assessing
Delegating
Acting assertively
Valuing and supporting others
Negotiating
Contingency planning
Information management
Problem solving
Thinking systematically
Leadership
Motivating
Planning

229
Outcomes of Effective Performance

You must be able to do the following:


1. Confirm your financial responsibilities, including the limits of your authority,
with those to whom you report.
2. Gather and evaluate available financial information and the objectives and
associated plans for your area and consult with colleagues to identify
priorities, potential problems and risks.
3. Identify and make use of opportunities to delegate responsibility for budgets
for clearly defined activities to colleagues in your area, providing them with
the required ongoing support and resources.
4. Discuss and, if appropriate, negotiate delegated budgets with colleagues and
agree provisional budgets.
5. Consult on and develop a realistic master budget for your area and submit it to
the relevant people in the organisation for approval and to assist the overall
financial planning process.
6. Discuss and, if appropriate, negotiate the proposed master budget for your
area with the relevant people in the organisation and communicate the final
budget to colleagues in your area.
7. Establish systems to monitor and evaluate performance against delegated
budgets and the master budget and put contingency plans in place.
8. Identify the causes of any significant variances between what was budgeted
for and what actually happened and discuss and ensure prompt corrective
action is taken, obtaining agreement from the relevant people if required.
9. Propose revisions to the master budget, if necessary, in response to variances
and/or significant or unforeseen developments and discuss and agree the
revisions with the relevant people.
10. Provide ongoing information on the financial performance of your area to
relevant people in your organisation.
11. Advise the relevant people as soon as possible if you have identified evidence
of any potentially fraudulent activities.
12. Encourage colleagues in your area to think about and identify ways of
reducing expenditure and increasing income, selecting and pursuing those
ideas which have potential for implementation.
13. Review the financial performance of your area, particularly in relation to
achievement of the stated objectives, and identify improvements for the future.

Behaviours which underpin effective performance


1. You act within the limits of your authority.
2. You are vigilant for potential risks.
3. You develop systems to gather and manage information and knowledge
effectively, efficiently and ethically.
4. You clearly agree what is expected of others and hold them to account.
5. You respond quickly to crises and problems with a proposed course of action.
6. You comply with, and ensure others comply with, legal requirements, industry
regulations, organisational policies and professional codes.
7. You prioritise objectives and plan work to make best use of time and
resources.

230
8. You use communication styles that are appropriate to different people and
situations.
9. You take and implement difficult and/or unpopular decisions, if necessary.

Knowledge and Understanding

You need to know and understand the following:

General knowledge and understanding


1. The purposes of budgetary systems.
2. The importance of agreeing financial responsibilities, including the limits of
your authority, for your area with those to whom you report.
3. Where to get and how to evaluate the available financial information in order
to be able to prepare a realistic master budget for your area.
4. The importance of taking account of the objectives and associated plans of
your area in developing and operating the master budget.
5. How to identify opportunities and delegate responsibility for budgets.
6. The importance of consulting with colleagues in identifying priorities,
potential problems and risks and generally preparing the budget for your area.
7. How to discuss, negotiate and confirm budgets with colleagues in your area
and with people who control the finance and the key factors that should be
covered.
8. How to establish systems to monitor and evaluate performance against
budgets.
9. The importance of contingency plans and the type of contingencies that may
occur.
10. The main causes of variances and how to identify them.
11. What different types of corrective action could be taken to address identified
variances.
12. The importance of agreeing revisions to the budget and communicating the
changes.
13. The importance of providing regular information on the financial performance
of your area to relevant people and giving what they might want to know.
14. Types of fraudulent activities and how to identify them.
15. How to encourage colleagues to think about ways of reducing expenditure and
increasing income.
16. How to review the financial performance of your area against the stated
objectives.

231
Industry/sector specific knowledge and understanding
1. Factors, processes and trends that are likely to affect financial management in
your industry/sector.
2. Legal, regulatory and ethical requirements in the industry/sector.

Context specific knowledge and understanding


1. The scope and nature of your area of responsibility including the vision,
objectives and operational plans.
2. Your financial responsibilities, including the limits of your authority.
3. The people you report to in your organisation.
4. Financial information available in your organisation.
5. Activities for which budgets have been delegated.
6. The budgeting period(s) used in your organisation.
7. Organisational guidelines and procedures for the preparation and approval of
budgets and for monitoring and reporting of performance against budgets and
revising budgets.
8. The agreed master budget for your area, including delegated budgets.
9. Systems established for managing and evaluating performance against
budgets.
10. Contingency plans put in place.
11. What to do and who to contact if you suspect fraud has been committed.
12. Who needs information on the financial performance of your area, what
information they need, when they need it and in what format.

232
MSC F9 Build your organisations understanding of its
market and customers (DR41 04)

What is the unit about?


This unit is about making sure that relevant and reliable information about the
organisations market and customers is constantly available and shared.

The term customer includes internal and external customers of the organisation
or part of the organisation that the manager is responsible for.

Who is the unit for?


The unit is recommended for middle managers and senior managers.

Links with other units


This unit is linked to the following units in the overall suite of National
Occupational Standards for management and leadership:

F4 Develop and review a framework for marketing


F10 Develop a customer focussed organisation

If your organisation is a small firm, you should look at unit B1 Improve your sales
and marketing which has been developed by the Small Firms Enterprise and
Development Initiative (SFEDI) specifically for small firms and which may be
more suitable to your needs. You can obtain information on the unit from SFEDI
on tel 0114 241 2155 or at the SFEDI website (www.sfedi.co.uk).

Skills
Listed below are the main generic skills which need to be applied in building your
organisations understanding of its market and customers. These skills are
explicit/implicit in the detailed content of the unit and are listed here as additional
information.

Information management
Communicating
Analysing
Assessing
Thinking strategically
Forecasting
Innovating
Networking
Presenting information
Decision making
Thinking with a focus on customers

233
Outcomes of Effective Performance

You must be able to do the following:


1. Identify your customers current and future needs and expectations and
predicted future demand levels.
2. Identify the market for your products and/or services and any market
segments.
3. Identify and assess current and future developments in your sector, including
competitors activities.
4. Identify and assess opportunities to expand into new markets and for
innovations that meet customers needs.
5. Identify the reasons why customers use products and/or services from your
organisation rather than from your competitors.
6. Identify and assess any threats to, and weaknesses in, your organisations
products and services.
7. Make sure there is a shared understanding of your customers and your
competitive position in the market across your organisation.
8. Use information about customers and the market to help managers make
decisions.

Behaviours which underpin effective performance


1. You analyse and structure information to develop knowledge that can be
shared.
2. You develop systems to gather and manage information and knowledge
effectively, efficiently and ethically.
3. You recognise your own strengths and limitations, play to your strengths and
use alternative strategies to minimise the impact of your limitations.
4. You anticipate likely future scenarios based on a realistic analysis of trends
and developments.
5. You identify the implications or consequences of a situation.
6. You articulate the assumptions made and risks involved in understanding a
situation.

Knowledge and Understanding

You need to know and understand the following:

General knowledge and understanding


1. Where you can get information about your customers and the market and the
advantages and disadvantages of different sources.
2. How you can get information on competitors or similar organisations.
3. How to assess sources of information about your customers and the market to
see how suitable they are to use.
4. Sources of professional market-research expertise.
5. Methods of gaining customer feedback, and the costs and benefits associated
with them.
6. How to analyse, measure and assess data and turn it into information that is
suitable for business purposes.

234
7. Awareness of how information software products can help you collect and
analyse information.
8. The legislative and ethical restrictions relating to the collecting, storing and
sharing of information.
9. The importance of checking users understanding of the process for collecting
information and their role supporting it.
10. The principles of cost-benefit analysis.
11. The principle that customers buy products and/or services for the benefits they
give them.
12. The principle of trying to secure competitive advantage so that more
customers will prefer the products and/or services of your organisation.
13. Principles of market segmentation and why this is important.

Industry/sector specific knowledge and understanding


1. The sector and market in which your organization works.
2. Legal and regulatory restrictions that may affect your products and/or services
(or both).
3. Sources of specific information about the market and about the customers.

Context specific knowledge and understanding


1. Your organisations products, services, technologies and processes.
2. Opportunities for collecting existing and new information about the market
and customers.
3. The information about markets and customers that is available within your
organisation, and the systems that are used for collecting and storing the
information.

235