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BSBMGT516
Facilitate continuous improvement
Learner Guide
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BSBMGT516
Facilitate continuous improvementTable of Contents
Table of Contents3
Unit of Competency6
Performance Criteria7
Foundation Skills8
Assessment Requirements9

Housekeeping Items10
Objectives10
1. Lead continuous improvement systems and processes11
1.1 – Develop strategies to ensure that team members are
actively encouraged and supported to participate in decision-
making processes, assume responsibility and exercise initiative
as appropriate12
Clarification of roles and expectations13
Communication devices and processes – such as intranet and
email communication systems – to facilitate input into
workplace decisions14
Long-term or short-term plans factoring in opportunities for
team input14
What information could you provide your team with?14
Mentoring and 'buddy' systems to support team members to
participate in decision making15
Training and development activities16
Performance plans17
Reward/recognition programs for high performing staff18
Why teams don’t work in the decision-making process?19
Decision-making processes in detail19
Activity 1.121
1.2 – Establish systems to ensure that the organisation’s
continuous improvement processes are communicated to
stakeholders22
The stakeholders23
The continuous improvement process23
Systems24
Policies and procedures24
Scenario 124
Forums24
Scenario 225
Scenario 325
25
Scenario 425
Scenario 525

Scenario 626
Scenario 726
1.3 – Ensure that change and improvement processes meet
sustainability requirements27
Addressing environmental resource sustainability initiatives27
Apply the waste management hierarchy in the workplace28
Regulations and Corporate Social Responsibility (CSR)29
Waste management29
Ecological footprint31
Government initiatives31
Productivity stewardship32
Green Office Program35
Green purchasing36
Sustainability reporting36
Supporting sustainable supply chain36
1.4 – Develop effective mentoring and coaching processes to
ensure that individuals and teams are able to implement and
support the organisation's continuous improvement processes37
Effective mentoring37
Types of mentoring37
Skills for mentors38
Mentoring model39
Effective coaching39
Skills for coaches41
Activities 1.2 and 1.343
1.5 – Ensure that insights and experiences from business
activities are captured and accessible through knowledge
management systems44
2. Monitor and adjust performance strategies51
2.1 – Develop strategies to ensure that systems and processes
are used to monitor operational progress and to identify ways in
which planning and operations could be improved52
2.2 – Adjust and communicate strategies to stakeholders
according to organisational procedures55
Problem-solving chart57

Problem solving flow chart57
3. Manage opportunities for further improvement61
3.1 – Establish processes to ensure that team members are
informed of outcomes of continuous improvement efforts62
Activity 3.165
3.2 – Ensure processes include recording of work team
performance to assist in identifying further opportunities for
improvement66
Recording for work team performance66
3.3 – Consider areas identified for further improvement when
undertaking future planning69
Skills and Knowledge Activity73
Major Activity – An opportunity to revise the unit74
References76
Unit of Competency
Application
This unit describes the skills and knowledge required to lead
and manage continuous improvement systems and processes.
Particular emphasis is on the development of systems and the
analysis of information to monitor and adjust performance
strategies, and to manage opportunities for further
improvements.
It applies to individuals who take an active role in managing a
continuous improvement process in order to achieve an
organisation’s objectives.
At this level, work will normally be carried out using complex
and diverse methods and procedures which require the exercise
of considerable discretion and judgement, using a range of
problem-solving and decision-making strategies.
No licensing, legislative or certification requirements apply to
this unit at the time of publication.
Unit Sector

Management and leadership Management
Performance Criteria
Element
Elements describe the essential outcomes.
Performance criteria describe the performance needed to
demonstrate achievement of the element.
1. Lead continuous improvement systems and processes
1.1 Develop strategies to ensure that team members are actively
encouraged and supported to participate in decision-making
processes, assume responsibility and exercise initiative as
appropriate
1.2 Establish systems to ensure that the organisation’s
stakeholders
1.3 Ensure that change and improvement processes meet
sustainability requirements
1.4 Develop effective mentoring and coaching processes to
support the organisation’s continuous improvement processes
1.5 Ensure that insights and experiences from business activities
are captured and accessible through knowledge management
systems
2. Monitor and adjust performance strategies
2.1 Develop strategies to ensure that systems and processes are
used to monitor operational progress and to identify ways in
which planning and operations could be improved
2.2 Adjust and communicate strategies to stakeholders
according to organisational procedures
3. Manage opportunities for further improvement

3.1 Establish processes to ensure that team members are
informed of outcomes of continuous improvement efforts
3.2 Ensure processes include recording of work team
improvement
3.3 Consider areas identified for further improvement when
undertaking future planning
Foundation Skills
This section describes language, literacy, numeracy and
employment skills incorporated in the performance criteria that
are required for competent performance.
Skill
Description
Reading
1.2, 1.3, 1.4, 1.5, 2.1, 2.2, 3.3
· Identifies and extracts relevant information from a range of
complex texts
· Locates, interprets and analyses workplace documentation to
gather information relating to continuous improvement
Writing
1.1, 1.2, 1.4, 1.5, 2.1, 2.2, 3.1-3.3
· Develops complex texts related to continuous improvement
processes according to organisational requirements
· Ensures the vocabulary, grammatical structures and
conventions are appropriate for the context and target audience
Oral Communication
1.1, 1.2, 1.4, 2.2

· Presents information to a range of audiences using appropriate
structure and language
· Listens and comprehends information from a variety of spoken
exchanges with clients, co-workers and other stakeholders
· Confirms understanding through questioning and active
listening
Navigate the world of work
1.1-1.3, 2.1, 2.2
· Develops strategies to enable compliance with legislative
requirements and achievement of the organisation’s goals
· Monitors adherence to organisational policies, procedures and
protocols and considers own role in terms of its contribution to
broader goals of the work environment
Interact with others
1.1, 1.2, 1.4, 2.2
· Identifies and uses appropriate conventions and protocols
when communicating with colleagues and external stakeholders
· Collaborates with others to achieve joint outcomes, playing an
active role in facilitating effective group interaction
andinfluencing direction
Get the work done
1.1, 1.2, 1.4, 1.5, 2.1, 3.1, 3.2, 3.3
· Takes responsibility for developing, implementing and
monitoring systems and processes to achieve organisational
outcomes
· Uses analytical and lateral thinking to review current practices
and develop ideas for improvement
· Reflects on the ways in which digital systems and tools are
used, or could be used, to achieve work goals
Assessment Requirements

Performance Evidence
Evidence of the ability to establish systems and processes for
continuous improvement that:
· Facilitate effective contributions to and communications about
continuous improvement processes and outcomes
· Address sustainability requirements
· Incorporate mentoring, coaching and other support to enable
people to participate effectively in continuous improvement
processes
· Capture insights, experiences and ideas for improvements and
incorporate them into the organisation’s knowledge management
systems and future planning.
Note: If a specific volume or frequency is not stated, then
evidence must be provided at least once.
Knowledge Evidence
To complete the unit requirements safely and effectively, the
individual must:
· Explain how systems and procedures can support effective
continuous improvement
· Explain how continuous improvement systems and processes
relate to other business systems and requirements including,
knowledge management, quality, performance management and
sustainability.
Assessment Conditions
Assessment must be conducted in a safe environment where
evidence gathered demonstrates consistent performance of
typical activities experienced in the management and leadership
field of work and include access to:

· Relevant workplace documentation and resources
· Case studies and, where possible, real situations
· Interaction with others.
Assessors must satisfy NVR/AQTF assessor requirements.
Links
Companion volumes available from the IBSA website:
http://www.ibsa.org.au/companion_volumes -
http://www.ibsa.org.au/companion_volumes
Housekeeping Items
Your trainer will inform you of the following:
Where the toilets and fire exits are located, what the emergency
procedures are and where the breakout and refreshment areas
are.
Any rules, for example asking that all mobile phones are set to
silent and of any security issues they need to be aware of.
What times the breaks will be held and what the smoking policy
is.
That this is an interactive course and you should ask questions.
That to get the most out of this workshop, we must all work
together, listen to each other, explore new ideas, and make
mistakes. After all, that’s how we learn.
Ground rules for participation:
Smile
Support and encourage other participants
When someone is contributing everyone else is quiet
Be patient with others who may not be grasping the ideas
Be on time
Focus discussion on the topic
Speak to the trainer if you have any concerns
Objectives
Discoverhow to lead continuous improvement systems and

processes
Know how to monitor and adjust performance strategies
Learnhow to manage opportunities for further improvement
Gainskills and knowledge required for this unit
1.1Develop strategies to ensure that team members are actively
encouraged and supported to participate in decision-making
processes, assume responsibility and exercise initiative as
appropriate
1.2Establish systems to ensure that the organisation’s
stakeholders
1.3Ensure that change and improvement processes meet
1.4Develop effective mentoring and coaching processes to
support the organisation's continuous improvement processes
1.5Ensure that insights and experiences from business activities
are captured and accessible through knowledge management
systems
1.1 – Develop strategies to ensure that team members are
actively encouraged and supported to participate in decision-
making processes, assume responsibility and exercise initiative
as appropriate
“Continuous improvement is the process of increasing the
quality and services through incremental gains accompanied by
occasional innovation” (Kuratko and Hodgetts, 1995, p.697).
To remain competitive in today’s market, organisations need to
have processes and strategies in place to ensure that they stay

ahead of the competitor.Continuous improvement should not
only be seen in the front of house, it should be encouraged at
every level of the organisation.
Research from many sources has demonstrated that in any
organisational environment that the level of success within a
team can be reflected in the level of support that team members
receive from their managers.It is important that as a manager,
even if you do not say it directly, you demonstrate that your
support organisational initiatives.
You need to make yourself visible to your staff.Something as
small as an acknowledgement of a team member's name can lift
the morale of a staff member – this will usually be reflected in
their performance.
Reflect on your own experiences
Even as a manager, do you not feel good if your superior
acknowledges your efforts?Do you perform better?Why?
Reflect on a time when you did a good job and you were not
acknowledged.How did you feel?
How did it affect your performance level?A good manager
remembers what made them feel positive during their
professional life and takes steps to ensure that they make their
team feel the same way.
Business leaders identify two critical factors which drive
success in world class organisations:
Constantly improving performance by becoming better, faster,
cheaper and more effective
Involving 100 percent of the minds and passion of all their
people in identifying problems and resolving them.
For continuous improvement to work, the senior management
team need to define the framework for the continuous
improvement process.This means that the organisation that you
work in needs to have managers that recognise the importance
of involving their people in teams to tackle problems and
improve the performance of processes that they are responsible
for. They must also work with their subordinates to identify
means to improve the performance of processes which have

more than one function.
Teams need to be supported by management.They need to feel
that as a manager you are supporting their work, whilst being
committed to the organisation and putting in an effort to
improve things.:www.managers-
net.com/improvingperformance.html
For continuous improvement to exist, team members must have
an environment in which knowledge is shared.To make informed
decisions, team members need not only the support of their
management; they require sufficient information to make an
informed recommendation.
Management support and information-sharing practices will
assist not only your team, but also yourself.We are living in a
dynamic age – the role of management is forever changing.To
meet these demands, you need to be able to delegate in a way
that allows you to have the time to meet the organisation’s goals
and objectives.
Clarification of roles and expectations
By providing your team(s) with the information they need to
make informed decisions, you are sharing the responsibility for
the task with your team and empowering them by demonstrating
that you trust them to meet their goals.This will only work if
you provide teams with the information they require to make
decisions.
The first step in any information-sharing process is to ensure
that your team members understand their goals.Goals are
written to provide your team with a precise measurement of
their performance levels.As teams operate at an operational
level, their performance should be measured according to key
performance indicators.
Key performance indicators must use a goal that defines and
measures progress towards organisational goals.For example,
the organisation’s strategic goal is to improve quality by 5 per
cent.The goals in the operational plan are to train staff in
identifying the correct organisational policies and procedures,

in regards to quality, and then to find ways to improve that
quality through processes – these are then improved by your
team.
We have already established that the team should be provided
with their goals, now they have been provided with
organisational policies and procedures.These are your
expectations for your team.The organisational policies and
procedures provide them with what they should perform.
Where may they obtain information in regards to their
roles?When a team member is inducted into the organisation,
they are provided with a job description.This provides them
with a clear explanation of their roles and the skills and
knowledge they should demonstrate.The key performance
indicators, in turn, provide the team with the organisation’s
critical success factors.
This does not mean that your job stops here.You must
continuously ensure that your team has the information they
require to keep up to date, meet their goals, notify them of any
changes to their job description and understand the level of
performance required.As a manager, you can do this through the
communication process.
Communication devices and processes – such as intranet and
email communication systems – to facilitate input into
workplace decisions
Meetings, informal discussions and feedback processes are not
always sufficient ways in which to provide your team with
updates on their roles within the organisation and the changing
expectations of the organisation.
You may, for instance, work in any organisation that operates
24 hours a day and has staff that work erratic shifts for various
reasons(e.g. during the lunch time period); your office may
employ a part-time worker to man the reception while the
receptionist has her lunch and then work in other areas that
cannot be left unmanned during other periods.The part-time
worker is included in the team, but they job share.

Job sharing is the division of one job by two or more employees
who work on a part-time basis and share the work, hours, salary
and entitlements allocated to the job. In these types of
situations, you may find it very hard to book meetings or catch
up with the staff member in general.
In this instance, you may need to use other communication
devices to not only provide updates, but to receive feedback
from staff in regards to workplace decisions.
team input
All long-term and short-term plans must correlate with their
strategic and operational plan counterparts.When staff are
encouraged to participate in the decision-making process, they
take ownership of their actions – “employees that report higher
levels of work effort, customer orientation and problem
solving”.: www.ownershipassociates.com/selfdir.shtm
When you communicate and provide team members with
updated information, it is important to make sure that you are
very clear on what plans will be impacting on their
performance.For example, if the long-term goal of the
organisation is to improve sales by training all staff in
improving their customer service skills, then the team would be
able to recommend whether they should be provided with a
mentor, a buddy system or provided with training from an
external body or in-house.
What information could you provide your team with?
Team members may not be familiar with any of these options,
so you may provide them with definitions and the activities that
they need to do to improve their performance.
Would this information be sufficient?Do you believe that the
team would like the advantages and disadvantages of each?To
make an informed decision, the answer to the previous two
questions needs to be "yes".

Mentoring and 'buddy' systems to support team members to
participate in decision making
A mentor is a person that provides support.Mentors provide
their experience with team members, relating what they have
learned in a way that the person can connect with their own
learning.The mentor is given an opportunity to provide the
mentee with knowledge of their experience.
The advantages and disadvantages for the mentee are:
Advantages
Disadvantages
· Learns the organisation's values
· Placed in a non-threatening environment where they obtain
assistance and support
· They have access to someone who understands the
organisation’s culture, personnel and ways of working
· Resource implications – both mentor and learner require time
to develop skills to plan, review and communicate
· That mentoring is additional and not a substitute for more
training
· If the mentor is not appropriate, the learner could be lead in
the wrong direction
The buddy system is a procedure in which two people, the
buddies, operate together as a single unit so that they are able to
mentor and help each other.
The advantages and disadvantages of a buddy system include:
Advantages
Disadvantages
· They must work together
· They must trust each other
· They must trust the same people to reduce conflict between
buddies
· They may not agree
· They may not trust each other
· They may not like each other

Training and development activities
Training refers to the acquisition of competencies, skills and
knowledge as a result of the teaching of vocational or practical
skills and knowledge that relate to specific useful competencies.
Advantages
Disadvantages
· Development of skills, knowledge and experience
· Costs
· Training does not meet the needs of the organisation
Development (such as professional development) refers to skills
and knowledge attained for both personal development and
career development.It encompasses all types of facilitated
learning opportunities such as coursework and informal learning
opportunities.
Advantages
Disadvantages
· Learning new skills in the advancement of the job
· Costs
So, if you have your job description and the advantages of
disadvantages of being a mentor, in a buddy relationship, in
training and professional development, what is else missing?
Performance plans
Team performance plans are detail plans that:
These goals need to align with the organisation’s objectives by:
1. Making sure that the team performance plan aligns with the
team's purpose
2. Making sure that the team’s purpose aligns with the
organisation' objectives.
The goals in the performance plan are:

KPIs
Goals to improve the competency of the team
Team building goals.
In this exercise, to make informed decision team members
would have been provided with:
1. A job description
2. A definition and the advantages and disadvantages of
mentoring, being a buddy, training and development
3. Team performance plan.
Reward/recognition programs for high performing staff
The previous information alone is not sufficient.Even though,
you have provided them with the information, they require, you
have not acknowledged the high performing staff.In continuous
improvement – otherwise known as Kaizen – rewards can
motivate employees to submit improvement ideas and take the
program along way.It is important to make sure that you
acknowledge workers' efforts.
If you do not recognise a worker's effort in your position as a
manager, you may find yourself in the position where your team
has all of the information but does not do anything with it.As a
manager, you need to motivate your team continuously to ensure
that they work.
The power of employee recognition
Saying “thank you” may be sufficient recognition to encourage
staff to work harder.People who feel appreciated are more
positive about themselves and their ability to provide ideas and
feedback.Be consistent with any feedback that you
provide.Don’t acknowledge one staff member and then ignore
another for displaying the same behaviour.
Rewards
Time is perceived to be an excuse why employees are not
recognised and rewarded.Recognition of an employee’s efforts
is a reward.Rewards and recognition are tools used to motivate

your team to greater heights.As such, a manager should always
take the time to acknowledge team members for their
contributions.These contributions add to meeting performance
goals and strategic plans, so try to make an effort to reward and
acknowledge the employee(s).
Other than a thank you, rewards may include:
Sending hand written notes
Rewarding effort, as well as success
Giving them a free pass to a recreational activity
Taking them out for coffee
Acknowledging them before their peers during a meeting.
Why teams don’t work in the decision-making process?
Robins and Finley – the writers of “Why teams don’t work” –
claim that, for teams to work in the decision-making process,
they must agree to the decision-making processbefore the
decision making discussion starts.The decision-making method
could include any one of the following:
Consensus –Consensus decision making is where all team
members get a chance to air their opinions and must ultimately
agree on the outcome. If any team member does not agree,
discussions continue. Compromise must be used so that every
team member can agree with and commit to the outcome.
Majority –Majority decision making is democracy in action. The
committee puts a motion to the rest of the group and a decision
is made on a simple majority.
Minority –Minority decisionmaking usually takes the form of a
sub-committee of general group or committee that investigates
information and makes recommendations for action. Sub-
committees can be very useful for individual projects, such as
publicity stunts.
Averaging –Averaging is the epitome of compromise.Team
members haggle, bargain, cajole, and negotiate an intentional
middle position. Usually no-one is happy with the result except
the neutrals on the team.

Expert –This is simple. Find or hire experts, listen to what they
say, and follow their recommendations.
Authority rule without discussion –This is where there is
usually no room for discussion, like pre-determined decisions
handed down from higher authority(e.g. Moses on Mt. Sinai).
Trust is often killed with this method, when a team leader tries
to fool their team members into thinking that their opinions
really can affect the decision. Team members know when a team
leader is messing them around.
Authority rule with discussion –This method is also known as
participative decision making. Unfortunately, most people don’t
know what this really means. Many leaders think that they have
to give up their decision-making responsibility. There is nothing
further from the truth. Under this method, those in the decision-
making role make it clear from the onset that the task of
decision making is theirs.They join in a lively discussion of
issues; their opinions count just like other team members. When
they have heard enough to make an educated decision, they cut
off the discussion, make the decision, then get back to all team
members to let them know how their inputs affected their
decision. Most team members feel listened to and are willing to
participate in another team decision using this method.
Decision-making processes in detail
Collective participative decision making is employed a lot by
management.However, when you have many responsibilities,
you may need to consider different options.One such option may
include consensus decision making.
Consensus decision making is a group decision-making process
that not only seeks the agreement of most participants, but also
the resolution and mitigation of minority objections.It is used to
describe both general agreement and the process of getting into
such an agreement.
As a manager, your role is not to manage the decision-making
process but to build an environment for team building.Even if
you don’t take part in the training, at least provide your team(s)

with support.As a manager, you should provide support:
1. Make sure that everyone is heard and feels listened to – do
not let them argue.They need to respect each other and listen to
each other and if necessary assess their understanding to ensure
that everyone is making the same recommendations based on a
clear understanding of the decision they are making.
2. No-one wins and no-one loses. Encourage teams to be
creative.They do not have to agree, but the best decision should
be made for the right problem.Remind them that even though
the decision not being used is not being followed, it does not
mean that it will not be used at a later date.
3. Encourage team members not to change their minds simply to
avoid conflict, agreement or maintain harmony.If decisions are
made too quickly, be suspicious.Why?Only yield to positions
that are objective or have logically sound foundations or merits.
4. Avoid conflict-reducing techniques such as majority votes,
coin toss or bargaining.When team members finally agree; make
sure that they are aware that they will not always be right.It is
not a competition.
5. Differences of opinion are expected and natural.Make sure
that everyone is involved in the decision-making
process.Disagreements can improve the group’s decision.
Be a guide if necessary – do not take over the process, as you
will undermine the team.By recognising and rewarding the team
as a whole, you will reinforce their confidence and trust in each
other to get things right.
Participative decision making is the extent that managers allow
or encourage employees to share of participate in organisational
decision making.
The collective participative decision making style indicates that
the leader is involving the organisation, including sharing
information, perceptions an ideas with the leader.Where
consensus decision making allows the team to make choices,
participative decision making keeps the leader in control.The
leader is solely responsible for the decision and the
consequences.However, members are given a sense of

involvement.In turn, the leader is given different
perspective.When team members are notified before the
decision is implemented there are no surprises and the sense of
involvement is enhanced.
: www.decision-making-confidence.com/collective-
participative-decision-making-style.html
The problem with collective decision making is that it is time
consuming and if the decision-making process relates to
security, it is inappropriate to use the style.If too many people
are involved, the level of risk would be too high.
Activity 1.1
1.2 – Establish systems to ensure that the organisation’s
stakeholders
Communication devices have already been considered in the
previous chapter.For continuous improvement to thrive in an
organisation, it is essential that all team members obtain up to
date information about the decision-making processes that they
are a part of.Variations in who is entitled to access to
information is usually covered in organisational policy and
procedures.
For example; as a manager you are provided access to the
organisation’s budgets.Teams will usually not be provided with
access to this information.However, you may choose to let them
know if you have a tight budget when they make a decision.As
long as the decision does not compromise OHS legislation or
any other legislative requirements, then you are making sure
that they are making an informed decision.
A business system is a procedure or process used to deliver
information to appropriate team members.Organisations will
have systems in place to ensure that all stakeholders have
access to the required information and data to make an informed
decision.

So what are informed decisions?What impact could they have on
the organisation?
An informed decision is one made after learning relevant facts
about the topic it concerns.However, if the incorrect or
insufficient information is provided, then this can have a
negative impact on the organisation both externally and/or
internally.
For example, your team has been asked to increase performance
by looking at their processes and finding ways to meet your
team goals.Your team was provided with job descriptions and an
old set of specifications for your equipment.This was the team’s
undoing.Recent increases in incidents caused the organisation to
re-engineer part of the equipment.Your team was aware of the
changes, but did not realise that the specifications provided
were out of date.
Based on the information your team received, they made a
decision that ended up having a negative impact on the quality
of the product.An increase in broken products caused your
customer to move to your competitor and, as a consequence,
your team lost trust in both you and the organisation.
So, what went wrong with this example?
First the change to your teams’ equipment was not
communicated to the team.Secondly, they were not provided
with the correct information.In both instances, the incorrect
information has been provided and the team made a bad
decision.
In both instances, staff lost trust and respect for you and the
organisation.You will need to work fast to convince your team
that this information was provided incorrectly and that you
support the consensus decision-making process.You may ask the
team for suggestions on improving the system, so this error does
not occur again.
Finally, your increase in defects will have a negative impact on
the organisation.Customers have already moved to your
competitors.Who knows what impact that will have on their
bottom line and your own?The level of trust that you may lose

can be overcome with quick responses and excellent customer
service.
The level of loss of reputation will vary according to the
situation and the organisations and people involved.When
systems are put in place you should consider:
1. Who the stakeholders are
2. The level of access they require to receive information on
updates to continuous improvement processes, so that team
members know the latest versions to find to make an informed
decision
3. The systems required to provide the stakeholders.
The stakeholders
The stakeholdersmay include:
Business or government contacts
Funding bodies
Individuals within the work team
Internal and external contacts
Organisation's clients and customers
Professional associations
Senior management and board members
Unions/employee groups.
The continuous improvement process
The continuous improvement processes may include:
Cyclical audits and reviews of workplace, team and individual
performance
Evaluations and monitoring of effectiveness
Modifications and improvements to systems, processes, services
and products
Policies and procedures which allow an organisation to
systematically review and improve the quality of its products,
services and procedures
Seeking and considering feedback from a range of stakeholders.
You now know who the stakeholders may include and the
continuous improvement processes that could be used to

provide; next, let’s look at the systems that an organisation may
have in place and scenarios in which the stakeholders and the
continuous improvement processes may be used.
Systems
Remember a business system is a procedure or process used to
deliver information to appropriate team members.These systems
are used to ensure that stakeholders have the latest information
to make an informed decision.As an organisation and as a
representative of the organisation in which you work, one of
your responsibilities is to ensure that information is shared with
the appropriate stakeholders.
The faster and the quicker that you respond to changes or a
proactive and predict changes correctly, the more chance the
organisation has an opportunity within the marketplace. In an
organisation there is not just one system on its own used to
communicate to stakeholders.Instead there are whole sub-sets
made up of information that needs to be communicated to
stakeholders.
Policies and procedures
A policy is described as a principle or rule to guide decisions
and achieve outcomes.A policy is usually a commitment to
perform at a specific level.A procedure is the steps involved in
performing a task. The stakeholders involved in the process
should be provided with any improvement process.
Scenario 1
Agim has recently been employed as a manager at Star
Constructions.He is a part of a small administrative team and is
the only employee at work this day.All of the administrative
team have called in sick.They went to dinner at the local
restaurant.All of them ate a bad dish and have food poisoning.
A customer rang and asked a question.Agim opened the Star
Constructions Policy and Procedure Manual.He frowned at the
procedures.On the day he started, he received an email from his

manager stating that the policy for the customer’s enquiry had
been updated to version 10.The version in the Organisational
Policy and Procedure Manual was listed at version 8.
He checks the filing system and finds the correct version.He
emails the company change manager to let them know that
Version Control is not up to date in the administrative
departments.
Forums
A forum is a public meeting or assembly for open
discussion.There are also digital forums found on the
internet.Website members can post discussions and read and
respond to posts by other forum users.The internet form usually
allows all members to make posts and start new topics.
Scenario 2
An organisation operates 24 hours a day, seven days a
week.Days are split in eight hour shifts.Seasonal variances and
cyclical cycles also require the need of part-time, job share and
casual staff, none with set hours.The local union for the
organisation’s industry has found that staff make no effort to
read bulletin boards as they are in a labour intensive field.To
ensure reach and to encourage feedback the union has a forum
that allows staff to provide ongoing feedback and
discussion.The forum has been supported by the organisation.
Meetings
Meetings can be either formal or informal. Formal meetings are
meetings that are planned to gather information or feedback.
Informal meetings may be a discussion between two members of
the team or from feedback.
Scenario 3

Previous experience has taught one organisation that if they
send out emails or mail, their staff members will fail to read
them.To ensure that reach is maximised, they have implemented
weekly staff meetings to ensure that staff know what changes
are being implemented.During the meeting, they are actively
encouraged to provide feedback.
Newsletters
A newsletter can be paper based or delivered via email in digital
format. The aim of most of these formats is to reach as many of
the customers and/or staff to ensure that specific parties are
supplied with information pertaining to changes in processes for
team members or quality improvements in the product for the
customer and the team members.
Scenario 4
A large corporate multinational organisation has ten senior
managers flying all over the world. At the end of each month,
they are required to provide feedback as a part of the
organisation’s corporate policies and procedures. They say they
save on travel time but lose productivity; this meeting is a video
conference.
A video conference is a set of interactive telecommunication
technologies that allows two or more locations to interact via
two-way video and audio transmissions simultaneously.
Web-based communication devices
Over the last decade, there have been great strives by
organisations from a face-to-face team environment using
communication technology.More and more team members are
using asynchronous tools (including emails, discussion groups,
information sharing tools, and group calendaring systems), and
synchronous tools, such as instant messaging and web-based
chatting features to coordinate and share information with
people within and outside the organisation.

Scenario 5
A professional association sends emails to professional
members to apprise them of political, legislative or
environmental changes that will in impact on the way in which
the profession will perform their tasks. This communication
should be reflected in the continuous improvement of
procedures at your organisation.
Professional association
A professional association is usually a non-for profit
organisation seeking to further a particular profession and the
interests of individuals engaged in that profession, and the
public interest. The aim of such an association is to legitimise
the practice of the association.They usually aim to provide a
balance of protecting the community and enforcing standards of
training and ethics for the members of that profession.
Most professions have their own professional association.If you
are not yet a member of that association, then take the time to
find out the name of the association and join them.
1.3 – Ensure that change and improvement processes meet
The NSW Office of Environment and Heritage defines
sustainability as:
Working within the limits of what the environment can provide
Understanding the many interconnections between economy,
society and the environment; and
The equal distribution of resources and opportunities.
Sustainability is about meeting the needs of society, while
ensuring that enough of the environment is sustained to meet
future requirements.
Some of the sustainability programs that you are probably
familiar with are:
The reduction of physical resources such as energy and water
(i.e. turning off your computer after you complete work)

Recycling in both your work and home environment
The redesign of production processes and products to make sure
that materials that are toxic are removed from the workplace
Protect and restore the natural environment that is valued for its
biodiversity and/or beauty.
Addressing environmental resource sustainability initiatives
The pressure is on.In a 2005 study by the Australia Institute,
over $5.3 billion worth of food was thrown away and over $10.5
billion was spent on product that was never used.Further
consumption has increased over 150 per cent since 1960 and
energy use has risen 107 per cent since 1975.In an effort to
counteract these increases in consumption and minimise the
impact to the environment, business has slowly evolved to
sustainable products.
Feeding business is the government; it has put together policies
to protect the environment and to make producers accountable
for their impact on the environment around them.
It is not just a case of businesses implementing plans to control
their impact on the environment; it is the process of businesses
putting together action plans as part of their environmental
management system.As a systematic approach to controlling the
environment, the environmental management system (EMS)
aims to improve organisations efficiency and improve their
environmental outcomes.
For a better understanding of EMS refer to the Department of
Sustainability, Environment, Population and Communities at
URL Address:www.environment.gov.au/topics/sustainable-
communities/government-sustainability/environmental-
management (Access Date: 19.9.2014).You can also refer to
Standards Australia under EMS (ISO14001 and 14004).
These are known as:
AS/NZS (Australian/New Zealand Standards) 14001: 2004 EMS
–requirements with guidance to use
AS/NZS 14004:2004 EMS – general guidelines on principles,

systems and support techniques.
As part of the EMS system, not only should the system have
environmental management plans, such as action plans, it
should also have feedback processes to monitor progress and
improve performance through monitoring and measuring
progress by meeting targets and objectivesas part of its
continuous improvement process.
Apply the waste management hierarchy in the workplace
The waste management hierarchy is both an international and
national guide developed for prioritising waste for optimal
environment outcomes that clearly sets out the preferred order
of practices.Observe the diagram below.The preferred way in
which to minimise your organisation's impact on the
environment is through putting processes and systems that avoid
this in place.
Source: www.zerowaste.sa.gov.au/About-Us/waste-
management-hierarchy
However, if the organisation is unable to avoid its impact on the
environment, they need to work their way through the hierarchy
until they dispose of the resource that impacts on the
environment.Many States are working towards finding viable
steps in reducing waste that can impact on the environment.
Regulations and Corporate Social Responsibility (CSR)
For a complete map of Australian environmental legislation for
Australia, refer to URL Address:
www.environment.gov.au/about/legislation.html (Access Date
19.9.2014) on the Department of Sustainability, Environment,
Water, Population and Communities.
The amount of legislation reinforces the importance the
government and society place on saving the environment.Each
law is backed up with civil, criminal and administrative
penalties should businesses fail to take appropriate action to
protect the environment.One of the aims of Corporate Social

Responsibility is to ensure that the rights of the public are not
affected due to the actions of your business.
For example, human rights extend to the environment in that
everyone “has the right to clean drinking water” (Human Rights,
2011). This reflects the trend obtained from the Thorton
National Business Report that recruitment, public attitudes and
cost management are the leading reasons why business is
involved in the process of implementing CSR initiatives.
For example, as part of a health and wellbeing plan, a company
can attract and retain skilled staff that have an affiliation with
their company because they are environmentally aware.
Public opinion in regards to the practices of an organisation and
their impact on the environment can make a large impact on the
organisation’s image.A company that does not reflect ethical
behaviour can lose customers due to bad publicity.Their
customers will not want to be known to have an affiliation with
them, staff will not want to work with them, so the organisation
will not only lose customers and employees and customers, they
will lose on their return, on their investments and in turn their
business.
How many businesses will stay competitive if they lose their
customers and their skilled staff? None, as no-one will want to
be affiliated with them.If they do not earn money, they will not
stay in business.
Waste management
As demonstrated by the Waste Management Hierarchy, the
nature of waste has changed and it is essential that
organisations take into consideration the options that are
available to dispose of waste.Their decisions need to be
informative and need to reflect the organisation’s internal
policy on Waste Management.
As a manager who must be aware of the waste management
hierarchy and its importance in reflecting the organisation's role
in society in meeting the CSR, it is important that you
understand the need for a National Waste Policy, its aims and

its key areas.
The following is information drawn from the Australian
Government website in the Department of Sustainability,
Environment, Water, Population and Communities at URL
Address:
www.environment.gov.au/wastepolicy/about/index.html– Access
Date: 19.9.2014.Refer to this website in obtaining up to date
information in meeting the changing waste and environmental
needs of your organisation.
Between the periods of 2002 - 03 and 2006 - 07, waste has
increased by 12.8 per cent.In that same period the amount of
hazardous waste has increased by 0.55 tonnes.The type of waste
has also evolved whereby complex goods.
Building on its earlier commitments, the National Waste Policy
responds to the new waste environment, including:
Hazardous substances and wastes
Municipal waste
Commercial and industrial waste
Construction and demolition waste
Gaseous, liquid and solid wastes.
The aims of the National Waste Policy include:
Finding ways to assist organisations in minimizing the amount
of waste that they generate
Managing waste as a resource
Making sure that the treatment, disposal, recovery and re-use of
waste is environmentally friendly and sound
Industry is aware and continuously decreases the amount of
green house gas, energy and production in both water efficiency
and productivity of the land.
The six key areas which would benefit from a national approach
include:
1. Taking responsibility whereby the industry takes a shared
responsibility by reducing their footprint on products and
materials that they use as part of operations
2. Improving the market whereby waste and recovered resources
are used with local technology and innovation, being sought

after internationally
3. Pursuing sustainability whereby waste is reduced and is used
to improve social, environmental and economic benefits
4. Reducing hazard and risk where hazardous waste is reduced
in a consistent and safe manner
5. Tailoring solutions where waste is managed, recovered and
re-used on a national level
6. Providing the evidence – organisations need to give access to
decision makers about national waste and resource recovery
data in and information to measure progress and to educate and
inform the community.
Ecological footprint
The ecological footprint accounts for the flow of energy that is
defined by your economy and converts these into the
corresponding land/water required to support the flow of
energy.The Ecological footprint is defined as “the area of
productive land and water ecosystems required to produce the
resources that the population consumes and assimilates the
wastes that the population produces wherever on Earth the land
and water is located.”[footnoteRef:2] [2: Wackernagel, Mathis
and W. Rees. Our Ecological Footprint. Gabriola Island, BC:
New Society Publishers, 1996.]
The Living Planet Report 2008 estimated that the world’s
footprint is 2.7 global hectares (gha).Australia’s Ecological
Footprint is more than 2.8 times that size and half of the
Australian Footprint is “carbon dioxide emissions from fossil
fuels” (EPA Vic, 2011). A global hectare is roughly the size of
a soccer field.
The economy that you live in is influenced by the lifestyle you
live.If all people lived like Australians, the world would not
have the ability to support us.Australia’s footprint is large
because most Australians live in large cities and houses, travel
long distances and their energy needs are currently sourced by
fossil fuels.

Use the Ecological Footprint calculators on URL Address:
www.epa.vic.gov.au/get-involved/measure-your-
impact/ecological-footprint (Access Date: 19.9.2014) to find out
how much impact that you have on the environment.
By calculating the ecological footprint, you can see what our
impact is and how we can use resources more efficiently in an
effort to secure our personal well-being, as well as that of
humankind and the world.
To find out more about the Ecological Footprint for Nations of
the World, refer to
www.footprintnetwork.org/en/index.php/GFN/page/world_footp
rint (Access Date: 19.9.2014).
By understanding the ecological footprint that you leave on the
world, you will be able to implement steps to control your
movements to decrease your actions.This also highlights your
awareness of the importance of ensuring that your actions
within the organisation you work in will have a positive impact
on the environment.
Government initiatives
The Australian Government is taking action to safeguard the
environment by:
“Reducing our greenhouse emissions
Promoting energy efficiency
Adapting to climate change impact; and
Helping to shape a global solution”[footnoteRef:3] [3:
Department of Climate Change and Energy Efficiency URL
Address: www.climatechange.gov.au – Access Date: 19.9.2014]
To reduce the predicted 20 per cent increase in carbon
emissions by 2020, the Australian Government aims to decrease
their footprint to a half of the current usage.Not only does the
Greenhouse Plus Initiative aim to make renewable industry, it
also aims to help households and business.To read about this
initiative, refer
to:www.environment.gov.au/archive/settlements/challenge –

Access Date: 19.9.2014
Some of their support will be in assisting business into using
more efficient and clean fuels and making jobs that will give
new economic opportunities for Australian workers.
You can read more about the Clean Energy Plan at URL
Address: www.climatechange.gov.au/reducing-carbon/carbon-
farming-initiative/carbon-farming-initiative-handbook/clean-
energy-future –Access Date: 19.9.2014
Make sure that you pay particular attention to reading about
how:
Resource and energy efficiency are improved
That emissions of greenhouse gases is reduced
That use of non-renewable resources is reduced.
It is essential that you know and understand these sections as
part of your final assessment for this unit.
Productivity stewardship
A brochure on “A Framework for Product Stewardship in
Australia” can be found on sustainability website on URL
Address: www.environment.gov.au/protection/national-waste-
policy/product-stewardship – Access Date: 19.9.2014
Productivity stewardship has arisen from the understanding that
manufacturers, importers, governments and consumers have a
shared responsibility to minimise the environmental impacts
associated with products and the waste arising from those
products.The framework provides the government with guidance
on developing effective stewardship policies and procedures and
determines whether product stewardship is appropriate for a
product.
This tool takes a four step process which includes:
1. Focusing when the government and/or industry have an
intervention in regards to a market failure that requires a
solution to a problem.
2. Determines whether the characteristics of the market will
assist in the success of the product stewardship and the best
target to acquire the results.

3. Sets out the principles of the scheme if the product passes the
first two steps.A product stewardship can be aimed anywhere
down the product life cycle, and this target will be based on the
characteristics of the market.
4. The product is reviewed after a specified period of time.
Step 1: When is product stewardship a possible response?
· Market failure or policy objective
AND
· Consequences are high
· A market solution is unlikely
· There is no effective remedy for consequences
Will inform what product stewardship policy approach is best
suited to:
· Waste
· Residual value
· Life cycle
Is there a market failure?Is a market solution no possible?Are
consequences of inaction high?
Yes
Step 2: When is product stewardship most likely to be
successful?
Factors which may influence the success of the stewardship (not
mutually exclusive)
· Concentration in supply side of the market
· Significant local production relative to imports
· Government and industry are committed
· Consumer concerns and commitment to action is high
· The overarching regulatory framework is stable
· Product stewardship is complementary to existing regulation
· Strong industry cohesion
· Industry characterized by repeat business
· Mature or maturing market
· Industry characterised by repeat business
· Industry associations are strong and have comprehensive
coverage

· All stakeholders are covered by the scheme
· Current policy pressures are considered
· A literature review is undertaken
· Consultation with all relevant stakeholders
Will inform:
· When product stewardship is likely to be successful
· What product stewardship policy approach is suitable
Does the market exhibit enough of these characteristics to make
Product Stewardship more likely to be successful?
Yes
Step 3: What should product stewardship entail?
Overarching key principles
· Targeted to objectives
· Shared responsibility
· Delivers a net community benefit
· Environmental effectiveness
· Economic efficiency
· Ease of administration
· Innovation
· Transparency and accountability
· Ownership and acceptability
· Incentives
Yes
Policy approaches
Voluntary Industry Agreements
Voluntary Industry Government Agencies
Co-Regulation
Regulation
Instrument measures:
Product take-back
Deposits Refunds
Product leases
Performance targets
Disposal or recycling fees

Outcomes
Market failures addressed
Improved environmental quality
Improved efficiency of resource use
Behaviour modification
Funding approaches:
Rates
Customer charge
Consolidated revenue
Excise tax
Association fee/levy
Step 4: Ensure scheme is reviewed within an appropriate period
Green Office Program
The Green Office Program provides everyone with sustainable
tips for “reduce, reuse, recycle and turnoff programs.”
They work in partnership with:
Planet Ark
Forest Stewardship Council (FSC)
WPC Group – GreenSkills
Conservation Volunteers Australian.
The aim of the Green Office supply store is to sell products that
re-use products such as recycled paper which they sell to
businesses as part of an initiative to conserve Australia’s
environment.

Green purchasing
In 2009, the Green Purchasing Report was finalised.A copy of
this report can be seen at URL Address: ecobuy.org.au/green-
purchasing-australia(Access Date: 19.9.2014).
The aim of the report is to examine environmentally preferable
or green purchasing in Australia.Organisational policies and
procedures for both private and public sector organisations have
purchasing policies, but few have a green or sustainable
purchasing policy.Lack of legislation has impacted on these
policies and procedures in areas such as labelling and measuring
environmental impact.
However there are still organisations that achieve good practice
through initiatives such as:
Setting clear targets and benchmarks
Coordinate green purchasing
Communicate with staff to develop active behavioural change
Engage suppliers to participate in greening large and complex
supply chains
Trialling innovative and new products.
Sustainability reporting
Sustainability reporting involves organisations and companies
that demonstrate responsibility in reporting their environmental
performance.It is usually delivered in a triple bottom line report
or environmental or social impact report.
Sustainability reporting in Australia is voluntary and can
include:
Corporate Codes of Conduct
National and International Standards
The Global Reporting Initiative
Australian guidelines
Sustainability reporting at home and overseas.
It is highly recommended that you read about these issues in
Australia’s Parliamentary Library under Sustainability reporting
at URL Address:
www.aph.gov.au/About_Parliament/Parliamentary_Departments/

Parliamentary_Library/Browse_by_Topic/ClimateChange/respon
ses/economic/Sustainability(Access Date: 19.9.2014).
Supporting sustainable supply chain
A sustainable supply chain is one that considers the
environment and social aspects of a business’s operations
including its financial return.Consumer demand is continuously
changing, along with lifestyle choices and awareness for the
environment.In response to these changes, organisations
working in partnership with their supply chain work together to
form relationships built on sustainability, so that in all steps in
the process of developing raw materials, packaging, labelling,
etc., sustainability methods are used to deliver an
environmentally friendly product to a consumer market.
In effect, sustainability cannot be maintained if suppliers are
not prepared to work with their supply chain to build a
recognised environmentally friendly product.Organisations'
reputations can be negatively impacted if suppliers make
unsubstantiated claims that cannot be supported by their supply
chain.1.4 – Develop effective mentoring and coaching processes
to ensure that individuals and teams are able to implement and
support the organisation's continuous improvement processes
To ensure that individuals and teams are responsive to the
changing trends in sustainability, quality assurance and
sustainability, it is important to make sure that you ensure that
all staff are aware of external and internal pressures that will
impact on the organisation. It is also important that all staff are
provided with up to date information regarding the impact these
pressures will have on the organisation's policy and procedures.
Effective mentoring
To be a good mentor, you need to:
Share your knowledge that will further personal growth and the
success of the mentee
Give the best version of yourself for mentees to learn from
Provide a mentoring program appropriate to the mentee’s needs

Coaching, whereby behaviour that need to be changed,
improved or removed is addressed
Have a mutually beneficial relationship where both parties trust
each other.
For any mentoring program to be effective, the mentor:
Must not have false expectations, but strive for greater growth
Meet the needs of the mentee
Give trust to the mentee first
Set a realistic time frame
Should not do so without having their own support network.
Types of mentoring
Mentoring is often divided into two types (Buell, 2004):
Informal mentoring relationships develop on their own, such as
when a person approaches a possible mentor and that person
agrees to form a mentoring relationship.
Formal mentoring relationships refer to assigned relationships,
in which the organisation oversees and guides the mentoring
program in order to promote employee development.
An effective mentor balances both types of mentoring based on
the needs of the mentee.Mentoring is an ongoing program and it
is essential that the appropriate type of mentoring is used for
the mentee to apply the skills and knowledge required to
improve performance.
Limitations on formal mentoring programs include the small
number of mentoring relationships they can support and
accommodate may lead to dissatisfaction with the relationship
and negative feelings of those not involved with the program
(DeSimone, Werner, Harris, 2002).
These two types of mentoring can further be divided into two
forms:
Special Project Mentoring in which a mentor helps to guide a
mentee's short-term project (a few weeks to a few months).
Traditional Mentoring in which there is a long-term relationship
where a mentor guides the mentee's career.

Skills for mentors
Mentoring programs can be either internal or external to the
organisation.If you are a mentor, it is important that you build a
rapport with your mentee.
The ways in which you can build rapport include:
Meet with the mentee consistently
List everything covered during the meeting
Chart the mentee’s progress
Demonstrate good behaviour consistently
Provide mentee with feedback consistently
Share your own experiences with them.
Once you have established rapport, it is important to establish
each person’s role in the mentor/mentee relationship.Both of
you should define these parameters in consensus.
Some of the parameters that you set up can include:
Goals and responsibilities – set realistic goals
Ground rules for the mentoring relationship; including when
you meet and how to engage each other.
The mentoring model is set to engage your mentee and assist
you in setting up a productive mentoring relationship:
Mentoring model
Effective coaching
As a leader, you role is to be an effective coach.To be an
effective coach, it is essential that you understand what
motivates people.You need to stimulate your employee to find
the skills for job performance. You are to help that person learn
by unlocking his or her potential to maximise effectiveness.
Different types of coaching:
Business coaching:
Business coaching is always conducted within the constraints
placed on the individual or group by the organisation’s policies
and procedures and goals.
Career coaching:

Using the feedback about an individual’s capabilities, you could
focus on any of their concerns which should lead to increased
clarity, personal change and forward action.
Executive coaching:
This type of coaching aims at improving the performance of the
most influential people within the organisation, the theory goes
that business results should improve. Executive coaching is
often delivered by coaches externally from outside the
organisation whose services are requested.
Performance coaching
To increase their effectiveness and productivity at work, this
type of coaching is aimed at enhancing an individual’s
performance in their current role at work.
Personal or life coaching
This form of coaching provides support to individuals wishing
to make some form of significant changes happen within their
lives. Coaches help individuals to explore what they want in life
and how they might achieve their aspirations and fulfil their
needs.
Skills coaching
Skills coaching provide employees necessary with skills to
perform their role.This form of coaching is tailored to the needs
of the individuals and focuses on achieving skills development
that are linked to the organisation's needs.
Team facilitation:
Team facilitation is about coaching a team before a presentation
to improve performance – as well as self confidence.
Coaching competencies:
The International Coach Federation has defined a set of basic
coaching competencies:
Meet ethical guidelines of the profession
Ability to establish a coaching agreement
Ability to establish an intimate and trusting relationship with
the client
Ability to be fully present, conscious and spontaneous

Ability to express active listening
Ability to ask powerful questions
Ability to be a direct communicator
Ability to create and raise the client's awareness
Ability to design and create action plans and action behaviours
Ability to develop plans and establish goals with the client
Ability to manage the client's progress and hold him/her
responsible for action.
The CIPD has identified general skills that characterise
effective coaches:
Self-awareness and self-knowledge
Clear and effective communication skills
Relationship-building skills (including ability to establish
rapport)
Flexibility of approach
Listening and questioning skills
Ability to design an effective coaching process
Ability to assist goal development and setting, including giving
feedback
Ability to motivate
Ability to encourage new perspectives
Ability to assist in making sense of a situation
Ability to identify significant patterns of thinking and behaving
Ability to challenge and give feedback
Ability to establish trust and respect
Ability to facilitate depth of understanding
Ability to promote action
Ability to build resilience.
Skills for coaches
1. Listening – Listen to your team member.Demonstrate that
you respect their thoughts and ideas.Acknowledge their efforts
2. Questioning – Use appropriate questioning skills to clarify
areas in which you are unclear.
3. Constructively Challenging – Challenging constructively is
about not holding back but at the same time not destroying the

relationship. Many people associate coaching with helping,
which it clearly is. Try to rock the boat.For example:“You’re
doing a great job, but don’t you think this is better?”
4. Holding to Account – Get someone to commit to a goal and
then make sure that they know that they are accountable for the
goal, so they work towards reaching that goal. How effective
are you at holding people to account as a manager?
5. Seeing different perspectives – When you coach someone
give them an opportunity to see and try things from a different
perspective, so that they can choose those that are most
powerful.
6. Encouraging and supporting – Provide support and encourage
them by giving them feedback in which to improve.
7. Trusting and using intuition – Follow your intuition about the
person that you are coaching and trust that your instincts are
correct.
8. Keeping the focus on your client – When you coach someone,
focus on their needs and do not focus on your own agenda.It
should not have any impact on coaching.
The eight skills will not only assist you in being a great coach,
but also in being a good leader or manager.When you coach
someone, complete a self assessment on your strengths and
weaknesses and then develop them.
1.5 – Ensure that insights and experiences from business
activities are captured and accessible through knowledge
management systems
The aim of a Knowledge Management System (KMS) is to help
business create and share information, specifically new
knowledge, experience and expertise.The gathering of
information does not necessarily mean that people understand
the knowledge.Individuals within the organisation need to have
the capacity to change information into something that is

understood by the organisation as a whole.
For example, you find a piece of information.You stare at it and
wonder what it is for.However, over time, you receive more of
the same information and may be able to identify a relationship
between the information which then forms a pattern.In a
business context, consider the fact that your organisation starts
buying environmentally friendly raw material that is transferred
into a viable product.
: www.systems-thinking.org/kmgmt/kmgmt.htm
Over time, you obtain feedback that sales are increasing.During
that time, you have introduced more environmentally friendly
products to the market and demand for your product further
increases.If you look at the introduction of the product and the
increase in sales as separate entities, you will see nothing.It is
only when you make a connection between the increase in your
environmentally friendly product and increased sales that you
will be able to identify the pattern.
Your information has now evolved from information to a pattern
called knowledge.This pattern can become a principle called
wisdom as you come to realise that the information patterns
representation knowledge.
To ensure that all of your team understands these concepts, it is
essential that you develop a method in which information can be
transferred to team members and individuals.It is important to
remember that not all people learn in the same way so there may
not be one main way in which to transfer that knowledge within
the organisation
Knowledge management systems may include:
Best practice transfer:
Change programs are put in place to improve the performance
and standards of the organisation.Yet, there are many stories
whereby the change is introduced and implemented, but they
fall apart when workers decide to hold back information.A key
to the resistance to change is by overcoming a workers
resistance to sharing, collaborating and using.
By ensuring that you obtain the maximum impact and value

from a change you need to put in place the minimum amount of
incentives.This can be done through:
1. Prioritising, locating and analysing – As a manager, one of
your roles is to identify the high performers and document their
potential best practice.
2. Seed manage and debate – put a group of skilled workers
together with various skills to determine which practices would
work best across the organisation
3. Create and communicate incentives for change – this means
that you tell the workers what is in it for them from the
start.Non-monetary benefits could include changing workers'
schedules or recognition from management that will lead to a
bonus.The worker would also need to know what the sanction
for non compliance is.
4. Back the program – demonstrate the company’s willingness
to invest in ideas and provide the resources to support the
transfer of knowledge.
5. Appoint leaders who are looked up to and ensure that they
assist in facilitating the smooth implementation of a plan.They
should be accountable for the results and the transfer of
knowledge.
The transfer of knowledge requires documentation, training and
direction and ongoing tracking and performance
measurement.Management must be clear on what they can and
can’t do.Steps also need to be taken to ensure that changes do
not become institutionalised.Once this happens it will be even
harder to ensure that workers learn new concepts and apply
them to the workplace as part of the continuous improvement
process.
Communities of practice:
A community of practice is a successful technique that can be
used to install a KMS.The soft approach to a community of
practice is that lifting the knowledge level of staff should be
completed through a culture that sustains learning and sharing
of that learning.A community of practice supports the gathering
and distribution of information across organisations and

industry by serving:
As a forum that exchanges information as it is needed
To retain tacit knowledge through the discussion of current
issues and processes
To build individual competencies through discussion, problem
solving and the exploration of new technologies.
Cross-project learning:
You can learn by the mistakes of the past.By following the
actions of previous projects, managers can take steps to ensure
that the same problem does not arise in their own project.For
example, an individual did not receive the correct information
on time so they decided to wing it when they decided to accept
the offer of a client.That decision cost the organisation a lot of
money.
By learning from the mistakes of the past, an organisation can
improve their policies and procedures to ensure that decisions
cannot be made without the latest information.Informed
decisions need to be made for the success of the organisation.In
this way, the organisation is using procedures to improve their
processes.
Expert directories:
An expert directory is a directory of people who are experts in
specific subjects.When your organisation desires or requires a
specific skill set or knowledge, then you can research the
directory to find a person who has the skills and knowledge that
you require.They can then teach you what you need to know.
Knowledge brokers' knowledge mapping:
There is never just one community of practice.You may be a
part of several communities within a workplace.These
communities build and develop knowledge.A broker is a skilled
worker who works in different communities and their
knowledge is gathered across the communities and applied
within them.These brokers of knowledge can then use their
skills to develop the knowledge of the individual or the team.
Knowledge mapping is the process that an organisation utilises

to identify their knowledge assets.This means that they must
map the skills and knowledge of their staff against the skills
and knowledge required for the organisation.The expertise
identified is then analysed for barriers and constraints to
meeting an organisation's goals and objectives.
A broker’s knowledge can be utilised to identify a need and
then a knowledge map (k-map) can be developed to identify any
knowledge gaps.
A knowledge map is created by identifying the skills and
knowledge of a team member and comparing that knowledge to
what they need to know.
Questions that may be asked include:
What are the available knowledge resources?
Are these resources clusters or communities?
Who will ultimately use the knowledge?
What is the lifecycle of the knowledge?
Knowledge repositories:
Knowledge is an essential resource today.To remain
competitive, an organisation must have the ability to learn and
respond to problems and opportunities as soon as they
arise.Knowledge becomes obsolete in a lot of instances, as new
knowledge takes its place. The acquisition of knowledge must
be ongoing.
Knowledge sharing must be ongoing and workers need to be
able to gather data swiftly to resolve problems and decision
making within the organisation.Knowledge sharing and the
assimilation of information should be accessed in one location
and in one collective culture to ensure that knowledge is kept
within the organisation, even when other team members leave.
This means that as a problem arises the information collected
will assist in identifying ways in which to resolve it
continually.This means that even though people leave the
organisation, they will leave behind their knowledge that can be
utilised to improve an organisation’s responsiveness to the
market and to assist in identifying what will and won’t work.
Measuring and reporting intellectual capital:

Like knowledge, the intellectual capital of your team will be
able to provide your organisation with a competitive
advantage.By measuring and monitoring intellectual capital you
will be able to measure how much possible competitive
advantage a team may have over other teams.One person may
not have sufficient knowledge, but a team of people working
together may put together information in a way in which the
information retained, analysed can be used to improve processes
and procedures in the organisation.
Performance management:
Performance management can be utilised to measure the
performance of team members and to identify areas for
improvement to meet the needs of the organisation.This
knowledge is a method used to continuously improve the
performance of the team through continuous review and
assessment.
Post-project reviews:
Once a project is closed or it is decided that a project can go no
further, it will be stopped.A post-project review meeting will be
scheduled with the aim of assessing what happened during the
project – what were the positive results, the negative results –
and to discuss lessons that team members learnt.
Each member of the meeting has different responsibilities that
are allocated.The success of the post-project review meeting
lies in the ability of its participants in objectively assessing the
projects strengths and areas where they can improve.This
objective assessment uses the knowledge gained to improve on
future projects and to ensure that mistakes made do not recur
again.
Proximity and architecture:
Proximity and architecture reflects on the physical situation of
the employees of the project can be either conducive or
obstructive to the sharing of knowledge.When an organisation
needs to learn faster, it must shorten the time between
acquisition and diffusion of that knowledge.By using

collaborative learning, which is supported by a culture that
manages diversity of thought you can generate a knowledge
exchange and development proximity. This will create
architecture that gathers a collective intelligence away from the
norm which is then introduced back into the project to ensure
that knowledge is transferred. Change is then supported to meet
the needs of the project and the parties to the project.
Social software:
Social software and applications such as communication tools
that are used to capture, store and present written, audio or
video to mediate interactions between a groups of people
relating to the project they are undertaking.This information can
be then viewed and the knowledge from these interactions used
to improve the communication process and the gathering and
sharing of information during a project.Communication could
include instant texting, blogs, or internet forums.
Storytelling:
Storytelling, from an early age, assists us in sharing knowledge
and can become a competitive weapon for organisations.Story
telling as described by Steve Denning formerly of the KM
World Bank believes that there are seven reasons why story
telling enhances business.
They are to:
1. Persuade people to change: Stories give team members a
basis of acceptable behaviour in the organisation.By using
conduct that reflects this behaviour, they will be accepted more
readily by their peers
2. Communicates who a person is: Stories demonstrate that you
will maintain a certain level of professional conduct that should
be reflected by your team.It gives team members a way in which
to identify with you
3. Gets people to work together:As new people enter the
organisation and learn the stories of the organisation, they learn
what acceptable behaviour is and adjust the way in which they
perform to reflect this.So, if they enter a work place geared
towards continuous improvement and team development, they

will adjust their performance to fit in
4. Transmits values – personal and organisation: Stories should
tell a story that team members and individuals can learn
from.These values need to reflect the policies and procedures of
the organisation.
5. People always need something to gossip about.By developing
stories within the organisation, you will be able to control the
stories that are told to ensure that your team operates without
the drama and emotion derived from the made up gossip.
6. Shares knowledge: Stories need to be developed to provide
information to the team.For example, a story that reflects that
you as a manager support your team can reinforce that you do
not just walk the walk, but actually participate in your team’s
development and ensure that team members succeed.These
stories will usually evolve based on your actions.Always back
up what you say with doing.
7. Leads people into the future: When you are respected by your
team, they will watch what you do and listen to what is said
about you.When you are respected, most individuals will
usually try to emulate you.These actions will teach these team
members the acceptable practices that will lead them into the
future.
2.1Develop strategies to ensure that systems and processes are
used to monitor operational progress and to identify ways in
2.2Adjust and communicate strategies to stakeholders according
to organisational procedures

2.1 – Develop strategies to ensure that systems and processes
are used to monitor operational progress and to identify ways in
Globalisation and technological innovation has caused
consumers to become more knowledgeable.To obtain a
competitive edge your organisation has to be responsive to
changes not only in demand, but to changes in legislative
requirements and other trends.The quicker you are able to
respond, the faster you will be able to sell your product to the
customer.
Operational responsiveness is the ability of business processes
and systems to respond to both the external and internal
changing conditions as they occur, enabling business leaders to
respond quickly to maintain a competitive edge.Customer
interactions will play an important role in operational
responsiveness.Organisations are in business to sell to
customers.By responding to customer demand quicker than the
competitors, organisations may obtain a larger share of the
market.
To capitalise on new opportunities, organisations need to have
the policy and procedures in place to:
Increase efficiencies:
As part of any continuous improvement, organisations need to
have processes in place aimed at ensuring that the organisation
is responsive to changes in the market.One way in which to
observe changes to the market is through environmental
scanning.
Environmental scanning is the process of gathering, analysing
and dispensing information for tactical or strategic purpose.The
environmental scanning process entails obtaining both factual

and subjective information on the business environments in
which a company is operating in.
Once you have identified a change to the market, you can be
proactive and respond to the projected changes before they
come into fruition.In turn, you will be ahead of your
competitors and this means you will interact with your customer
sooner.
Mitigate risk:
Occupational Health and Safety policies and procedures should
be aimed at identifying, controlling and minimising risk.Instead
of paying an environmental scanner to research OHS, you could
actually apply at a professional association (who tend to supply
employers with ongoing updates of any changes to OHS that
will impact on your industry) or you can enrol for updates at
your State or Territory's website for OHS updates.
Meet new challenges:
Technological innovations, changes to legislation can place a
large financial pressure to some industries.Providing your team
with ongoing support and building the confidence of the team
can have a positive impact.Your team will be prepared for any
contingency and work together to ensure that they resolve any
problems as soon as possible.
Monitor business activities:
Environmental scanning, professional associations and signing
up for email updates are not the only way in which your
organisation can monitor the external market.Suppliers, delivery
drivers and other external customers are also able to provide
both formal (surveys) and informal (discussion during sales)
about changes in demand.
For example, your suppliers at times deliver to your
competitors.There are times when the drivers are assigned to
deliver goods may make a passing comment about a delivery to
your competitor for a specific product.This information, in the
right context may assist you in identifying the correct changes
to your organisation's operations.

Process information faster:
To remain competitive, organisations must have the capability
to be able to respond to the market demand faster than their
competitors.This happens through organisational progress.
Organisational progress is achieved when new or different
circumstances, conditions and/or the relationship are “better
able to make the organisation through effective management to
move from one desirable state of existence into another.”
If an organisation is unable to capture the changes, then the
organisation will miss the chance to have a competitive
edge.This in turn, could put the organisation on the first path to
failure.
Operational progress is measured in different ways within the
organisation.Your organisation may only use one of these
indicators or they may use all.
Operational progress may refer to:
Customer service indicators:
Have you beaten your competitors in changing to meet your
customer’s requirements?Key customer service performance
indicators can be utilised to determine whether the goals of your
department have been met, exceeded or not reached.For example
your customer’s buying trends have changed in recent months.A
formal survey was sent to your regular customer’s to identify
why sales have decreased.
Based on customers’ feedback, your organisation may have
altered processes in production to cut on costs.Customers were
no longer prepared to pay the same prices as more and more
competitors entered the market.By making minor adjustments to
processes without compromising the quality of the product, the
organisation was able to cut costs and transfer the savings to the
customer.
Occupational Health and Safety indicators:
OHS performance indicators may be measured through the
amount of injury, frequency and the duration rate.These rates
can be acceptable levels.This is usually measured

internally.Were staff injured in the production of a product?If
so, how?Conversely, if one customer identifies that they are
getting small electrical shocks when they use the product, what
is an acceptable level of risk?
This type of risk could be escalated if the organisation ignores
the complaint.This type of feedback may seem small, but you
have been advised that there is a problem with the product.The
organisation may perceive this as a nominal risk, but what
happens if the next day, two more customers gave the same
feedback.Where the organisation may have thought that this is a
singular incident, when the same feedback was received for
other products, then the level of risk is escalated.
Productivity gains:
Changes to processes that speed up production can ensure that
organisation sells more products.This could be completed by
eliminating or speeding up processes.Changes to raw materials
may make the development of the product easier so that
performance to the product is enhanced.
Success in meeting agreed goals and performance indicators:
Meeting agreed goals and performance indicators can be
perceived as a success. As part of the continuous improvement
process, once goals are continuously met, the organisation
should then identify ways in which to exceed their goals.
Processes and systems, policies and procedures, goals and key
performance indicators should be used as benchmarks to
improve operational responsiveness.The organisation's progress
is measured based on the speed that they respond to feedback
and other measurements that are used to enhance performance.
It is essential that an organisation should not make a decision
on feedback until it has been thoroughly researched.However,
care must be taken to ensure that the organisation does not take
too long to respond to changes based on feedback.
2.2 – Adjust and communicate strategies to stakeholders
according to organisational procedures
Another aspect of being operational responsive is your

organisation’s ability to ensure that the correct members of your
team obtain access to the required information.
For example, there has been an increase in negative feedback
from the organisations that you supply parts to.As a manager in
the organisation, you should not automatically take feedback as
a need to change.
As a manager, it is important that you make an informed
decision.To make an informed decision you need to make sure
that the information you have is correct.When you delegate a
member of your team to research negative feedback, you must
make sure that they have the skills and knowledge to perform
the required tasks.They will also need to have the authority to
have access to the correct information.
Once you have delegated a team member with the task, they
should use their knowledge of the organisation to research
different causes of the problem and communicate those
strategies in consultation with the team.
Problem solving is a seven step process in most instances.Your
organisation may have other problem-solving cycles that they
use.
To solve a problem take one step at a time:
1. Identify the problem:
This is the most important part of any problem solving.If you
are not clear on what a problem is then your team will be
wasting time and resources solving the incorrect problem.
In this case, the problem is that there has been an increase in
the amount of returns your customer has received.Their research
has identified that the problem comes from your organisation as
the parts are snapping.
2. Explore the problem:
When you have clearly identified what the problem is, you
should think about the problem in different ways.Ask questions
like:
Who is the problem affecting and how?
What do they do about it?
Looking at the problem from different perspectives will assist

you in identifying an effective solution.
For this case, the problem may have two possible causes.They
could be that:
1. It may be a problem with the organisation’s internal
processes
2. The supplier has changed the raw material so that the quality
of your organisations process is compromised.
During the exploration of the problem, your team may have
needed to contact several parties.In this example, the cause of
the possible problem with this case is that:
1. Your supplier has changed their processes and this has
impacted on the quality of your product; or
2. Your own production crew has changed procedures and this
impact was not forecasted.
For the sake of this discussion, you contacted your production
staff and found that no procedures were changed.You contacted
the supplier and found that they had changed the procedures for
developing the raw materials.
3. Set goals:
In this instance, the goal would be to find viable ways in which
get your product up to the same standard
4. Look at alternatives:
Alternatives may include:
Find another supplier
Resolve the problem with the supplier
Discuss the avenues available to the organisation with your own
customer.
5. Select a possible solution:
As part of any consultation process, you would ensure:
That all parties were continuously consulted and received
feedback for each step in the process.
That the most viable avenue was chosen to keep the customer
happy.
6. Implement a possible solution:
Resolve the issue.

7. Evaluate:
In consultation with your supplier and customer you would
provide feedback, make sure that your customer is happy with
their outcomes
You should strengthen your relationship with your supplier.In a
strong customer/supplier relationship, your supplier should have
discussed changes to their processes with you.
In some instances, depending on the circumstances, some
organisations will cancel the customer/supplier relationship.
Problem-solving chart
To assist your team in the communication process, a flow chart
like the one shown below may be used to assist in ensuring that
the organisation's procedures are followed.
Problem solving flow chart
Ensure reliable communications:
In every step of this process, you would have needed to
communicate and consult with stakeholders.For example, to set
goals in step three, you would have been required to consult
with the supplier, the production team and management.You
should have also kept your customer abreast of the changes and
when they would take place.
Route information to get the right data to the right person:
Your organisation would also have in place the correct order in
which you should, for example, contact your supplier.In real
time, your client may have changed to your competitors.You
should have maintained a strong relationship with your
supplier.The supplier should have communicated changes to the
raw material to you so you could, in turn, consult with your
customer.
When you communicate with other departments within the
organisation, it is important that team members follow the
correct procedures.There are usually knowledgeable experts that

would be able to answer questions in regards to the production
process.Even though your team may not be required to consult
with another party, courtesy would usually dictate that your
team members contact the supervisor for the production
department and ask for permission to consult with the
appropriate staff.
3.1Establish processes to ensure that team members are
3.2Ensure processes include recording of work team
improvement
3.3Consider areas identified for further improvement when
3.1 – Establish processes to ensure that team members are
Change management can be a very daunting task for team
members especially if they are not familiar in working in a
dynamic organisation.As a manager, the success of any change
usually stems from the manager's ability to provide team
members with appropriate information; for example, what is the

change? What is the importance of it? What is the impact of it?
In an organisation that wants to remain competitive, change is a
normal part of a team’s existence.
So you can have a better understanding of the change
management process, let us now view, Kotter’s eight-step
change model:
For this model to be successful, management must support the
change.If they don’t, then the level of risk rises.For change to
be successful, you need to:
Step One: Create the need for change
Identify the opportunities, the threats of the change and make
sure that your staff understand what will happen if they do not
change.Strengthen your argument by getting customers,
stakeholders and industry people to reinforce what you tell your
team.
Step Two: Prove that change is necessary
Identify the leaders and get them to support the process.Work
on team building and build on areas of weakness.
Step Three: Create a vision for change
Why change?Make strategies to execute the organisation’s
mission.
Step Four: Communicate the vision
Provide ongoing information to your team.They need to know
when to expect the change.What their role in the change is and
what impact the change will have for them.
Step Five: Remove obstacles
If people are resisting change, find the cause of the change and
help them to see what they need to do.People usually resist
change when they are insecure and do not know or understand
what is expected of them.
Step Six: Create short term wins
Give team members realistic targets.Reward people when they
reach their targets.

Step Seven: Build on the change
After every win, analyse what went right and how you can
improve on the change.Keep ideas fresh and get leaders to
actively contribute to the process.
Step Eight: Anchor change in corporate culture
For change to stick, it must become a part of the organisation’s
culture.Create plans, recognise key members, tell success
stories and include change when hiring and inducting team
members.
Look at each step of this process.Have you noticed that at each
and every level, you need to communicate on some level,
whether directly or indirectly with members of your team that
you need to reinforce your support of the change management
process? Notice that without communication, change would not
succeed.
You can find other models of change at Mind Tools:
www.mindtools.com/pages/article/newPPM_82.htm(Access
date: 19.9.2014).
Each and every model will also require that change must be
communicated to team members and anyone else that is part of
the process.
To ensure that this plan is communicated, many organisations
develop the communication plan.
A communication plan is a written document that describes,
what you wish to accomplish, ways in which you can
communicate to accomplish your goals, who you wish to
communicate with and how the results will be evaluated.For
instance, in change management, your goal is to change a
process to improve a product/process or service, you need to
communicate the change to all parties in the organisation so
everyone changes the process at the same time and how the
change process will be calculated according to the goals set.
To develop an effective plan, you need to know:
What everyone is doing as part of the change process and how it
is communicated

What the communication activity is trying to achieve
How effective the change is that has been communicated.
To implement a communication plan in change management as
part of the team's continuous improvement process you are
required to:
Define objective: who needs to be reached, how and what
information must be communicated to them?
Define the audiences and determine which method of
communication will have the most reach.This will depend on the
parties the change is communicated to and how much support
they need in the change process.
Goals: What are the stated objectives and what methods will be
used to communicate the change?
Identify tools: Emails, faxes, video conferencing.
Develop time lines:It is essential that all members know exactly
when the change is going to be implemented, who to and how
the change is going to take place.Most changes in the
continuous improvement process are incremental and
ongoing.For change to happen it must be communicated.
Evaluate the process: No matter how good you believe the
organisations change management process is, there will always
be room for improvement.
Make sure that the change is communicated according to the
plan.Failure to do so could very well mean that the change was
not implemented correctly.Once a communication plan has been
implemented, it is important that the plan is reflected in the
policies and procedures of the organisation.
Activity 3.1
3.2 – Ensure processes include recording of work team
improvement
Planning is an integral part of any organisation's

success.Planning is a very powerful and personal tool for
individuals –important to any business' success – and requires
record keeping.The maintenance of records is an essential tool
that records the history of the organisation. Time should be
allocated to ensuring that records are maintained and kept up to
date.For an organisation, up-to-date records assist in ensuring
that your organisation gets a good return on investment.
Recording processes need to be accurate, easy to follow,
consistent as to the needs of the organisation, reliable and
simple.Good record keeping is a prerequisite to ensuring that
you are operating within your budget.Records can also be used
to assist you in future decision making.Businesses also have a
legislative obligation to maintain records as it is a requirement
of taxation law.
Under tax law, businesses must keep full records that explain all
of the organisation's business transactions.All documentation
must be kept for five years from the date of lodgement.
Maintaining records is also an important part of the
organisation’s continuous improvement process.You need to
know:
Whether your staff have the ability to meet their goals and
objectives.
Whether staff require training; if so, what training?
Where should staff improve?
Is the team performing at optimal levels?
These questions can be answered through following the
organisation's records.By keeping accurate and clear records,
you are not only maintaining the ongoing success of the
organisation, you are able to identify problem areas and take
corrective action to minimise problems in quality assurance.
Recordingfor work team performance
The recording of work team performance may include:
Annotated performance plans
Developing a performance plan assists you in making sure that
your team has clear direction and purpose, clarity of the

expectations of their role and a beneficial tool to maximise their
performance management discussions with you, as their
manager.Performance plans are able to provide your team with
guidelines and principles on managing performance and how to
apply it.
As a manager it is important that you provide your team
members with a clear indication of what your expectations are,
and any training and development that staff are required to
participate in to meet the expectations laid out in their job
description.The performance plans ensure that you meet this
goal.
Each organisation has its own review times.The review of the
performance plan could be anything from three months to
annual reviews.When a goal or expectation is not met then it is
your responsibility with your team member to identify how to
breach the gap in skills or performance.
Recommendations for improvement
A record for improvement processes both accepted and rejected
should be kept.A suggestion rejected today may be accepted
next time.As process evolve and change, different ideas that are
not acceptable or relevant now may actually be suitable in the
future.
Documentation of why a suggestion for improvement was not
accepted can save time in the future.For example, to improve
processes your team had a brain storming session.A specific
process was discounted.Even though it was a new technological
innovation, the implementation of the process required that the
organisation purchase a piece of equipment.If your department
purchased the equipment, you would blow the whole year’s
budget.
There was another brainstorming recommendation that
performed the same task.Twelve months later, a similar problem
arose.Customer spending was up and demand had
increased.Your budget had increased and in the twelve months
the price of the product decreased, as more suppliers for the
product entered the market.What was not viable twelve months

ago is now attainable.
Quantitative data such as production figures
Quantitative data is data measured or identified on a numerical
scale.This information can be made user friendly through the
use of tables, charts, graphs and histograms.This data can be
extracted from production figures, ratio analysis, budgets and
other numerical reports.
For example, if production in your organisation increased
suddenly then you would need to identify the cause of that
increase.That increase could stem from changes to legislation
that increased tax on a product that was then reflected when you
purchased it from the supplier.
Records and reports
Records and reports can be used to:
Identify pre existing problems
Staff turnover can mean that some aspects of the organisation
are lost as the older staff take the organisational identify with
them as they leave.If reports and records are maintained, then
this information is not necessarily lost.
Identify areas for improvement
Incremental change is when minor changes occur at a slow rate
when required.Records of these changes can assist you in
identifying what improvements have already been implemented
and superseded.If a process has already been superseded then
improved upon, your records and/or reports will assist you in
making sure that you do not repeat a process that has already
been superseded.
Areas that may be a problem in the future
Remember that, to maintain a competitive edge, you must
change before your competitors.Records may be used to identify
a change in consumer trends.Once that change has been
identified, researched and confirmed, then your organisation
should proactively set in motion the organisation's change
policy and procedures.

3.3 – Consider areas identified for further improvement when
The main goal of quality management is to improve
performance.Quality indicators can identify that a problem
exists and an action plan needs to be implemented to rectify and
improve the processes.
For the best indicators, performance management should be
driven by data and clear evidence that quality indicators are not
being met.
Typically, the action plan is designed to either improve an
existing process or create a new one that will enhance care.In
correlation to the implementation of the action plan, data and/or
evidence should be kept to ensure that the action plan was
successful.
Aside from being a response to quality assessment findings,
performance improvement activities may also be selected and
designed based on the following considerations (Kaiser, 2002):
The organisation's mission, vision, goal, and strategic priorities
Current sources of information (i.e., standards of practice from
professional and governmental organisations, industry
pathways, current literature)
The performance and outcomes of the processes of other
organisations.
For areas that have been identified for improvement, your
organisation may have policies and procedures for a
Performance Improvement Plan (PIP).An effective way in
addressing and resolving poor employee performance is through
a three step process (demonstrated on the following pages).
Step 1:Communicating expectations and performance problems
In any change process, it is important that you consider any and
all legal requirements that may have an impact on the change
process.It is important that you consider all OHS requirements,

Privacy laws, Tax Law, Anti-discrimination law and if you are
making any changes to the engineering of equipment, it is
essential that you communicate with the manufacturers to
ensure that any changes made are not going to compromise the
safety of the processes or equipment.
Many organisations are now members of the International
Standards Organisation, such as ISO9002 and ISO14000, which
standardises the quality and control of not only procedures and
policies internal to the organisation, but documentation,
whereby Version Control and flow of information is
communicated to all levels of the organisation, both internal
and external.
Performance issues at this level may require that employees
obtain some type of counselling in regards to their
objectives.Performance counselling aims to:
Advise employees that their performance is inadequate
Ascertain the reason for the lack of performance
Specify exactly why their performance is not acceptable
Specify what the employee is expected to do in the future
Provide clear warnings that a failure to correct performance can
lead to adverse consequences.
Step 2:Providing an opportunity to improve (Performance
Improvement Plan)
Employees must be provided with an opportunity to
improve.Usually if an employee is unable to demonstrate the
required expectations with the correct resources, some
organisations will use this as grounds to dismiss an
employee.Other companies may only use the Performance
Improvement Plan as a tool to assist employees in improving
their performance.
The steps usually used in the PIP procedures usually include:
1. The identification of unacceptable performance standards
2. Informing the employee that they are going to be issued with
a PIP
3. Employee receives PIP and is given between 60 to 90 days to

improve
4. Employee’s performance is reviewed.
During this whole process, you should provide your staff
member with the required level of support to obtain the
performance level required.
Step 3: Taking action
This usually includes steps three and four of the PIP procedures
above.Support may include:
Access to procedures
Copies of job description
Meetings
Support of a mentor or a coach depending on the performance
levels required.
In developing a PIP, you are planning for the future needs of
your team.Once a performance inadequacy has been identified
and addressed, then the staff member will be at a level to learn
a new skill that may be required as part of the organisations
continuous improvement process.
Future Planning (processes and procedures):
What are your competitors doing?
Why is demand changing?
What impact does less consumer spending have on our return in
investment?
Are our contingency plans still sufficient?
All of these questions and more run through the minds of
management.As demand changes, technological innovation
strives ahead and the consumer becomes even more discerning
in their wants, needs and expectations.It is important to make
sure that you are always scanning the internal and external
environment to make sure that you stay ahead of your
competitors.It can be the difference in maintaining your share
of the market and losing it.

Skills and Knowledge Activity
Nearly there...Major Activity – An opportunity to revise the
unit
At the end of your Learner Workbook, you will find an activity
titled ‘Major Activity’. This is an opportunity to revise the
entire unit and allows your trainer to check your knowledge and
understanding of what you have covered. It should take between
and 1-2 hours to complete and your trainer will let you know
whether they wish for you to complete it in your own time or
during session. Once this is completed, you will have finished
this unit and be ready to move onto the next, well done!
Congratulations!
You have now finished the unit BSBMGT516‘Facilitate
continuous improvement'.
References
Australia Institute
URL Address: www.tai.org.au
Access Date 19.9.2014
Australian Human Rights

Corporate Social Responsibility
URL Address:
www.hreoc.gov.au/human_rights/corporate_social_responsibilit
y/corporate_social_responsibility.html
Coaching
URL Address:
www.brefigroup.co.uk/coaching/types_of_coaching.html
26.01.2011
Consensus decision making
URL Address: www.npd-solutions.com/consensus.html
EPA
Ecological footprint
Measuring our impact on the environment
URL Address:www.epa.vic.gov.au/get-involved/measure-your-
impact/ecological-footprint
Kotter’s eight-step change model
URL Address:
www.mindtools.com/pages/article/newPPM_82.htm
Access Date:19.9.2014
Ownership Associates Inc
Self-direction and Employee Ownership
URL Address: www.ownershipassociates.com/selfdir.shtm
Sustainability reporting
Parliament of Australia
Parliamentary Library
URL Address:

www.aph.gov.au/About_Parliament/Parliamentary_Departments/
Parliamentary_Library/Browse_by_Topic/ClimateChange/respon
ses/economic/Sustainability
Team performance plans
URL Address:
www.dlsweb.rmit.edu.au/toolbox/leadership/toolbox/tp/tp_c15.h
tml
The Art of Best Practice Transfer
Kocourek, P.F, Mancini, W.J and Calderon, M.
URL Address: www.strategy-
business.com/article/20785?gko=cd952
The NSW Office of Environment and Heritage
URL
Address:www.environment.nsw.gov.au/sustainability/index.htm
MSA Training and Professional Development Phone: 03 9905
3180
Room 159, 21 Chancellors Walk Website:
monashshortcourses.com
Monash University Clayton, Vic 3800
BSBMGT516V3 24.01.19
Page | 64

Page | 85
(
BSBMGT517
Manage operational plan
Learner Guide
)
Table of Contents
Table of Contents2
Unit of Competency5
Foundation Skills7
Objectives10
1. Develop operational plan11
1.1 – Research, analyse and document resource requirements
and develop an operational plan in consultation with relevant
personnel, colleagues and specialist resource managers12
What is an operational plan?12
Research, analyse and document resource requirements14
Activity 1A17
1.2 – Develop and/or implement consultation processes as an
integral part of the operational planning process18
Consultation processes18
Feedback19
Activity 1B20
1.3 – Ensure the operational plan includes key performance
indicators to measure organisational performance22
Key Performance Indicators (KPIs)22
How to write a Key Performance Indicator22
Activity 1C24
1.4 – Develop and implement contingency plans for the

operational plan25
Contingency plans25
Steps for creating a contingency plan25
Activity 1D29
1.5 – Ensure the development and presentation of proposals for
resource requirements is supported by a variety of information
sources and seek specialist advice as required30
Raising funds30
Develop a business proposal30
Activity 1E34
34
1.6 – Obtain approval for the plan from relevant parties and
explain the plan to relevant work teams35
Obtaining approval35
Activity 1F38
2. Plan and manage resource acquisition39
2.1 – Develop and implement strategies to ensure that
employees are recruited and/or inducted within the
organisation’s human resources management policies, practices
and procedures40
Human resources policies and procedures40
Outsourcing versus the HR department42
Activity 2A43
2.2 – Develop and implement strategies to ensure that physical
resources and services are acquired in accordance with the
organisation’s policies, practices and procedures45
Supplier relationship45
Internal suppliers46
The value of a supplier relationship48
Purchase order example50
Activity 2B51
2.3 – Recognise and incorporate requirements for intellectual
property rights and responsibilities in recruitment and
acquisition of resources and services52
Intellectual property rights and responsibilities52
Activity 2C58

3. Monitor and review operational performance59
3.1 – Develop, monitor and review performance systems and
processes to assess progress in achieving profit and productivity
plans and targets60
Performance management systems60
Activity 3A65
3.2 – Analyse and interpret budget and actual financial
information to monitor and review profit and productivity
performance66
Budget and financial information66
Activity 3B67
3.3 – Identify areas of under-performance, recommend solutions
and take prompt action to rectify the situation68
Rectifying under-performance68
Factors affecting output and quality69
Variations to improvement processes70
Activity 3C73
3.4 – Plan and implement systems to ensure that mentoring and
coaching are provided to support individuals and teams to
effectively, economically and safely use resources74
Mentoring and coaching74
Activity 3D 75
3.5 – Negotiate recommendations for variations to operational
plans and gain approval from designated persons/groups76
Negotiation76
The process of negotiation77
Consistency of recommendations78
Activity 3E79
3.6 – Develop and implement systems to ensure that procedures
and records associated with documenting performance are
managed in accordance with organisational requirements80
Documentation80
Activity 3F81
References85

Unit of Competency
Application
This unit describes the skills and knowledge required to develop
and monitor implementation of the operational plan to provide
efficient and effective workplace practices within the
organisation’s productivity and profitability plans.
Management at a strategic level requires systems and
procedures to be developed and implemented to facilitate the
organisation’s operational plan.
This unit applies to individuals who manage the work of others
and operate within the parameters of a broader strategic and/or
business plan.
No licensing, legislative or certification requirements apply to
this unit at the time of publication.
Unit Sector
Management and Leadership – Management
Element
1. Develop operational plan

1.1 Research, analyse and document resource requirements and
develop an operational plan in consultation with relevant
personnel, colleagues and specialist resource managers
1.2 Develop and/or implement consultation processes as an
integral part of the operational planning process
1.3 Ensure the operational plan includes key performance
indicators to measure organisational performance
1.4 Develop and implement contingency plans for the
operational plan
1.5 Ensure the development and presentation of proposals for
sources and seek specialist advice as required
1.6 Obtain approval for the plan from relevant parties and
explain the plan to relevant work teams
2. Plan and manage resource acquisition
2.1 Develop and implement strategies to ensure that employees
are recruited and/or inducted within the organisation’s human
resources management policies, practices and procedures
2.2 Develop and implement strategies to ensure that physical
organisation’s policies, practices and procedures
2.3 Recognise and incorporate requirements for intellectual
acquisition of resources and services
3. Monitor and review operational performance
3.1 Develop, monitor and review performance systems and
plans and targets
3.2 Analyse and interpret budget and actual financial
performance
3.3 Identify areas of under-performance, recommend solutions
and take prompt action to rectify the situation
3.4 Plan and implement systems to ensure that mentoring and

effectively, economically and safely use resources
3.5 Negotiate recommendations for variations to operational
plans and gain approval from designated persons/groups
3.6 Develop and implement systems to ensure that procedures
managed in accordance with organisational requirements
Element
Element describes the essential outcomes
Performance criteria describes the performance needed to
demonstrate achievement of the element
Foundation Skills
Skill
Description
Reading
1.1, 1.5, 2.1, 2.2, 3.1, 3.2, 3.3, 3.4, 3.6
· Identifies and extracts relevant information from a range of
complex texts
· Gathers, interprets and analyses workplace documentation to
determine requirements for the operational plan
Writing
1.1-1.5, 2.1, 2.2, 3.1-3.6
· Develops and documents a range of detailed texts relating to
the management of an operational plan according to
organisational requirements
· Ensures the vocabulary, grammatical structures and

conventions are appropriate for the context and target audience
Oral Communication
1.1, 1.2, 1.5, 1.6, 3.4, 3.5
· Presents information to a range of audiences using appropriate
register, vocabulary and paralinguistic features
· Listens and comprehends information from a variety of spoken
exchanges with clients, co-workers and other stakeholders
· Confirms understanding through questioning and active
listening
Numeracy
1.1, 1.3, 1.4, 3.1-3.4
· Selects and uses mathematical problem-solving strategies to
organise resource requirements, performance benchmarks and
financial viability of the operational plan
2.1, 2.2, 3.4, 3.6
· Monitors adherence to organisational policies, procedures and
considers own role in terms of its contribution to broader goals
of the work environment
· Appreciates the implications of legal responsibilities with
specific reference to health and safety
1.1, 1.2, 1.5, 1.6, 3.5
· Identifies and uses appropriate conventions and protocols
when communicating with colleagues and external stakeholders
· Collaborates with others to achieve joint outcomes, playing an
active role in facilitating effective group interaction,
influencing direction and taking a leadership role on occasion
Get the work done
1.1-1.5, 2.1, 2.2, 3.1, 3.3, 3.4, 3.6
· Takes responsibility for developing and implementing systems

and processes to achieve organisational objectives, seeking
advice, feedback and support as required to assist in the
development and planning phase
· Sequences and schedules complex activities, monitors
implementation, and manages relevant communication
· Uses systematic analytical processes to aid decision making,
identify potential problems and generatecontingency plans or
solutions
Evidence of the ability to:
· Develop and implement an operational plan using a variety of
information sources and consultation (including using specialist
advice if required) which includes:
· resource requirements
· key performance indicators
· monitoring processes
· contingency plans
· Communicate effectively with relevant stakeholders to explain
the plan and supporting information, seek approvals, negotiate
variations and engage work teams
· Develop and implement strategies to achieve the operational
plan within the organisation’s policies, practices and procedures
including:
· recruiting, inducting and developing personnel
· acquiring physical resources and services
· protecting intellectual property
· making variations to the plan
· monitoring and documenting performance.

Note: If a specific volume or frequency is not stated, then
evidence must be provided at least once.
Knowledge Evidence
individual must:
· Describe models and methods for operational plans
· Explain the role of an operational plan in achieving the
organisation’s objectives
· Explain budgeting processes
· List alternative approaches to developing key performance
indicators to meet business objectives
· Outline the legislative and regulatory context relevant to the
operational plan of the organisation
· Outline the organisation’s policies, practices and procedures
that directly relate to the operational plan.
typical activities experienced in the management and leadership
field of work and include access to:
· Relevant legislation and regulations
· Workplace documentation and resources
Links
Companion volumes are available from the IBSA website:

http://www.ibsa.org.au/companion_volumesHousekeeping Items
are.
is.
Smile
Support and encourage other participants
When someone is contributing everyone else is quiet
Be patient with others who may not be grasping the ideas
Be on time
Focus discussion on the topic
Speak to the trainer if you have any concernsObjectives
Discover how to develop an operational plan
Learn how to plan and manage resource acquisition
Know how to monitor and review operational performance
Gain skills and knowledge required for this unit
1.1.Research, analyse and document resource requirements and
develop an operational plan in consultation with relevant
1.2.Develop and/or implement consultation processes as an
1.3.Ensure the operational plan includes key performance
1.4.Develop and implement contingency plans for the
operational plan
1.5.Ensure the development and presentation of proposals for

1.6.Obtain approval for the plan from relevant parties and
1.1 – Research, analyse and document resource requirements
and develop an operational plan in consultation with relevant
What is an operational plan?
An operational plan is derived from the strategic plan of the
organisation and is a detailed plan to accomplish the objectives
of the organisation.
An operational plan is essential to implement
successfully.Failure to do so could lead to the failure of the
action and monitoring plans.
To ensure that the operational plan is successful, your team
should:
Raise funds – this requires that you are very clear on what
resources you need and have the ability to convince your
investors for a successful completion of your project
Allocate resources to fill gaps and needs
Clearly identify your resource requirements and your ability to
fill the gap
Have contingency plans to minimise risk
What is the length of the project and how can you sustain it?
An operational plan does not usually exist alone, rather the key
components are integrated together to form the strategic plan.
The key components of an operational plan include:
Estimation of project lifespan, sustainability and exit strategy
How long will this project last, when and how will you
complete the project?How can the project be sustained?
Financial resource requirements
How much money is needed to fund the project, your current
sources of income and potential sources of income, what funds
you need and any gaps in funding that you identified
Human resource and other capacity requirements

Determine the capacity and skills of the human resources
currently available to complete a project. Consider where the
sources of these resources will come from.What other
requirements are needed to implement the project
Risk assessment and mitigation strategy
What risks may be addressed and what are they?
Strategic planning is the process in which an organisation
defines its strategy, whereas an operational plan defines the
short term methods of achieving the strategic plans.
Strategic planning is proactive and often spans
years.Conversely the operational plan is also proactive but can
change to meet the organisation’s current requirements.
Operational plans last 1-three years and are considered short
term.
When you write a strategic plan, you need to ask:
What do we do?
Who are we doing it for?
How will we be successful?
On the other hand, when you write an operational plan, you
need to be able to answer:
Where are we now?
What do we want to be?
How do we get there?
What method/s can we use to measure our progress?
Operational plans will contain the following details:
Organisational structure
Current and future desired goals
Who are the suppliers?
How many staff are required?
Facilities
Production and manufacturing
Inventory
Distribution
Maintenance and service including customer service
Labour

Quality Assurance, such as how is performance measured?
For an operational plan to be effective, it must:
Have clear goals, procedures, objectives, schedules and budgets
Include performance targets
Set timeframes
Have contingency plans
Issue responsibilities
Include strong cohesive teams.
“A leader is the organisation’s top strategist, systematically
envisioning the future and specifically mapping out how to get
there.” As a part of the creative thinking process, and to take
advantage of the skills, knowledge and experience of your team,
it is important to let them participate in the decision making
process.If they can see their contributions acknowledged, then
they will take ownership of the project.
Relevant personnel, colleagues and specialist resource
managersmay include:
Employees at the same level or more senior managers
Managers
Occupational health and safety committee/s and other people
with specialist responsibilities
Supervisors
Union or employee representatives.
Ask staff and relevant parties to participate in weekly meetings
presenting their ideas, feedback and any prospects.Acknowledge
their contributions and encouragement.Planning is an important
part of the process.Every staff member must come to the
meeting prepared and with ideas.Make sure your team
understands the importance of meeting the goals.
Research, analyse and document resource requirements
It is essential that all goals and objectives continue on from the
strategic plan and build the requirements to ensure that your
plans are effective.In each step of the process, you must ensure
that you have the required resources to meet the required goals.

Resource requirements may include:
Goods and services to be purchased and ordered
Human, physical and financial resources – both current and
projected
Stock requirements and requisitions.
Based on your budget, teams will be allocated sufficiently to
meet their goals.At times, if control is not maintained on the
allocation of resources, then team members’ ability to meet
their end needs will be affected.To ensure that resources are
correctly allocated, a detailed plan needs to be completed so
that individuals can complete their prescribed tasks in a timely
manner.
When determining actions, you must be able the following
questions:
To answer these questions you should question the team
members and stakeholders who would be in a place where they
would know the answers to each question.In dealing with
operational concerns and the allocation of human resources, you
should research any staff problems.
For example:
You may be required to demonstrate these answers on a
spreadsheet.
PROJECTED INCOME SUMMARY
YEAR 1
YEAR 2
YEAR 3
Sales Forecast

Minus Cost of Goods Sold
Equals Gross Profit Margin
Subtract Total Operating Expenses
Subtract Depreciation
Equals Net Income Before Tax
Activity 1A
1.2 – Develop and/or implement consultation processes as an

Consultation processes
Consultation is the process where you gather information from
both internal and external personnel to ensure that you can
make an informed decision.Consultation is a key principle in
ensuring that your organisation has a sound planning and
decision-making process.
For consultation to be effective, you must start consulting early
in the process.Consulting requires that all parties are honest,
open and committed to the project.Consulting when performed
this way will assist in enhancing relationships between all
parties.If you use manipulation in the consultation process, the
process will fail.
The consultation method you use will vary depending on the
goal and outcome and will range from mere discussion through
to participatory decision-making.The method that you use
should be based on the input from your key informants and
stakeholders, who understand how best to involve the personnel
interested in a potential decision making process.
In large organisations, the consultation process is established by
management and the supervisors are responsible for
implementing the processes and employees are responsible for
actively participating in the consultative process.These
processes may be more formalised than having informal
sessions between parties.This may however be sufficient in
smaller organisations.
Make sure that you familiarise yourself with the processes and
procedures in place in your organisation.You may even be
required to consult with stakeholders in different ways.For
example, a manager that moves around as part of their position
may not be available very often.To ensure that he obtains your
message, you may need to send him/her an email.Conversely,
another manager in the same position may prefer that you call
him/her so that he can consult with you on a personal level.
An organisation may have a survey tool that is used during the
consultation process to maintain a record of feedback that can

be utilised to improve processes.The tool may be in the form of
a questionnaire or a survey that can identify problems with
processes and/or procedures.
Consultation processes may refer to:
Email/intranet communications
Email and intranet may be utilised as a paper trail as a form of
quality assurance.Some organisations may use emails to identify
ways in which to improve processes.It can also be used to
ensure that the same message reaches all staff, and staff have an
opportunity to respond, thereby contributing to the plans
Newsletters
Newsletters provide staff with information about plans and may
provide staff with opportunities to respond
Other processes and devices
Surveys, questionnaires and informal sessions may be used to
encourage staff to respond to the consultation process by
providing specific feedback about the operational plans
Meetings
Meetings may be either formal and/or informal.Informal
meetings can be at any time at any place.Formal meetings can
be in a more controlled environment where feedback is sought
Interviews
An interview is usually between two or more people.Structured
interviews provide management with answers to specific
questions that can provide feedback in relation to specific
aspects on the operational plan
Brainstorming sessions
Brainstorming sessions are used to generate new ideas and
solutions.It should not be used for analysis or decision
making.The ideas and solutions given should be analysed and
judged to ascertain their relevance.To obtain the most out of the
feedback session, you must ensure that you take the time to
acknowledge all participants for their efforts. If you do not
acknowledge them, they may not participate so openly again.

Consultation is an ongoing process that should provide you with
feedback in the shape of new ideas and different ways of
thought.
Feedback
Feedback is the process in which part of the output of a system
is returned to its input in order to regulate more output.Once
you have gathered both the formal and/or informal information,
you should review it and select any ideas of value to the
planning process.
Formal feedback is usually specific so can be more rigorous,
thus may have timelines that you need to be aware of.Keep to
the deadlines because they may have been developed to ensure
some part of the process is enhanced.This means that you
should set goals that you should adhere to.
Once you have made a decision in regards to the feedback, it is
important to make sure that it is communicated to the
appropriate stakeholders.Make sure that all and anybody who
participated in the process also receives a response.It is only
when feedback flows from the source to the stakeholders that
feedback becomes effective.When your stakeholders see the
positive effects of the feedback they have offered, they will
probably be more prone to make contributions to quality and
service in the next meeting.However, if there is no response to
their feedback they will probably be reluctant to contribute in
meetings.
Activity 1B
1.3 – Ensure the operational plan includes key performance
Key Performance Indicators (KPIs)

Key Performance Indicators (KPIs) will assist you in the
planning process.They will provide you with quantifiable
measurements that will reflect the success factors of the
organisation. To be successful, KPIs must reflect the
organisation’s goals, they must be to the organisation’s success,
and they must be quantifiable.
KPIs to reflect organisational goals
If an organisation’s goal is to “obtain a five percent increase in
our market” they will have key performance indicators to not
only increase profit, but also to increase sales and/or
service.These KPIs reflect the organisation’s performance and
gives staff a target to work towards.
KPIs to be quantifiable
If a KPI is not quantifiable, it is useless. KPIs such as “increase
sales” or “increase customer retention” need to specify an
amount. Instead of increase sales, you could have increase sales
by five percent or increase customer retention by seven percent.
Even though you set targets for the key performance indicator,
it does not make them the key to the success of the
organisation.Limit the KPIs to the specific goals that will lead
to the organisation’s goals.To ensure that your focus remains on
the organisation, do not have too many KPIs.
How to write a Key Performance Indicator
The operational plan will usually contain a list of key priority
areas for the coming area.Actions and strategies will usually
address these priority areas.This is where the KPIs start.
Once a manager has formulated the department’s objectives in
line with its vision, mission, strategies and objectives.
KPIs have four components which are the:
· Objective that tells your aim. Example: To increase sales
· Measurement, e.g. sales growth
· Target is what we want to achieve and when. Example:
increase sales growth by 20% in 2011
· Initiatives is a set of all of the above actions, Example: (a)To
increase sale (b) growth (c) by 20% in 2011

These KPIs should be passed to their appropriate subordinates
The KPI is then monitored usually directly by the manager to
ensure that the KPIs have been met.
Achievement of the KPI can be rated into scales:
Example:
3=Exceeds requirements
2=Meets requirements
1=Not meet requirements
0=Unsatisfactory.
Achievement of the KPI is used by management to give rewards
such as bonuses, yearly incremental and promotion of his
subordinates.
Activity1C
1.4 – Develop and implement contingency plans for the
operational plan
Contingency plans
Irrespective of how much you plan, something will always occur
so your plans may not go as planned.Assumptions are never
precise so when you make an assumption about the market, you
may find that unforeseeable events can have an impact on their
accuracy.When problems like this occur, you need to have plans
that can be used when an original plan does not work.
These plans are called contingency plans.A contingency plan is
simply a secondary or alternative plan that can be implemented
when the original plan fails.These plans allow businesses and

other entities to adjust as the circumstances change and you
remain in operation.Most organisations have several
contingency plans geared to fast responses in areas of operation.
Steps for creating a contingency plan
Contingency plans should be written by a subject matter expert
who is the closest to the system and who has the best knowledge
of the subject and thus are suited to writing the contingency
plan.The aims of the leader are to train, to set deadlines, to
mentor and promote enthusiasm.
To create a contingency plan, you need to:
Identify your needs
Complete an impact assessment
Select suitable measures and control
Develop recovery strategies
Build the plan
Test, train and maintain.
Identify your needs
Examine your organisation so you can make sure the plan you
develop is one that is actually needed.Use your organisation’s
contingency plan policy to assist you in identifying whether or
not a contingency plan is required.
If the organisation does not have one, develop one by:
Writing the objectives of the contingency plan
Stating who is responsible for the development, maintenance
and implementation of the plan
Asking what is the scope of the plan including which
departments participate in the execution of the plan?
Asking how you will review the plan
Asking what resources, testing and training is involved in the
plan?
Deciding how the plan will be maintained, backed up and
stored.
Before a plan can be created, it is important to know what is at
stake.This means that you should have a clear understanding of
the value of the resources used; the level of risk in targeting

resources incorrectly and how you can minimise the risk.An
impact assessment can assist you in establishing the level of
risk and a hierarchy that the contingency plan will address.
Impact assessment
To create an impact assessment, you should:
Select measures and controls
Once you identify the impact that disruptions can have, you
should consider preventative measures.Prevention is better than
a cure.This will end up as a cost assessment.
Develop recovery strategies
There are four avenues that you can take; they are:
1. Transfer the risk to another party
The other party may be in a better position to resolve the
problem
2. Avoid the risk
Identify the risk and identify what steps you could take that will
have the least impact to the business
3. Reduce the negative impact of the risk
Look at ways in which you can reduce the negative impact and
identify ways in which you can minimise cost
4. Accept some or all of the consequences of the risk
Sometimes avoiding the risk and reducing the negative impact
of the risk are not viable.Sometimes you may need to take on
some of the consequences to keep operating.
Build the plan
Once you have identified the levels of risk, it is essential that

you determine how to best service the plan by identifying
contingencies.Costs play a part of the plan so it is important to
make sure that any contingencies stay within the budget set.
Test, train and maintain
Make sure that all staff are ready for any contingency.This
means that you may need to test the contingency and to train
your staff to ensure that the plan runs smoothly.
Contingency plansmay include:
Contracting out or outsourcing human resources and other
functions or tasks
Some organisations contract out to cut costs, to obtain a person
with specific skills, knowledge and experience, lack of space or
lack of a resource.Some organisations even outsource for when
an internal function stops working
Diversification of outcomes
Some outcomes rely on several departments as part of the final
process.The spreading of outcomes can increase productivity as
more staff becomes a part of the final processes
Finding cheaper or lower quality raw materials and consumables
A globalised market is a more competitive market.This means
that when you shop around you will find materials and
consumables within the organisation’s budget
Increasing sales or production
Improving sales or production may require an increase in the
customer service skills of your staff.This can be completed by
training or mentoring programs.When would the staff need to
have the required skills and what skills would they require?
Recycling and re-using
Consumer awareness has increased and customers have become
more informed due to the internet.As a part of this awareness
customers believe that an organisation has a corporate social
responsibility to the environment.As a part of that responsibility
some customers prefer to see the recycling and re-using of the
resources.In turn, they prefer to buy from consciously aware
companies
Rental, hire purchase or alternative means of procurement of

required materials, equipment and stock
Rather than buying the equipment or outsourcing, organisations
rent or negotiate to save on costs
Restructuring of organisation to reduce labour costs
There will be times when an organisation will downsize.The
reasons for this will vary.For example, your product and/or
service may no longer be in demand so the organisation may not
sell as many units
Risk identification, assessment and management processes
A rise in injuries due to a rise in hazards and risks that can
cause accidents can end up putting a huge dent in any
organisation’s budget.If the risk assessments are not working,
clear contingencies might be needed to motivate staff to come
up with ideas to minimise the risk
Seeking further funding
There may be times when the funds allocated to your
department are not sufficient to meet the future desired goals.To
meet these goals, it is essential that you seek further funding
Strategies for reducing costs, wastage, stock or consumables
If you exceed your budget, you should take steps to reduce
costs.This could be done by finding a supplier who can produce
your materials with lower prices
Succession planning
Succession planning is the process whereby an organisation
makes sure that the employees are recruited and developed to
fill key roles within the organisation.
When you write contingency plans for the above areas, make
sure that your plan is measureable and reflects the
organisation’s goals.
Activity1D
1.5 – Ensure the development and presentation of proposals for

Raising funds
Targets in the strategic plan can only be reached when
organisational activities are completed to implement the
operational plan.Each task that is performed requires the use of
resources.These resources include human resources, capital
resources and financial resources.The tasks must be performed
within the budget allocated for the task.
If you identify the need for more funds, you should be prepared
to raise the funds. To raise more funds, you have to be able to
demonstrate to senior management and the stakeholders
investing in the initiative that you require the money more than
another department and that they will receive a return in
investment.
Develop a business proposal
One of the defining features of a business proposal is your
ability to sell it to your stakeholders.They control the amount of
budget that you need.To obtain a larger slice of the budget, you
must be able to demonstrate that your actions not only align
with the strategic goals of the organisation, but also will ensure
that the actions undertaken will give the stakeholders a larger
return in investment – either monetary or through higher
customer retention.
In short, you must be able to justify why you should be
allocated a larger slice of the budget.To develop a business
proposal, you must never lose sight of what your client needs.If
you concentrate solely on what you believe the client needs,
rather than what they actually need, say goodbye to your budget
and maybe your ability to meet your organisational goals.
To write a winning business proposal, you need to make sure
that you:

Identify strategic goals
Focus on your client’s needs and then determine the best
solution for it.At this stage you should provide your
stakeholders with detailed costing and a statement on resources
to show your requirements.Make sure that these details refer
back to the strategic plan.Stakeholders must see a connection
between your resource requirements and the organisation’s
strategic goals.
Alternative strategies should also be addressed in the proposal.
Your stakeholder must see that you have considered different
contingencies in the case that your original plans need to be
varied due to either internal or external pressures.
Once you have the examined the strategic goals and the
alternatives, you must look at them from four different angles.
With each angle, you must identify how you can influence the
stakeholders to allocate the funds to you.
This can be done by:
Using a marketing strategy to increase the organisation’s market
share, reduce overheads and marketing of the product line.In
turn, these actions will increase the productivity of the
organisation
Using a human resource strategy to improve staff skills
Using a management strategy whereby staff morale is increased
through enhancing the morale of the employee. A happy
employee will increase turnover and change consumer attitudes
on a brand
Using a technological strategy to increase productivity.
Prioritise strategic goals
Prioritise the strategic goals and place them in a realistic
timeline. They should have all of the activities required to
complete the goal listed, including staffing level required and
costs, both internal and external. Gain confidence from the
assessment panel, which usually comprises of senior
management, by demonstrating that you have researched the
proposal by putting together contingency and risk management
plans to show that you have considered what options you would

need to take in the case some aspect of the plan went wrong.
Conclusion
One of the biggest mistakes that a proposal writer can make is
to concentrate solely on the end product. Make a clear
connection on why your proposal is better than any other
department/ team/ section. If you want to have a larger slice of
the budget that has been allocated, you must make the
connection between your strategic goals, the benefits to the
organisation and what the organisation will get out of it.
To further enhance your standing, make the effort to seek
specialist advice.Do not constrain your proposal to historical
evidence.What worked last year, does not necessarily mean it
will work this year.
For example:
Last year the economy was slow, spending was down so in
effect sales were down.To increase sales, your department may
have trained staff to increase the level of customer service.This
year, spend has increased as the economy starts to
move.Retraining staff in the same way is a waste of
resources.Instead provide them with mentors or coaches to
increase performance.Reward them and acknowledge their
performance.It would save money and demonstrate that you are
being responsive to the market.
Specialist advice can come from many sources such as:
Managers
Financial consultants
Marketing experts
Accountants
Suppliers
Internal and external customers
The sales team.
Internal and external customers have opinions.If your goals
relate to the product then consider their feedback.They are the
ones that will buy the product and/or service and benefit from
it.

Presenting the proposal
As a part of obtaining approval for a proposal you may have to
present it to the relevant parties which usually include
stakeholders and senior management, committees or
individuals.These people are very busy so when you present the
information to them, choose your method carefully.You may
only have a few minutes to explain and demonstrate what your
proposal is about.The information you provide can garner their
interest or break it.
Make sure that during the presentation you also provide them
with a copy of the proposal.This provides them with the
opportunity to read your proposal and will assist in the final
decision in regards to the allocation of funds.
To present the information you could use:
A power point presentation with all of the key points of the
proposal
The use of graphs to demonstrate costs and savings from
previous years
Contingency plans and risk management plans - when they
would be used and their impact on the proposal
Strategies you considered and why you did not present them –
these can also be operational plans to support the strategic plans
Conclusions with the use of facts from your research.
In each step of your presentation, reinforce the organisations
strategic goals, and the benefit of the proposal to the
organisation.
Activity1E
1.6 – Obtain approval for the plan from relevant parties and
Obtaining approval

We have already established that the relevant parties to
acceptance/ rejection or re-allocation of the budget funds from
the organisation usually vests with the stakeholders and senior
management, committees or individuals.The size and scope of
the proposal will vary according to where you are trying to
obtain the budget from and the importance of your
proposal.Once you have presented the proposal, you must await
approval.
Approval for the presentationwhere you are applying for funds
from your head of department may require a mere nod from
senior management for example, or in larger organisations, you
may need to wait for the parties to review the plan before
recommending it to the governing body who may then approve
or reject it.
Once you have gained approval for the proposal, you should
stay as close to the timeline as possible within the approved
budget.To get your team members and work colleagues to work
as a unit, you need to work in consultation with them.Previous
studies have demonstrated that individuals will take ownership
of their activities if they are contributing to them.This is giving
the team empowerment by increasing their confidence in their
own capabilities.
In the book ‘Empowerment Takes More than a Minute’,
Blanchard, Carlos and Randolph state that there are three keys
to an organisations effectively opening the knowledge,
experience and motivation of a team. They are to:
Share information
By sharing information, you are opening the doors towards
feedback. In sharing information, you are giving them a clear
picture of the organisation and its current situation. By building
trust, you are building a foundation for your teams.
Create autonomy through boundaries
Individuals know their jobs. So who better to consult with than
the people that do the job. This does not mean that you should
not consult through different avenues, such as talking to an
engineer about changing systems to improve product quality at

the suggestion of a team member. To keep the doors to sharing
information open, make sure that you provide the team member
with feedback. If the suggestion is not viable, let them know. It
demonstrates that you are listening to them and taking their
suggestions into consideration. This in turn builds their
confidence.
Create self-managed teams
A team is a group of people linked in a common purpose. In
self-managed teams, as a Manager you should use your proposal
to define the goals, methods and functioning of a team. Once
you have provided the team with the information, you delegate
the responsibility and decision-making authority to the team
itself, with the hope that the group will make better decisions
than the individual. Decisions must be made by consensus to be
successful.Consensus not only seeks the agreement of most of
the participants in the team, it resolves any objections that may
arise.
In your position of manager, it is important that you are aware
of all aspects of the team’s decisions.You can do this in
consultation with the team.For example, they may have an
unresolved issue.They come to you seeking advice and
suggestions.The advice is not within your realm of experience,
so you call in an expert.This builds confidence and can allow
your team to make a knowledgeable decision.
As you are providing your team with the operational goals they
need to reach, it is important that you understand how to
develop a goal.SMART goals can assist you in measuring and
setting realistic objectives.

Specific
Means that the goals have a greater chance if you know who is
involved, what you need to accomplish, location, time frame,
requirements and constraints, and purpose
Measureable
Looks at what target has to be achieved like how much or how
many
Achievable
Means making sure that the target is realistic and that it can be
achieved
Realistic
Means that it must be realistic and relevant to the organisation
Timely
Means that a time limit should be set to meet an objective or
goal so that team members has something to motivate them and
keep on target
When you develop goals and objectives they must correlate with
the organisation’s goals.You should also take the time to revise
the goals.As changes arise with the organisation, changes to
goals may also need to be reviewed.
Activity 1F

2.1.Develop and implement strategies to ensure that employees
are recruited and/or inducted within the organisation’s human
resources management policies, practices and procedures
2.2.Develop and implement strategies to ensure that physical
2.3.Recognise and incorporate requirements for intellectual
2.1 – Develop and implement strategies to ensure that
employees are recruited and/or inducted within the
organisation’s human resources management policies, practices
and procedures
Human resources policies and procedures
As we move further into the twenty first century, it is prudent to
note that our human resources are being acknowledged as an
important part of the success of the organisation.Without skilled
workers, products would not be made, without qualified or
experienced management money would not be made and when
the end product is completed, our customer service
representatives are responsible to ensure that our product is sold
to our customers.Without those customers, the organisation
would slowly flounder until it was either sold or closed down.
As the importance of any labour force has increased so too has
the importance of our human resource department as the demand
for more qualified and experienced staff are required. Without
the human resources with the skills, knowledge and experience
to meet the goals, you will find that your organisation does not
run as efficiently.

Human resource professionals perform the following roles.As a
manager it is important that you take the time to learn these
roles so that you can provide them with the information to do
their job correctly.If you also have a basic understanding of
their role you will be able to perform their tasks.
Large organisations will almost always have a human resource
department.Those organisations that do not have a human
resource department will usually outsource to personnel
companies who perform the job of the role.If you are a manager
of a small organisation, you will probably perform these
functions yourself.
Human resources policies and procedures usually include:
Obtaining approval for the advertisement for a job requirement
Budgeting and costs
How much is it going to cost to employ the applicant?What is
the budget allocated?Like any other budget, the human resource
department is allocated a specific amount.In larger
organisations, these costs may be spread across the department/s
that the applicant may be employed in.This budget will impact
on the package that you offer the applicant.
Advertisement, interviewing and selection of the applicant
This usually requires the advertisement outlining the role and
the main functions that the applicant must perform. The
applicant should be able to demonstrate all of these skills. The
applicant with the closest skills, knowledge and experience will
be short listed for the position. The final applicant will usually
have to demonstrate that their goals align with the
organisation’s.
For example:
If the role calls for an engineer to assist in the designing of a
new widget for six months, then a person looking for a full time
long term position would usually be placed behind an engineer
who was only interested in a short term position.The full time,
long term applicant would probably only be interested until

their ideal job came along. Then you will need to re-advertise
and reselect another applicant.
Attraction and retention – If you decide on the full time, long
term applicant, how you will be able to attract them to stay for
the length of the contract? There may be the promise of further
employment opportunities, the chance to learn a new skill
Reference checking – Though this does not always happen,
organisation representatives will contact references with the
permission of the applicant.Remember privacy laws do apply
and you must ensure that you do not breach those laws
Induction – Most organisations do have inductions providing the
new employee with information on the business’s facilities,
employment conditions, contractual and legislative
requirements.It is important to make sure that these processes
are followed and follow up occurs to minimise the
organisation’s exposure to risk.
Once you have been provided with the go ahead to recruit a
member of staff, it is important to make sure that you:
Plan and review the role
Develop a selection criteria
Decide whether to outsource (use a recruitment agency) or use
internal HR resources
Put together a panel
Plan the time for the recruitment to take place.
Unless the employee is undertaking a new position, most
organisations will have records of the selection criteria required
for the new staff member. This information may be provided
through previous advertising for the position or through a job
description.If the job is being re advertised, take the time to
review the criteria to ensure that the selection criteria is up to
date.With time, job criteria can change due to technological
innovation.This information may not be kept up to date and
once you hire a staff member, you may find that they do not
actually have the skills required to perform the job.

For jobs that are new, you will need to give yourself time to
consult with other stakeholders and members of your team to
identify what the requirements of the job are.
Outsourcing versus the HR department
Outsourcing is the process of using an external agency to
advertise and pre select staff for a specific role.Organisation’s
use recruitment organisations to save costs as the organisation
may not be large enough to support a HR department or the HR
department is too overworked. By allowing the recruitment
company to weed out the applicants who do not meet their
needs, the HR department can concentrate on the applicants who
do meet the required criteria.
The human resource department in a large organisation may
prefer to see all applicants, especially when they are not sure
about any aspect of their needs.It is only through the process of
interviewing that a better picture of the type of employee they
require will come out.
The costs
Many organisations decisions on whether to outsource or use
the HR department or personnel will usually be final, based on
the costs of the recruitment process.
Costs may include:
Advertising costs
Time of the selection panel off the job
The package offered to the applicant (including superannuation,
tax, salary, worker’s compensation provision, etc).
The recruitment process
Applicants for your advertisement may be sent in or
emailed.Applicants will usually send in a detailed resume.Once
you have received the resume, you can short list the
applications.
Applicants are short listed when you:
Find that resumes match the selection criteria and the duty
statement in skills, knowledge, experience and necessary
qualifications

Once the list has been short-listed, interviews are arranged.
Before the interviews are finalised, you should develop a round
of questions that will assist you in narrowing down the
applicants.These questions must relate to the selection criteria
and the needs and expectations of the applicant.Many
organisations use these answers to narrow down the candidates.
Most organisations require specific information so you may
need to find the pro formas for the questions that you must ask
for the interview.Once you have analysed the responses, you
can narrow the applicants down until you identify the one you
are going to offer the position to.
If a panel has been selected, you should confirm a time and date
to review the applicants.Each member of the panel should have
an opportunity to provide feedback.Before making the final
decision, you should confirm with the references to ensure that
the applicant actually has the background on the resume.Be
careful when you ask questions to ensure that you do not breach
any privacy laws.
Once the preferred candidate has been chosen, then you should
make the offer.Once the offer is accepted, you should determine
when they are prepared to start employment so that you can
arrange for the applicant to be inducted to the organisation.
Activity 2A

2.2 – Develop and implement strategies to ensure that physical
Supplier relationship
As a part of their operational and quality assurance initiatives
and goals, many organisations are developing business
relationships with their suppliers.
To build a strong supplier relationship you need to have the
framework and the tools to analyse and strengthen key
relationships.Before you can analyse theses key relationships, it
is important to make sure that you realise and understand the
need to form these relationships.
A competitive market has emphasised the need for organisations
to form long lasting relationships with their external
suppliers.One of the reasons for this increase in supplier
relationships is that “the costs of purchased goods and services
represent the dominant part of the total costs of most
companies” (Ford, 2003, p.91).Outsourcing some of the work to
their suppliers, allows your organisation to specialise in one
area, while improving their efficiency by providing economies
of scales to their operations.
Economy of scales in this instance means that by outsourcing,
your organisation is able to decrease their production costs.By
specialising in one section of their products construction, the
organisation is increasing the efficiency of their
productivity.Suppliers are now designing and developing
modules that make up the products your organisation
produces.For example, if you work in a production area, you
will rely on your suppliers to meet your needs. To make a car,
you will need to form supplier relationships with glass making
companies, tyre companies, hardware organisations and
accounting firms to ensure that your operating costs are
minimised.
Concepts such as JIT (Just in Time) and TQM (Total Quality
Management) have also had a positive impact on the efficiency

of production and minimising costs.Rather than ordering stock
and storing it within the production area, JIT ensures that
components arrive just in time to reach the production line.You
are now saving in storage costs and this has also has a positive
influence on production costs.
TQM influences the number of organisations your employer will
form lasting relationships with.Collaborating with a supplier
can be very demanding.To counteract the costs of forming
several relationships, organisations instead turn their attention
to fewer suppliers and spend time and resources forming a more
lasting relationship with them.
The types of questions and considerations your employer may
make are:
Should we purchase externally or internally?
The answer to this lies in the choice of what the supplier has to
offer. Purchasing can improve performance while at the same
time the organisation can take advantage of the problem solving
skills of the suppliers to increase performance. The supplier is
the expert on the product because they developed it, thus they
will have the knowledge to assist the organisation in its
decision making processes.
What impact do storage and transport costs play on the final
decision?
Using JIT means that even though transport costs increase, the
cost of storage decreased.This means that warehousing costs
would decrease.
The question of whether the organisation should purchase
externally or not should require organisation representatives
being close to suppliers to find out what they have to offer.One
should not lose sight of the fact that using an external supplier
can contribute to the efficiency of your organisation’s
operations.
For these reasons, supplier relationships can be one of the most
important assets that an organisation can have.Suppliers can
also be seen as important because of their immediate monetary

consequences.
Ford (2003, p.92) writes that the main issue facing your
employer is no longer “buying the right products at the right
time and the right price”, but of handling and relationships with
key suppliers over long periods.”
Internal suppliers
So far we have considered external supplier relationships.It is
important to also identify internal supplier relationship.
Supplier relationships internal to the business include:
Franchisees – If you were to purchase a franchise it is important
that you ensure that an open relationship occurs between your
franchise and other franchises.There will be times in which you
will need to rely on each other when there is a supply problem
with the stock.
Networks are another way in which internal supplier
relationships can be nurtured.A network is where a body or
group of people meet together or are in contact with each other
for the supply of information.
Customer – Some customers even supply organisation’s with
components, products and services.For example, your customer
has special needs for a product but does not have the ability to
design and develop a component of the product.Your
organisation may design and develop the product for the
customer who supplies them with preliminary parts.The
customer may purchase the final product from your
organisation.
It is important that you understand the difference between
external and internal suppliers.This understanding will ensure
that you know the needs that you will be required to fill to
establish a strong relationship with them.
Suppliers can also be seen as important because of their
immediate monetary consequences.The impact of a supplier on
the business cannot be measured solely on the relationship
itself.
You need to consider:

What the supplier is looking for in the relationship
The way that the supplier is used by your organisation
How it relates to your organisation’s relationships with other
suppliers.
Some of the ways in which costs can be identified are through:
Relationship costs
Since supplier relationships play a large role in the
organisation’s ability to survive the effects of globalisation, it
is important to reduce procurement costs.Each purchasing
transaction is associated to the cost of transportation, handling
and the ordering of goods.There are also costs related to
training and development and problem solving costs within the
relationship.These are called handling costs and supply
handling costs that are functions of the activities required to
maintain and develop a customer relationship.
When measuring supplier relationships it is important to reflect
on the cost of the relationship, rather than the offering being
purchased.Each relationship can cost a lot of money, thus it is
important to ensure that the number of suppliers is kept
down.However, you may find that one supplier cannot offer you
what you need, so you may need to consider other suppliers.
Relationship benefits
When you consider the benefits of the relationship with your
suppliers, you need to consider what your supplier is going to
offer.
The offer can include:
The costs of adaptation and the facilities provided
Equipment
Things that your organisation needs
Resources that will help in the development of the company
Elements of the products and services.
These cost benefits offer gains for the company that come from
the reduction of costs in other areas of operations.These costs
could include operational costs, lower production costs, reduced
administration costs and development expenses.Other benefits

include the supplier relationship enhancing the revenue
generating capacity of the customer in terms of a new supplier
who can improve the offerings to the customer.
You can find both of these costs and the handling and supply
costs within your book keeping records.
The value of a supplier relationship
The value of a supplier relationship should be considered in
terms of all the relationship costs and benefits as they will have
an impact on operations, logistics and marketing.The costs and
benefits will need to be weighed against the value your
organisation places on the relationship.
When you measure the costs and benefits it is important to be
aware of the fact that you cannot measure them at a specific
point in time, but over a period of time so you can actually
measure the benefits.If you find that your supplier relationship
is weak then you can complete the following test to find ways in
which you can strengthen the relationship.
One way in which you can strengthen your key relationships
with your supplier is through the use of the Loyalty Acid Test
Survey.The aim of the survey is to help you to identify and
prioritise your challenges and create a plan that will maximise
the loyalty of your business partners.To explore the concept of
the loyalty acid test survey, go to www.loyaltyrules.com on the
internet.
Reichheldbelieves that supplier loyalty is derived from the
“personal integrity of the senior leadership team and its ability
to put its principles into practice.”By linking the organisation
with their suppliers through the Web, it has been found that “the
Web can dramatically deepen relationships and effect enormous
efficiencies” (Reichheld, 2001, p.7).
Barriers to maintaining effective relationships
Make sure that you are aware of the barriers that can arise from
your actions.These barriers can impede your progress and stifle
your organisation’s ability to adapt in a globalised and
technologically advancing time period.Being aware of the

barriers to maintaining effective relationships assists you in
making sure that you do not inadvertently destroy your
relationship.
The barriers to maintaining effective relationships include:
Communicating clearly – One of the factors that drive an
organisation to bankruptcy is the clear lack of communication
between the suppliers.Communication should be clear and
concise.Both the supplier and your organisation need to be
aware of exactly what they want and must work towards
ensuring that both parties have the same goals.
When a party is not clear on the supplier relationship, relations
can become tense and the relationship can falter.
Keep it short and simple – Using long sentences and verbose
words can confuse the supplier relationship.Make sure that your
sentences are short and clear.This will ensure that there is no
confusion in the supplier relationships that you have.
Know what is in it for your supplier and yourself – Some
organisations are not always clear about what they want from a
relationship.Your organisation may be trying to cut costs by
outsourcing the research and development of components. It is
important to make sure that your supplier is also obtaining
something out of the relationship.If the supplier is not obtaining
any monetary gain because they are breaking even, then you
need to make sure that they are obtaining something.If the client
does not gain anything from the relationship then this could
drastically affect the effectiveness of the supplier relationship.
Having a strong leadership team – Having a strong leadership
team that can effectively and efficiently guide their suppliers
into being loyal will ensure that the relationship stays strong
long after it has been established.Management needs to show
that they are honest, reliable and that they will follow through
on all of their promises.
The final decision on whether the supplier is taken will be based
on factors that influence the operations of the organisation and
the organisation's policies.
Practices and procedures thatmay include:

Organisational culture
Organisational guidelines which govern and prescribe
operational functions, such as the acquisition and management
of human and physical resources
Standard operating procedures
Undocumented practices in line with organisational operations.
Purchase orders
To purchase stock from your supplier, you need to complete a
purchase order form.These are usually printed and clearly
identify the type of product, the quantity required, the name and
price of the product.When raising a purchase order, make sure
that your supplier has the correct purchase order number.An
incorrect purchase order number can cause problems for the
organisation when the order arrives.
Purchase orders are legal offers from you to purchase the goods
and services of your supplier.In most instances, if a supplier
relationship is operating well, then the freight, delivery and
processing of the order are in a standard format.If there is no
supplier relationship, then you will need to clearly write the
payment terms, who is responsible for the freighting of the
goods and any other costs.Purchase orders will assist you in
tracking the order.
Purchase orders are also important so that the organisation can
confirm the need to pay the invoice to the supplier when it
arrives.Delays in payment to the supplier have been known to
occur because the supplier has not written the correct purchase
order on the invoice.This can have a negative impact on the
organisation. How?
Purchase order example

Activity 2B
2.3 – Recognise and incorporate requirements for intellectual
Intellectual property rights and responsibilities
When recruiting and acquiring resources and services, you need
to be aware of intellectual property rights and responsibilities.
Non-compliance with intellectual property requirements can
result in serious legal consequences, so it is important with the
concept – you must make every effort to comply with them

when acquiring resources and services.
Non-compliance issues may include:
Required fees not being paid, both to or from another body, e.g.
For a licence agreement or for renewal of registered rights;
Material being copied by other employees, e.g. From the
internet or copying software, which could have potential
copyright issues;
Evidence of unlawful access to computer files;
Marketing material being produced using images and other
material which could breach copyright;
Unlawful use of music or sound recordings.
Intellectual property within the organisation
Within any organisation, intellectual property is usually
protected by a number of policies, procedures or sources of
information which seek to enforce and retain the intellectual
property rights of the organisation. Let’s look at some of the
types of procedure, policy or information that you might come
across within either your own or other organisations you may be
dealing with.
Policies, procedures and information may include:
Intellectual property policy
Licensing agreements
Procedures for ensuring copyright protection
Procedures for registering intellectual property rights
Register of intellectual property assets
Intellectual property policy
Many organisations have a policy in place governing the
ownership and management of intellectual property. It may deal
with matters such as the use and protection of the intellectual
property, the extent of the rights and the disposal of any rights.
The policy will be subject to any legal or regulatory provisions
relating to intellectual property rights and may consider legal
matters within the policy. It allows organisations to manage
intellectual property in an effective, efficient and ethical
manner.

What might the policy include? The following are a few key
points:
An explanation of any terminology relating to intellectual
property;
An explanation of any relevant legislation or regulation;
The different types of intellectual property;
The nature and extent of the intellectual property and rights;
The ownership of the intellectual property;
Disclosure of intellectual property;
Marketing, commercialisation or licensing of intellectual
property;
Acquiring or creating intellectual property;
Income from intellectual property;
Rights and obligations of all parties;
Matters of what constitutes infringement and the consequences.
Licensing agreements
Licensing agreements are used to commercialise intellectual
property. They are used to enable the owner of the intellectual
property to agree (according to the terms and conditions of the
agreement) to permit the other party to the agreement to use the
intellectual property. It is a way of allowing the use of
intellectual property without losing ownership. This can be
financially rewarding for both parties. Any type of intellectual
property can be subject to a licensing agreement. A licensing
document is therefore a legal document of great importance
which should be drafted by a legal advisor.
IP Australia provide the following key points about licensing
agreements:
A licence is a contract where the IP owner gives permission to a
licensee to commercialise that IP.
A licence can cover product development, manufacture,
marketing and selling products.
The owner of the rights will usually get payments in the form of
royalties in return for their use. The value of the rights is an
agreement based largely on the type of IP involved.
An exclusive licence is the most commonly used mechanism to

commercialise IP with a partner, but there are many other types
of licences, including know-how, trade mark and non-exclusive.
Taking out a licence is a cost-effective alternative to investing
in development that has already been done.
Source: http://www.ipaustralia.gov.au/
It is also important to understand the terms relevant to
licensing:
Franchising is a form of licence. It is a method of distributing
goods and services by agreed terms between the franchisor
(owner of the intellectual property) and the franchisee (party
paying for rights to use the intellectual property).
Assignment is the actual sale of your intellectual property rights
to another person. The terms of the assignment can vary e.g.
whether the seller receives a lump sum or periodic payments.
With regard to licensing agreements, there are several different
types. These range from exclusive licences to non-exclusive
licences and variations such as trade mark licences or know-
how licences. Before embarking on any licensing agreement
(whether as licensor or licensee) you should seek independent
legal advice from a professional legal advisor.
Procedures for ensuring copyright protection
We have already touched upon some of the procedures for
ensuring copyright protection. You may recall that copyright
protection applies automatically – under the Copyright Act 1968
– as soon as an idea or creative concept is documented on paper
or electronically. Due to this automatic protection, there is no
need to follow an official application and registration process to
protect your rights.
The following are key copyright protection points:
Copyright protection applies as soon as the creative idea or
concept is documented on paper or electronically.
It protects the original expression of the idea but does not
protect from independent creation of similar work.
The level and scope of copyright protection depends on the
nature of the work. These are governed by Part III Section

31(1), for original literary, dramatic, musical and artistic work,
and Part IV Section 85-88 inclusive of the Copyright Act 1968,
for subject matter other than the works governed by Section 31
above. These subject matters may include recordings,
cinematograph, films, television broadcasts, sounds broadcasts
and published editions of works.
There is no requirement to apply for and register copyright
because the protection is automatic.
It is, however, possible to use a copyright notice which may
assist you in proving ownership of the copyright and act as a
deterrent to infringement.
The procedure for registering copyright, should you wish to, is
discussed below.
Procedures for registering intellectual property rights
The procedures for registering intellectual property rights vary
according to the type of intellectual property rights you are
seeking to claim or protect. The table below considers the
registration procedure for each type of intellectual property, and
the relevance of registration legally and commercially. You will
note that some types of intellectual property rights are
dependent on registration. It is therefore crucial that the
organisation is made aware of and acts upon these requirements,
where necessary, in order to establish and protect their rights.
Type of intellectual property
Procedure for registering
Copyright
Remember that registration is not a requirement. However, a
copyright notice makes it clear who owns the copyright and that
the use of the material is restricted by these rights.
The Attorney-General’s Department (which administers
copyright) provides the following example of what a notice may
state:
This work is copyright. Apart from any use permitted under the
Copyright Act 1968, no part may be reproduced by any process,
nor may any other exclusive right be exercised, without the
permission of [name and address of copyright owner and the

year in which the work was made].
(Australian Government, Attorney-General’s Department, Short
Guide to Copyright, 6)
Trade marks
Remember that a registered trade mark is legally enforceable.
Before applying for registration, you are advised to search the
online database for existing trade marks which may affect the
success of your registration. Once you submit an application
and its information has been published, in most circumstances
you cannot change the details of your application or add classes
of goods and services. Application can be online or by paper, to
IP Australia. An examination report will be issued to you,
explaining their findings. If there are no issues, your
application will be accepted and published. If there are issues,
you have 15 months to overcome these. Once accepted, the
application is published in the Official Journal of Trade Marks
and third parties are able to oppose your application. If no
oppositions are made, your application will be registered. Once
registered, it will be legally enforceable. It can be renewed
indefinitely, every 10 years (IP Australia,
http://www.ipaustralia.gov.au/).
Patents
A patent is legally enforceable. It gives you the exclusive right
to commercially exploit your invention for the life of the patent.
In exchange, you are required todisclose to the public how your
invention works. You do this by filing a patent application that
we will publish. (IP Australia http://www.ipaustralia.gov.au/
Designs
Remember that a registered design gives exclusive rights and
protection to the owner. There are restrictions as to who can
apply and how to apply. Applications should be made to IP
Australia. The design must be clearly shown by a drawing or
photograph. Your application will then be subject to a
formalities check. If passed, it will be registered and advertised
in the Australian Official Journal of Designs and made available

on the Australian Designs Data Searching (ADDS) website (IP
Australia http://www.ipaustralia.gov.au/).
Plant breeder’s rights
If you have developed a new variety of plant, you should apply
for plan breeder’s rights (‘PBR’) to protect it. A PBR gives you
legally enforceable rights. The application should be made to IP
Australia. Before making any application you are advised to
conduct a search to see if your plant is new and distinctive. The
application process is split into two parts. First, you complete
an application which is followed by an initial assessment. Once
accepted, the application is provisionally protected. The next
stage is a growing trial which acts as evidence which IP
Australia must then examine. This is a lengthy process. If
examination is successful, a description of the plant is
published in the Official Journal of Plant Breeder’s rights and
third parties are able to make objections. If no objections are
filed the application should be granted. Once granted, it is
enforceable. A renewal fee is due annually (IP Australia
http://www.ipaustralia.gov.au/).
Circuit layout rights
Remember that circuit layout rights apply automatically, if you
are the owner of an original circuit layout design. There is
therefore no need for registration in order to obtain or enforce
your rights.
Confidential information
Confidential information can be protected by implementing
legal obligations such as by entering into confidentiality
agreements or written undertakings regarding competition.
Registration is not applicable. Common law provides protection
(IP Australia, http://www.ipaustralia.gov.au/).
Trade secrets
A trade secret can be used as a type of intellectual property and
as a method of protecting intellectual property. It can protect
technologies, knowledge and confidential information (IP
Australia, http://www.ipaustralia.gov.au/).

Note: the procedures for application and registration (including
compulsory fees) are subject to change and you should always
consult the Australian Government, IP Australia website for the
most up to date information before proceeding to act or advise
others – www.ipaustralia.gov.au
Register of intellectual property assets
Once you have successfully registered your rights (where
necessary), details of those rights will appear on the relevant
registers.
The Australian Government, IP Australia manages the following
registers of intellectual property assets:
Australian Official Journal of Designs (AOJD)
Australian Official Journal of Patents (AOJP)
Australian Official Journal of Trade Marks (AOJTM)
Official Journal of Plant Breeder’s Rights
It is important that you have a basic knowledge of the different
types of intellectual property and the key characteristics of
each. The next chapters of this learner guide will build on this
knowledge by putting it into the context of the organisation.
Activity 2C
3.1.Develop, monitor and review performance systems and
plans and targets
3.2.Analyse and interpret budget and actual financial
performance
3.3.Identify areas of under-performance, recommend solutions
3.4.Plan and implement systems to ensure that mentoring and
3.5.Negotiate recommendations for variations to operational

3.6.Develop and implement systems to ensure that procedures
3.1 – Develop, monitor and review performance systems and
plans and targets
Performance management systems
Now that you have set your strategic and operational goals and
set up new staff, you need to develop a performance
management system.
"Performance management is the process of creating a work
environment or setting in which people are enabled to perform
to the best of their abilities. Performance management is a
whole work system that begins when a job is defined as needed.
It ends when an employee leaves your organisation."
Source: humanresources.about.com
To monitor a performance management system, you need to
know what you are going to monitor.For example if you are
going to monitor an employee’s job performance, then you
could develop an employee performance appraisal to determine
whether the employee is performing at an acceptable level or
whether they require assistance to learn how to work at that
level.
To measure performance, it is important to understand that
monitoring performance is usually done by monitoring the
progress of staff through their duties.For example, do they
finish their required tasks on time?If the answer is no, then you
need to find out if there is a reason why.If the measurements do
identify a weakness, you need to identify if there is a defining
factor that impedes their ability to perform the task on time.

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9905 3180
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Tools for measuring different types of performance
To assist you in identifying tools to help measure performance,
here are a number of tools and their uses that you can use to
measure performance:
Tool
Definition
Uses
Measuring Quality
Quality Assessment
Is the measurement of the quality of a product and/or services?
· Observation of service delivery
· Mystery client method
· Audit of individual patient records
· Review of data from automated information system

· Testing (written tests, simulation with standardized patients,
computer-based testing)
· Health worker interview
· Patient exit interview.
Quality Monitoring
Is a process in place for the regular collection and analysis of a
core set of health indicators? In order to develop trust and
involve staff, quality monitoring emphasizes measuring and
analysing processes rather than individuals.
Establish a quality monitoring system
Step one what information do you need? i.e. Level of service
Step two collect the data. What data and design monitoring
tools?
Step three use the information and results. Place results into
tabs, analyse and interpret the results.
· Data collection is a routine activity integrated into daily tasks
· Data is collected regularly and over time, so trends in the
indicators can be monitored
· Data is used to identify the presence and causes of system
problems that can result in poor performance
· Data is used to guide management decisions.
External Evaluation of Quality
Is there a process where external bodies can provide an external
evaluation of your system?
Three approaches:
· Accreditation through training and development through the
internal body
· Certification through a recognised authority in your field
· Licensure addressing the minimum legal requirements or the
field if relevant.
Performance Appraisals
Online appraisals against competences
Appraisals at your fingertips.Management provide employee
appraisals and the HR department provides instant feedback.
Employees are more engaged through instant feedback on their

performance appraisal.Real time reporting helps management
manage staff with full visibility.Goal setting is simplified
making review easier for both employees and employers.
Competency Assessment with Feedback Writer
Assists line managers to write feedback against competencies.
Assists in ensuring that all competences are considered and
feedback is provided so the learner knows their exact
performance level.
Complete performance appraisals
A systematic way of evaluating the standards of a worker’s
performance.
· Make employment decisions such as determining pay and
promotions
· Identify professional development needs
· Identify factors in the work environment that help or hinder
performance effectiveness.
Process Appraisal
Break downs
Includes how often equipment breakdown, and the causes of the
breakdowns.
· Identify ways in which to improve the quality of the
equipment’s performance
· Identifies weaknesses in maintenance schedule
· Identifies weaknesses in procedures
· For quality improvement.
Process Report
The length of time for service, manufacturing and delivery of
goods.
· Identify weaknesses in systems
· identify areas where improvement is required
· How much is the budget exceeded
· Why are their variations in processes in the production
process?
Page | 63

Of course, many organisations use different names when
developing monitoring tools.Think of the monitoring tools that
you have used to monitor the progress of your systems.Some are
called by similar names but perform completely different
functions based on what they are required to measure.
The progress of each performance being measured should be
monitored over a period of time.These are usually the
acceptable performance standards for each task or process. If
you only measure the performance criteria once, you will not
obtain a true measurement of the process that you are trying to
measure.
When you process performance, it is important to ensure that
you note:
The time in which the measurement took place
Did the measurement stay within acceptable performance
limits?
Have there been any changes that will impact on the
measurement? If yes, how?
What is the level of quality expected?Was this level
acceptable?Why?Why not?
Exact measurements of acceptable parameters can usually be
found in the organisation’s policies and procedures.
The measurements that you develop must be completed at least
three times strategically and they are:
When the performance management system was developed
When the performance management system was monitored
When the performance management system was reviewed.
You develop the acceptable parameters when you start a new
process; you monitor the progress of the measurement to
identify whether it is consistent or not.If the measurement is not
consistent, then you can check any variations against the time
for instance.
For example
Trainees tend to concentrate more in the morning.After lunch

the level of concentration usually wavers.Why?How can you
ensure that this variation is not as big? In this instance, you
may decide to monitor and find ways in which to maintain the
same level of performance during the whole day, rather than
part of the day.
Once you have monitored the results of the item that you have
measured, you need to review it.You could ask yourself,
whether the plans and productivity targets that I measured meet
the required set parameters in my goals.
Activity 3A
3.2 –Analyse and interpret budget and actual financial
performance
Budget and financial information
A budget is a financial document that is used to project future
income and expenses.External factors, such the state of the
economy, changes to legislative requirements and technological
innovation can have an impact on how much budget is
available.As an ongoing document, it is important to
continuously scan the market to ensure that you are still
working within the budget.
For example, if there is a change in the economy whereby
spending decreases, then depending on your product and/or
service, you may find that your customers no longer purchase
your product.This downturn in spending shall be reflected in
your allocated budget.If there is a decrease in the demand for
your product, then you will no longer need to supply as many,
thus your budget will usually shrink to reflect that budget.
Financial information found in financial reports such as the
profit and loss statement will demonstrate when there is a
decrease in profits, thus a decrease in sales.However, do not
lose sight of the fact that a decrease in profits may correlate

with an increase in theft.
Depending on the size and function of your organisation, the
financial information that you keep will vary.
However, financial information that you may need to monitor
could include:
Budgets
Ratio analysis
Budget forecasts
Cash flow statements
Profit and loss statement
Balance sheets
Investment and liability reports.
When reviewing financial information, as with any other sort of
reviewing, it is important to identify the variations in the
reports and then try to identify the causes of these variations.It
is only when you identify the causes of the variations that you
will be able to identify how to correct the variations.
Activity 3B
3.3 – Identify areas of under-performance, recommend solutions
Rectifying under-performance
To operate within your budget, to meet the targets and goals set
out in your operational and strategic plans, you must monitor
and review performance.This is the key to your success.If you
work outside your budget, for instance, then the organisations
profits will be affected.
Once you identify a problem you should take prompt steps to
rectify the problem.This can be performed through the process
of continuous improvement.Not only should you take steps to
ensure that the minimum performance levels are achieved, you
should be proactive and take steps to improve performance.
“Continuous improvement is the process of increasing the
quality and services through incremental gains accompanied by
occasional innovation.” (Kuratko and Hodgetts, 1995,

p.697).Before you identify where continuous improvement
should be used to address under-performance, you need to
ensure that you are clear on what you are measuring.
Remember measurement is usually set by your goals.These goal
measurements are usually reflected in the organisation’s
policies and procedures.Innovation and change are an integral
part of identifying areas that need to be improved within your
organisation.As a part of an improvement initiative
organisations are moving to higher rates of production while
maintaining the same level of quality.Even though organisations
are geared towards achieving these goals, they may find that as
output increases so too does the variations that occur.
In a culture of continuous improvement, procedures and work
instructions are developed to minimise the occurrence of
variations.Reports may be compiled to allow management to see
how many times a variation occurs.Once a variation occurs
regularly, management is then able to change and implement
work procedures and instructions to minimise variations.
Some variations may be derived from non-conformance with
company requirements.It is essential that organisations record
and monitor non-conformance.
Innovation
Innovation is the development of a new idea or a new method.
Innovation is looking at different ways to improve your job
while retaining the same standards in the quality of your
output.Innovation plays a huge role in your workplace.
Innovative work practices can be put in place to increase your
output by finding better and newer ways of doing things at
work.Some innovations come from the identification of a
problem.Other innovations are simply ideas that people have
about how to increase productivity.
Change
Innovation means the need to change.Change is implemented to
make a job run more smoothly.It may mean that you change the
order in which you perform a task to increase your outputs.You
may suggest that you or your colleague change something small

that saves time.
For instance, it may be a part of your job to receive stock that
needs to move straight to the line.Standard procedures may
require that the security guards need to direct the truck drivers
to a specific location.The truck drivers may then need to find a
fork lift driver to take the stock off the truck.
In what way could you improve this process?
Just In Time is a process in which stock is delivered and placed
on the production line in time for the next unit.For stock to be
received on time, it is important that stock ordered in this way,
is prioritised.It may be a simple process of giving security a
report which tells them when the stock is due to arrive.Security
can look at the invoice when the stock is delivered and should
direct the truck driver straight to the delivery location, where a
fork lift is waiting to deliver the stock on time.
What are the advantages of the new process?
Costs: If the truck driver in the original scenario could not find
anyone to help him and the stock was necessary for ongoing
production, then the production line may have been stopped if
the part was central or time would have been lost rotating the
stock back onto the line for production to continue.The
production line may not be able to recoup the time lost.
Productivity:This would have decreased productivity, so this
means that the organisation may need to be late with the
delivery of their order.
The new process is geared towards decreasing costs and
ensuring that productivity is increased by decreasing the
number of out of stocks that occur.
When you see this type of discrepancy, it is important for you to
identify what the problem is.You also need to see the benefits
of implementing new processes.If you change any processes in
your work area, make sure that any department that is going to
be affected by the change is advised about it.
Factors affecting output and quality
An increase in output can be caused by:

Technological change:A new machine may increase production.
Economic change: A decrease in orders will decrease the
amount of units to be produced. This in turn will decrease the
number of people the organisation will employ.Conversely, an
economic boom will affect the increase in demand and mean
that more staff will need to be employed.
Management trends: People working together as a part of a team
means that workers will be able to work together to find
resolutions.
Political change: The new Australian United States Fair Trade
Agreement will open doors to outside countries produce
products in Australia.This agreement will stimulate
competition, but will also open America up as a potential
customer base.
Some organisations spend a lot of time improving their products
and practices.In a competitive industry, being innovative can
make the difference between having a competitive advantage
over your competitors and going out of business.
To improve your output, you are in effect increasing the quality
of your service or product and improving your processes.For
instance, finding a way in which to save time will ensure that
things run more smoothly.On the other hand, you might need to
improve a process that is not working effectively.You need to
know what is not working before you can increase the quality of
a process or product.
Variations to improvement processes
Once you have identified issues that will enhance your output
and the quality of your processes, product and/or services, you
need to be aware of the factors that may cause variations to
production.For instance, you have found a way in which to
increase productivity.This means that the worker may be able to
operate machinery a lot faster.The elimination of a process
means that the worker can work faster and not expend more
energy.
In turn, this also means that the worker will be able to make

more units.This sounds good, but the consequences for the
organisation could be more far reaching.The machine that the
worker uses may only be able to make so many units before a
part needs to be changed.Over a period of a year, that part may
need to be changed several more times.In calculating the
expenditure, you may find that the part costs $100-200.You may
need to arrange professionals to come in on the weekend to
change the part and make the adjustments to the machine.This
will cost even more money.In the end, you may find that you are
spending more than what you are making in that section.
When you implement a new idea, you should not only take into
consideration both the advantages and disadvantages of the
innovation, you also need to consider the consequences of your
improvement.These consequences can lead to variations (bad or
good) to productivity.
One way in which to measure any unforeseen variations to an
improvement process is to learn how to implement action
learning to obtain a real life perspective to your improvement
process.
Action learning
Action learning is an excellent way in which to evaluate and
refine improvement proposals.Action learning is “learning for
concrete experience a critical reflection on that experience –
through group discussion, trial and error, discovery, and
learning from and with each other.It is a process by which
groups of people address actual workplace issues or problems…
to develop solutions” (Zucker-Skerritt, 2002, p.115).
Experiential experience is one method in which action learning
can occur.
Action learning is simple.It offers you a method in which you
are raising learning from an unconscious to a conscious level,
through techniques of questioning that probe problems so
knowledge becomes more obvious.(Please note that these
definitions have been adjusted to suit the improvement process
and that the underlying meanings are still the same).This has

been done to clarify areas for you.
For action learning to succeed, there are major components that
should be present.These components of action learning are:
The client/sponsor/organisation supports the program
financially and if necessary, morally
The improvement aims and tasks are to solve complex problems
(all problems no matter how simple can be major if you do not
obtain and maintain management support)
The team of action learners conduct the project.(If you work
with a group of people where improvement occurs, you will
usually find that everyone is consulted and asked for feedback.
(Zucker-Skerritt, siting Pedler, 1997)
Some of the actions to action learning are that teams have:
· definition of a problem
· an appropriate evaluation of both learning and the outcomes
(Zucker-Skerritt, siting Dick, 1991).
The outcomes of action learning for the stakeholders can
include:
Understanding of group processes and organisational change
Improved understanding between sections of the organisation
Ideas for future projects
New skills
A concrete outcome of benefit for the organisation and group
High proven returns on investment in the action learning
program.
For the above actions and outcomes to occur, you should be
working within a collaborative learning culture.
The success of action learning programs is based on the ability
of the teams to have values that include:
Openness, trust and collaboration
Team spirit, respect for diversity
Tolerance of mistakes from which we learn.
Other writers believe that benchmarking and the support of
continuous learning reinforce that concept of action learning.
For the purposes of future improvement processes, you should
ensure that your organisation retains a copy of all of the steps

you completed to satisfy the needs of the improvement.
The same processes can be utilised when identifying under-
performance in already established processes.If you are looking
for a quick method to solve the under-performance, you may
need to use action learning to ensure that any changes made to
the processes do not move away from the operational and
strategic plan.
Problems may not always arise from problems in
processes.There will be times when problems will arise in
attitude, a lack of understanding of a process or other individual
performance issues.
Activity 3C
3.4 – Plan and implement systems to ensure that mentoring and
Mentoring and coaching
When you identify an area where the organisation’s team is not
meeting their goals, you may need to arrange training for
staff.Applying to external parties to train the staff can be a
timely and expensive process.To save on costs and time, you
can delegate a mentor or coach to minimise the gap in
performance.
A skills gap analysis is usually the preferred manner in which to
identify a gap in performance.This gap is identified between the
level of performance demonstrated and the desired level of
performance expected to meet the goals.Coaches and mentors
must then be used to clear that gap.
Mentors in either a formal mentoring program or an informal
relationship focus on their individual or the team, their career
and support for individual growth, whereas the coach’s job is
focused and performance oriented.As a manager, your
responsibility is to identify whether the problem is the fact that

the team or individual does not know how to set and meet goals
or the team or individual problem is performance related.
If the problem is performance related then you should allocate a
coach to the individual or team. Conversely a mentor should be
allocated if there is a behavioural problem such as a lack of
confidence.Mentors are usually allocated because they have a
personal interest in the success of the individual’s
performance.Coaches develop specific skills for the task,
challenges and performance expectations at work.
Coaches and mentors are usually chosen from the staff that are
employed within the organisations.They will usually have the
skills required to change performance difficulties in the
mentor’s case.
The mentor should be someone that the team looks up to.They
should teach by demonstrating the skills that the team should
demonstrate.Providing ongoing feedback and support allows the
individual staff member and team to learn the skills that they
require to close the gap so that they can achieve the required
levels of performance.
Coaches need to have a level of authority by the nature of their
position as a leader to insist on compliance in the form of
performance levels. Coaching is task-related and requires that
individuals perform at a required level in areas such as
improving their knowledge, skills, or abilities to perform a
given task.
Activity 3D
3.5 – Negotiate recommendations for variations to operational
Negotiation
When you work with a team or even on your own, you need to
have the art of negotiation.It is rare to find a variation that
everyone agrees with.Negotiation is a “process in which two or

more parties who have both common and conflicting interest
bring forth and discuss explicit terms of possible agreement”
(Collins, 2004, p.207).
As an individual, you want your department and all of the
departments that will be affected by the change to contribute
feedback on which is the option best suited to their needs.You
will have a similar option if you are working as part of a
team.In both cases, where conflict arises you may be foisted
into the role of negotiator.You may well have to go against your
own wants and needs to negotiate conditions that will satisfy all
parties.
There are three types of negotiating and you will need to decide
which type will help you narrow the preferred options of the
parties involved.There will be times when no one will be able to
agree on a preferred option, so you may have to negotiate the
preferred options down to a manageable level.
The three types of negotiation are:
Hard negotiation: Where negotiation is seen as a test of wills
and who will finish off better.They will win at any cost and as
such will damage relationships.
Soft negotiation: Where negotiators want to avoid conflict.The
negotiator does this by amicable agreement, with the least
amount of fuss and bother, so they make concessions. These
concessions make them feel exploited and that the other parties
are taking unfair advantage of them.
Principle negotiation: A combination of both hard and soft.It is
about getting what you are entitled to and preserving your
relationship with other parties.It can be used in any situation by
manypeople irrespective of whether they are experienced or not.
Principle negotiation has three critical elements which are:
Separate people from the problem
In all negotiations you will need to preserve the relationship/s
between parties. Our objective is to either refine or narrow
down the preferred options to a manageable level.
The first thing to do is to empathise with the party’s position so
you fully understand their needs.You are not dealing with only

your problems, but others so keep their feelings in mind.Focus
on everyone’s perception of the problem.
You will need to listen to other peoples’ opinions, so use your
communication and listening skills effectively.Try to avoid
conflict by listening and do not attack.If you become too
forceful the negotiating parties will become defensive and resist
your views.
The best strategy is just to let them talk and encourage them by
leading them to speak.As a negotiator you need to have the
capacity to let the parties feel that they are being heard.The
problem itself is not hard to solve, though to obtain actual
agreement on how to solve the problem may be tough, keep
trying, for it must be solved and it must be solved effectively.
Focus on interest not positions
If you want to get a win/win situation for all parties, then focus
on interest not position. Interest works effectively because
behind the different positions of opposing parties are their
shared interests.
There are multiple interests.As a negotiator do not overlook the
interest of all parties.If you give the parties the opportunity to
tell you their concerns and draw out interest, you can go along
way to narrowing the preferred options to a manageable level.
Developing options
If you cannot identify options, it may be necessary to look at
the styles of negotiation. If “what if”, with the parties does not
work you should look to the five styles of negotiation. “What
if” allows the minds of all parties to become focused on the
problem at hand, which is to narrow down the options in the
interest of both parties.
The process of negotiation
The process of negotiation starts with a strategy that will get
you the desired result.
The five basic styles of negotiation are:
Competition:A win/lose approach which leads to confrontation
Compromise:A win/win approach which is optimal

Co-operation:A win/win approach which creates joint problem
solving
Accommodation:A lose/win approach which leads to
capitulation
Avoidance:A lose/lose approach that leads to withdrawal
Ideally you should aim for a win/win approach.That means that
when you identify preferred options, you should consider either
compromise or co-operation.Both approaches allow all parties
to feel that they have had some say in their work area.This
means that they have identified with the problem and will make
an extra effort to ensure that it is resolved.
Consistency of recommendations
An area that has yet to be considered within this competency is
the area of consistency.Policies and procedures give an
organisation a consistent framework.Consistency is concerned
with precision and reliability.
Policies and procedures are written to ensure that consistency is
maintained.This means that the way in which you develop the
recommendations for a variation will be the same for all levels
of the organisation.If you are going to be consistent you need to
have “the ability to maintain a particular standard or repeat a
particular task with minimal variation” (Encarta, 1998-2004).
The maximisation of consistency can be found in the
improvement processes of previous improvement
strategies.Organisations usually keep records of all development
as it is seen as a way to save in the future.When one
improvement or variation process works well, the organisation
will test it to try to find if it can work in all areas.
The reason the organisation does this is to minimise an
innovation’s effect in productivity and to standardise the
improvement process. Some organisations will even develop
standard operating procedures (SOPs) to ensure that the
development and implementation of improvement processes are

standardised.When a variation to a process is introduced, an
improvement occurs and the variation becomes part of the
standardised improvement process.
One way in which consistency may be established is through
benchmarking.Benchmarking means that the organisation will
be looking for the best way in which to implement improvement
procedures.By looking at the larger organisation that excels in
this area, you will be able to define the best practice.This best
practice is then incorporated into the organisation.
This by no means gives the organisation a competitive edge, but
it does contribute to standardisation of procedures.The
competitive edge comes from the trust and organisational
identification that comes as a part of continuous improvement
that is supported by management.
Intellectual capital will then give it the flavour only found in
their organisation that will give the organisation the competitive
edge.
It is also important that you follow the organisation’s
procedures and report the variations to the correct designated
personnel.
Designated personnel include:
Groups designated in workplace policies and procedures
Managers or supervisors whose roles and responsibilities
include decision making on operations
Other stakeholders such as board members
Other work groups or teams whose work will be affected by
recommendations for variations.
Activity 3E
3.6 – Develop and implement systems to ensure that procedures
Documentation

Throughout the management of the operational plan, you should
have been maintaining ongoing records of the improvement
processes and the process of recruiting and selection staff,
innovation and performance measures.As a part of the ongoing
process, organisational procedures would have recommended
that you had to complete forms to demonstrate the decisions
that you made.
Documentation may have included:
Operational plans
Strategic goals
SMART goals
Contingency plans
Job advertisement
Selection criteria and duty statement
Quality improvement and performance appraisals.
In each step of the process you would need to complete
organisational forms.These forms would have been designed to
assist you in developing your plans and implementing
them.Once you have finished with the documents, you should
file them away and they become a record of the organisation’s
history.
Future generations of employees will be able to use your
historical data to develop plans.Events and ideas that may have
been rejected in your data may prove relevant in the future of
the organisation.This data needs to be controlled, irrespective of
the fact that it is electronic or paper based history.Most of this
information will usually be found in the organisation’s filing
system.
Security measures must be taken to protect the data from
unqualified minds that would breach privacy laws.Many of
these paper based files are kept under lock and any electronic
storage information would require that the user had a user name
and log-on details.

Activity 3F
unit

1-2 hours to complete and your trainer will let you know
during the sessions. Once this is completed, you will have
finished this unit and be ready to move onto the next – well
done!
Congratulations!
You have now finished the unit'Manage operational plan.’
References
These suggested references are for further reading and do not
necessarily represent the contents of this Learner Guide.
Business Synchronicity – Ivan Walsh
URL Address: http://www.ivanwalsh.com/business-
proposals/four-step-strategy-developing-business-
proposals/4455/
Monash Short CoursesPhone: 03 9905 3180
BSBMGT516 V3 24.01.19
BSBMGT517V3 24.01.19
Page | 68
(
BSBWOR502

Lead and manage team effectiveness
Learner Guide
)
BSBWOR502
Lead and manage team effectiveness
Table of Contents
Table of Contents3
Unit of Competency6
Foundation Skills8
Objectives10
1. Establish team performance plan11
1.1 - Consult team members to establish a common
understanding of team purpose, roles, responsibilities and
accountabilities in accordance with organisational goals, plans
and objectives12
Team purpose: What is a Team?12
How to determine what the team wants to achieve?12
Team purpose, roles, responsibilities and accountabilities13
Activity 1a14

Roles, responsibilities and accountabilities15
Activity 1a continued...16
1.2 - Develop performance plans to establish expected
outcomes, outputs, key performance indicators (KPIs) and goals
for work team17
Performing17
W.I.S.H Team Review18
Adequate levels of complementary skills18
Key performance indicators (KPIs)19
Activity 1b20
1.3 - Support team members in meeting expected performance
outcomes21
Support team members21
Meeting expected performance outcomes21
Activity 1c23
2. Develop and facilitate team cohesion24
2.1 - Develop strategies to ensure team members have input into
planning, decision making and operational aspects of work
team25
Team cohesion25
Strategies27
2.2 - Develop policies and procedures to ensure team members
take responsibility for own work and assist others to undertake
required roles and responsibilities29
Policy29
Procedure29
Activity 2a31
2.3 - Provide feedback to team members to encourage, value and
reward individual and team efforts and contributions32
Create a simple feedback mechanism or template approach33
Champion the success of team members34
Activity 2b35
2.4 - Develop processes to ensure that issues, concerns and
problems identified by team members are recognised and
addressed36
Develop a process36

Problem analysis sequence39
Activity 2c40
3. Facilitate teamwork41
3.1 - Encourage team members and individuals to participate in
and to take responsibility for team activities, including
communication processes42
Teams42
Encourage team members42
A sense of mutual accountability44
Communication44
3.2 - Support the team in identifying and resolving work
performance problems45
Support the team45
Identifying and resolving45
Activity 3a46
3.3 - Ensure own contribution to work team serves as a role
model for others and enhances the organisation's image for all
stakeholders47
Stakeholders47
Activity 3b48
4. Liaise with stakeholders49
4.1 - Establish and maintain open communication processes
with all stakeholders50
Maintain open communication processes50
Establish open communication processes51
Reluctance to communicate or share information52
Activity 4a53
4.2 - Communicate information from line manager/management
to the team54
Activity 4b55
Communicate information from line manager/management to the
team56
Team communication plan57
Activity 4b continued58
4.3 - Communicate unresolved issues, concerns and problems
raised by team members and follow-up with line

manager/management and other relevant stakeholders59
4.4 - Evaluate and take necessary corrective action regarding
unresolved issues, concerns and problems raised by internal or
external stakeholders59
Communicate unresolved issues - Issue management59
Assignment/ownership61
Target resolution date61
Activity 4c62
References66
Unit of Competency
Application
This unit describes the skills and knowledge required to lead
teams in the workplace and to actively engage with the
management of the organisation.
It applies to individuals working at a managerial level who
facilitate work teams and build a positive culture within their
work teams. At this level, work will normally be carried out
using complex and diverse methods and procedures requiring
the exercise of considerable discretion and judgement, using a
range of problem solving and decision making strategies.
No licensing, legislative, regulatory or certification
requirements apply to this unit at the time of publication.
Unit Sector
Industry Capability – Workplace Effectiveness

Element
1. Establish team performance plan
1.1 Consult team members to establish a common understanding
of team purpose, roles, responsibilities and accountabilities in
accordance with organisational goals, plans and objectives
1.2 Develop performance plans to establish expected outcomes,
outputs, key performance indicators (KPIs) (KPIs) and goals for
work team
1.3 Support team members in meeting expected performance
outcomes
2. Develop and facilitate team cohesion
2.1 Develop strategies to ensure team members have input into
planning, decision making and operational aspects of work team
2.2 Develop policies and procedures to ensure team members
required roles and responsibilities
2.3 Provide feedback to team members to encourage, value and
reward individual and team efforts and contributions
2.4 Develop processes to ensure that issues, concerns and
addressed
3. Facilitate teamwork
3.1 Encourage team members and individuals to participate in
communication processes
3.2 Support the team in identifying and resolving work
performance problems
3.3 Ensure own contribution to work team serves as a role

model for others and enhances the organisation’s image for all
stakeholders
4. Liaise with stakeholders
3.1 Establish and maintain open communication processes with
all stakeholders
3.2 Communicate information from line manager/management to
the team
3.3 Communicate unresolved issues, concerns and problems
raised by team members and followup with line
manager/management and other relevant stakeholders
3.4 Evaluate and take necessary corrective action regarding
external stakeholders
Foundation Skills
Reading
1.1, 4.4
· Analyses and interprets textual information from the
organisation’s policies, goals and objectives to establish team
goals or to determine corrective action
Writing
1.2, 2.1, 2.2, 2.4, 4.2, 4.3, 4.4
· Prepares written reports and workplace documentation that
communicate complex information clearly and effectively
Oral Communication
1.1, 2.3, 3.1, 4.1, 4.2, 4.3
· Engages in discussions or provides information using
appropriate vocabulary and non-verbal features

· Uses listening and questioning techniques to confirm
understanding and to engage the audience
1.1, 2.1, 2.2, 3.3
· Understands how own role contributes to broader
organisational goals
· Modifies or develops policies and procedures to achieve
organisational goals
1.1, 1.3, 2.2, 2.3, 3.1, 3.2, 4.2, 4.3
· Selects and uses appropriate conventions and protocols when
communicating with diverse stakeholders
· Uses interpersonal skills to gain trust and confidence of team
and provides feedback to others in forms that they can
understand and use
· Adapts personal communication style to build positive
working relationships and to show respect for the opinions,
values and particular needs of others
· Plays a lead role in situations requiring effective
collaboration, demonstrating high level conflict resolution skills
and ability to engage and motivate others
Get the work done
1.2, 2.1, 2.2, 2.4, 3.2, 4.1, 4.3, 4.4
· Develops, implements and monitors plans and processes to
ensure team effectiveness
· Monitors and actively supports processes and development
activities to ensure the team is focused on work outcomes
· Plans for unexpected outcomes and implements creative
responses to overcome challenges

Evidence of the ability to:
· Use leadership techniques and strategies to facilitate team
cohesion and work outcomes including:
· encouraging and fostering shared understanding of purpose,
roles and responsibilities
· identifying and resolving problems
· providing feedback to encourage, value and reward others
· modelling desired behaviour and practices
· Develop policies and procedures to ensure team members take
responsibility for own work and assist others to undertake
· Establish processes to address issues and resolve performance
issues
· Support team to meet expected performance outcomes
including providing formal and informal learning opportunities
as needed
· Develop performance plans with key performance indicators
(KPIs) (KPIs), outputs and goals for individuals or the team
which incorporate input from stakeholders
· Communicate effectively with a range of stakeholders about
team performance plans and team performance
· Facilitate two-way flow of information between team and
management relevant to team performance
· Evaluate and take necessary corrective action regarding
external stakeholders.
Knowledge Evidence
individual must:
· Explain how group dynamics can support or hinder team
performance
· Outline strategies that can support team cohesion,
participation and performance

· Explain strategies for gaining consensus
· Explain issue resolution strategies.
typical activities experienced in the industry capability -
workplace effectiveness field of work and include access to:
· Workplace documents
· Office equipment and resources
Assessors must satisfy NVR/AQTF assessor requirements.
Links
Companion volumes are available from the IBSA website:
http://www.ibsa.org.au/companion_volumesHousekeeping Items
are.
is.
· Smile
· Support and encourage other participants
· When someone is contributing everyone else is quiet

· Be patient with others who may not be grasping the ideas
· Be on time
· Focus discussion on the topic
· Speak to the trainer if you have any concernsObjectives
Discoverhow to establish team performance plan
Know how to develop and facilitate team cohesion
Learnhow to facilitate teamwork
Understand how to liaise with stakeholders
Gainthe skills and knowledge required for this unit
1.1Consult team members to establish a common understanding
of team purpose, roles, responsibilities and accountabilities in
accordance with organisational goals, plans and objectives
1.2Develop performance plans to establish expected outcomes,
outputs, key performance indicators (KPIs) and goals for work
team
1.3Support team members in meeting expected performance
outcomes
1.1 - Consult team members to establish a common
understanding of team purpose, roles, responsibilities and
accountabilities in accordance with organisational goals, plans
and objectives
Consultation may refer to:
Accountabilities may refer to:
· Conducting meetings, interviews, brainstorming sessions,
email/intranet communications, newsletters or other processes
and devices which ensure that all employees have the
opportunity to contribute to team and individual performance
plans
· Mechanisms used to provide feedback to the work team in
relation to outcomes of consultation

· Responsibilities as defined in position descriptions, codes of
conduct/behaviour, duty statements or similar
· Statement of conduct outlining
responsibilities/actions/performance
Team purpose: What is a Team?
The Wisdom of Teams: Creating the High-Performance
Organization by J. R. Katzenbach, Douglas K. Smith
In their book “The Wisdom of Teams” Katzenbach and Smith
make the point that the word team conveys different things to
different people. Some people think of a sporting situation
where personal bests and winning no matter what are important.
Others consider teamwork values such as sharing, co-operating
and helping one another as essential to a team effort. Teams
could be formed by as few as two people and often marriage is
referred to as a partnership or a team.
Because of these different perspectives it is useful to consider
in the context of what you may be addressing just what is the
best definition of a team?
How to determine what the team wants to achieve?
Consult team members
There are many reasons why teams are bought together to
address issues.The first stage is to determine why?
Examples may include:
· Addressing particular customer feedback
· Conceiving and implementing a particular project
· Developing new services or products
· Generating ongoing ideas within the work unit
· Improving budgetary performance
· Improving or changing work conditions
· New ideas that impact beyond the workplace (e.g. That have a
broader social or community impact)
Establish why

Your views
Team purpose, roles, responsibilities and accountabilities
Specific Goal or Goals
Are they team goals versus the broader organisational goals or
just one individual’s goals (e.g. The leaders)
Are they simple, clear and measurable if not measurable, can
their achievement be determined
Are they realistic as well as ambitious
Do they allow small wins along the way
Do they call for a concrete set of team work-products
Is their relative importance and priority clear to all members
Do all members agree with the goals, their relative importance
and the way in which their achievement will be measured
Do all members articulate the goals in the same way
Activity 1a
Roles, responsibilities and accountabilities
Roles
Sometimes roles evolve over time to meet the needs of the team
as necessary.
Develop initial roles
One method is to ‘democratically’ brainstorm’ a list that covers
the A-Z and then select each item to ensure each team member
has a clear understanding and feels comfortablewith the
suggested role
There is a significant expectation in today’s business
environment to be extremely conscious of team members’

cultural differences and the respect all individuals deserve when
they are part of the team. People with language difficulties,
disabilities and other cultural or personal differences should not
rule out participation and involvement to the levels of which
they feel comfortable.
Responsibilities
Communicate responsibilities
Most of us are familiar with what teams are however we are
imprecise in our thinking about them.
For that reason it is useful to get a clear understanding of what
a team is and is not. This can provide useful insights into how
to strengthen the performance and innovation of your team.
Examples
What are we supposed to do?
Where are the goals?
Where do I fit in?
Where do I go for the answers/help?
What information needs to be gathered?
Accountabilities
A sense of mutual accountability
Mutual accountability creates a team; until this is present the
group will remain simply that, a group.
This accountability underpins two critical aspects of teams,
commitment and trust.
By holding yourselves accountable to the team goals you earn
the right to have a say in the team activities or functional
performance and receive a fair hearing when doing so.
This in turn creates trust between participating team members.
Activity 1a continued...
1.2 - Develop performance plans to establish expected
outcomes, outputs, key performance indicators (KPIs) and goals
for work team
Performance plans may refer to:
Individual performance plans linked to team goals

Team plans based on work assignments and responsibilities
Outcomes, outputs, key performance indicators (KPIs) may
refer to agreed:
Changes in work roles and responsibilities
Improved individual and team, performance and participation
Improvements to systems, operations
Measures for monitoring and evaluating the efficiency or
effectiveness of systems or services
Quality standards and expectations
Targets for productivity improvements such as reduced
downtime, higher production levels, decreases in absenteeism
Targets for training and development
Performing
The team is functioning well and producing measurable
outcomes.
Individual performance plans linked to team goals
Team plans based on work assignments and responsibilities
Feelings:
· Better understanding of each other, satisfaction with team
progress, pride with team progress.
Behaviours:
· Modelling of team behaviours, work through problems, close
attachment to the team.Tries to find group norms, may complain
about the company, may find it difficult to define problems,
impatience with discussion.
Raising the questions?
· What improvements can be made?
· How can we go about making these changes?
W.I.S.H Team Review
The W.I.S.H Team Review process is a way to analyse your
team that gives you a realistic view of where your team work is
situated, at this point in time.
This process is an invaluable planning tool when it comes to

growing and developing your team to the next level.
This review involves examining.
WELL – Looking at what you do WELL as a Team
IMPROVE – Looking at what needs to be IMPROVED in your
team
STRATEGY – What strategy do you need to develop to improve
your teamwork
HOW - Now that you have a strategy – HOW are you going to
implement it into your team environment?
Identify strengths and weaknesses of team against current and
expected work requirements
The Team Challenge…strengths and weaknesses
Small enough in number?
Can you convene easily and frequently?
Can you communicate with all members easily and frequently?
Are your discussions open and interactive for all members?
Does each member understand the others’ role and skills?
Do you need more people to achieve your ends?
Are sub teams possible or necessary?
Adequate levels of complementary skills
Are all three categories of skills either actually or potentially
represented across the membership (functional/technical,
problem solving/decision making and interpersonal)?
Does each member have the potential in all three categories to
advance his or her skills to the level required by the team’s
purpose and goals?
Are the skill areas that are critical to team performance missing
or underrepresented?
Are the members, individually and collectively, willing to spend
time to help themselves and others learn and develop skills?
Can you introduce new or supplemental skills as needed?
Truly meaningful purpose
Does it constitute a broader, deeper aspiration than just near
term goals?
Is it a team purpose as opposed to a broader organisational

purpose or just one individual’s purpose (e.g. the leaders)?
Do all members understand and articulate it the same way? And
do they do so without relying on ambiguous abstractions?
Do members define it vigorously in discussions with outsiders?
Do members frequently refer to it and explore its implications?
Does it contain themes that are particularly meaningful and
memorable?
Do members feel it is important, if not exciting?
Key performance indicators (KPIs)
Areas to consider
Your Attitude
Your skills
Your communication
Your abilities
Your level of co-operation
Your compatibility
Activity 1b
1.3 - Support team members in meeting expected performance
outcomes
Support may include:
Coaching
Mentoring
Training and development opportunities
Long term or short term plans
Meetings
Support team members
Recognise innovation as a process which can be systematically
pursued using a range of key elements.
Involve the team in the design and development of the
objectives
Generate results through involvementutilising partnerships and

collaboration
Collaborative
Fair
Fun
Hardworking
External stimuli can also mean using and seeking advice from
subgroups within a team.
Team empowerment
Encouraging new ideas
Permitting interaction – between the team, the sub-groups or
external networks or technical experts
Interaction between different work groups and colleagues
outside of the team
Meeting expected performance outcomes
· Technical and Functional Expertise: Teams must contain the
skills necessary to complete the task at hand. For example, a
product development group with only marketing experts is less
likely to succeed than a group comprised of marketing experts
and engineers. The complementary skills of both groups will
enable the team to function.
· Problem solving and decision-making skills: Teams must be
able to make decisions and identify the onset of a problem or
opportunity, evaluate the opportunity and decide on an
appropriate course of action. Team members usually possess
some level of these skills and develop them more on the job.
· Interpersonal Skills: Skills which enable effective
communication and management of any conflict arising will
enable the team to develop common understandings of purpose
and function. This could include risk taking, helpful criticism,
objectivity, active listening, giving the benefit of the doubt,
support and or recognising the needs of others.
Most team members will react positively to communicating
responsibilities within a team if you:
Are specificwith enough detail to be clear
Provide a responsibility that is measurable using quantitative

goals when available such as milestones
Ensure they are attainable and realistic in terms of their own
control, timeframe, and resources available
Communicate responsibilities that are both reasonable and
realistic in terms of what can really be achieved
Give time-based goals that set dates for achieving milestones,
results, completion
Most importantly, provide encouragement for team members to
stretch beyond the norm and have challenging responsibilities to
achieve beyond the current levels, raise the bar.
Areas that can reinforce team-based support
Accessing training and learning opportunities
Enough but not too much guidance and structure
Equitable sharing of workload
Follow-through with ideas
Activity 1c
2.1Develop strategies to ensure team members have input into
2.2Develop policies and procedures to ensure team members
2.3Provide feedback to team members to encourage, value and
2.4Develop processes to ensure that issues, concerns and
addressed
2.1 - Develop strategies to ensure team members have input into
Team cohesion

Team cohesion goes hand in hand with team building
The collective cohesion is what keeps any group or team
together
The challenge is maintaining the cohesion or the reason the
team has come together
Preventing group fragmentation is a key element of managing a
team
Such activities would include setting out clear common goals
and strategies to achieve and maintain this.
Strategies may refer to:
Electronic communication devices and processes, such as
intranet and email communication systems, to facilitate input
team input
Mentoring and buddy systems to support team members in
providing input
Newsletters and briefings
Develop strategies
Discuss Comments
· Teams range in size from two to twenty five people however
the majority of effective teams have averaged about ten people.
· Some organisations have teams numbering fifty or more
however, these are usually broken into smaller units or sub
teams
· The reason for this is that larger numbers of people have
trouble communicating effectively, often disagreeing on

specific actions and outcomes.
· Ten people are far more likely to work through their
differences, agree to a common approach or plan and implement
that plan. The simple logistics of a team larger than ten meeting
is a complication
team input
Is your team willing to get involved with new ideas and to be
part of a team environment to maybe question what has been in
place for some time?
· Some staff may approach all new ideas and innovative
strategies in a totally negative manner that may not be in your
power to resolve, so they need to be removed from the group
The cynics
· Distinguish between team cynicism and unwillingness
· Cynics will point out the weakness and risks of a new idea
which is helpful to measure how the group is doing in the
overall assessment process
Mentoring and 'buddy' systems to support team members in
providing input
Mentoring - Get involved
· Share suggestions, ideas, solutions and proposals with your
team members.
· Take time to interact with other team members and accept
their requests for more information or assistance.
· You can establish trust and maybe there will be a time in the
future when you will need some help or advice from them.
· Put staff training into context and understand its role clearly
· Assess the improvement effectiveness of any proposed training
programs planned
· Assess the training needs within a team
· Evaluate the training model and assessment approach with

participants
Barriers to training include:
· Money, time, relevance, ability
Strategies
As discussed earlier in this session, it has been found that using
a “process” such as a planning tool will focus attention when it
comes to growing and developing your team to the next level.
You can include several areas such as decision making and
operational aspects of the work teamon which to base your
‘strategic’ planning.
This strategy review mentioned earlier, involves examining.
Well-Looking at what you do well as a team
Improve-Looking at what needs to be improved in your team.
Strategy-What strategy do you need to develop to improve your
teamwork
How-Now that you have a strategy – how are you going to
implement it into your team environment?
Example
Well
Improve
Strategy
How
Decision making
Operational aspects

2.2 - Develop policies and procedures to ensure team members
Policies and procedures allow the organisation to systematically
review and improve the quality of workgroups and teams.
The development of policies and procedures are generally
handled the same way as the initial team establishment strategy.
Policy
A policy is a guiding organisational principle used to set some
form of direction
Policies are used to guide and influence decisions
Procedure
A procedure is a particular way of accomplishing something,
e.g., that which is contained within a ‘policy’
To be effective, it should be designed as a series of logical
steps to be followed and reviewed
A procedure would likely have an approach or cycle to
accomplish an end result
Procedures are also promoted during evaluations or assessments
and should be reiterated and discussed regularly to ensure they
remain relevant.
Copies of policies should be easily accessible to the workforce
via your website or other electronic sources such as intranet
accessible data bases
Examples
Company websites
By email
Blogs
Formal meetings
During induction
Conferences

Policies and procedures may refer to:
Organisational guidelines and systems that govern operational
functions
Procedures that detail the activities that must be carried out for
the completion of actions and tasks
As a living document procedures, created from a policy, will
need on-going review and updating.
Identify any gapsin policies and procedures or changesto
internal or external factors, by encouraging a regular review of
the current policiesand procedures.
Undertake workgroup research to ensure best practice ideals are
being met and consult with the organisations stakeholders to
gain agreement on policies and procedures.
Activity 2a
2.3 - Provide feedback to team members to encourage, value and
Constructive feedback usually consists of comments from others
who are familiar with the work and efforts of the teams in
question
Feedback is encouraged and should be made with the intention
of assisting team membersto improve or make informed changes
Remember, both positive and negative feedback is to be
expected, however, human nature as it is will likely produce
much more positive feedback than negative
Consider the following as well as your own experiences or
workplaceactions by others
Suggestions
Discuss your views
Talk about the current status
Provide team members with feedback from other sources

Slowly open positives and negatives
Careful wording. Words should make team members think and
not to react negatively.
Relate to experience and examples
Feedback on areas such as time management is always a
positive approach to a variety of issues
Use qualitative or quantitative measurement of feedback
Provide any data from systems or measurable software
Include feedback from peers, customers or clients
Address key performance indicators (KPIs)
State facts or observations not assumptions
Do not include personal perspectives of the manager and the
person being reviewed
Create a simple feedback mechanism or template approach
Action
Your views on feedback
Do not get defensive
Provide advice and support

Recognise and celebrate individual and team accomplishments
at all levels
Calculate a new strategy to overcome any areas of ‘negative’
feedback
Explain fully the evaluation measurement or results
Value constructive feedback
What is the final outcome?
Encourage, value and reward individual and team efforts
Agree on performance for such areas as shared tasks
Reward areas such as planning and scheduling
Establish personal reward programs but only if appropriate and
complies with organisational policies and standards
Team members not only cooperate in all aspects of their tasks
and goals, they share in what are traditionally thought of as
management functions, such as planning, organising, setting
performance goals, assessing the team's performance,
developing their own strategies to manage change, and securing
their own resources.
Reflect on teamactivities
Gather and use feedback
Discuss the challenges
Take ideas for improvement
Celebrate successes
Champion the success of team members

It is important to take time to privately and publicly recognise
and congratulate small wins and achievements along the way.
Emphasise success rather than failures.
Give rewards of a practical nature, gifts or other forms of
recognition (only if appropriate and complies with
organisational policies and standards).
Activity 2b
2.4 - Develop processes to ensure that issues, concerns and
addressed
Processes may refer to:
Brainstorming options with the team for addressing concerns
Creating a matrix of issues and concerns and distributing for
comment
Discussions with individuals regarding their concerns
Distributing drafts for comment with a range of options for
resolution of concerns
Training and development sessions
Develop a process
The purpose of problem analysis and subsequent process
development is to find the main cause of a problem or a concern
before that escalates to a more serious or holistic effect on the
team or the organisation.
The process in identifying issues, concerns and problems
identified by team members can be used as a form of mediation
or it may be used as feedback in a review.
In most cases, the process to ensure issues are recognised and
then addressed is because something should(correctly) be
occurring or happening and notwhat actually (incorrectly) is
currently occurring.
Usually, the process is used when this deviation from the norm
is significant or the cause is not immediately obvious or known

It is simply a systematic approach to answering the question
"Why?" with confidence
If concerns and problems are immediately known or identified
by team members then this process is not necessary
Example - Recognition
Identify the problem
What is currently happening
What should be happening
E.g., a concern or problem
Consider interim action
E.g., buy time by dealing with the effectsof the problem if
corrective action is not immediately possible
Example – Addressing
Find the cause of the problem
Decide on corrective action
Search for the true cause
Review the alternatives
Implement the chosen corrective action

Problem analysis sequence
A brief statement of the problem, identify the object and the
deviation in the problem
Specify the problem giving a clear and accurate picture of the
deviation
Develop possible causes, look for the unique features of the
problem and look for changes
Test possible cause, check against the picture of the deviation
and reject those causes which fail to explain the problem
completely
Verify the most probable cause through physical testing.
Activity 2c
3.1Encourage team members and individuals to participate in
3.2Support the team in identifying and resolving work
3.3Ensure own contribution to work team serves as a role model
for others and enhances the organisation's image for all
stakeholders
3.1 - Encourage team members and individuals to participate in
Teams

“A small number of people with complementary skills who are
committed to a common purpose, performance goals and
approach for which they hold themselves mutually accountable”
Encourage team members
Small number
Teams range in size from two to twenty five people however the
majority of effective teams have averaged about ten people.
Some organisations have teams numbering fifty or more
however, these are usually broken into smaller units or sub
teams. The reason for this is that larger numbers of people have
trouble communicating effectively, often disagreeing on
specific actions and outcomes.
Ten people are far more likely to work through their
differences, agree to a common approach or plan and implement
that plan. The simple logistics of a team larger than ten meeting
is a complication.
Complementary skills
Teams must develop the appropriate mix of skills to complete
the tasks assigned to that group. These skill requirements fall
into three categories:
Technical and Functional Expertise:
Teams must contain the skills necessary to complete the task at
hand. For example, a product development group with only
marketing experts is less likely to succeed than a group
comprised of marketing experts and engineers. The
complementary skills of both groups will enable the team to
function.
Problem solving and decision making skills:
Teams must be able to make decisions and identify the onset of
a problem or opportunity, evaluate the opportunity and decide
on an appropriate course of action. Team members usually
possess some level of these skills and develop them more on the
job.

Interpersonal Skills:
Skills which enable effective communication and management
of any conflict arising will enable the team to develop common
understandings of purpose and function. This could include risk
taking, helpful criticism, objectivity, active listening, giving the
benefit of the doubt, support and or recognising the needs of
others.
A team simply won’t work without these basic skill
components. The challenge for any team though is to strike the
right balance between selection based on existing skills and
those, which might be developed as a result of team
membership.
Committed to a common purpose and performance goals
A team’s purpose and its performance are closely related.
Without a common purpose a team will quickly break apart and
operate as a collective of individuals or smaller teams.
A common, meaningful purpose sets the tone and aspiration.
Most teams shape their direction and purpose based on an
external demand or opportunity. For example, management
assigns a task, which must be completed by the assembled
group.
Once a meaningful purpose is in place the team creates
ownership and commitment to that purpose. Some teams are
capable of creating their own direction by creating a meaningful
purpose independent of management.
Usually though some form of direction from management
creates the momentum for the team to begin operating. Groups
that fail to operate effectively as teams have usually failed to
develop a common purpose that is owned by the team.
This usually means that no measurable goals and outcomes have
been formulated by the team.
Encourage team members and individuals to participate in and
to take responsibility for team activities:
Teams need to develop a clear working approach to ensure they
work together to accomplish their purpose. It is almost as

important to develop their preferred working style as it is to
formulate team goals.
In formulating an approach the team must take into account the
social as well as economic and administrative details.
The next step is for team members to agree on who in the team
will perform specific jobs, how schedules will be adhered to,
what skills will need to be developed, how the group will make
and modify decisions and how continuing membership will be
earned.
The social role is often overlooked in teams however it is an
important role.
The social role helps promote mutual trust and constructive
conflict, which is necessary for the team to succeed. In the best
teams different members assume the social roles at different
times and contribute their own unique method for energising
and supporting the team.
These roles evolve over time to meet the needs of the team as
necessary.
A sense of mutual accountability
Mutual accountability creates a team; until this is present the
group will remain simply that, a group. This accountability
underpins two critical aspects of teams, commitment and trust.
By holding ourselves accountable to the team goals we earn the
right to have a say in the team activities or functional
performance and we receive a fair hearing when doing so. This
in turn creates trust between participating team members.
Communication
Improve
The quality of communication you have within your team.
Strategy
Implement a regular communication process.
How?
1. Each Tuesday morning have a meeting tocover key issues
relating to your team direction and team goals

Then, as of next month,conduct a personalityanalysis, so that
people can get a better understanding of their peers
Organise a document folder of information that relates to your
team tobe placed in a central location or online through the
office intranet or on each computer
3.2 - Support the team in identifying and resolving work
Identify the performance problem
Determine if there are too many jobs
Address the performance problems ASAP
Determine if there are too few resources
Use the time to discuss this in a positive way
Ask the team to resolve and participate
Are they: personal, performance, behaviour?
Express concern for perfomance, not threats
Support the team
Discuss with the team members who will know the reasons
behind any performance problems as they are the people
actually doing the work or tasks.
Discuss the problems with the team members and support them
in identifying what they think about the issues.
Ask them for suggestions on possible solutions and if possible
give them the responsibility of implementing the agreed
solutions.
Identifying and resolving
Try to understand why the team members could not perform as
expected.
Do not assume that any one person on the team is at fault until
you and the team have had sufficient time in discussion.
Focus on the issue and the reasons behind it.
Identify the reasons that may have caused this lack in
performance and find solutions to it.

After identifying the problem and discussing a suitable solution,
it is time to take action in solving the problem.
Create a plan to implement the solution and regularly revisit the
team to either check milestones or make further changes if
necessary.
Give support to your team members to understand the issues and
overcome them.
Activity 3a
3.3 - Ensure own contribution to work team serves as a role
model for others and enhances the organisation's image for all
stakeholders
Stakeholders may include:
Board members
Business or government contacts
Funding bodies
Union/employee groups and representatives
Work team
Stakeholders
A stakeholder is any person or party with a vested interest in an
organisation.
Stakeholders can be both internal and external.
Stakeholders are extremely important to achieving successful
outcomes.
A key stakeholder can greatly influence what you achieve or
don't achieve.
A stakeholder is not only an owner or shareholder or investor, it
is everyone with a vested interest in the organisation or entity
that you may be gathering information from.
They can also be support services, product and service
providers, sponsors, media, transport authorities, police or other
services.
A stakeholder survey can provide useful feedback for an
organisation or part of an organisation that is involved in the
process or activity of that organisation.

A stakeholder therefore can be an individual or a group of
people who have an investment or stake in what you do.
It is a broader definition than a customer who is someone who
pays you to deliver a service.
Much has been written on contributing to work teams.
Ensuringyour contribution to a work team serving as a role
model for others may not necessarily fit the key description of a
team:
A sense of mutual accountability.
Activity 3b
4.1Establish and maintain open communication processes with
all stakeholders
4.2Communicate information from line manager/management to
the team
4.3Communicate unresolved issues, concerns and problems
manager/management and other relevant stakeholders
4.4Evaluate and take necessary corrective action regarding
4.1 - Establish and maintain open communication processes
with all stakeholders
Maintain open communication processes
Establishing open communication lines between stakeholders
and you or the teamis very important.
As with all open communication it is critical to be honest and
constructive to reduce the potential of rumours or
misunderstandings.
As already mentioned, a stakeholder can be anyone connected
with or having an interest in your organisation, so, as such it is

inevitable that stakeholders with a vested interest will have
differing views and outlooks, different priorities and certainly
in the case of non-paid stakeholders a different levels of
interest.
There will be different objectives existing between the team and
the stakeholder that may lead to conflict, ambiguities, and
power struggles.
Position your communication with stakeholders as such that
they will value the intended business result.
Consider these options and detail the advantages or
disadvantages as you see them
Advantages
Disadvantages
Monitor your key stakeholders
Update regularly with all external stakeholders
Secure commitment of your stakeholders and clients
The more your stakeholders are committed to your objectives
the more likely you are to achieve your specified outcomes
Establish open communication processes
Use a strategic approach when communicating with
stakeholders:
Distinguish between proactive and reactive
communication.Whatever mode is selected it should facilitate

two-way communication
Ensure the communication is two-way and offerstakeholders the
opportunity to ask questions and provide their opinions
Effective communication methods are strategically linked to the
target audience:
The purpose of being strategic in this approach is tobe more
proactive and to anticipate stakeholder issues rather than react
Create a cooperative framework between the team and the
stakeholders minimising any perceived gaps in communication
intent such as addressing policies, management decisions and
organisation actions
Establish the needs and wishes of stakeholders before selecting
the best methodsfor communication
Establishing the right dialogue processes e.g., face to face,
internet, phone, email or other method with the stakeholders to
ensure efficiency and accuracy
Ensure the stakeholders are aware of relevant issues of
importance and not caught off guard
In developing your communication strategy consider the
organisations policy that supports this
When communicating information ensure that it is consistent,
understandable and delivered in timely manner.
Anything that is in the organisation policy which prohibits this,
would be seen as an obstacle to good communication and may
contain pitfalls.
Typical potential policy breaches may include:
Poor use of, or inappropriate language
Any inconsistencies in sharing and distributing the information
discussed and communicated between the team and the
stakeholders
Unacceptable or confidential terminology
A range of potential legal issues/obstacles when communicating
with a range of stakeholders
Poor timeline or time management
Breaches in confidentiality
Breaches in commercial sensitivities such as intellectual

property
Reluctance to communicate or share information
Although you may have the right strategy and intent to open
communication, not all stakeholders would be willing or able to
offer such open communication in return?
You may encounter:
The inability to obtain or deliver the necessary information
An unwillingness toshare communication
Information overload
Too much useless information in the view of the stakeholder
Defensiveness or some form of distorted perception
A bias or need to offer distortions from thepast into your
current communications
Cultural differences and language difficulties
Inconsistency of approach with a result that you send different
messages
Poor standards or incomplete data that will not suit your
required information quality
Lack of empathy or understanding of the stakeholder
In order to ensure, as much as possible, your communication
strategy is effective consider the following:
Your communication, as much as possible is:
Clear
Concise
Has a clearly defined action plan
Targets appropriate audience
Allows constructive feedback
Followed up to determine effectiveness
Proactive rather than reactive
Follows agreed timeline
Activity 4a
4.2 - Communicate information from line manager/management
to the team
Line manager/management may refer to:

Chief executive officer
Direct superior
Other management representatives
Activity 4b
Communicate information from line manager/management to the
team
The single most important observation is that the objective of
communication is not the transmission but the reception.
The whole preparation, presentation and content of
communication in any format must therefore be geared not to
the speaker but to the recipient.
Communicating informationfrom a line manager or other
management person to the team would be a failure if the team
does not understand or are not persuaded of its intent and its
content.
The objective of communication is to make your message
understood and remembered
How to keep communication channels open
Sender
Message
Method
Recipient
Meaning
FEEDBACK
Make sure your team is aware of the objectives of the overall
business and that the team’s objectives help make the business
objectives successful
Each team member should understand how their role enables the
business to meet those objectives.
Second, establish a regular communication channel with

management.
Here are some suggestions:
Communicate regular status reports.
Invite management to one of your team meetings.
Present ideas for regular communication in the future
Link your communication to where the objectives commence not
half way
Ask your management how and how often they want
communication from and to your team
Indicate your team’s desire to help the company be successful
Team communication plan
Example
Sender
Message
Method
Recipient
Deliverable
Description
Delivery Method
Frequency
Owner
Audience
Reports
Status report
Regular update
Meeting
Monthly
Manager
Teams, A,B
Quality report
quality performance

E-mail
Weekly
Quality Manager
Teams A, B, C
<Deliverable>
<Description>
<Delivery Method>
<Frequency>
<Owner>
<Audience>
<Deliverable>
<Description>
<Delivery Method>
<Frequency>
<Owner>
<Audience>
<Deliverable>
<Description>
<Delivery Method>
<Frequency>
<Owner>
<Audience>
Reviews and Meetings
Team meeting
Meeting to reviewstatus
Meeting
Monthly
Manager
Teams A,B
<Deliverable>
<Description>
<Delivery Method>

<Frequency>
<Owner>
<Audience>
<Deliverable>
<Description>
<Delivery Method>
<Frequency>
<Owner>
<Audience>
<Deliverable>
<Description>
<Delivery Method>
<Frequency>
<Owner>
<Audience>
Activity 4b continued

4.3 - Communicate unresolved issues, concerns and problems
manager/management and other relevant stakeholders4.4 -
Evaluate and take necessary corrective action regarding
Taking a holistic view of communicating unresolved issues,
concerns or problems raised by team members is not too
dissimilar to making assessments of risk.
Although unresolved issues and risks are not quite the same
thing, the nature of both is largely unknown before you begin.
With risks, you usually have a general idea in advance that
there is a cause for concern, whereas with an issue, especially
those that are unresolved or emanating from other already
solved issues, tend to be less predictable
Communicate unresolved issues - Issue management
Firstly, identify or define the issue
This is essential so you can track the concerns and problems
raised by team members and to ensure you have communicated
with or assigned responsibility to the right people in order to
resolve them.
You might like to classify or use organisational categories to
identify the unresolved issues, concerns or problems, for
example:
Technical – areas relating to functionality or performance
Process issues – areas affecting the team project or objective
Change management – an area often in need of additional
resolution and generally raises concerns or problems associated
with misunderstanding, clarity of change or reluctance to
change.
Customer or environmental changes
Resource – issues affecting the provision or performance of
duties, actions that relate to equipment, material, or people
problems.
Third party – issues or concerns that are raised with suppliers or

someone outside of the organisation
It is then helpful to identify where the issue was discovered
Timing – discover when the issue was identified
Provide full details and a description about what happened,
what caused the particular issue or concern and the potential
impact if unresolved or communicated correctly.
List risks and what would happen if the particular issue or
concern was left uncommunicated or unresolved.
Priority – As with all forms of communication, it is necessary to
prioritise this so that it fits within the most advantageous
opportunity to gather the team.
It may be simply an email or other notation that is all that is
needed.
High priority – A critical issue that will have a high impact on
the team success and has the potential to cause a major concern
or other established risk impact.
Medium priority – An issue,concern, or problem raised by team
members that will have a noticeable impact, but won't stop the
objective proceeding.
Low priority – An issue, concern, or problem raised by team
members that doesn't affect activities on a critical path schedule
or timeline and probably won't have much impact if it's resolved
at some point later.
Assignment/ownership
Determine who is responsible for communicating the issue,
especially the phase of follow-up with line
manager/management and other relevant stakeholders.
This person/s may or may not actually implement a solution (if
a solution is in fact needed) but would be responsible for
tracking progress.
Target resolution date
In all cases of communication based on unresolved issues,
concerns or problems raised by team members, it is essential to

have a resolution time/date in place.
As mentioned earlier, this communication may simply need an
email or other form of speedy resolution or maybe it is a longer
process?
Set in place a similar follow-up date with line
manager/management and other relevant stakeholders.
Activity 4c
unit
1-2 hours to complete and your trainer will let you know
during session. Once this is completed, you will have finished
this unit and be ready to move onto the next, well done!

Congratulations!
You have now finished the unit ‘Lead and manageteam
effectiveness’
Page | 62
3180
BSBWOR502 V3 24.01.19
BSBWOR502 V2 18.10.18References
These suggested references are for further reading and do not
necessarily represent the contents of this learners guide
· Virtual Team Success: A Practical Guide for Working and
Leading from a Distance [Hardcover], Richard Lepsinger

(Author), Darleen DeRosa (Author)
· The Wisdom of Teams: Creating the High-Performance
Organization, J. R. Katzenbach, Douglas K. Smith (Authors)
· Team Effectiveness and Decision Making in Organizations (J-
B SIOP Frontiers Series) [Hardcover], Richard A. Guzzo
(Author), Eduardo Salas (Author)
· Group Cohesion, Trust and Solidarity (Advances in Group
Processes) [Hardcover], S.R. Thye (Author), E.J. Lawler
(Author)
· Stakeholder Theory and Organizational Ethics [Hardcover],
Phillips (Author)
· Stakeholder Relationship Management: 1 [Hardcover], Lynda
Bourne (Author)
Page | 8
(
BSBWOR502
Lead and manage
team effectiveness
Learner Workbook
)
Table of Contents
Table of Contents2
Candidate Details3
Assessment – BSBWOR502: Lead and manage team
effectiveness3
Competency Record to be completed by Assessor4
Observation/Demonstration5

Activities6
Activity 1a6
Activity 1a continued7
Activity 1b8
Activity 1c11
Activity 2a13
Activity 2b15
Activity 2c17
Activity 3a19
Activity 3b21
Activity 4a26
Activity 4b29
Activity 4b continued30
Activity 4c32
Major Activity37
Candidate Details
Assessment –BSBWOR502: Lead and manage team
effectiveness
Please complete the following activities and hand in to your
trainer for marking. This forms part of your assessment for
BSBWOR502: Lead and manage team effectiveness.
Name:
_____________________________________________________
________
Address:_____________________________________________
________________
_____________________________________________________
________
Email:_______________________________________________
______________
Employer:____________________________________________
_________________
Declaration
I declare that no part of this assessment has been copied from

another person’s work with the exception of where I have listed
or referenced documents or work and that no part of this
assessment has been written for me by another person.
Signed:______________________________________________
______________
Date:________________________________________________
____________
If activities have been completed as part of a small group or in
pairs, details of the learners involved should be provided below;
This activity workbook has been completed by the following
persons and we acknowledge that it was a fair team effort where
everyone contributed equally to the work completed. We
declare that no part of this assessment has been copied from
another person’s work with the exception of where we have
listed or referenced documents or work and that no part of this
assessment has been written for us by another person.
Learner
1:___________________________________________________
_________
Signed:______________________________________________
______________
Learner
2:___________________________________________________
_________
Signed:______________________________________________
______________
Learner
3:___________________________________________________
_________
Signed:______________________________________________
______________
Competency Record to be completed by Assessor
Learner
Name:_______________________________________________

________
Date of
Assessment:__________________________________________
_____________
The learner has been assessed as competent in the elements and
performance criteria and the evidence has been presented as;
Assessor Initials
Authentic
Valid
Reliable
Current
Sufficient
Learner is deemed: COMPETENTNOT YET COMPETENT
(Please circle)
If not yet competent, date for re-
assessment:____________________________________
Comments from Trainer / Assessor:
_____________________________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_______________________________________
Assessor
Signature:____________________________________________

____________
Observation/Demonstration
Throughout this unit, the learner will be expected to show their
competency of the elements through observations or
demonstrations. The observations and demonstrations will be
completed as well as the formative and summative assessments
found in the Learner Workbook. An explanation of
demonstrations and observations:
Demonstration is off-the-job
A demonstrationwill require:
Performing a skill or task that is asked of you
Undertakinga simulation exercise
Observation is on-the-job
The observation will usually require:
Performing a work based skill or task
Interaction with colleagues and/or customers
The observation/demonstration will take place either in the
workplace or the training environment, depending on the task to
be undertaken and whether it is an observation or
demonstration. Each task must be observed. You will need to
ensure you provide the learner with the correct equipment
and/or materials to complete the task. You will also need to
inform the learner of the time they have to complete the task;
this will once again vary, depending on the task.
You will need to demonstrate you can:
You should also demonstrate the following skills:
Reading
Writing
Oral communication

Get the work doneActivities
Activity1a
Estimated Time
30 Minutes
Objective
To provide you with an opportunity to consult team members to
establish a common understanding of team purpose, roles,
responsibilities and accountabilities in accordance with
organisational goals, plans and objectives.
Case Study
Time to REFLECT!
· In groups of three (3) or as directed by the instructor, reflect
on a common understanding of team purpose from what has
been discussed so far.
· Is it clear?
· Do you have practical examples to share?
· Make notes and be prepared to then discuss with the class.
Notes:

Activity 1a continued
Estimated Time
30 Minutes
Objective
To provide you with an opportunity to consult team members to
establish a common understanding of team purpose, roles,
responsibilities and accountabilities in accordance with
organisational goals, plans and objectives.
Case Study
From your experience and that of your WORKPLACE, detail
your views on roles, responsibilities and accountabilities.
Complete this table for at least 3 positions within your
organisation, one of which is at a level more senior than
yourself.
How would you consult with team members about these roles,
responsibilities and accountabilities?
How is a common understanding established and agreed upon?
What workplace documents can help with establishing the
purpose, roles, responsibilities and accountabilities?
Roles
Responsibilities

Accountabilities
Activity 1b
Estimated Time
90 Minutes
Objective
To provide you with an opportunity to develop performance
plans to establish expected outcomes, outputs, key performance
indicators (KPIs) and goals for work team.
Case Study
Develop performance plans to establish expected outcomes,
outputs, key performance indicators and goals for work team.
Using your workplace as an example, detail your findings/views
on the following areas discussed in the above element, as it
relates to teams. Provide an example
Area

Your workplace
Your views
Develop performance plans
Improved individual and team, performance and participation
Measures for monitoring and evaluating
Area
Your workplace
Your views
Expected outcomes

Outputs
Key performance indicators
Case Study
BJS is a medium-sized business which manufactures a range of

white goods and household appliances. It comprises a factory
located in the western suburbs of Melbourne with several
offices for the administrative staff. There are 56 permanent
staff, with casuals being employed in busy periods. Stock is
sold in bulk to retailers, with Sales Clerks processing orders
and sending out invoices for payment. Materials are ordered by
the Purchasing Officer from a variety of suppliers locally,
interstate and overseas.
Stacey Harrison has recently been appointed as the new Sales
Coordinator and has been given the task of forming a team to
increase sales in regional Victoria. She has decided to include
Sales Clerk Chengxi Wang, IT Officer Wendy Hamilton,
Graphic Designer Mohini Singh, Finance Officer Debbie
Mitchell and Marketing Officer Kosta Mustafa.
At their first meeting the team discussed their goals and ideas
for achieving them. Aiming to increase sales in regional areas
by 7% in the next 12 months, the team were keen to utilise
internet-based marketing as well as cold-calling potential
customers such as retail stores.
Develop a performance plan for this team using the template
below (or one already in use in your organisation).
Name of team:
Project Team Leader:
Team Members:
Description of outcomes and outputs:
Team Purpose (Goal):
Task
Responsible Staff Member
KPI

(BSBMGT516 Facilitate continuous improvementLea.docx

Activity 1c
Estimated Time
45 Minutes
Objective
To provide you with an opportunity to support team members in
meeting expected performance outcomes.
Case Study
· In groups of three (3) or as directed by the instructor, and
using your workplace as an example, discuss how your
organisation has addressed supporting team members in meeting
expected performance outcomes.
· Use the examplesfrom the element discussed with the
instructor or add your own additional comments.
Area
Workplace Views
Your Views
Coaching
Mentoring
Training and development opportunities

Long term or short term plans
Meetings
OTHER

Using the details of the previous case study, choose one of the
team members and create an individual performance
management plan for them using the template below:
Staff name:
Role:
Skill/Knowledge needed
Learning Activity
Deadline
After several weeks IT Officer Wendy Harrison reports to her
Team Leader Stacey Harrison that she is feeling overwhelmed
by the workload involved in this project as it is in addition to
her normal duties. What advice and support could Stacey give
her?

Activity 2a
Estimated Time
90-120 Minutes
Objective
To provide you with an opportunity develop strategies to ensure
team members have input into planning, decision making and
operational aspects of work team and develop policies and
procedures to ensure team members take responsibility for own
work and assist others to undertake required roles and
responsibilities.
Case Study
Detail your understanding of workplacestrategies,
organisational requirements, expectations, policies and
procedures. Indicate where these are kept/accessed from in your
organisation
· Develop strategies to ensure team members have input into
required roles and responsibilities.
Workplace directions
Your understanding
Policies and procedures
Organisational guidelines

Systems operational functions
Describe the workplace strategiesthat should be inplace to
ensure team members have input into planning, decision making
and operational aspects of work team:
From the case study used in previous activities, develop 3
strategies that Team Leader Stacey Harrison could use to ensure
the members of her team are actively involved in planning,
making decisions and all operational aspects of the team.
Objective: to ensure team members are actively involved in
planning, making decisions and all operational aspects of the
team
Strategy:
1
2
3

During the formation of the team, Stacey feels it is important
for the team to have a code of conduct to ensure the team
respect each other, communicate well and fulfil their
responsibilities to the team. Research sample codes of conduct
online and then create a code of conduct for this team and
attach it to your assessment.
Activity 2b
Estimated Time
30 Minutes
Objective
To provide you with an opportunity to provide feedback to team
members to encourage, value and reward individual and team
efforts and contributions.
Case Study
· In groups of three (3) or as directed by the instructor, conduct
a feedback session exploring the suggested areas discussed in
this element. Each roleplay should take up to 10 minutes
· Encourage, value and reward individual and team efforts and
contributions.
Your team findings of this activity:
Suggested areas:
· Helping colleagues
· Problem-solving
· Providing encouragement
· Undertaking extra tasks if necessary
· Agree and share tasks
· Plan and schedule
· Establish personal reward.

Case study:
Team Leader Stacey Harrison has been particularly impressed
with the efforts of Mohini Singh, the team’s graphic designer.
Mohini has created an eye-catching flyer incorporating the key
sales messages and has gone to great lengths to customise these
for each different type of retailer. This was done ahead of
schedule and to a much higher standard than required.
How can Stacey show that she values this effort and reward
Mohini for this performance? What sort of feedback should she
give?
Some team members haven’t performed as well as Mohini and
Stacey doesn’t want them to feel undervalued by her high praise
of Mohini. How can she encourage them and make sure they
feel valued?
Stacey also wants to provide feedback and encouragement to the
team overall. How might she do this?

Activity 2c
Estimated Time
60 Minutes
Objective
To provide you with an opportunity to develop processes to
ensure that issues, concerns and problems identified by team
members are recognised and addressed.
Case Study
In groups of three (3) select a situation that would apply to a
workplace team problem.
· Each group member writes down a suggestion for a team
problem
· The group should then discuss each option and select one only
· Identify the current situation
· Address the process of analysis
· Report your group findings.
Your suggested team problem:
_____________________________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
___________________
The instructor can determine the team problem if that option is

desired.
Select the team problem
Identify the current situation
Address the process of analysis
Report on group recommendations
Case Study:
Team Leader Stacey Harrison wants to ensure that any issues,
concerns or problems raised by her team members are
efficiently addressed.
Develop a flowchart which outlines a problem solving process
she could follow. Include how issues are followed up with
management and other relevant stakeholders. Draw it here:

How can Stacey support her team to identify problems and
encourage them to report any issues?
Activity 3a
Estimated Time
30 Minutes
Objective
To provide you with an opportunity to encourage team members
and individuals to participate in and to take responsibility for
team activities, including communication processes and support
the team in identifying and resolving work performance
problems.
Case Study
· conduct this activity reflecting on your workplace and when
you were part of a team.
· Consult with the instructor if you wish to conduct this activity
using a hypothetical example of a team.
In your team, what do you do really well:
· To encourage team members and individuals to participate in
and to take responsibility for team activities

In your team, what do you do really well:
· To demonstrate areas that affected the overall team results and
achievements?
· What area/s doyou personally identify that directly impacts on
team work performance problems?
· What doyou personally identify that needs improving so that
you can realise your potential as a team member and maximise
your own performance?
Case Study
Team Leader Stacey Harrison has noticed that Marketing
Officer Kosta Mustafa hasn’t met his recent deadline, although
has been completing many other tasks well and is contributing
positively to the team.
Give example of a “feedback sandwich” that Stacey could say to
Kosta:

How can she help him to identify why the deadline hasn’t been
achieved and to resolve this issue?
Activity 3b
Estimated Time
40 Minutes
Objective
To provide you with an opportunity to ensure own contribution
to work team serves as a role model for others and enhances the
organisation's image for all stakeholders.
Case Study
Ask yourself the following...
Question
Yes
No
Comments
Are you individually and jointly accountable for the team’s
purpose, goals, approach and work products?
Can you and do you measure progress against specific goals?

Do all members feel responsible for all measures?
Are the members clear on what they are individually responsible
for and what they are jointly responsible for?
Are you a reliable team member who gets work done and does a
fair share of the work to meet commitments?
Is there a sense that “only the team can fail”?

Do you consider these examples to be qualities to serve as a
role model for others?
Explain further in at least 250 words:
If yes or no....What do you consider the advantages or
disadvantages of these examples to be in achieving qualities to
serve as a role model for others?
Discuss or complete the following

Quality/aspect
Advantages
Disadvantages
Can the team count on you to deliver good performance all the
time or just some of the time?
Do you speak up and express your thoughts and ideas clearly,
directly, honestly, and with respect for others and for the work
of the team?
Are you a good listener?
Are good listeners essential for teams to function effectively?
Do you participate and fully engage in the work of the team
rather than sit passively on the sidelines?

Is your approach a “can-do” attitude?
Do you demonstrate that you can help the team achieve success?
Do you share information, knowledge, and experience and take
the initiative to keep other team members informed?
Do you share open communication with the team not just at
formal meetings?

Are you flexible in your approach and thinking as teams often
deal with changing conditions?
What other areas do you consider important to serve as a role
model for others and enhance the organisation's image for all
stakeholders?(consider internal and external stakeholders)
Discuss or detail below
Example
Why

Activity 4a
Estimated Time
30 Minutes
Objective
To provide you with an opportunity to establish and maintain
open communication processes with all stakeholders.
Case Study
Suggest your views and detail examples on the following
process examples for effective communication with
stakeholders.
Add your own suggestions as well.
Process
Your views and examples
Set your vision, objectives, communication need
Determine your communication strategy as each approach and
circumstance will be different

Plan for any organisational changes that may occur when
communicating with stakeholders
Create your communication implementation plan
Implement/initiate your process
What methods and strategies might be used when
communicating with the following stakeholders:
· Board members
· Business networks
· Government officials
· Funding bodies
· Unions
· Employee groups
· Industry bodies
· Work teams
Measure your success using documentation relevant to your
workplace, gathered into a portfolio (equivalent to 500 words)
·
· Where appropriate statements may also be recorded from

stakeholders as part of open communication.
· Such as audiotape or audiovisual (video) devices
Select one stakeholder with whom you regularly communicate.
Describe how you established open communication processes
with this stakeholder. How do you maintain this open
communication? Have you needed to overcome any barriers and
if so, what and how?

Activity 4b
Estimated Time
30 Minutes
Objective
To provide you with an opportunity to communicate information
from line manager/management to the team.
Case Study
Discuss your workplace communication procedures.
Suggested area
Your comments and suggestions
Is there a culture of open communication from appropriate
workplace senior management to teams
What are the existing lines of communication with line
managers
Are there an open lines of communication with your work
colleagues

Are all forms of communications answered or followed
promptly and appropriately
Activity 4b continued
Estimated Time
30 Minutes
Objective
To provide you with an opportunity to communicate information
from line manager/management to the team.
Case Study
Does your workplace have in place a similar team
communication plan to that above, or do you have another
format that you can share with the class?
Details
Your comments

Case study:
Team Leader Stacey Harrison has been informed by the General
Manager that due to financial pressures they now need to
achieve their sales targets one month earlier than originally
planned.
How should she communicate this information to her team?
What factors might she need to be aware of?
Activity 4c
Estimated Time

30 Minutes
Objective
To provide you with an opportunity to communicate unresolved
issues, concerns and problems raised by team members and
follow-up with line manager/management and other relevant
stakeholders and evaluate and take necessary corrective action
regarding unresolved issues, concerns and problems raised by
internal or external stakeholder.
Case Study
Using an example from your workplace, complete this suggested
communication check list and discuss its findings.
Discuss with the instructor if this activity is to be based on a
hypothetical situation, such as the previous case studies with
Team Leader Stacey Harrison.
Nature of the unresolved issues, concerns and problems raised
by team members
Discovery
Details of issue
Type
Raised by
Date Raised
Background
Priority (High/Medium/Low)

Action
Communication
Assigned to
Description
Target Resolution Date
Status/ Action Taken
Final
Solution
Other

Describe the follow-up action/s undertaken with line
manager/management and other relevant stakeholders (minimum
500 words)

Estimated Time
90-120Minutes
Objective
To provide you with an opportunity to demonstrate your
knowledge of the foundation skills, knowledge evidence and
performance evidence.
Activity
Complete the following individually and attach your completed
work to your workbook.
The answer to the following question will enable you to
demonstrate your knowledge of:
· Use leadership techniques and strategies to facilitate team
cohesion and work outcomes including:
· Establish processes to address issues and resolve performance
issues

· Support team to meet expected performance outcomes
including providing formal and informal learning opportunities
· Develop performance plans with key performance indicators
(KPIs), outputs and goals for individuals or team with input
from stakeholders
· Communicate effectively with a range of stakeholders about
team performance plans and team performance
· Facilitate two-way flow of information between team and
management relevant to team performance
· Evaluate and take necessary corrective action regarding
external stakeholders.
· Reading skills
· Writing skills
· Oral communication
· Navigate the world of work
· Interact with others
· Get the work done
· Explain how group dynamics can support or hinder team
performance
· Outline strategies that can support team cohesion,
participation and performance
· Explain strategies for gaining consensus
· Explain issue resolution strategies.

Answer the question in as much detail as possible, considering
your organisational requirements.
1. As a project, develop an area of policy and accompanying
procedures that impact upon your area of work and with your
team, provide evidence of this. Minimum 1500 words
You will also need to:
· Discuss/communicate this with relevant personnel to formulate
changes that can help your team’s performance
· Discuss your results with your team to help team performance,
developing and explaining strategies and discussing options for
individual improvement.
· Create a corrective action procedure for the team and describe
how this would be implemented
· Develop a policy and accompanying procedures for
communication within the team. Describe how they would be
implemented.
· Attach relevant workplace documents, including those you
have developed.

Major Activity
Estimated Time
120-150 Minutes
Objective
knowledge of the entire unit.
Activity
This is a major activity
You must individually, answer the following question in full to
show your competency of each element;

1. Provide evidence/an account of how you have worked with a
team to lead and manage their work performance. Minimum
1500 words
Include the following information:
· How you established plans and strategies for the team. Include
examples of the plans and strategies.
· The key performance indicators and goals for the team
· Performance plans you developed for the team and individual
team members.
· What strategies you used to ensure team members had input
into the planning and decision making of the team. Analyse the
effectiveness of these strategies.
· Describe the policies and procedures you developed and
implemented to ensure team members took responsibility and
helped each other. Attach examples of these documents you
created.
· How you achieved team cohesion, including communication
requirements with your team and others
· What sort of feedback you provided to the team members and
how you provided this feedback. What was the outcome?

· How you helped facilitate work and supported the team,
including being a role model
· How you dealt with issues or problems.
· What sort of information you communicated from management
to your team and how it was communicated
· What stakeholders did you liaise with? How did you establish
and maintain open communication and resolve any issues,
problems or concerns they raised?
· How you evaluated the success of the team and what
corrective actions you implemented.

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Page | 6
(

BSBMGT516
Facilitate continuous improvement
Learner
Workbook
)
Table of Contents
Table of Contents2
Candidate Details3
Assessment – BSBMGT516: Facilitate continuous
improvement3
Observation/Demonstration5
Activities6
Activity 1.16

Activity 3.112
Major Activity16
Candidate Details
Assessment – BSBMGT516: Facilitate continuous improvement
BSBMGT516: Facilitate continuous improvement.
Name:
_____________________________________________________
________
Address:_____________________________________________
________________
_____________________________________________________
________
Email:_______________________________________________

______________
Employer:____________________________________________
_________________
Declaration
Signed:______________________________________________
______________
Date:________________________________________________
____________
pairs, details of the learners involved should be provided below:
everyone contributed equally to the work completed.We declare
that no part of this assessment has been copied from another
person’s work with the exception of where we have listed or
referenced documents or work and that no part of this
Learner
1:___________________________________________________
_________
Signed:______________________________________________

______________
Learner
2:___________________________________________________
_________
Signed:______________________________________________
______________
Learner
3:___________________________________________________
_________
Signed:______________________________________________
______________
Learner
Name:_______________________________________________
________
Date of
Assessment:__________________________________________
_____________
performance criteria and the evidence has been presented as:
Assessor Initials
Authentic

Valid
Reliable
Current
Sufficient
Learner is deemed: COMPETENTNOT YET
COMPETENT(Please circle)
assessment:____________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_______________________________________

Assessor
Signature:____________________________________________
____________Observation/Demonstration
Throughout this unit, you will be expected to show your
demonstrations. Your instructor will have a list of
demonstrations you must complete or tasks to be observed. The
observations and demonstrations will be completed as well as
the activities found in this workbook. An explanation of
Your instructor will inform you of which one of the above they
would like you to do. The demonstration/observation will cover
one of the unit’s elements.
demonstration. Your instructor will ensure you are provided

with the correct equipment and/or materials to complete the
task. They will also inform you of how long you have to
complete the task.
You should be able to demonstrate you can:
You should alsodemonstrate the following skills:
· Reading
· Writing
· Oral Communication
Activities
Activity 1.1
Estimated Time
40 Minutes
Objective
To provide you with an opportunity to develop strategies to
ensure that team members are actively encouraged and
supported to participate in decision-making processes, assume
responsibility and exercise initiative as appropriate.
Activity

Two members of the management team have resigned. Due to a
crash in the financial markets, consumer spending has
decreased. To cut costs, senior management will only replace
one manager. Instead, your job will be spread to include two
more teams. Up until this stage, you have always used the
participative decision-making process. Time constraints and
pressure has given you no choice but to introduce consensus
decision making to your teams.
a. How do you think teams should be trained?Why have you
chosen this approach? Do not limit yourself tothose methods
found in the learner guide.
By teaching of vocational and practical skills and knowledge.
To improve and develop the workplace and the staff abilities.
b. Do you believe that, once a coach is allocated, your
responsibility for the decisions of the team is released?Why?

c. Should you give your team support?Why?Why not?Give at
least three examples and the impact that they make to the team.
Estimated Time
40 Minutes
Objective
To provide you with an opportunity to establish systems to
ensure that the organisation’s continuous improvement
processes are communicated to stakeholders,and develop
effective mentoring and coaching processes to ensure that

individuals and teams are able to implement and support the
organisation's continuous improvement processes.
Activity
Helena Estradia has been asked to check the communication
system in the administrative department. Several new processes
have been introduced to the department to improve and
eliminate processing steps to ensure that customer’s orders were
shipped faster. Part of the process required all orders to be
emailed to the picking department and for the same email to
automatically be generated to the customer.
The picking department needed to pick and ship the order within
24 hours. A second email should automatically be generated
once the order was finalised and shipped to the customer. All
emails should have been processed by the administrative
department.
a. Draw a flow chart for the procedure outlined above.What
steps seem to be missing?Use the flow chart to identify the gaps
in the communication process?
(
Communication system
)

b. Several customers complained that they did not receive the
emails.What information should you gather to ensure that the
customers receive emails that confirm processing and shipment?

c. There seems to be a general confusion about this
process.Your team is not sure about the process.As a coach,
explain how you would implement and support continuous
improvement of this process? Include in your answer what an
effective coach is, the type of coaching and the skills you would
use? Explain each answer that you have given.

Estimated Time
40 Minutes
Objective
To provide you with the chance to ensure that change and
improvement processes meet sustainability requirements and
ensure that insights and experiences from business activities are
captured and accessible through knowledge management
systems.
Activity
Your organisation wishes to expand its share of the market. You
have noticed that your competitors have started using
sustainability as part of their marketing.
a. Use your knowledge of an organisation to make
recommendations on the following areas, to improve sales using
sustainability requirements. You would also like to use
knowledge management systems to continuously improve your
organisation's operations.Make recommendations on how you
could do this for each goal.
Goal
Sustainability
recommendation

Knowledge
recommendation
You are considering entering the international market in the
next few years and want to have a presence in industry.
You would like to use the supply chain to reinforce your claims
regards sustainability
Your organisation wants to make sure that they continuously
improve to meet ongoing demand and use products that reflect
their support of sustainability
b. Why have you made the recommendations in the table
above?Discuss briefly.

c. What steps would you put in place to ensure that your new
initiative meets the sustainability requirements?How would you
transfer the knowledge in the continuous improvement process?

Estimated Time
30 Minutes
Objective
To provide you with an opportunity to monitor and adjust
performance strategies.
Activity
Individually or in pairs, complete the following:
a. Using Activities 1.2 and 1.3, identify what strategies you
could use to turn the negative customer interactions, into
positive interactions.Do you believe that if you respond quickly
to the negative feedback, you will be in a position to obtain new
opportunities?Explain your answer.

b. What operational progress indicator(s) could you use to
measure the customer's satisfaction?What would you measure?
c. Using Activities 1.2 and 1.3 and the seven step problem
solving process, recommend the strategies that you would use to
adjust and communicate these to the stakeholders.

Activity 3.1
Estimated Time
30 Minutes
Objective
To provide you with an opportunity to establish processes to
ensure that team members are informed of outcomes of
continuous improvement efforts.
Activity
a. Helena’s organisation has decided to implement the changes
that have been recommended in Activities 1.2, 1.3, 2.1 and 2.2.
Using Kotter’s eight-step change model, explain how you would
implement the change process.

b. Draw a flow chart to demonstrate how you would
communicate any changes that have been recommended.

Estimated Time
30 Minutes
Objective
To provide you with an opportunity to ensure processes include
recording of work team performanceto assist in identifying
further opportunities for improvement and consider areas
identified for further improvement when undertaking future
planning.
Activity
a. Based on all of the Activities, except for Activity 1.1, list and
briefly explain the documentation that would need to be

maintained to assist the team in identifying further
opportunities for improvement.
b. What documentation would you recommend the organisation
maintain for this case?Why?
c. What areas would you recommend for further improvement,

to ensure that quality is maintained in future planning?
Estimated Time
1 Hour
Objective
Activity

The answers to the following questions will enable you to
· Reading
· Writing
Answer each question in as much detail as possible, considering
your organisational requirements for each one.
1. What things might continuous improvement processes
involve?
2. Create a mind map to outline knowledge management
systems.
3. How can you do the following:
· Increase efficiencies
· Mitigate risk
· Meet new challenges

· Monitor business activities
· Process information faster?
4. Outline the concept of the waste management hierarchy.
5. Which of the following does your organisation use for
recording work team performance:
· Annotated performance plans
· Recommendations for improvement
· Quantitative data such as production figures
· Records and reports
Explain.
Major Activity
Estimated Time
1 - 2 Hours
Objective
Activity

This is a major activity – your instructor will let you know
whether you will complete it during class or in your own time.
Attach your completed answers to the workbook.
You must individually, answer the following questions in full to
show your competency of each element:
Individually or in pairs, complete the following and present it
as a portfolio:
Choose a process or performance criteria that needs to be
addressed in your organisation. The process must consider a
sustainability issue, continuous improvement and the
recommendation of how you would transfer knowledge using a
Knowledge Management System (KMS) to your team.
1. Briefly explain and describe what strategies you would use to
encourage and support your team to participate in the decision-
making process, including assuming responsibilities. Why
would they assume responsibility for these areas?
2. How would you communicate with your team? Why?
3. Set goals and identify how you would address any gaps in

performance.
4. Complete at least one outline of a proposed performance
plan:
· Identify the desired performance levels of the teams
· Identify the performance levels to be achieved
· Provide a measure of progress for the desired performance
levels
5. What rewards and recognition would you use to encourage
and support your team?
6. What decision-making process would you use? Why?
7. What systems would you put in place to communicate the
continuous improvement process? Use a flow chart to assist
you, if needed.
8. Who are the stakeholders? Why?
9. What continuous improvement processes and systems would
you recommend be put in place? Why? Give at least one
example.

10. To fill in any gaps in either performance or skills, what
process(es) would you put in place? Briefly explain how you
would do this and how you would ensure that it is effective?
11. Howcould you capitalise on new opportunities and be
responsive to the market?
12. How would you measure the success of these opportunities?
Why use this/these indicator(s)?
13. Use a communication flow chart to demonstrate the
communication plan.
14. Manage further continuous improvement strategies using:
· The Change Management Model
· Communication plan for continuous improvement
· Maintaining records.
Make any recommendations that you feel are important to this
process.

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(
BSBMGT517
Manage operational plan
Learner Workbook
)

Table of Contents
Table of Contents1
Candidate Details2
Assessment – BSBMGT517 – Manage operational plan2
Activities5
Activity 1A5
Activity 1B6
Activity 1C7
Activity 1D8
Activity 1E9
Activity 1F10
Activity 2A11
Activity 2B12
Activity 2C13
Activity 3A14

Activity 3B15
Activity 3C16
Activity 3D17
Activity 3E18
Activity 3F19
Major Activity21
Candidate Details
Assessment – BSBMGT517 – Manage operational plan
BSBMGT517: Manage operational plan.
Name:
_____________________________________________________
________
Address:_____________________________________________
________________
_____________________________________________________
________
Email:_______________________________________________
______________
Employer:____________________________________________
_________________
Declaration

Signed:______________________________________________
______________
Date:________________________________________________
____________
pairs, details of the learners involved should be provided below:
everyone contributed equally to the work completed.We declare
that no part of this assessment has been copied from another
person’s work with the exception of where we have listed or
referenced documents or work and that no part of this
Learner
1:___________________________________________________
_________
Signed:______________________________________________
______________
Learner
2:___________________________________________________
_________

Signed:______________________________________________
______________
Learner
3:___________________________________________________
_________
Signed:______________________________________________
______________
Learner
Name:_______________________________________________
________
Date of
Assessment:__________________________________________
_____________
performance criteria and the evidence has been presented as:
Assessor Initials
Authentic
Valid
Reliable

Current
Sufficient
Learner is deemed: COMPETENTNOT YET
COMPETENT(Please circle)
assessment:____________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_____________________________________________________
_______________________________________
Assessor
Signature:____________________________________________
____________
Observation/Demonstration

Throughout this unit, you will be expected to show your
demonstrations. Your instructor will have a list of
demonstrations you must complete or tasks to be observed. The
observations and demonstrations will be completed as well as
the activities found in this workbook. An explanation of
Your instructor will inform you of which one of the above they
would like you to do. The demonstration/observation will cover
one of the unit’s elements.
demonstration. Your instructor will ensure you are provided
with the correct equipment and/or materials to complete the
task. They will also inform you of how long you have to

complete the task.
You should be able to demonstrate you can:
You should also demonstrate the following skills:
· Reading
· Writing
· Numeracy
Activities
Activity 1A
Estimated Time
30 Minutes
Objective
To provide you with an opportunity to research, analyse and
document resource requirements and develop an operational
plan in consultation with relevant personnel, colleagues and
specialist resource managers.
Activity

Complete the following individually or in a group (as applicable
to the specific activity and the assessment environment):
What is the operational plan?Use an example of how to be a
successful team in your answer.
If possible, consult with the relevant personnel in your
organisation regarding an operational plan. Begin to develop the
main aspects of an operational plan using the examples of how
to be a successful team from your previous answer. Otherwise,
work in a group to develop a hypothetical operational plan for a
large corporation. You should consider:

· The project lifespan, sustainability and exit strategy
· Financial resource requirements
· Human resource requirements
· Risk assessment
Activity 1B
Estimated Time
20 Minutes
Objective
To provide you with the chance to develop and/or implement
consultation processes as an integral part of the operational
planning process.

Activity
List the ways in which you can communicate consultation
processes. Give an example of a time that you may use each
one.
What is feedback used for in the consultation process?

Develop a newsletter which informs staff about the operational
plan. Ensure there are opportunities for staff to respond.
Activity 1C

Estimated Time
15 Minutes
Objective
To provide you with an opportunity to ensure the operational
plan includes key performance indicators to measure
organisational performance.
Activity
What are the two key successful factors for a KPI?
Write a KPI related to your position.Write the operational goal
that you believe it is related to or provide a brief description of
the role that you are writing a KPI for.

Activity 1D
Estimated Time
30 Minutes
Objective
To provide you with an opportunity to develop and implement
contingency plans for the operational plan.
Activity
What is a contingency plan?
Briefly explain each step of developing a contingency plan.

The operational plan outlined in Activity 1A has failed.
Develop two contingency plans which could be used to alleviate
the situation.

Activity 1E
Estimated Time
30 Minutes
Objective
To provide you with an opportunity to ensure the development
and presentation of proposals for resource requirements is
supported by a variety of information sources and seek
specialist advice as required.
Activity
Describe the steps to writing a winning business proposal in
your own words.

When you write a proposal, why is it important to obtain
specialist advice?
When you present the business proposal, what information
should you include?Give examples of times when you may
present information in different ways.

Activity 1F
Estimated Time
30 Minutes
Objective
To provide you with an opportunity to obtain approval for the
plan from relevant parties and explain the plan to relevant work
teams.
Activity
You should now attempt to gain approval for your operational
plan from the relevant stakeholders in your organisation.

Write a smart goal for your job.

Activity 2A
Estimated Time
20 Minutes
Objective
strategies to ensure that employees are recruited and/or inducted
within the organisation’s human resources management policies,
practices and procedures.
Activity
Briefly explain the importance of the following terms in relation

to recruitment:
· Outsourcing versus the HR Department
· Costs
· The recruitment process
Your organisation is looking recruit an individual for a position
which has become available within production. Develop a job
specification which can be used to advertise the position and is
in line with the organisation’s human resources management
policies, practices and procedures.

Activity 2B
Estimated Time
40 Minutes
Objective
strategies to ensure that physical resources and services are
acquired in accordance with the organisation’s policies,
practices and procedures.

Activity
What is a supplier relationship?
What impact has just in time and total quality management had
on organisations in supplier relationships?
Who are the internal suppliers?
Why is it important to consider the relationship costs when you

build relationships with suppliers? What are relationship
benefits?
You have been tasked with recommending a supplier for your
organisation. What are some of the factors that will influence
the choice of supplier?
Activity 2C
Estimated Time

20 Minutes
Objective
To provide you with an opportunity to recognise and
incorporate requirements for intellectual property rights and
responsibilities in recruitment and acquisition of resources and
services
Activity
For your organisation, what resources and services have
intellectual property rights and responsibilities attached to
them? What measures do you need to take in order to prevent
non-compliance with these?

Activity 3A
Estimated Time
20 Minutes
Objective
To provide you with an opportunity to develop, monitor and
review performance systems and processes to assess progress in
achieving profit and productivity plans and targets.
Activity
You are required to monitor the performance of an employee
new to the organisation. Develop a system which will enable
you to monitor them over a four week period. Think about what
measurements you will need to use to establish the employee’s
progression.

Activity 3B
Estimated Time
40 Minutes
Objective
To provide you with an opportunity to analyse and interpret
budget and actual financial information to monitor and review
profit and productivity performance.
Activity
Describe two factors that may impact upon how much budget is
available to the organisation.

Locate your organisations financial information. Analyse the
relationship between your profit and loss statement and the rate
of sales over the past twelve months, and make two
observations about the relationship.

Activity 3C
Estimated Time
20 Minutes
Objective
To provide you with an opportunity to identify areas of under-
performance, recommend solutions and take prompt action to
rectify the situation.
Activity
You have identified that there are variations in production in

your office/ production line in regards to quality. Draw a flow
chart that your organisation uses to identify and correct a
problem in quality. Do not forget to demonstrate what will
happen if the suggested variation to strategy is rejected.

Activity 3D
Estimated Time
20 Minutes
Objective
To provide you with an opportunity to plan and implement
systems to ensure that mentoring and coaching are provided to
support individuals and teams to effectively, economically and

safely use resources.
Activity
A gap has been identified between accepted and desired
performance problems.What steps do you recommend to support
your team?

Activity 3E
Estimated Time
30 Minutes
Objective
To provide you with an opportunity to negotiate
recommendations for variations to operational plans and gain
approval from designated persons/groups.
Activity
Why is principle negotiation recommended over hard and soft
negotiation?

You want to implement a new piece of equipment into the
workplace which will increase productivity. In pairs, act out a
negotiation whereby a production manager must convince a
member of senior management that the equipment will be
profitable for the organisation.

Activity 3F
Estimated Time
15 Minutes
Objective
systems to ensure that procedures and records associated with
documenting performance are managed in accordance with
organisational requirements.
Activity
List the documentation that you will need to collect throughout
the operational plan.

Why is it important that the documentation from the previous
answer is filed away once you have finished with them?

Estimated Time
45 Minutes
Objective
Activity
The answers to the following questions will enable you to

· Reading
· Writing
· Numeracy
· Models and methods for operational plans
· The role of an operational plan in achieving the organisation’s
objectives
· Budgeting processes
· Alternative approaches to developing key performance
indicators to meet business objectives
· Legislative and regulatory context relevant to the operational
plan of the organisation
· Organisation’s policies, practices and procedures that directly
relate to the operational plan
Answer each question in as much detail as possible, considering
your organisational requirements for each one.
All answers will vary depending on the learner and the
organisation they work for but the learner should be able to
answer each question competently.

1. Identify an area/department/member(s) of staff in your
organisation that requires improvement for any reason, for
example to increase productivity, advances in technology have
made it obsolete or colleague under-performance is affecting
output.
Write an organisational plan that details your proposal for the
improvement that you are going to submit to the relevant
management for consideration.
You will need to include:
· The lifespan, sustainability and exit strategy of the plan
· Financial resource requirements
· Human resource and other capacity requirements
· Risk assessment and mitigation strategy
· How you intend to implement it
· How you intend to measure it (KPIs)
Major Activity
Estimated Time
2 Hours
Objective

Activity
This is a major activity – you should let the learners know
whether they will complete it during class or in their own time.
Completed answers should be attached to the workbook.
They must individually, answer the following questions in full
to show their competency of each element:
1. Complete the following and present it as a portfolio (attach it
to the workbook):
Project
You have been employed to develop a new department for the
training and development of the administrative and sales team
for your employer at a personnel recruitment company. Due to
demand they have opened two offices, one in Melbourne and
one in Adelaide. This expansion has led to a tight budget within
the organisation for the fiscal year. You need to keep the budget
at a minimal amount.
The strategic goal that you have been asked to concentrate on is

to increase sales by 8% by the end of 2011.
Five staff in the administration department handle enquiries in
regards to sales to the organisations that they provide with
personnel (both permanent and temporary.
There are ten recruitment personnel who have the primary
responsibility to manage their case load and follow up leads for
new opportunities.
As a well established organisation, Excel Personnel is a family
owned company that believes in gaining and retaining customers
through customer service excellence. Though the company has
managed to retain their long standing personnel, several of their
newer clients have changed recruitment companies in the last
six months. Concerned with the loss of clients and no trend in
the customers’ move, the board of directors have decided to
train their team on the latest customer service skills.
For this project:
· All plans, goals and recommendations must flow together to
support the strategic plan
· You may vary your plans, goals, strategies and
recommendations as you progress through each part of this

project. Put a line through the change and briefly outline why
you made an update on the operational plan. This is a normal
part of the development of a plan. As new information is
introduced, you may decide to change your operational plan
· This is a preliminary operational plan that you are drawing up,
so use bullet points (unless advised by your trainer).
You have been asked to develop an operational plan. In the
report you must:
· Clearly state the operational goals and how they are related to
strategic plan
· List resources and funds to meet these goals
· Identify the relevant personnel that you should consult with in
regards to the operational goals and the resultant action plans
required to meet the operational goals
· Include what communication methods you should use to
maintain a record of the consultation process. Why?
· Include what feedback processes you would recommend
should be put in place
· Include what KPIs you would recommend to measure
organisational performance in regards to the training (Write at
least two)
· Create at least two contingency plans if the employees in both
departments do not meet the KPIs.
· Develop a business proposal (discuss this with your trainer

and as a class using what you have learnt to develop and
prioritise your strategies).
· Draw a flow chart of the relevant parties who you should
obtain approval from for this business proposal
· You need to also briefly outline how you would recommend
that staff have the plan communicated to them. Use at least one
smart goal to measure the team members demonstrating an
understanding of the proposal
· The organisation has two external recruitment personnel who
are contracted as a supplier by referring potential customers to
Excel Personnel. They have both recently slowed down in
referring customers to Excel Personnel. Briefly outline in bullet
points how you would strengthen the supplier relationship with
them
· Based on your KPIs, smart goals, communication and feedback
processes and the organisation’s operational plans, recommend
what and how you will measure performance?
· Develop one tool based on your recommendations. (This tool
must reflect the goals)
· How will you monitor financial information? What do you
need to watch for when reviewing this information? Why?
· Based on information that you have already received when you
spoke to staff, there seems to be a mixture of performance and
lack of skills with staff. Some of these problems stem from the
department managers. How would you handle any under-

performance issues in regards to these skills and the level of
performance? In this answer, please refer to the factors that
affect output and quality to justify a lack of skills and
performance
· There is a lack of openness and trust between the departments
and this is having a negative impact on morale. Recommend
ways in which you can overcome this
· Draw a flow chart on the processes that you believe should be
put in place for the approval of any variations to this plan
(Include who you should consult with in this flow chart)
· Using the documents that you have recommended in this
project and developed, draw a flow chart on how the variation
should be implemented after it has been approved.

3180
BSBMGT517 V3 24.01.19

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