AC1.1 Outline the governance of different types of organisation

CMI Unit 301 Principles of Management and Leadership

Assessment Booklet: Principles of Management and Leadership

Each task in this assessment booklet has been developed to enable you to evidence achievement of the learning outcomes and assessment criteria for CMI 301: Principles of Management and Leadership. Each of the assessment criteria must gain a pass outcome for you to successfully achieve the unit.

Preparation for the assessment

Before you begin the assessment booklet please read the CMI 301 unit specification thoroughly as only the content related to the achievement of the assessment criteria will be assessed.
Research the topics being assessed. Suggested reading/web resources are provided on the CMI 301 unit specification. Your tutor may signpost you to relevant resources. Additionally, you may access excellent online resources at ManagementDirect https://members.md.cmi.org.uk. Please note that if you have a customised site the link will differ, please contact your Centre for clarification.
If you are enrolled on the Trailblazer Apprenticeship programme you are encouraged to review the Apprenticeship Standard for Team Leader/Supervisor

Completing the assessment booklet

The assessment booklet contains a series of tasks which are clearly referenced to the relevant assessment criteria and indicative content.
Refer to the Assessment Guidance table at the end of the assessment booklet which outlines the requirements for a Pass or Refer.
Evidence must be provided in the main body of the assignment booklet. Additional work based evidence such as plans or documentation (which has been referred to within the main text) should be included at the end of the booklet marked ‘Work Based Evidence’. Appendices are not a requirement of this assessment brief. If appendices are included these will not be marked or moderated by the CMI.
Work based evidence must be accompanied by a supporting statement in the learner evidence box, to explain the link to the assessment criteria. Work based evidence (where required by the task) must not exceed SIX (6) pages. Files embedded in the booklet must not exceed 10MB.
The assessment booklet must be completed in a professional manner (e.g. applying business conventions for writing formal reports) and by using Microsoft Word, Rich Text Format or another compatible software programme.
The assessment booklet must be saved as a word document (.doc or .docx) and not in a PDF format.
An appropriate referencing system (such as Harvard Referencing) must be used to ensure the original source(s) of quotations or models can be verified.
Finally, you must sign the Learner Authenticity statement (an electronic signature is accepted).

Learner Support

For information regarding policies and procedures for assessment (e.g. special assessment arrangements, learner support, appeals, complaints, certification, confidentiality, plagiarism) you should contact your tutor or Centre manager and refer to the CMI Level 3 in Principles in Management and Leadership Syllabus.

»	GUIDELINE WORD COUNT

The written word, however generated and recorded, is still expected to form the majority of assessable work produced by Learners at Level 3. The amount and volume of work for this unit should be broadly comparable to a word count of 2000-2500 words within a margin of +/-10%. The excessive use of word count is not grounds for referral, however the CMI reserve the right to return work to the Centre for editing and resubmission by the Learner.

The following are excluded from inclusion in word count if used and not required by the assessment brief an introduction to a job role, organisation or department, index or contents pages, headings and sub headings, diagrams, charts and graphs, reference list or bibliography, reflective statement drawn from undertaking the assignment and how this has impacted the learners work.

Please see the CMI Assessment Guidance Policy for further guidance.

»	AIM OF THE ASSESSMENT BOOKLET

Being equipped with the knowledge, skills and behaviours to manage and lead effectively is essential if an individual and their organisation are to succeed. This assessment booklet has been designed for managers to evidence their knowledge and understanding of how organisations operate, the application of management and leadership approaches, and how these can be applied in the work role.

TASK 1: Governance of organisations

The ability to understand how organisations operate begins with an understanding of how they are governed.

»	TASK 1

Organisations are governed in different ways. Complete the table below giving THREE (3) examples of different types of organisations (e.g. Public Sector, Public Limited Companies (PLCs), third sector or voluntary/not for profit, sole traders etc) and explain how each one is governed.

(Refer to AC1.1 Outline the governance of different types of organisation and the Indicative Content for this AC)

COMPLETE THE TABLE:

	Organisation type	Explanation
1.	Public Limited Companies (PLCs) Alinma Bank	Alinma bank, is consider as a Public Limited Company organization because Its listed on the Saudi Stock exchange so the public can buy and sell its shares. Alinma bank’s shareholders choose the board of directors to govern the organization. Also, they have the opportunity to vote and take some decision on important issues in the annual meetings. Alinma bank is also regulated by Saudi Central Bank and Capital Market Authority.
2.	Public Sector Saudi Arabian Oil Company (Aramco)	Saudi Arabian Oil Company (Aramco), the state-owned oil firm in Saudi Arabia. Aramco is governed by a selected board of directors who have chosen from the government to ensures that its activities align with national priorities.
3.	third sector or voluntary/not for profit Saudi Food Bank	Saudi Food Bank, is governed by a selected board of directors and experts in food security. Their responsibility is to ensure that its operations effectively address hunger and food waste in the country through volunteer engagement.

TASK 2: How organisations operate

The strategy, culture, mission, vision and values of an organisation will impact on how it operates.

To complete tasks 2a, b and c you are encouraged to use examples based on an organisation you know well or have researched.

»	TASK 2a

Explain the factors which influence an organisation’s culture.

(Refer to AC1.2 Explain the factors which influence an organisation’s culture and the Indicative Content for this AC)

INSERT YOUR ANSWER HERE:

There are many factors that influence an organization culture such as physical work environment, open communication and change management.

First factor is the physical work environment. For example, at the Social Development Bank we prioritize our employees` physical work environment and that is why we have initiated a project to restructure all the offices, providing high-quality chairs and desks, along with soundproof walls to minimize noise distractions.

Second factor is open communication. An organization`s communication habits or tools have a big impact on its culture since they determine how openly employees share information. For example, the Saudi Food and Drug Authority send a weekly news internally to their employees including structural or procedural changes.

Third factor is change management. At the Social Development Bank, the Employee Experience Department are responsible for implementing change management plans for any organizational changes. For example, when we introduced a new structure for the Information Technology department, the Employee Experience team prepared a change management plan to ensure a smooth transition between the IT departments.

»	TASK 2b

Explain the purpose of organisational mission, vision and value statements.

(Refer to AC1.3 Explain the purpose of organisational mission, vision and value statements and the Indicative Content for this AC)

INSERT YOUR ANSWER HERE:

»	TASK 2c

Outline the purpose of organisational strategies.

(Refer to AC1.4 Outline the purpose of organisational strategies and the Indicative Content for this AC)

INSERT YOUR ANSWER HERE:

Organizational strategies are important and necessary for any company for many reasons. It helps employees to understand their company goals and how to reach these goals. The organizational strategies provide a clear path for decision making and problem solving. For example, one of the Social Development Bank strategies is to enable social protection so employees who is under the department of saving knows when they initiated saving programs that will help the whole organization and their strategy. However, each employee should be aware of which strategy is related to their objectives or the company should cascade these strategies into objectives for each department.

TASK 3: The role of the manager

Within organisations it is important to recognise that different titles are given to managers’ roles such as team leader, supervisor or first line manager.

To complete tasks 3a, b and c you need to base your answer on the role of a manager who has responsibility for managing a group of staff in an organisation or occupational area you know well or have researched.

»	TASK 3a

For a chosen organisation or occupational area, summarise the role of the manager.

(Refer to AC2.1 Summarise the role of the manager and the Indicative Content for this AC)

INSERT YOUR ANSWER HERE:

At the Social Development Bank, the manager role in the Information technology sector is responsible for budgeting and setting timelines for IT project completion. Also, they coordinate between different departments to align technology projects with business goals. For example, at Social development bank the IT manager is always ensuring that his team works effectively and always set timelines for them to make sure they are on the right track. Also, manager is responsible to foster a positive environment for employees and motivate them to work harder by supporting them.

»	TASK 3b

Explain, using examples, the role of the manager in communicating organisational strategy to the individuals and teams they manage.

(Refer to AC2.2 Explain the role of the manager in communicating organisational strategy to individuals and teams and the Indicative Content for this AC)

INSERT YOUR ANSWER HERE:

The role of the manager in communicating organizational strategy to the individuals and teams they manage is to translate the organization’s strategy into clear goals and practical actions for them. Also, they should connect the strategy to their daily work so that’s give them the feeling of making differences to the organization. For example, one of the strategies at Social Development Bank is enabling social protection so the manager of saving department should explain how encouraging saving support the strategy by initiating saving programs. Finally, by communicating organizational strategy to individuals and teams from their managers they keep them inspired, motivated, encouraging them to work harder.

»	TASK 3c

Explain, using examples, the levels of accountability and authority a manager has within a chosen organisation or occupational area.

(Refer to AC2.3 Explain levels of accountability and authority in the management role and the Indicative Content for this AC)

INSERT YOUR ANSWER HERE:

At Social Development Bank, our organizational structure is hierarchy so the accountability and authority flow through every level. The CEO has the power to establish strategy and is responsible for the Bank`s vision. Executive directors oversee the success of projects, while Vice Presidents set departmental goals for each department under his sector. Directors are in charge of specific tasks, while general managers cascading these objectives into KPIs and operational strategies. Employees do tasks and their yearly goals, while Section Heads are responsible for team delivery and daily performance.

»	TASK 3d

Outline THREE (3) legal and THREE (3) organisational frameworks which a team leader/supervisor/first line manager would need to apply in the management role.

(Refer to AC2.4 Outline the legal and organisational frameworks which apply to the management role and the Indicative Content for this AC)

INSERT YOUR ANSWER HERE:

	Legal Frameworks	Organisational Frameworks
1.	Health and Safety at Work Act 1974: It is a legal framework in the UK that ensure their employees having health and safety in the work place.	Performance Management System: It is an organizational framework that asses and improve employee performance
2.	Labor Law (Royal Decree No. M/51): It is a legal framework in KSA that ensure fairness and mandates all organizations to provide a safe workplace for their employees.	Communication protocols: It is an organizational framework that contain and dictate how information is shared within an organization.
3.	Regulations on the Use of Hazardous Materials: It is a legal framework that govern using disposal of hazardous substances in the workplace and how storage them to protect employees from accidents and health risks.	Training and development programs: It is an organizational framework that ensure all employees having a training and individual plan they need to do their jobs well

TASK 4: Application of management and leadership approaches

To be an effective leader, you need to understand the various approaches to leadership so that you are able to use the right approach in different situations or circumstances.

»	TASK 4a

In your own words, explain the differences between management and leadership.

(Refer to AC3.1 Explain the differences between management and leadership and the Indicative Content for this AC)

INSERT YOUR ANSWER HERE:

Management and leadership are closely related to each other, but they are not the same. The differences between them are what they focus on and their approach to lead.

Management always focuses on process and structure, so they are always making sure that tasks are done correctly and on time. Leadership focuses on vision and inspiration, so they always motivating their employees and guiding them toward achieving goals.

The approach of managers is to plan and control, they make sure that employees are following the rules. While leaders’ approach is to influence employees and motivate them so they can give their best and build trust between each other’s.

»	TASK 4b

The ability to apply management and leadership approaches to a variety of work based situations is an essential management skill.

Complete the table below by summarising THREE (3) management and leadership approaches. For each approach, explain how it can be applied and adapted to respond to different work based situations (e.g. business as usual, crisis and emergency, one to one, large group/team).

(Refer to AC3.2 Summarise recognised management and leadership approaches; AC3.3 Explain how management and leadership approaches can be applied and adapted in different work based situations and the Indicative Content for these ACs)

COMPLETE THE TABLE:

	Summary of management and leadership approach	Explain how the approach can be applied and adapted to this work-based situation
1.	Transformational Leadership approach is where leaders or managers focuses on encouraging and motivating their team members to achieve their best and full potential for effecting change.	Business as Usual: encourage team members to be creative and innovative. Crisis and Emergency: use motivational words to keep the team members motivated. One-on-One: Meet with each employee individually to give personalized feedback to support them on their career grow. Large Group/Team: share inspirational goals to the team members and empower them to achieve it.
2.	Democratic Leadership approach is encouraging team members to work collaboratively and involve them in decision-making.	Business as Usual: Involve team members in decision-making to encourage them to share their points of view. Crisis and Emergency: having a clear direction as a manager but still take the feedback from the team members. One-on-One: Encourage open communication and honest feedback to have a healthy environment. Large Group/Team: Conducting a group meeting to talk together openly and making sure everyone is heard.
3.	Autocratic Leadership approach is where the leader control the whole department and centralized decision making in him/her with limiting the team members to give input.	Business as Usual: Create and implement clear departmental goals and expect the team members to achieve. Crisis and Emergency: Make decision and ask the team members to start actions immediately. One-on-One: Focusing on yearly objectives and evaluate each employee based on it and give clear a feedback. Large Group/Team: Conduct a group meeting to explain roles and responsibilities for each employee with a strong directive roadmap.

TASK 5: Knowledge, skills and behaviours of an effective manager

The ability to understand and apply knowledge, skills and behaviours to be effective in a management role leads to success.

»	TASK 5a

Explain THREE (3) knowledge and THREE (3) skills you believe are required to be an effective manager.

(Refer to AC4.1 Explain the knowledge and skills required to be an effective manager and the Indicative Content for this AC)

COMPLETE THE TABLES:

	List the ‘Knowledge’ required	Provide an Explanation
1.	People knowledge	Managers should be aware about different personalities of people and how to deal with these differences. For example, the managers should know how to motivate each team member such as appreciation or day off…etc.
2.	Legal and policy knowledge	Managers should know about the company polices such as attendance and leave policy. For example, if new employee joined the company, the manager should explain the attendance policy to him/her to avoid any legal problems.
3.	Financial knowledge	Managers should be aware about the yearly budget for their projects because they should set their plan depends on the current budget they have. For example, project manager who’s aware about the current budget can stop any overspending and avoid some certain problems.

	List the ‘Skill’ required	Provide an Explanation
1.	Communication skill	As a manager, communication skills are very important because they need to interact with their team members and discuss ideas together clearly. For example, if there’s a new project, they should know how to explain it to the team members in simple steps and make sure all of them understand to have to right result.
2.	Decision making skill	In my opinion, managers should have a decision-making skill because they need to make decisions in some certain projects and tasks as a project manager. For example. If the manager has four team members and there’s an urgent project and it should be finished in three days, so he should make the decision to assign the fit one from the four employees to lead this project.
3.	Problem solving skill	In our daily work some challenges often appear, so having a manager with strong problem solving is important to handle it. For example, if the ERP system goes down and the bank needs to finish certain task through the ERP, but they cannot without it the system, the IT manager should provide a backup plan to help employees finish the task on time.

»	TASK 5b

During the development of the new Trailblazer Apprenticeship standard, employers identified four behaviours (taking responsibility, being inclusive and agile and acting professionally) required to be an effective manager. In your own words, summarise each of the management behaviours listed in the table below.

(Refer to AC4.2 Summarise the behaviours required to be an effective manager and the Indicative Content for this AC)

COMPLETE THE TABLE:

	Behaviour	Summary
1.	Taking responsibility	In my opinion, taking responsibility means that the manager show accountability from mistakes and learn from them. Also, when the manager taking responsibility, it means that he supports his team members and empower them and ensure commitments are delivered. Taking responsibility behavior always builds trust.
2.	Inclusivity	In my opinion, being inclusive creates healthy environment where everyone feels valued. A manager with inclusive behavior always listens to others and encourage people fairly so the team members feel respect, and they can give more.
3.	Agility	A manager with agility behavior is flexible and easy to adapt quickly to any changes. An agile manager leads the team members through uncertainty with confidence. Also, agility make the manager lead with challenges smoothly and with confident.
4.	Professionalism	Being a professional manager that means communicate with others with respect and clearly. Also, deal in all situations with respect and honest so professionalism behavior leads to a healthy environment and culture of trust. Acting professionally make the manager manage situations like conflicts fairly and follow policies.

»	TASK 5c

Using well-chosen examples, explain the impact a manager’s knowledge, skills and behaviours can have on teams, colleagues and customers.

(Refer to AC4.3 Explain the impact of knowledge, skills and behaviours on the team, colleagues and customers and the Indicative Content for this AC)

COMPLETE THE TABLE:

	Group	Impact of manager’s knowledge, skills and behaviours
1.	Teams	The impact of manager’s knowledge, skills and behavior on teams can lead to more effective and motivated workforce. For example, HR manager with a good knowledge and understanding of Human Resource can create a supportive workplace and healthy culture that fosters employee engagement, enhances talent development, and drives organizational success. As well as effective communication skills between the managers and their team members such as discussing policy changes and address concerns, helps the team members to feel engaged and included in the decision-making process. Additionally, by showing some behaviour such as empathy in one-on-one meetings, the manager creates a supportive environment where their team members feel comfortable to share their ideas.
2.	Colleagues	Colleagues are significantly impacted by a manager`s knowledge, skills, and behavior in a variety of ways. First of all, a manager that is well understanding in their field inspires confidence in their colleagues. For example, they can put insightful advice that can help colleagues reach wise conclusions. Second, when a manager is actively listening and provide constructive criticism will enable their colleagues feel heard and comfortable to talk with them anytime. Thirdly, by being approachable and understanding, they encourage colleagues to express issues or ideas, which raises confidence and promotes an atmosphere of open discussion.
3.	Customers	Manager`s knowledge, skills and behavior are significantly affecting customers in several ways. First, a manager with a knowledge of customer experience and how to deal with customers may increase their satisfaction and trust by offering correct information and solutions. Second, managers with skills such as effective communication can interact with customers more successfully. They can quickly deal and react with them efficiently. Third, when a manager shows empathy and listens to the customer needs it creates an environment where customers feel loyalty.

»	REFERENCING AND BIBLIOGRAPHY

Use the box below to cite any external sources used in your assessment:

»	ASSESSMENT GUIDANCE

Refer

Pass

The submission is incomplete
Tasks are incomplete
Not all assessment criteria have been met
No examples are used or the examples given do not match the requirements of the assessment criteria
Evidence is
- Unclear
- Technically incorrect or inaccurate
- Biased
- Unprofessional language
- Poorly structured and presented
- Ideas are under developed
- Lacks sufficient detail to show understanding of the topic
- The application of concepts, models and theories to the management and leadership role or workplace is unclear
- Evidence is not directly attributable to the learner
- External sources of information are not acknowledged
- Work based evidence or artefacts (e.g. planning documents or presentation slides) do not meet the requirements of the assessment criteria and is not current (within 5 years)
- All tasks have been completed
- All assessment criteria have been met
- Examples given are well chosen and match the requirements of the assessment criteria
- Evidence is
  - Well written and presented
  - Contains a breadth of examples
  - Accurate
  - Current (e.g. use of up to date legislation)
  - Authentic
  - Inclusive
  - Coherent
  - Credible
  - Technically correct
- Evidence shows an understanding of different perspectives
- Concepts, models and approaches and have been applied correctly in context of the management and leadership role or workplace
- Evidence used from external sources has been correctly referenced
- Evidence is directly attributable to the learner
- Work based evidence or artefacts (e.g. planning documents or presentation slides) match the requirements of the assessment criteria and is current (within 5 years)

Sample Answer of Unit 301

Task 1: Governance of organisations (AC1.1)

AC1.1 Outline the governance of different types of organisation

Organisation type	How it is governed (plain-English outline)
Public Limited Company (PLC)	A PLC has shareholders who own the company, a Board of Directors elected by those shareholders, and board committees (e.g. Audit & Risk, Remuneration) that oversee key controls. The Companies Act 2006, UK Corporate Governance Code (for listed firms), and exchange listing rules set expectations like board independence and transparent reporting. Executive directors run the day-to-day business; non-executive directors provide challenge and oversight; external auditors check the accounts.
Public Sector Body (e.g., local authority service)	Ultimately answerable to the public through elected councillors or ministers. Strategy and budget are set by the council/cabinet. Accounting Officer duties require regularity, propriety and value-for-money. There are statutory scrutiny arrangements, internal audit, and external inspection (e.g., NAO at central level; sector regulators in health, education or care). Decision-making follows constitutionally defined schemes of delegation and public-law principles.
Charity / Not-for-Profit	A registered charity is led by trustees who must act in the charity’s best interests, comply with Charity Commission guidance, and ensure assets are used solely for the charitable purpose. Day-to-day management is delegated to staff led by a Chief Executive. Strong governance includes safeguarding, conflicts-of-interest registers, ethical fundraising controls, and transparent annual reporting to beneficiaries and regulators.

Task 2: How organisations operate

AC1.2 Explain the factors which influence an organisation’s culture

Leadership tone and role-modelling
People copy what leaders do more than what they say. Leaders who are visible, fair and consistent create trust; favouritism and mixed messages breed cynicism.
Structures and incentives
Flat structures and team-based bonuses encourage collaboration; siloed reporting lines and individual KPIs can push people to hoard information.
Policies and everyday practices
Flexible working, simple expenses rules, and psychologically safe meetings nudge a supportive culture; rigid micro-approvals often drive a “cover-your-back” mindset.
Hiring and onboarding
Who gets hired (skills and values), how they’re welcomed, and who gets promoted signal what “good” looks like.
Communication climate
Regular, two-way updates (huddles, AMAs, pulse surveys) promote inclusion; top-down memos only, especially in crises, create distance.
History and symbols
Stories of “how we won that customer” or “how we handled that recall” become myths that either reinforce learning or entrench bad habits.
External context
Tight markets, regulatory pressure or supply shocks can push a culture towards cost-control, compliance and prudence; growth markets can encourage experimentation.

Example — Riverside Fresh: weekly cross-shop stand-ups and “no-blame” root-cause reviews after delivery errors have steadily shifted culture from finger-pointing to improvement.

AC1.3 Explain the purpose of organisational mission, vision and value statements

Mission (why we exist): anchors decisions and prevents drift. It guides trade-offs — e.g., Riverside Fresh’s mission “to make fresh, reliable groceries affordable locally” prioritises availability and price fairness over exotic ranges.
Vision (what future we want): gives a north star for strategy — helpful for investment choices (e.g., a 3-year plan to reach 95% on-time home deliveries).
Values (how we behave on the way): practical rules for daily conduct (e.g., “own it”, “be transparent”, “serve the customer”). Values make performance reviews less subjective and help resolve dilemmas (speed vs accuracy, cost vs quality)