D5/2017年11月 CIPS 四级：采购与供应文凭
（Diploma in procurement and supply）
《采购与供应中的合同与关系管理》
Managing contracts and relationships in procurement and supply
日期 2017 年 11 月 13 日 星期一
时间 开始 9:00 结束 12:00 历时 3 小时
考生注意事项：Instructions for Candidates：
本试卷由四道必答题组成，每题25分，共100分。
This examination has FOUR compulsory questions worth 25 marks each.
1. 在未得到监考官允许之前，请勿翻阅试卷。
Do not open this question paper until instructed by the invigilator.
2. 请将答案填写在答题纸上。
All answers must be written in the answer booklet provided.
3. 请将草稿也写在答题纸背面，交卷前请将草稿部分作一删除记号。
All rough work and notes should also be written in the answer booklet.
请在考试结束后交回试卷
问题 Questions
建议你每题用45分钟作答。
You are advised to spend 45 minutes on each question.
1.
(a)描述对于采购组织而言，影响其与供应商的恰当关系类型的五种因素。(10分)
Describe FIVE factors that may influence the appropriate type of supplier relationship for a
purchasing organisation.
(b) 解释采购有助于成本管理的以下方法:(15分)
Explain the following ways in which procurement might contribute to cost management:
(i) 价值分析 (Value analysis )
(ii) 延迟支付条款(Extending payment terms)
(iii) 信息技术的使用(Use of information technology).
2. 解释构成具有法律约束力协议的五个基本要素。( 25分)
Explain FIVE essential elements of a legally binding agreement.
3.
(a)解释"信息保证"(IA)在管理合同风险方面的作用。 (10分)
Explain the role of ‘information assurance (lA) in managing contractual risk.
(b)描述在合同行政管理职责中合同经理可能承担的三个任务。(15分)
Describe THREE tasks that might be undertaken by a contract manager as part of their
contract administration duties.
4.
(a)解释平衡记分卡中包含的三种测量方式。(15 分)
Explain THREE measures that might be included within a balanced scorecard.
(b)描述采购方和供应商可用来进行关系评估的一种方法。(10 分)
Explain ONE methodology for relationship assessment that can be employed by purchasers
and suppliers.
试卷结束
END OF QUESTION PAPER
英方公布试题答案及评分参考
Question 1 – Learning Outcome 1 Mark
a. Describe FIVE factors that may influence the appropriate type of supplier relationship for a purchasing organisation.
b. Explain the following ways in which procurement might contribute to cost management:
(i) Value-analysis
(ii) Extending payment terms
(iii) Use of information technology
Learning outcome addressed: 1.1
Learning outcome addressed: 1.4
Command word explanation: Describe – give a full account of something
Command word explanation: Explain – give reasons for or account for something
Examples of good content/good approaches in answers:
1a. There are a wide range of factors that may influence the nature of the relationship between suppliers and candidates were able to provide any justified responses that identified factors that influence relationships. Candidates often choose Kraljic and/or STEEPLE as a framework for selecting five factors. Typical answers included;
The risk attached to the item being procured – High risk (bottleneck/strategic) are more likely to be procured through medium to long term, collaborative relationships with suppliers.
Value of the items being procured - high value, low risk items (categorised as leverage) may be procured through purely transactional contracts with suppliers so that buyers can use their leverage and select suppliers based on the best available deal at that time, no relationship is sought.
Low value, low risk routine items are non-critical and so a medium-term relationship is developed with the supplier that allows contracted items to be procured from the supplier with the least possible involvement from the procurement department (e.g. e-procurement).
The competence and capability of the supplier- The more competent, capable and co-operative the supplier, the more likely the buyer would wish to develop a closer relationship with the supplier as the buyer may be considering the supplier as a long-term partner and considering utilising the supplier expertise.
Performance of the supplier- If the supplier has a history of poor performance then they would only be used when necessary in a transactional manner. If performance has been consistently good then a closer partnership may be appropriate.
Degree of co-operation- If the supplier has shown willingness to co-operate closer with the buying organisation, sharing information and innovation, then it is likely that a closer relationship will be sought to take advantage of the new opportunities.
Compatibility of the buyer and supplier organisations- A closer relationship with the supplier should not be sought if the buyer's and supplier’s organisations are not compatible in terms of their values and culture.
Focus on lowest price- If the buying organisation's priority is seeking the lowest price for a standard item, then a close relationship may not be the best option as the buyer should regularly switch source of supply to utilise leverage and seek out best price in the market at that time.
Focus on innovation - if the buyer's priority is developing innovative products utilising supplier expertise then a closer, partnership type relationship may be more suitable.
Supply market conditions- Buyer must consider market conditions such as impact of weather, political unrest, availability. These factors might mean that supplier relationships stay more transactional in order to manage the risk in a fast changing market where product lifecycles are ever decreasing. Buyer may see most appropriate action to mitigate this risk to be the use of multi sourcing with a transactional based relationship type; price fluctuations may be managed by developing partnership approach that enables the supplier guaranteed long term business in exchange for more controlled price management. Ability for new entrants to enter supply market possibly offering more innovation or introductory prices. Meaning that a long-term supply contract with close integrated supplier is less appealing.
Legal and regulatory requirements. Competition Markets Authority prohibits the use of cartels, and investigates activities deemed not in the best interest of the public in the UK. The buyer would need to ensure that any close relationship developed is in line with the law and regulatory body or the country within which they are operating.
1b. Candidates were expected to explain procurement’s contribution to each of the three sub-questions.
(i) Procurement can use value analysis to contribute to cost management by analysing the function of a service, material, part or system to identify areas of unnecessary cost, to identify those that do not add value. This analysis asks whether the use of the item contributes to the overall value and;
Whether its cost is proportionate to its usefulness
Whether all its features are needed
Whether a lower cost method could be used
Once this has been established procurement can look to remove waste throughout the supply chain but at the same time still ensure that the final product/outcome retains the features and functions that add value in the eyes of their customers.
(ii) Buyers can help an organisation’s cash-flow by increasing the time between receiving goods and then having to pay the suppliers for them. This may mean ensuring that the contract includes an extended payment period that is different to those normally expected e.g. parties agree to 60 or 90-day payment terms instead of 30 day terms. Additionally, buyers and suppliers may agree a payment plan that is different from standard approaches which ensures that the buying organisation can hold on to their cash for longer and make it work harder for them.
This type of approach can also help an organisation’s inflow of cash as it may enable them to sell their items on to their customers either through resale (retailers) or as part of finished goods (manufacturers).
The buyer does, however, need to ensure that this approach is used wisely and with consideration of the impact this is going to have on the supplier. They need to consider whether the change to payment terms would have an unethical effect, e.g. on SME suppliers, or have a detrimental impact on a supplier’s ability to continue to do business.
(iii) The use of information technology can help cost management as systems are able to streamline processes and increase productivity. Despite it often being expensive to implement initially, benefits can be seen in relation to reduced resource costs, labour and time and ensure that required tasks are completed effectively and efficiently. Procurement’s use of information technology has resulted in the provision of more, real-time information that helps them with forecasting, inventory planning as well as the ability to secure more competitive pricing through e-options such as e-sourcing and e-auctions. Tools such as MRP support inventory reduction as it is a powerful and accurate planning system.
Supplier management is made easier as information technology can aid better decision making with improved supplier performance data. Integrating systems with partnership suppliers reduces costs long term as suppliers can better meet the needs of a buyer.
Examples of content for merit/distinction grade answers:
1a. Candidates who provided 5 distinct factors and who went on to describe how relationships were influenced by this factor were often rewarded with maximum marks for this section.
1b. Candidates who were able to provide a correct definition as well as then clearly explain procurement’s involvement with each were generally able to achieve high marks in this area.
Examples of poorer content/ poorer approaches in answers:
1a. Some answers identified many generic factors e.g. Socio-economic, Political, technological etc., but failed to fully describe the factor in terms of relationship.
1b. Many answers did not fully demonstrate understanding of all three of the areas highlighted. A number were unable to correctly explain the “extending of payment terms” section, choosing instead to interpret this as withholding payment from the supplier. Additionally, answers often did not achieve the full marks because although key elements of each section were correctly identified, they did not link this to cost management, instead providing a very generic definition and explanation of the section.
Concluding comment:
1a. A generally well answered question with many candidates obtaining high or full marks.
1b. A much less well answered part of the question than the first section with many candidates not aware of, or unable to explain each section.
Question 2 – Learning Outcome 2 Mark
Explain FIVE essential elements of a legally binding agreement.
Learning outcome addressed: 2.1
Command word explanation: Explain – give reasons for or account for something
Examples of good content/good approaches in answers:
Candidates were expected to explain five of the essential elements required for a legally binding agreement. The most common elements chosen by suppliers included the following;
Offer – clear and definite proposal capable of being accepted
Acceptance - unconditional and communicated to the offeror
Consideration - something of value is given in exchange by each party which does not need to be monetary but often is
Intent - each party must intend to be legally bound the agreement in order to turn it into a contract
Capacity – each party must have the legal capacity to enter into a contract, typically this means they must be considered an adult (over 18 in the UK), not under any influence (drugs/alcohol) and be of sound mind.
Correct form - Some contracts require a specific format. For example in UK law contracts for the sale of land and property must be written
Where Candidates correctly identified an essential element and then provided some context around why they achieved a pass mark.
Examples of content for merit/distinction grade answers:
Candidates who provided additional level of detail for each area in addition to those above were awarded higher marks. Examples of merit/distinction grade answers are shown below;
Offer – An invitation to treat is not an offer. Common examples of invitations to treat include advertisements, catalogues, shop displays and web sites. Stronger candidates were able to quote a case like Fisher V Bell or similar. An answer may include how an offer terminates through acceptance, rejection, counter-offer as well as lapse of time, death or revocation.
Acceptance - Any alteration to the terms of the offer means acceptance has not taken place – it is a counter offer. Silence is usually not acceptance. A case like Felthouse v Bindley would be useful or alternatively a practical example which is just as valid. Strong answers referred to the postal rule.
Consideration - Strong answers included the two types of consideration (executed and executory) and attempted to define the two types or provided examples. Some candidates referenced past consideration or the fact that consideration need not be equal value. Cases that may be used could include, McCardle, Stilk V Myrick or others). In many cases the use of practical examples to illustrate the rules received credit.
Legal intention – Stronger answers identified that the law divides agreements into two types: social agreements which the courts presumes are not intended to be legally binding and business agreements which the court presumes are legally binding. Some answers might use supporting case law like Simpkins V Pays but other more practical examples were also used to help demonstrate understanding.
Capacity - certain groups have special rules that apply to them for example young persons (previously minors) may still be able to contract for necessaries or beneficial contracts of employment might be mentioned.
Examples of poorer content/ poorer approaches in answers:
Poorer answers were from candidates who chose to identify different types of contractual terms e.g. force majeure, payment, etc. and/or typical structures of a contract. These did not receive credit as they are not essential elements of a legal binding arrangement although they may be parts of the agreement.
Concluding comment:
On the classification of “capacity”, some candidates choose to write in detail about how organisational authority to sign a contract was an essential element of a legal binding contract. This is not entirely a correct response and whilst actual, implied/anticipatory and ostensible authority may play a part in contract agreement, challenges as to whether signature from an employee on behalf of their employer when they do not have the internal authority may not result in the organisation being able to lay aside their responsibilities under the contract.
Study centres are requested to ensure that any confusion that candidates may have around this point are resolved so that the future candidates do not miss out on marks by wholly relying on one point to the exclusion of all other elements of capacity.
Question 3 – Learning Outcome 3 Mark
a. Explain the role of ‘information assurance’ (IA) in managing contractual risk.
b. Describe THREE tasks that might be undertaken by a contract manager as part of their contract administration duties
Learning outcome addressed: 3.1
Learning outcome addressed: 3.4
Command word explanation: Explain – give reasons for or account for something
Command word explanation: Describe – give a full account of something
Examples of good content/good approaches in answers:
3a. Information Assurance (IA) is the practice of managing risks related to the use, processing, storage and transmission of information or data and the systems used for these purposes. Candidates were expected to explain the role of information Assurance (IA) as part of the management of contractual
risk especially as breaches of data security are becoming more common. It is related to information security which is aimed at the protection of information systems through application of security controls and defence of malicious attacks.
The role of IA in managing contractual risk is to;
Ensure corporate governance (compliance with regulatory standards and internal control relating to data protection and fraud prevention)
Ensure that disaster planning is effective
Ensure that technical reviews of the IT systems and storage takes place
Conducting and overseeing risk assessments
Conducting and overseeing audit of systems
3b. Candidates were expected to identify three from any of the possible contract administration task that a Contract manager may undertake. The question did not specify which organisation (buyer or supplier) the contract manager was from so either perspective was acceptable. Typical answers included
Expediting orders and working with suppliers to solve identified problems and ensure delivery deadlines are made
Document management and change control to ensure that the contract documentation is kept up to date and the status of all documents is recorded. Agreeing minor contract changes provided the contract is flexible enough to allow this
Management reporting including measuring and monitoring of supplier performance and recording of performance gaps
Risk reporting and identifying when the contract is at risk either through poor delivery, identification of financial, environmental or newly emerging risks with the supplier.
Supplier performance tracking, including audits and meeting documentation being kept so that good performance is recognised and actions can be put in place for poor performance.
Ensuring that payment responsibilities are carried out appropriately e.g. receipting purchase orders to allow payments within the agreed terms, or ensuring that invoices received match work carried out.
Contract renewal or termination where the contract manager needs to be involved in a full end-of project or end of contract review by the business and agreement made on any contract renewal or dismissal. If the contract is to be renewed then the contract manager needs to be aware of any changes of terms that have been negotiated. If the contract is to be terminated then the contract manager needs to ensure that delivery of any outstanding purchase orders is agreed and ensure a smooth close-out of business.
Post-contract review management- review of the contract’s history and outcomes, gather feedback from stakeholders on what went well and what didn’t in the performance and management of the contract; how things could have been done more efficiently or effectively; and what knowledge or lessons have been learnt from the contract.
Examples of content for merit/distinction grade answers:
3a. Stronger responses expanded on the role of IA to include examples of information related risks in contract management. Typically, these responses included the following risks and methods to control;
Unauthorised access to intellectual property – restricted documents and password controls
Loss of sensitive commercial data – confidentiality agreements
Misuse of shared data – active management and tracking of intellectual property
Software and information corruption – firewalls, anti-virus with up-to-date definitions, restrictions on use of systems
Lack of effective contract change control procedures – change protocol and procedures
3b. Where candidates provided more detail than merely describing a task, including the use of examples from their own experiences they could obtain higher marks.
Examples of poorer content/ poorer approaches in answers:
3a. Candidates who were not able to provide a good definition or demonstrate a clear understanding of Information Assurance were not able to achieve good marks. Other candidates mistakenly interpreted this question as a one on risk and as such provided lots of detail on the management of risk, or alternatively the checking of supplier’s information at tender or bid stages. These are incorrect definitions and where candidates opted to use these as a basis for their response they were often unable to achieve a pass mark.
3b. Many candidates could identify three tasks however, some seemed to skimp on the level of detail that they provided. Some responses were little more than a few words therefore valuable marks were missed due to the lack of depth provided when answering this question. Additionally, candidates who focused on the pre-award phase of contracting, particularly when describing the role of evaluating suppliers in a great level of detail, generally received a low mark.
Concluding comment:
The second part of the question was relatively well answered but candidates are advised to consider the level of detail that is put into their responses so that they ensure they obtain the maximum marks for their response.
Question 4 – Learning Outcome 4 Mark
a. Explain THREE measures that might be included within a balanced scorecard
b. Explain ONE methodology for relationship assessment that can be employed by purchasers and suppliers
Learning outcome addressed 4.4
Command word explanation: Explain – give reasons for or account for something
Examples of good content/good approaches in answers:
4a. The balanced scorecard approach is generally based on the work of Kaplan and Norton and many candidates used their definitions as a basis for their response which included the following perspectives;
Financial
Internal business processes
Customers
Innovation and Learning
However, as the question did not specify that the Kaplan and Norton model needed to be used there were many measures that could feasibly be included in a balanced scorecard provided those selected covered relevant and appropriate financial and non-financial measures. For example, reject rates; On-time-in-Full (OTIF) deliveries, quality systems and cost savings.
4b. There are several relationship assessment methodologies that candidates could have explained in response to this question, these included;
Leenders et als purchaser - supplier satisfaction model - which maps the relative satisfaction of both purchasers and suppliers and so these levels of satisfaction can be mapped onto a matrix that has a maximum score of 10, 10 for complete satisfaction. The matrix then incorporates four categories of relationship depending on the relative satisfaction levels of both the supplier and purchaser.
The use of the Kraljic matrix to evaluate whether the organisation’s relationship with a supplier is of the right type to fit the profile of the category purchased.
The supplier preferencing matrix which can be considered as a methodology to evaluate relationships since actions can be taken to improve attractiveness to improve the relationship between purchaser and supplier.
The relationship lifecycle model can be used to evaluate relationships in terms of stakeholder loyalty, commitment and retention through measures of relationship duration, retention and defection.
Examples of content for merit/distinction grade answers:
4a. Higher marks were awarded to candidates who did more than just identify three areas but instead gave an explanation as to how this would be used in the balance scorecard or the areas it was seeking to investigate. Examples from candidates own experience often helped provide additional depth and detail.
4b. Candidates who correctly identified a suitable relationship methodology and as well as describing the model went on to give an indication of how the type of relationship decisions could be made, including the use of examples, generally received more than a pass mark. Additionally, where the methodology covered both parties, the supplier and the buyer, the higher the marks awarded.
Examples of poorer content/ poorer approaches in answers:
4a. Candidates who only identified a measure – often only in one or two words, generally received less than a pass mark. Equally when candidates selected three areas which were very similar and therefore would not have presented a balanced approach also did not do as well in their responses.
4b. Many candidates struggled to identify a suitable methodology on which to base their response often attempting to make models fit e.g. risk assessment, SWOT, STEEPLE, Vendor Rating etc. As these were generally poorly explained in context of the question the candidates received fewer marks.
Concluding comment: Candidates should note learning only one or two models across their studies can be a risky strategy. Where models are inappropriately used they generally result in poor marks.
