D4/2017年11月
CIPS 四级：采购与供应文凭（Diploma in procurement and supply）
《采购与供应中的谈判与合同》Negotiating and contracting in procurement and supply
日期 2017 年 11 月 14 日 星期二
时间 开始 14:00 结束 17:00 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) 阐述商业协议中性能规格的三个优点。(15 分)
0iscuss THREE merits of performance specifications in commercial agreements.
(b) 描述在商业协议中适合采用一致性规格的两种情形。(10 分)
0escribe TWO circumstances in which it may be appropriate to use a conformance specification in a commercial agreement.
2. 论述合作性(整合性)谈判与对抗性(分配性)谈判之间的五个不同之处。 (25 分) Using FIVE characteristics， compare collaborative (integrative) negotiation with adversarial (distributive) negotiation.
3.
(a) 举例解释以下术语:(16 分)
Explain， with examples， the following terms:
(i) 直接成本(0irect costs) (ii) 间接成本(Indirect costs) (iii) 固定成本(Fixed costs)
(iv) 可变成本(Variable costs.)
(b) 在准备谈判时，买方了解供应商的固定成本和可变成本是至关重要的。解释这么做很重要的三个 原因。(9 分)
Suggest THREE reasons why it is important for a purchaser to understand a supplier s fixed and variable costs when preparing for a negotiation.
4.
(a) 解释谈判双方用以反思其谈判表现的三种方式。(9 分)
Explain THREE ways in which parties to a negotiation might reflect on their performance in the negotiation.
(b) 论述在谈判中可以用来影响对方的四种战术。(16 分)
0iscuss FOUR tactics that could be used to influence the other party during a negotiation.
试卷结束
END OF QUESTION PAPER
英方公布试题答案及评分参考
Question1:
(a) Discuss THREE merits of performance specifications in commercial agreements.
(b) Describe TWO circumstances in which it may be appropriate to use a conformance specification in a commercial agreement.
Learning outcome addressed: 1.1
a) Command word explanation: Discuss – consider something by writing about it from different points of view
b) Command word explanation: Describe – give a full account of something
Examples of good content/good approaches in answers:
In part (a) there are many merits of performance specifications in commercial agreements which should be explained and the disadvantages of conformance specifications may be explained in order to match the ‘discuss’ command word.
Merits of performance specifications would include the following:
• It can be much quicker to write a performance specification; and a performance specification is likely to be a very much shorter document than a conformance specification, making it much easier and cheaper for all interested parties to handle, amend, read and understand it.
• A performance specification places all risks of non-achievement of performance squarely with the supplier. If the required performance is not met, then the supplier must remedy the situation, wholly at their time and cost.
• A performance specification allows for innovation and new approaches to achieving desired/required performance and to dealing with any problems that arise. This encourages flexibility and innovation in the marketplace.
• The efficacy of the specification does not depend on the technical knowledge of the buyer (unlike conformance specifications). The supplier may know best what is required and how it should be manufactured.
• The potential supply base is wider than might be the case with a conformance specification. The expertise of different suppliers might provide a wide range of solutions as to how a particular function should be performed.
In part (b) any TWO different sets of circumstances in which a conformance specification would be a sensible and appropriate approach to take in a commercial agreement should be explained. Typical examples would include the following:
Where technical dimensions and weights are absolutely critical, perhaps in terms of sports and racing equipment where exact match to a predetermined technical set of specifications and exact compatibility are essential.
Another situation could be in medical/pharmaceutical industry areas, where type approval is only given to specific formulations, and the ‘recipe’ must be followed precisely.
A similar situation may arise where foodstuffs are required to match recipes.
Another might be in military applications, where conformance to battlefield configuration is all-important.
Conformance specifications are also useful for spare parts for existing plant and equipment.
It would also be possible to take circumstances from individual work experience in workplaces providing such examples are relevant.
Examples of content for merit/distinction grade answers:
In part (a) high marks would be awarded for detailed explanation of any THREE of the above points. Such explanation should be directed towards the actual use of performance specifications in the commercial world and include some comparison with conformance specifications which might include the latter’s disadvantages.
Similarly, in part (b) high marks would be awarded for detailed explanation of any TWO of the above points. Such explanation should give a sound explanation of the actual circumstances of use as well as reasons why these circumstances may arise.
Examples of poorer content/poorer approaches in answers:
In part (a) poorer approaches gave little detail against the performance specifications’ merits that might have been identified. Some answers appeared to confuse performance and conformance specifications.
In part (b) poorer approaches gave little detail of circumstances that had been identified in the answer’s beginning.
Concluding comment: The great majority of answers to both parts were along the right lines although a small number appeared to confuse performance and conformance specifications. The main reason for low marks was inadequate detail.
Question2:
Using FIVE characteristics, compare collaborative (integrative) negotiation with adversarial (distributive) negotiation.
Learning outcome addressed: 2.2
Command word explanation: Compare – assess one thing in relation to another thing
Examples of good content/good approaches in answers:
FIVE characteristics should be compared based on the following themes:
• Emphasis - integrative negotiation aims to achieve goals common to both parties, distributive negotiation aims to achieve goals at the expense of the other party.
• Strategy – integrative is based on openness, information sharing and trust whereas distributive is based on secrecy and low levels of trust
• Desired outcomes – in integrative, desired outcomes are expressed early so all parties understand. Distributive outcomes are often misrepresented so the other party is not clear of what they are.
• Strategies – integrative strategies are flexible and aimed at reaching an agreement whereas distributive strategies are Inflexible and uses ploys to gain advantage.
• Tactics – integrative has rational solutions and no threats whereas distributive has threats and ultimatums.
• Positions – integrative has flexible positions, creative options and a desire to understand underlying needs versus fixed positions defended by logical or irrational argument.
• Approach – integrative approach is cooperative, assertive but not aggressive versus hostile and aggressive.
• Logical extreme – integrative approach is what is good for either party is good for both parties whereas distributive seeks to block the other party from reaching their goal.
• Key Attitude – integrative attitude, 'how can the goals of each party be achieved so that both win' (‘win/win’) verses distributive attitude, 'we win, you lose'.
• Options in case of impasse – integrative negotiation seeks to create new options or introduce intervention whereas distributive opts for termination.
Other areas that may be considered when comparing the two approaches include the pay-off structure of the negotiation; the goals pursued by each party; the relationships utilised (e.g. on the relationship spectrum’; the primary motivation of the parties; the degree of trust and openness and also remedies for breakdown or impasse in the negotiation.
Examples of content for merit/distinction grade answers:
High marks were awarded for clear, detailed description and comparison of any FIVE of the above points. The important aspect here is that characteristics must be compared.
Examples of poorer content/ poorer approaches in answers:
Many answers adopted the ‘table’ format, as found in some textbooks. These answers usually gave mention of acceptable characteristics but the table format seemed to cause them to have little detail. Some answers started by explaining a list of integrative characteristics and then followed with a list of distributive characteristics. The problem with this approach was that it was difficult to link (and therefore compare) each characteristic and in some cases, the characteristics included were clearly not linked.
Concluding comment: The majority of answers were along the right lines and gained pass grade marks but few gained very high marks. The main reasons for answers not gaining high marks are those mentioned above (little detail or lack of comparison of characteristics).
Question3:
(a) Explain, with examples, the following terms
(i) Direct costs
(ii) Indirect costs
(iii) Fixed costs
(iv) Variable costs
(b) Suggest THREE reasons why it is important for a purchaser to understand a supplier's fixed and variable costs when preparing for a negotiation.
Learning outcome addressed: 3.1
Command word explanation: Explain – give reasons for or account for something
Command word explanation: Suggest – give the most appropriate answer or answers
Examples of good content/good approaches in answers:
In part (a) the four types of cost, with examples, are as follows:
(i) Direct costs - can be identified directly with a specific saleable unit of output. For example raw materials and direct labour.
(ii) Indirect costs - otherwise known as overheads are the costs that cannot be identified with a specific saleable unit of output. For example administration and selling costs, machine parts.
(iii) Fixed costs - costs that do not vary as output (production) might increase or decrease. Examples include factory rent and salaries of (e.g.) managers.
(iv) Variable costs - costs that will vary as production volumes change such as raw materials. Hourly paid labour related to output is another example.
There are other examples that can be related to each cost but the one above are the most likely. Pass grade marks required clear explanation of the nature of each cost with a reasonable example of each one.
In part (b) there is a number of reasons why purchasers need to understand a supplier’s fixed and variable costs and answers should include any THREE of them, as follows:
Understanding the costs can help to set the parameters for price negotiation.
Other negotiation variables can be calculated such as cost reduction initiatives and .supplier development targets.
Understanding a cost per unit could give a common base to compare with other suppliers' prices.
Understanding variable costs will help to understand and agree economic and minimum order quantities, as well as economies of scale.
Understanding costs can help to analyse the justification for price increase requests.
Understanding fixed costs is important to understand the suppliers 'walk away' position which is usually where fixed costs cannot be covered.
Understanding fixed costs can help to calculate profit.
The buyer would be able to understand the supplier's breakeven point.
Credit was given for any other reasonable examples of reasons.
Examples of content for merit/distinction grade answers:
In part (a) high marks were awarded for answers that clearly distinguished the different types of cost and explained each one clearly and gave a sound, well-explained example of each one. The key to high marks was explanation clarity and sufficient detail.
In part (b) high marks were awarded for answers that gave THREE of the above reasons and explained them in some detail. For example, regarding the point about comparison with other suppliers’ prices, good explanation would include the fact that knowledge of the supplier’s price would indicate whether the supplier was competitive with the rest of the supply market. This would assist the purchaser‘s decision as to whether to continue the negotiation or whether to go to another supplier.
Examples of poorer content/ poorer approaches in answers:
In part (a) poorer answers did not give sufficient detail and some answers seemed to confuse some of the cost categories such as direct costs and variable costs. This may have been because (e.g.) ‘raw materials’ is an example of both of them although for different reasons. Some answers stated that variable costs relate to macro-economic factors such as inflation and currency exchange rate fluctuations but this is not correct.
In part (b) some answers did not provide sufficient detail for the high marks to be awarded.
Concluding comment: Both parts of this question were generally well-answered and this was the best answered question on the paper. Apart from the occasional problems mentioned above, the great majority of answers were sound and well-explained.
Question4:
(a) Explain THREE ways in which parties to a negotiation might reflect on their performance in the negotiation.
(b) Discuss FOUR tactics that could be used to influence the other party during a negotiation.
a) Learning outcome addressed: 4.4
b) Learning outcome addressed: 4.2
a) Command word explanation: Explain – give reasons for or account for something
b) Command word explanation: Discuss – consider something by writing about it from different points of view
Examples of good content/good approaches in answers:
Part (a) represents a broad topic and there are a number of potential answers, all of which would gain reasonable marks. Ways of reflecting upon negotiation performance might include the following:
Self- Analysis i.e. Personal development journal: this is for outlining negotiation experiences in writing with a brief analysis of the outcomes; what happened and why; what could be done differently/improved and what training or development might be useful.
Critical incident analysis: here, 'critical incidents' in the negotiation process are identified and analysed to establish what went well (or badly) and what learning can be gained from these.
Post-negotiation review and evaluation: this might involve a meeting with your negotiation participants and key stakeholders. The purpose is to analyse what went well and what went badly as well as reasons for such outcomes.
Feedback: this relates to your performance and can be sought formally or informally from other participants including, in some cases, the other party to the negotiation.
Monitoring post-negotiation behaviour: this can involve analysing the efficiency and effectiveness of the agreement reached in the negotiation and may indicate the quality of the actual agreement reached as well as satisfaction and commitment of both parties.
Informal self-reflection, analysing feelings, thoughts and internal processes.
Answers may also consider reflecting on performance of negotiation in the following negotiation stages and the achievement of objectives under each heading:
Preparation
Relationship building
Information gathering
Information using
Bidding and closing the deal
Implementation
Answers may also apply broad theory to the reflection of performance using models such as the ‘Kolb Learning Cycle’. Other reasonable points would include: 'Being interviewed by your line manager after the negotiation' or 'analysing what specific benefits (e.g. price reduction) have been achieved by the negotiation.'
As can be seen there is a wide variety of acceptable answers and good content included mentioning THREE of the above points with some explanation. It was acceptable for answers to combine points from the different categories above.
Part (b) is potentially a very broad subject because there are number of theories relating to this topic and different texts go in different directions in terms of their explanations. Examples of approaches that could be taken include the following two possibilities:
The first possibility is ‘Proactive influencing tactics’ (Cialdini/Yukl) etc.; the second possibility may be related to tactics/ploys, in the general sense, that can be used to influence a negotiation. Either or both of these approaches are acceptable.
Proactive influencing techniques include:
Rational persuasion
Inspirational appeal
Consultation
Ingratiation
Exchange
Personal appeal
Coalition
Legitimating
Pressure
A selection of well-known tactics (although it must be stressed that there are many more – 200 in Tom Beasor's 'Great Negotiators' – see also Kennedy on Negotiation and Lewicki et al) include:
'Salami' – takes its name from thin slices of salami and refers to the idea of making concessions little by little. The theory is that the other side will lose their overall view of the wider objectives when faced with this technique, although they might ‘Salami back’ by attaching a cost to every concession demanded.
'Accommodation' tactic – initially you accept the arguments put forward by the supplier but, subsequently, point out the consequences to the supplier if these demands are insisted upon,
'Switch tactic' – in the case of emotional objections, change the subject,
'Building block' technique – progressively asking for a better deal step by step. This is said to be a very powerful technique,
'Silence' – do not be tempted to fill gaps in conversation with words. After asking a question, wait silently for an answer – silence should put pressure on the other party,
'Broken record' – the theory here is that, if we repeat something often enough, the other party starts to believe it.
'Recess' – this may be used if the negotiation appears to have reached a stalemate or the other party has said something unexpected. A recess in these situations gives you time to re-group your thoughts and, possibly, discuss ways of moving forward with colleagues.
'Divide and rule' – this may be done by addressing questions to particular individuals in the supplier’s team, assuming the negotiation is on a ‘team’ basis.
'One more thing' – this is used to get the supplier to make a further concession when the negotiation is almost concluded.
'Tough guy/soft guy' (or 'good cop/bad cop') - A team of two from the other party: one person presents a friendly persona, whilst another is difficult to negotiate with. Sometimes this tactic manifests itself as follows: 'If you don't do the deal now, it will need to go to my boss who is much more difficult to deal with.
'Now or never' – this is one you are more likely to face from the supplier than the other way round. Here, the supplier hustles you to accept quickly on the grounds that they cannot hold the price after today (or similar). In this situation you need to ask why this is the case: is it really credible?
'Bogey' – you pretend that a trivial issue is very important, intending to trade this issue later for major concessions. In case you are faced with the supplier using this tactic it is advisable to prepare in advance so that you this know which issues the supplier really values.
Here, identification and a correct description of FOUR approaches mentioned above would gain a pass grade.
Examples of content for merit/distinction grade answers:
In part (a) high marks were awarded for mention of THREE of the above points with good, reasonably detailed, explanation of how they might be carried out and the results they would provide.
In part (b) high marks were awarded for more detailed descriptions of FOUR of the above approaches. Credit would be given for useful examples relating to the candidate’s work experience.
Examples of poorer content/ poorer approaches in answers:
In part (a) some answers completely missed the point of the question and described ways that contract performance might be measured rather than the negotiation process.
Again, in part (b) some answers missed the point that ‘tactics’ are usually specific activities with a specific aim. Such answers tended to focus on ‘methods of persuasion’ such as ‘emotion’ and ‘bargaining’ which are more general means of creating a particular atmosphere in the negotiation.
Concluding comment: In part (a) answers tended to be extremes. Many answers gave sound explanations of methods of measuring negotiation performance and gained high marks: in a significant number, full marks. Unfortunately, a significant number of answers focused on contract performance, as mentioned above and gained zero marks.
Similarly in part (b), answers tended to be extremes with many answers giving sound explanations of relevant tactics but a significant number focused on (e.g.) methods of persuasion rather than tactics. It was noticeable that answers that selected ‘tactics’ from the list above tended to use ‘Good Cop/Bad Cop’; ‘Russian Front’; ‘Now or Never’ and ‘Salami’.
