Health and Safety L3

Level 3 NVQ in Occupational Health
and Safety (3644-30)

Standards and assessment requirements
QCA ref: 500/3479/0 www.cityandguilds.com
January 2008
Version 1.0
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Level 3 NVQ in Occupational
Health and Safety (3644-30)
Standards and assessment requirements
www.cityandguilds.com
January 2008
Version 1.0
Level 3 NVQ in Occupational Health and Safety (3644-30) 1

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2 Level 3 NVQ in Occupational Health and Safety (3644-30)

Contents
1 Introduction 5
2 ENTO and the National Occupational Standards 6
3 Candidate entry and progression 7
4 Health and Safety progression routes 8
5 Centre resource requirements 9
6 Assessment method requirements 10
7 Roles and occupational expertise requirements 11
8 Recording assessment and evidence 13
9 The qualification structure and standards 14
10 About the standards 15
HSS1/601 Make sure your own actions reduce risks to health and safety 16
HSS2/602 Develop procedures to safely control work operations 18
HSS3/603 Monitor procedures to safely control work operations 20
HSS4/604 Promote a healthy and safe culture in the workplace 22
HSS5/605 Investigate and evaluate health & safety incidents and complaints in the
workplace 24
HSS6/606 Conduct a health and safety risk assessment of a workplace 26
HSS7/607 Make sure your own actions within the workplace aim to protect the
environment 28
HSS8/608 Review health & safety procedures in workplaces 30
HSS9/609 Supervise the health, safety and welfare of a learner in the workplace 32
11 Glossary 35
Accreditation, national frameworks and qualification level descriptors 38

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1 Introduction
About this document

This document provides details that centres and candidates will need in order to assess, verify and
collect evidence for this NVQ qualification and includes:
• the requirements for occupational competence for all those involved in the assessment process
• the assessment methods and requirements
• the national occupational standards and unit evidence requirements
• progression routes.
Other sources of essential information

This document has been designed to be used with the City & Guilds NVQ Guide which is made up of:
• Centre guide – containing information specifically for centres
• Candidate logbook – containing information specifically for candidates and recording forms
Visit the City & Guilds website (www.cityandguilds.com) for the latest versions of these
documents.
There are also other City & Guilds documents which contain the latest information regarding the
assessment of NVQs:
• Providing City & Guilds qualifications – a guide to centre and qualification (scheme) approval
• Ensuring quality - containing updates on assessment and policy issues
• City & Guilds centre toolkit – additional information on running City & Guilds qualifications is
given in a CD-ROM, which links to the internet for access to the latest documents, reference
materials and templates.
Details of general regulations, registration and certification procedures, including fees, are included
in the City & Guilds Catalogue. This information appears on the online qualification administration
service for City & Guilds approved centres, the Walled Garden, at www.walled-garden.com.
If there are any differences between the NVQ Centre Guide or the NVQ Candidate Guide and this
Standards and Assessment Requirements document, this document has the more up-to-date
information.

2 ENTO and the National Occupational Standards
Contacting the Standards Setting Body
Name of SSB ENTO

Address Kimberley House
47 Vaughan Way
Leicester
LE1 4SG
Telephone 0116 251 7979
Fax 0116 251 1464
E-mail info@ento.co.uk
URL www.ento.co.uk
Apprenticeship framework
See the ENTO website for information on apprenticeship framework: www.ento.co.uk

3 Candidate entry and progression
Candidate work role requirements

This NVQ is for those working in any of the following roles or roles similar to these:
• Occupational Health and Safety Practitioners
• Training providers and employers providing staff to supervise learners in the workplace.
Candidate entry requirements

Generally, there is no prescribed prior knowledge, attainment or experience needed to gain access
to this qualification. It is recommended that potential candidates are initially assessed on entry, so
that levels of literacy, numeracy, communication skills and sector understanding can be
determined. This initial assessment should consider previous qualifications and practical
experience. Candidates will be employed within the industry or in a realistic working environment
and as such would have been through a selection process.
Age restrictions
These NVQs are not approved for the use of those who are under 16 years of age. Otherwise, there
are no formal entry requirements for candidates undertaking this qualification, however centres
must ensure that candidates have the potential and opportunity to gain evidence for the
qualification in the work place
For funding purposes, centres are reminded that candidates should not be entered for a
qualification of the same type, level and content as that of a qualification they already hold

4 Health and Safety progression routes
E Occupational Relevant NQF

N
Roles Qualifications Level
T
R
A
N
T
NVQ in Occupational Health and 5
S
Health and Safety Regulator Safety Regulation
Health and Safety Manager NVQ in Management of Health and
W
I Safety
T
H
P
R
I
O
R NVQ in Occupational Health and 4
Health and Safety Specialist Safety Practice
E
X
P
E
R
I
A
N
C
E
Health and Safety Practitioner NVQ in Occupational Health and 3
A Safety
N
D
Q
U
A
L
I
F
I
ENTRY LEVEL
C
A
T
I
O
N

5 Centre resource requirements
There are no additional resource requirements over and above what would be found in a normal
workplace.
Registration period
Please check the online catalogue for the latest information on length of registration and the last
registration and certification dates.
Where the period of access to assessment offered by a centre is less that the period covered by the
candidates’ registration with City & Guilds, centres must ensure that this is understood by the
candidates.
Additional
Information
Award number QCA reference Last registration Last certification
3644-30 500/3479/0 31/12/2010 31/12/2013

6 Assessment method requirements
Assessment of performance and knowledge in the workplace

All evidence must be derived from performance in the workplace with no exceptions. Therefore no
simulated working conditions have been specified in this Assessment Strategy as the outcomes
can be demonstrated by a combination of other assessment methods drawn from:
• direct observation of the candidate in the workplace
• witness testimony by colleagues and line managers of the candidate’s successful
performance of activities in the workplace
• documentary and other product-based evidence
• a personal report by the candidate endorsed by colleagues.
External Quality Control: Independent Assessment

This will require candidates to present a balance of evidence which must include a substantive
component which has been assessed by someone who is independent from the candidate.
‘Substantive’ is defined here as a primary piece of outcome evidence for one or more units of
competence. ‘Someone independent’ is defined here as an assessor who is not the candidate’s
primary assessor.
The Requirements for Occupational Expertise of Assessors and Verifiers

Awarding Bodies must ensure that Assessors and Verifiers:
1 Have verifiable and relevant current industry experience and competence in the
occupational working area at, or above, the level being assessed and evidence the quality of
the occupational experience to ensure the credibility of the assessment judgements.
Assessors’ and verifiers’ experience and competence could be evidenced by:
a curriculum vitae and references
b possession of a relevant health and safety qualification
c appropriate membership of a relevant professional institution
d Continuing Professional Development (CPD)
2 only assess or verify in their acknowledged area of professional competence
3 have appropriate knowledge and understanding of the current NOS
4 actively engage in relevant professional development
5 all assessors and verifiers must meet the required criteria in the qualifications regulators
current regulation documentation.

7 Roles and occupational expertise requirements
Assessor and Internal Verifier requirements
Assessors must be:

• able to demonstrate they possess practical and up-to-date knowledge of current working
practices appropriate to the sector in which they are carrying out assessment practices OR
they must be working in the appropriate sector itself;
• competent in the units they are assessing. This is shown through the assessor having
achieved the award they are assessing OR provide quality evidence to the external verifier
that they are able to make valid judgements of the competence of candidate’s. This could be
done through a combination of a) personal interview, b) review of employment histories
and/or c) examination of the assessor’s judgement during assessments
• must be appointed by an approved centre; and
• must have a working knowledge of awards and a full understanding of that part of the award
for which they have responsibility
• in possession of the appropriate assessor award (s). As a minimum requirement, the
assessor must be in possession of or actively working towards the units A1 (or qualification
equivalent).
Internal verifiers must be:

• either working in the appropriate sector itself OR they must be able to demonstrate they
possess practical and up-to-date knowledge of current working practices appropriate to the
sector in which they are carrying out verification practices; centre
• appointed by an approved centre;
• must have a working knowledge of the awards they are internally verifying
• in possession of or actively pursuing the Unit V1 (or qualification equivalent)
External Verifiers must be:

• Familiar with the industry, and have an understanding of the technical processes and
terminology used. The Awarding Body (or in the case of joint awarding arrangements,
Cogent), through examination of relevant CV’s and references will confirm this
• In possession of or actively pursuing the unit V2 (or qualification equivalent)

Witnesses
There are no specific occupational expertise requirements for witnesses. Witness testimony can
provide evidence to establish consistency in a candidate’s practice and/or to evidence events which
are difficult to plan to observe. In order that the assessor may make an informed judgement about
the contribution of the witness’ testimony to the overall evidence presented for a unit or
qualification, a statement of the witness’ status should be included in the candidate’s portfolio of
evidence. This can be done by using a Witness Status list (form NVQ5) or including it as part of the
witness testimony itself. The statement should indicate the relationship between the candidate and
the witness and should enable the assessor, by defining the role that the witness has played in the
gathering of evidence (ie as colleague, worker from another organisation) to judge the extent of the
witness’ knowledge of the National Occupational Standards and understanding of the work roles
involved.
Please note: The use of witness testimony from relatives or those with whom the candidate has a
significant personal relationship is not acceptable.
Continuous Professional Development requirements
City & Guilds expects all those with formal roles in the assessment or verification process to
participate in a minimum of two CPD activities per annum. This can be to update either vocational
skills / knowledge or assessment/verification skills/knowledge.

8 Recording assessment and evidence
Common Evidence Requirements for Health and Safety NVQs

The standards require evidence of consistent occupational competence, as defined by the
standards, to be demonstrated through relevant work activities. A variety of assessment methods
should be used to confirm competence. Assessment of knowledge should be integrated with the
assessment of performance wherever possible and appropriate.
Assessment of performance and knowledge in the workplace

All evidence must be derived from performance in the workplace with no exceptions. Therefore no
simulated working conditions have been specified in this Assessment Strategy as the outcomes can
be demonstrated by a combination of other assessment methods drawn from:
• direct observation of the candidate in the workplace
• witness testimony by colleagues and line managers of the candidate’s successful
performance of activities in the workplace
• documentary and other product-based evidence
• a personal report by the candidate endorsed by colleagues
• questions
• discussion
• professional discussion.
This is not an exhaustive list and the Common Evidence Requirements are owned by the Awarding
Bodies which will develop their own guidance documentation on evidence requirements.
Confidentiality and privacy

The need to maintain confidentiality and privacy, when putting together portfolios, should be
stressed to candidates where appropriate.
Recording forms to use

City & Guilds has developed a set of Recording forms including examples of completed forms, for
new and existing centres to use as appropriate (see NVQ Guide for centres and candidates -
Recording forms, available on the City & Guilds website). Although it is expected that new centres
will use these forms, centres may devise or customise alternative forms, which must be approved
for use by the external verifier, before they are used by NVQ candidates and assessors at the
centre. City & Guilds also endorses the electronic recording systems Quick Step and Paper Free.

9 The qualification structure and standards
Qualification structure
There are five mandatory units (601-604 and 606) and four optional units (selection from 605 and
607-609) as listed below.
Candidates must complete all five mandatory units plus two (of the four) optional units – a total of
seven units.
QCA/SQA unit ref. City & ENTO unit Unit title

Guilds number
Unit no
Mandatory units
Y/104/0305 601 HSS1 Make sure your own actions reduce
risks to health and safety
D/104/0306 602 HSS2 Develop procedures to safety control

work operations
H/104/0307 603 HSS3 Monitor procedures to safely control

work operations
K/104/0308 604 HSS4 Promote a healthy and safe culture in
the workplace
M/104/0309 606 HSS6 Conduct a health and safety risk
assessment of a workplace
Optional units
H/104/0310 605 HSS5 Investigate and evaluate health and
safety incidents and complaints in the
workplace
K/104/0311 607 HSS7 Make sure your own actions within the
workplace aim to protect the
environment
M/104/0312 608 HSS8 Review health and safety procedures in
workplaces
T/104/0313 609 HSS9 Supervise the health, safety and welfare
of a learner in the workplace
610 HSK1 Basic hazard awareness (knowledge
unit)

10 About the standards
Availability of standards
This document is available in two ways: either as a free downloadable document from the City &
Guilds website, www.cityandguilds.com, or as a ‘print on demand’ document from our Publications
department, for which there is a fee.
City & Guilds publications are available from
Publication Sales
City & Guilds
1 Giltspur Street
London
EC1A 9DD
T +44(0)20 7294 2850
F +44(0)20 7294 2400
Mapping of old standards to new

This NVQ is based on new standards and replaces City & Guilds’ Level 3 NVQs in Occupational
Health and Safety. Centres should use the APEL method to confirm transferability of any existing
evidence to units in the new NVQ structure

HSS1/601 Make sure your own actions reduce risks to
health and safety
This unit is for everyone at work (whether paid, unpaid, full or part-time). It is about having an
appreciation of significant risks in your workplace, knowing how to identify and deal with them.
This unit is about the health and safety responsibilities for everyone in your workplace. It describes
the competences required to make sure that:
• your own actions do not create any health and safety hazards
• you do not ignore significant risks in your workplace
• you take sensible action to put things right, including reporting situations which pose a
danger to people in the workplace and seeking advice.
Fundamental to this unit is an understanding of the terms "hazard", "risk" and “control”.
Performance Criteria:
You must:
Identify the hazards and evaluate the risks in your workplace:
1 identify which workplace instructions are relevant to your job

2 identify those working practices in your job which could harm you or others
3 identify those aspects of your workplace which could harm you or others
4 check which of the potentially harmful working practices and aspects of your workplace
present the highest risks to you or to others
5 deal with hazards in accordance with workplace instructions and legal requirements
6 correctly name and locate the people responsible for health and safety in your workplace
7 report to the people responsible for health and safety in your workplace those hazards
which present the highest risks
Reduce the risks to health and safety in your workplace:
8 carry out your work in accordance with your level of competence, workplace instructions,
suppliers or manufacturers instructions and legal requirements
9 control those health and safety risks within your capability and job responsibilities
10 pass on suggestions for reducing risks to health and safety to the responsible people
11 make sure your behaviour does not endanger the health and safety of you or others in your
workplace
12 follow the workplace instructions and suppliers' or manufacturers' instructions for the safe
use of equipment, materials and products
13 report any differences between workplace instructions and suppliers' or manufacturers'
instructions
14 make sure that your personal presentation and behaviour at work:
a protects the health and safety of you and others

b meets any legal responsibilities
c is in accordance with workplace instructions
15 make sure you follow environmentally-friendly working practices.
Knowledge and Understanding for this Unit

You must know and understand:
1 what “hazards” and “risks” are

2 your responsibilities and legal duties for health and safety in the workplace
3 your responsibilities for health and safety as required by the law covering your job role
4 the hazards which exist in your workplace and the safe working practices which you must
follow
5 the particular health and safety hazards which may be present in your own job and the
precautions you must take
6 the importance of remaining alert to the presence of hazards in the whole workplace
7 the importance of dealing with, or promptly reporting, risks
8 the responsibilities for health and safety in your job description
9 the safe working practices for your own job
10 the responsible people you should report health and safety matters to
11 where and when to get additional health and safety assistance
12 your scope and responsibility for controlling risks
13 workplace instructions for managing risks which you are unable to deal with
14 suppliers’ and manufacturers’ instructions for the safe use of equipment, materials and
products which you must follow
15 the importance of personal presentation in maintaining health and safety in your workplace
16 the importance of personal behaviour in maintaining the health and safety of you and others
17 the risks to the environment which may be present in your workplace and/or in your own
job.

HSS2/602 Develop procedures to safely control work
operations
This unit is for people who are required to prepare health and safety procedures for the workplace.
In order to be sure that all reasonably practicable precautions have been taken against risks to
health and safety it is necessary for an employer to make sure health and safety procedures are
available for everyone at work to follow. This unit is for the person who will prepare the procedures.
This unit is about identifying hazards, assessing the risks and developing procedures to control the
risks. It is also about reviewing these procedures and checking whether they are effective in the
workplace.
You must:
Develop procedures for maintaining a healthy and safe workplace
1 set realistic objectives to maintain a healthy and safe workplace for everyone in workplace
2 develop health and safety procedures based on risk assessment and consultation which
meet legal requirements and are appropriate to:
a the type of work carried out
b the workplace
3. identify individuals to whom people must:
a report incidents
b report health and safety risks
c go to obtain first aid
4. check the effectiveness of the workplace health and safety procedures
5 specify the arrangements for recording health and safety data to meet legal requirements
6 develop plans for health and safety training which are relevant to the needs of your
workplace, the people in the workplace, and meet legal requirements
7 effectively communicate the health and safety procedures to other people in your
workplace in a professional and considerate manner
Review the effectiveness of health and safety procedures in your workplace
8 identify changes in the workplace and legal requirements which affect current workplace
health and safety procedures
9 provide other people with opportunities to give feedback about current health and safety
procedures
10 review all relevant health and safety reports and data to identify opportunities to improve
workplace health and safety procedures
11 identify and obtain further information and advice from reliable and recognised sources of
expertise
12 record accurately:
a the details of any review carried out

b the plans to improve current health and safety procedures
13 report the results of your review to the relevant people
14 alert everyone in the workplace, promptly, to the revised health and safety procedures
15 set effective measures for monitoring the revised health and safety procedures.
Knowledge and Understanding for this Unit

1 the relevant legal responsibilities for health and safety in the workplace as required by
current legislation
2 your responsibilities for health and safety as defined by any specific legislation covering
your job role
3 the importance of remaining alert to the presence of hazards in your workplace
4 the importance of dealing with, or promptly, reporting risks
5 what hazards exist in your workplace
6 the particular health and safety risks which may be present in your own job role and the
precautions to be taken
7 the different types of working practices present in the workplace
8 what would constitute a breach of legal health and safety requirements
9 the job roles of the people for whom you are responsible
10 the work areas and people for whom you are responsible
11 the commonly used working practices
12 the information that may be required about health and safety within the workplace
13 what information may be available on health and safety within the workplace
14 where to find information about changes to legal requirements and in the workplace
15 the specific organisational health and safety instructions covering your job role
16 how to prepare and write effective instructions and procedures
17 appropriate measures for checking different types of health and safety instructions and
procedures
18 appropriate channels of communication and consultation within the workplace
19 ways of conducting an effective health and safety review.

HSS3/603 Monitor procedures to safely control work
operations
This unit is for people with responsibility for checking and co-coordinating healthy and safe work
operations. This person could, for example, be a union or non-union safety representative, a
supervisor, a line manager or team leader.
This unit is about making sure that statutory and workplace instructions are being carried out. It
describes the competences required to make sure that:
• healthy and safe practices are being followed within work areas
• appropriate action is undertaken to control workplace hazards.
You must:
Check that health and safety instructions are followed:
1 keep up to date with health and safety regulations and workplace instructions, making sure
that information is from reliable sources
2 conduct your monitoring of workplaces at agreed intervals and in accordance with
workplace instructions
3 confirm that worker health and safety competence is up-to-date
4 confirm that the health and safety training needs of other people have been identified and
met
5 effectively communicate workplace instructions to other people and obtain feedback from
them
6 respond promptly to any breaches of health and safety instructions in a way which meets
workplace and legal requirements
7 make recommendations for changes to workplace instructions to the responsible people
8 maintain records relating to health and safety matters that
a comply with legal and workplace requirements
b are accessible to those who are authorised to use them
Make sure that risks are controlled safely and effectively:
9 keep accurate and legible records of workplace risks identified or reported to you
10 report the existence of hazards in accordance with workplace health and safety instructions
11 confirm that appropriate precautions to control these risks have been agreed with the
people responsible for health and safety
12 confirm that the precautions are in accordance with legal and workplace health and safety
instructions
13 check that other people are aware of the risks and know the actions to be taken to minimise
them
14 review the operational controls to make sure that workplace hazards are eliminated or
controlled

15 report promptly and accurately any conflicts which still exist between workplace and legal
requirements to the people responsible for health and safety.
Knowledge and Understanding for this Unit:

1 the employers' and employees' main legal responsibilities for health and safety in the
workplace
your job role
3 the scope of your job, your competency and capabilities
4 the work areas and the people for whom you have responsibility
5 the difference between a hazard and a risk
6 the particular health and safety risks which may be present in your own job role and the
precautions to take
7 why you should remain alert to the presence of hazards in the work place
8 why you should promptly deal with or report hazards and risks in the workplace
9 the specific health and safety arrangements covering your job role
10 the health and safety instructions at your workplace
11 how to keep health and safety records
12 effective communication methods
13 effective methods of monitoring other people’s activities and communicating results
14 agreed intervals for monitoring health and safety compliance
15 hazard notices and alerts relevant to your work
16 reliable sources of health and safety information.

HSS4/604 Promote a healthy and safe culture in the
workplace
This unit is for a person who has a responsibility for encouraging others to become aware of the
importance of following health and safety instructions by promoting the benefits of doing so.
This unit is about undertaking the research and planning that is necessary to develop a positive
health and safety culture and involving others through consultation, communication and
presentations. It is also about encouraging a culture where changes, which may impact on health
and safety instructions, are discussed and resolved with the people responsible for health and
safety matters.
You must:
Develop plans to promote a health and safety culture in the workplace
1 accurately identify where improvements and changes may be necessary using current
sources of information available in the workplace
2 find out how information on health and safety instructions and regulations is currently
communicated within the workplace
3 find out the current level of understanding of and support for health and safety instructions
and procedures by people at the workplace
4 base your improvement plans on your findings
5 concisely describe in your plans those resources which are necessary to improve the
current health and safety culture
6 include suitable performance measures and review dates in your plans
Implement plans to promote a health and safety culture in the workplace
7 present your plans for promoting a health and safety culture to the appropriate people in a
clear and effective manner
8 identify those people in the workplace who will require information and advice about the
plans to promote a health and safety culture in the workplace
9 check that relevant information and advice is provided at an appropriate time, level and
pace
10 make sure your plans include promoting the advantages and legal necessities of following
health and safety procedures
11 provide practical opportunities for regular consultation on health and safety issues and
ways of encouraging ideas on good practice
12 regularly monitor the effectiveness of your plans against agreed performance measures
13 identify and review opportunities for further improvements to the health and safety culture
in the workplace.

workplace
your job role
3 how to interpret workplace health and safety data kept at the workplace on risk assessment,
incidents and complaints as an indication of the level of understanding of health and safety
within the workplace
4 the organisation structure and lines of communication
5 workplace instructions for communicating and consulting with colleagues and others in the
workplace
6 what hazards may exist in your workplace
7 the particular health and safety risks which may be present in your own job role
8 the particular health and safety risks which may be present in other job roles
9 the importance of remaining alert to the presence of hazards in the whole work place
10 the importance of dealing with or promptly reporting risks
11 the work areas and job roles where you are reviewing the current working practices
12 workplace requirements for conducting a review of current working practices
13 your own capabilities and the scope of your job role
14 the work areas and people who work there
15 the information needs of those people in the workplace affected by the plans
16 the available information sources on health and safety within the workplace
17 the importance of keeping people regularly informed and discussing their involvement.

HSS5/605 Investigate and evaluate health & safety
incidents and complaints in the workplace
This Unit is for people who are responsible for investigating incidents and complaints involving
health and safety in the workplace, evaluating them and making recommendations as a result of
these investigations.
This unit is about:

• Investigating incidents and health and safety complaints and reporting on the findings of the
investigation in line with statutory and organisational requirements
• Making recommendations for improving health and safety in the workplace.
You must:
Investigate workplace incidents and complaints
1 investigate and report workplace incidents and complaints in accordance with legal and
workplace requirements
2 find and prepare the necessary documentation and support materials before the
investigation begins
3 brief the people involved to make sure they understand the purpose of the investigation and
how it will be conducted
4 provide opportunities to the people involved to clarify any points about the investigation on
which they are unsure
5 gather accurate and comprehensive information from the people involved in a supportive
and sensitive manner
6 check all documentary evidence to identify and review any inconsistencies
7 prepare a report containing the details of incidents and complaints in the required format
and timescale
8 forward the report to people requesting it within the agreed timescale and in accordance
with legal regulations and workplace requirements
Make recommendations as a result of workplace investigations
9 base your recommendations for improving health and safety on an accurate and detailed
analysis of all reports, advice and support material collected during the investigation
10 develop recommendations which comply with
a current working practices
b relevant legislation and workplace health and safety instructions
11 develop recommendations for improving health and safety which are workable and include
measures for review
12 present your recommendations to the appropriate people in an agreed format and
timescale
13 produce realistic and achievable action plans for implementing your recommendations for
change

14 make sure your action plans involve a review process to check implementation of the
recommendations.

workplace
your job role
3 statutory and organisational requirements with regard to the confidentiality of reports
4 the work areas and job roles where you are carrying out the investigation
5 your capabilities and the scope of your job role in regard to investigations
6 effective interviewing techniques
7 workplace requirements for conducting investigations and reporting investigations
8 what hazards may exist in your workplace
10 effective methods of communication particularly in dealing with people at different levels
11 analytical techniques
12 how to write action plans
13 workplace budgets in relation to carrying out an investigation
14 effective presentational techniques
15 the roles of external regulatory and support organisations.

HSS6/606 Conduct a health and safety risk assessment
of a workplace
This Unit is for people carrying out a risk assessments in the workplace. This could be an employer,
line manager, supervisor, safety representative or employee.
This unit is about the competences needed to identify hazards in the workplace, to make
recommendations to control the risk and to review the results.
You must:
Identify hazards in the workplace
1 clearly define why and where the risk assessment will be carried out
2 confirm that all the information available to you on statutory health and safety regulations is
up-to-date and from reliable sources
3 recognise your own limitations and seek expert advice and guidance on operational
controls when appropriate
4 select a method for identifying hazards appropriate to the workplace being assessed
5 make sure your investigation fully identifies those areas in the workplace where hazards
with a potential for serious harm to health and safety are most likely to occur
6 identify hazards which could result in serious harm to people at work or other people
7 record hazards in a way which meets legal, good practice and workplace requirements
8 report the results of the process to the responsible people in an agreed format and
timescale
Assess the workplace and recommend control measures
9 review all legal requirements that are appropriate to your workplace and working practices
to make sure effective control measures are in place
10 confirm that industry standards and all other reasonable precautions are in place
11 identify hazards that could be eliminated
12 for hazards that cannot be eliminated identify the measures needed to control them to
make sure the people carrying out the work will not be harmed
13 assess the level of risk and consider how the risks can be controlled to minimise harm
14 list unacceptable risks in priority order including all breaches of relevant health and safety
legislation and workplace instructions
15 prepare a risk assessment report containing recommendations for minimising risks
16 present the results of the risk assessment to the responsible people in the agreed format
and timescale
Review your workplace assessment of risks
17 compare the latest risk assessment to the current workplace and working practices
18 accurately identify any significant differences between previous and new working practices

19 investigate the action taken as a result of your recommendations
20 accurately identify new hazards arising from changes in the workplace or working practices
21 make changes to your risk assessment in line with the review
22 promptly inform everyone affected by the changes.

1 the responsibilities for risk assessments as required by current legislation

2 your legal responsibilities for health and safety in the workplace as required by the current
legislation
your job role
4 the workplace hazards that are most likely to cause harm to health and safety
5 the importance of remaining alert to the presence of hazards in the work place
6 methods of identifying hazards, including direct observation, examining records, or
interviews
7 the purpose, legal implications and importance of carrying out risk assessments
8 procedures for carrying out a risk assessment
9 the particular health and safety risks which may affect your own job role and the
precautions to be taken
10 the resources required for a risk assessment to take place
11 information sources for risk assessments (eg HSE publications)
12 what to do with the results of the risk assessment
14 your own limitations, job responsibilities and capabilities
15 where to find expert advice and guidance
16 the work areas and people for whom you are carrying out the assessment
17 work activities of the people in the workplace where you are carrying out the risk
assessment
18 effective communication methods.

HSS7/607 Make sure your own actions within the
workplace aim to protect the environment
This unit is for everyone at work - (ie paid, unpaid, full time, part-time). It is about maintaining good
practice in day to day work activities by identifying the risks, minimising the risks and using
resources responsibly.
This unit is about the responsibilities of everyone at work for minimising risks to the environment as
a result of work activities. It describes the competences required to make sure that:
• your own actions do not increase risks to the environment
• you do not ignore significant risks to the environment
• you take sensible action to put things right, including reporting risks, and seeking advice.
You must:
Identify the risks to the environment arising as a result of workplace activities
1 identify the people in the workplace to whom you should report environmental matters
2 make sure you are up-to-date on environmentally-friendly working practices which are
relevant to your workplace
3 identify any current working practices in your job role which could cause harm to the
environment
4 identify any materials, products or equipment used in any part of your job role which could
cause harm to the environment
5 report any differences between legal regulations and workplace instructions and the actual
use of materials or products hazardous to the environment
6 promptly report to the people responsible for environmental matters the hazards which
present high risks
Minimise risks to the environment arising as a result of workplace activities
7 follow the relevant legal requirements and workplace environmental instructions for your
job role
8 within your capability and the scope of your job responsibilities, control the environmental
hazards
9 promptly report risks to the environment that you are unable to deal with
10 pass on any suggestions for limiting risks to the environment to the responsible person
11 follow suppliers’, manufacturers’ and workplace instructions for the safe use and storage of
materials, products and equipment
12 follow the correct instructions for handling materials and products which can be hazardous
to the environment
13 follow the correct instructions for disposing of materials and products which can be
hazardous to the environment.

1 the legislation relating to environmental matters which affect your workplace

2 your responsibilities for the environment as defined by any specific legislation covering your
job role
3 the particular risks to the environment which may be present in your workplace and/or in
your own job role
4 how to use resources and materials effectively and efficiently
5 the importance of remaining alert to the presence of hazards to the environment in the
whole work place
6 the importance of dealing with, or promptly reporting, risks to the environment
7 the substances and processes categorised as hazardous to the environment
8 workplace instructions, precautions and procedures relating to the control of risks to the
environment
9 the responsibilities for items (materials/equipment) which can be hazardous to the
environment detailed in your job description
10 the responsible people to whom to report environmental matters
11 the specific workplace environmental instructions covering your job role
12 suppliers’, manufacturers’ and workplace instructions for the use of equipment, materials
and products which can be hazardous to the environment
13 working practices for your own job role
14 correct handling instructions for materials which can be hazardous to the environment
15 your responsibility for controlling hazards to the environment
16 workplace instructions for handling hazards to the environment which you are unable to
deal with.

HSS8/608 Review health & safety procedures in
workplaces
This unit is for a person required to review health and safety conditions in workplaces other than
their own.
This unit is about:

• Preparing to carry out a review of Health and Safety procedures of a specified workplace to
meet established procedures (laid down by the organisation for which the person
conducting the review works)
• Carrying out a review to check if relevant mandatory health, safety and welfare
requirements are being implemented. Reporting and recording the findings of such reviews
in accordance with agreed procedures.
You must:
Prepare to undertake a review of health and safety in a workplace
1 plan a work schedule for a review of health and safety conditions in accordance with agreed
procedures
2 select methods for the review that are suitable for the workplace to be reviewed
3 obtain authorisation for the review to take place from the person responsible for the
workplace
4 prioritise your activities in the schedule of work to meet the required timescale
5 obtain the necessary resources in time for the review to take place
6 brief other people involved in the review to make sure they understand its purpose and the
process to be undertaken
7 agree the documents and information to be used before conducting the review
Carry out a review of workplace health and safety implementation
8 make sure you wear appropriate clothing, footwear and protective equipment for the
workplace you are reviewing
9 make sure your review covers working practices in the workplace including any areas likely
to need special checking
10 accurately record any differences between the content of previous records and the current
situation
11 identify health and safety hazards, which could result in serious harm to people in the
workplace, from:
a working practices
b the work area
12 in consultation with the responsible person, list in priority order any non-compliance with
health and safety regulations and instructions
13 make recommendations to control the hazards and agree an action plan for improving
health and safety

14 fully record in accordance with established instructions:
a the outcomes of the review of health and safety
b the action plan
15 agree with the responsible people a follow-up plan for monitoring the implementation of
recommendations and corrective action.

workplace
your job role
3 the structure of the organisation and people responsible for health and safety in the
workplace under review
4 effective procedures for carrying out a review of health and safety in workplaces
5 how to select and use personal protective equipment
6 the industry/occupational area in which you are carrying out the review
7 the particular health and safety risks which may be present in people's job roles
8 the importance of knowing the hazards and the risks which may arise in the work place
under review
9 the work areas and the job roles you are planning to review
10 what notice needs to be given before a review takes place
11 resources required to carry out a review
12 effective communication techniques
13 effective interviewing techniques
14 presentational and communication skills
15 recording and reporting procedures
16 how to develop post-review follow-up plans and monitoring measures.

HSS9/609 Supervise the health, safety and welfare of a
learner in the workplace
This Unit is for anyone who has the responsibility for direct supervision of the health, safety and
welfare of a learner in a work environment.
This unit is about:

• Understanding your responsibilities as the supervisor in relation to the learner’s health,
safety and welfare
• Preparing for the learner in relation to health, safety and welfare before he/she begins in the
workplace
• Ensuring that the learner understands his/her responsibilities and what is expected of
him/her in relation to own health and safety and the health and safety of others
• Providing supervision to make sure that the learner follows safe work practices
• Supporting the learner in the workplace to make sure that risks to his/her health and safety
are managed
• Ensuring that legal requirements for health and safety are met.
Fundamental to this Unit is an understanding of:

• the terms “hazard” and “risk”
• the health and safety legislation which applies within their workplace and specifically in
relation to the learner
• the responsibilities of all those involved in the activities of the learner.
You must:
Prepare for and receive a learner in the workplace
1 explain your responsibilities in relation to preparing for and receiving the learner
2 have a clearly defined job role or programme of work activities for the learner
3 have obtained the information available to make an assessment of the suitability of the
workplace for the specific learner
4 identify and report to the responsible person all controls needed to make sure the health
and safety of the learner in the workplace
5 make sure that required work equipment and any personal protective equipment are
available prior to the learner starting work activities, and that the learner understands how
to use them
6 make sure that the learner has been provided with suitable initial health, safety and welfare
information and training in line with health and safety legislation as well as employer’s
requirements
7 make sure that the learner can clearly explain and demonstrate understanding of safe
working practices prior to commencing work activities
8 brief all other people working with, or affecting, the learner in relation to their
responsibilities for the health, safety and welfare of the learner

9 make sure that there is a plan for the effective supervision of the learner including
alternative supervision arrangements to cover your absences, and that the plan is recorded
Supervise, monitor and review the health, safety and welfare of a learner in the
workplace
10 explain your responsibilities in relation to supervising, monitoring and reviewing the health,
safety and welfare of a learner in the workplace
11 make sure that the learner understands and can describe his/her job role and/or
programme of work
12 make sure that the learner knows, understands and follows the required instructions and
safe working practices
13 effectively communicate and provide ongoing information, advice and support to the
learner in relation to safe working practices and organisational instructions
14 make sure that additional training needs of the learner in relation to health, safety and
welfare are identified, recorded and met
15 make sure that information, support and training are provided to the learner and recorded
whenever there are changes in the tasks to be performed, organisational instructions, work
environments or equipment
16 make sure that the learner’s understanding of, and compliance with, health and safety
requirements are reviewed on a regular basis and recorded
17 report to the responsible person any concerns regarding the performance of the learner in
relation to health and safety
18 liaise with other people to support the learner’s training programme and health and safety
practices
19 contribute to the reviews of the learner’s progress, and make sure that the supervision plan
is regularly updated and recorded.

1 the work areas and operational activities intended for, and prohibited to, the learner
2 the work areas, operational activities and responsibilities of you and other people with
whom the learner will come into contact
3 the resources for health and safety learning available to you and the learner
4 the safe working practices and any personal protective equipment to be used by the learner
5 what information is necessary and available to assess the suitability of the workplace for the
learner
6 the information about the learner you are supervising which is necessary and available to
inform the assessment of the suitability of the workplace
7 any specific learning, physical and communication needs/barriers of the learner you are
supervising
8 risk assessments and the implementation of control measures, and in particular those
relating to the learner you are supervising
9 the health, safety and welfare training and support available and required during the
induction of the learner
10 the employer’s instructions and procedures in relation to health, safety and welfare, and in
particular those relating to the learner you are supervising
11 your responsibilities in relation to supervising the learner
12 how to assess the learner’s understanding of his /her job role
13 how to review the learner’s knowledge and understanding in relation to health and safety in
the workplace
14 different communication methods available and when it is appropriate for each to be used

15 how to respond to incidents, development needs and achievements of the learner relating
to health and safety
16 sources of additional training and support available to the learner
17 the other people involved in the learner’s training programme, their roles and
responsibilities
18 the workplace instructions and procedures in relation to health, safety and welfare, and in
particular those relating to the learner you are supervising.

11 Glossary
This section provides explanations and definitions of some of the terms used in this unit.
Control(s)
The means by which the risks identified are eliminated or reduced to acceptable
levels.
Employer
A person, firm, association, organisation, company or corporation employing one
or more workers and has responsibility for the workplace/work activity.
Hazard*
A hazard is something with the potential to cause harm (this can include articles,
substances, plant or machines, methods of work, the working environment and
other aspects of work management).
* Definition taken from: HSE “Management of health and safety at work –

Approved Code of Practice & Guidance”. Reference L21 (ISBN 0-7176-2488-9)
Learner
Any person in a workplace environment and undertaking learning, including those
following a vocational or academic course.
Legislation
There are many Acts of Parliament, Statutory Instructions, Regulations and orders
relating to health and safety which affect people at work.
For example; there are regulations for those who, for example, work with
electricity, or work on construction projects, as well as regulations covering noise
at work, manual handling, working with VDUs, or dealing with substances
hazardous to health, etc.
The Health and Safety at Work Act 1974 is the main piece of legislation under
which nearly all the other regulations are made.
Manager
An individual charged with the responsibility for managing staff, and/or resources
and processes.
Other people
Refers to everyone covered by the Health and Safety at Work Act including:
visitors, members of the public, colleagues, contractors, clients, customers,
patients and students.

Personal presentation
This includes personal hygiene, use of personal protective equipment, clothing and
accessories suitable to the particular workplace.
Risk*
A risk is the likelihood of potential harm from that hazard being realised.
The extent of the risk depends on:
• the likelihood of that harm occurring
• the potential severity of that harm, ie of any resultant
injury or adverse health effect
• the population which might be affected by the hazard, ie
the number of people who might be exposed.
* Definition taken from: HSE “Management of health and safety at work –

Approved Code of Practice & Guidance”. Reference L21 (ISBN 0-7176-2488-9)
Resources
This includes: information, documentation, time, control measures, staff/people,
equipment and support (including specialist assistance).
Responsible person/people
The person or people at work to whom any health, safety and welfare issues or
hazards should be reported. This could be a supervisor, line manager, director or
your employer.
Supervisor
One who controls and or directs the work of others.
Training Provider
An organisation or individual (usually external) responsible for providing the
training, work experience, and/or formal assessment for the learner.
Worker
A person performing services for an employer under a contract of service or an
apprenticeship. Workers include; outworkers, those employed on a casual basis,
in training and volunteers.
Workplace
The single or multiple areas in which you carry out your work.
Working practices
All activities, procedures, use of materials, substances or equipment and working
techniques used in carrying out a work or job related task. This includes
procedures for reporting hazards and unsafe working practices.
Workplace instructions
An organisation’s instructions, method statements, safe systems of work,
guidelines and processes on how to behave and perform tasks in the workplace.
Within these national occupational standards “Workplace instructions” has been

used to include:
Policies
• A statement which directs the present and future decisions of an
organisation.
• It is intended to influence and determine decisions, actions, and other
matters
• Typically, a policy designates a required process or procedure within
an organisation.
• They are often initiated because of some external requirement.
Procedures
• A series of steps following in a regular definite order that implements
a policy.
• A series of steps or instructions, describing a way of doing things.
• A series of steps to be performed in a regular definite order under
specified conditions.
• Documented processes that are used when work affects more than
one function or department of an organisation.
• A series of clearly defined steps (and decisions) that explains or
describes how one goes about completing a task.
This includes the documentation prepared by the employer about the procedures
to be followed for health, safety and welfare matters.
This may be the employer’s safety policy, general health and safety statements
and written safety procedures covering aspects of the workplace that should be
drawn to the attention of employees and that of everyone covered by the Health
and Safety at Work etc. Act 1974 (visitors, members of the public, colleagues,
contractors, clients, customers, patients, students).
Instructions covering, for example:

• the use of safe working methods and equipment
• the safe use of hazardous substances
• smoking, eating, drinking and drugs
• what to do in the event of an emergency
• personal presentation.

Accreditation, national frameworks and qualification level
descriptors
Please visit the following websites to find information on accreditation, national frameworks and
qualification level descriptors in each country.
Nation Who to contact Website
England The Qualifications and Curriculum Authority www.qca.org.uk
Scotland The Scottish Qualifications Authority www.sqa.org.uk
Wales The Department for Education, Lifelong Learning and www.new.wales.gov.uk

Skills Wales
Northern The Council for Curriculum, Examinations and www.ccea.org.uk
Ireland Assessment

Published by City & Guilds
1 Giltspur Street
London
EC1A 9DD
T +44 (0)20 7294 2468
F +44 (0)20 7294 2400
www.cityandguilds.com
City & Guilds is a registered charity

established to promote education
and training
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Level 3 NVQ in Occupational Health

and Safety (3644-30)

City & Guilds Group

City & Guilds

Level 3 NVQ in Occupational Health and Safety (3644-30) 1

2 Level 3 NVQ in Occupational Health and Safety (3644-30)

Level 3 NVQ in Occupational Health and Safety (3644-30) 3

4 Level 3 NVQ in Occupational Health and Safety (3644-30)

About this document

Other sources of essential information

Level 3 NVQ in Occupational Health and Safety (3644-30) 5

Contacting the Standards Setting Body

Name of SSB ENTO

6 Level 3 NVQ in Occupational Health and Safety (3644-30)

Candidate work role requirements

Candidate entry requirements

Level 3 NVQ in Occupational Health and Safety (3644-30) 7

E Occupational Relevant NQF

8 Level 3 NVQ in Occupational Health and Safety (3644-30)

Level 3 NVQ in Occupational Health and Safety (3644-30) 9

Assessment of performance and knowledge in the workplace

External Quality Control: Independent Assessment

The Requirements for Occupational Expertise of Assessors and Verifiers

10 Level 3 NVQ in Occupational Health and Safety (3644-30)

Assessor and Internal Verifier requirements

Assessors must be:

Internal verifiers must be:

External Verifiers must be:

Level 3 NVQ in Occupational Health and Safety (3644-30) 11

Continuous Professional Development requirements

12 Level 3 NVQ in Occupational Health and Safety (3644-30)

Common Evidence Requirements for Health and Safety NVQs

Assessment of performance and knowledge in the workplace

Confidentiality and privacy

Recording forms to use

Level 3 NVQ in Occupational Health and Safety (3644-30) 13

QCA/SQA unit ref. City & ENTO unit Unit title

D/104/0306 602 HSS2 Develop procedures to safety control

H/104/0307 603 HSS3 Monitor procedures to safely control

14 Level 3 NVQ in Occupational Health and Safety (3644-30)

City & Guilds publications are available from

Mapping of old standards to new

Level 3 NVQ in Occupational Health and Safety (3644-30) 15

Identify the hazards and evaluate the risks in your workplace:

1 identify which workplace instructions are relevant to your job

Reduce the risks to health and safety in your workplace:

16 Level 3 NVQ in Occupational Health and Safety (3644-30)

Knowledge and Understanding for this Unit

1 what “hazards” and “risks” are

Level 3 NVQ in Occupational Health and Safety (3644-30) 17

Develop procedures for maintaining a healthy and safe workplace

Review the effectiveness of health and safety procedures in your workplace

18 Level 3 NVQ in Occupational Health and Safety (3644-30)

Knowledge and Understanding for this Unit

Level 3 NVQ in Occupational Health and Safety (3644-30) 19

Check that health and safety instructions are followed:

Make sure that risks are controlled safely and effectively:

20 Level 3 NVQ in Occupational Health and Safety (3644-30)

Knowledge and Understanding for this Unit:

Level 3 NVQ in Occupational Health and Safety (3644-30) 21

Develop plans to promote a health and safety culture in the workplace

Implement plans to promote a health and safety culture in the workplace

22 Level 3 NVQ in Occupational Health and Safety (3644-30)