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Setting standards in health and safety Raising performance through training and competence development direction 08.5 IOSH publishes a two-tier range of free technical guidance. Our guidance literature is designed to support and inform members and motivate and influence health and safety stakeholders. Direct info Brief, focused information on health and safety topics, typically operation- or sector-specific. Direction Strategic corporate guidance on health and safety issues. > Contents Introduction 1 What is competence' 2 Setting competence levels in health and safety 3 Training 4 Who needs training and competence' 5 Competence in health and safety 6 Developing and maintaining competence 7 Conclusion More information Further reading 02 03 04 05 06 08 09 10 11 11 Appendices A The National Qualifications Framework for England B How the different qualification levels relate to each other C The NQF levels for NVQs in England, Wales and Northern Ireland, and SVQs in Scotland D Case study: Competence in health and safety at a nuclear company Acknowledgments 02 > Introduction We’ve produced this guide on competence and training good practice for employers and health and safety professionals. Our aim is to help raise health and safety performance across all levels and sectors of employment by outlining the competences that staff need, and how these can be developed. The guide looks at the standards of training and levels of competence needed by: • directors, managers and supervisors • health and safety representatives • non-supervisory staff • health and safety professionals • other professionals. This guide is intended as an introductory text to health and safety training and competence, with references to further reading and information sources. It is not a definitive guide to the subject. 03 1 What is competence' Competence is about being able to do something effectively and efficiently. It has three main building blocks – knowledge, skills and experience – all of which overlap. Knowledge Knowledge covers familiarity, awareness or understanding gained through experience or study. In health and safety, it includes knowing such things as: • what hazards are • the range of hazards and how they can affect people • the difference between hazards and risks • how to evaluate risks and decide on appropriate controls • key elements of occupational safety and health management systems • how to gather and analyse health and safety data • how health and safety law applies to the workplace. Skills Skills are abilities that have been gained or developed through training or experience. In health and safety, this covers the ability to do practical things such as identify hazards, draft a risk assessment and implement control measures. Personal skills are important too, such as the ability to communicate effectively. Skills support technical competence and help health and safety professionals do their jobs effectively. Experience Experience is the result of a process of observing, encountering or doing something. People gain experience when their knowledge and skills are tested in practice, and learn as a result of their actions. People can also gain experience when they’re supervised by someone who’s already experienced. The experienced person can give the learner feedback and point out mistakes that they can correct more easily. Experiential learning is increasingly part of qualification programmes. This helps learners ‘hone’ their knowledge and skills during their course, and gives them a higher level of competence once they’ve completed it. Competence is also about knowing your limitations and when to call on advice from others who have more knowledge, skills or experience. A way of testing your own competence (and that of others) is to ask three questions: • What could go wrong' • How could this be avoided' • What would I do if things went wrong' 04 2 Setting competence levels in health and safety In terms of knowledge and skills, the National Qualifications Framework (NQF) for England sets out the different levels of qualification needed by various groups. The main categories are: • level 1 – for all employees • level 3 – for supervisors and line managers • level 6 – for specialist advisers • levels 7 and 8 – for senior managers. For more information on the NQF, have a look at Appendix A, page 12. At a non-practitioner or ‘awareness’ level, it’s possible for courses to cover the knowledge and skill content required without necessarily leading to a qualification on the national framework, although employers need to carefully assess the learning outcomes of such in-house or external courses. An example of these are the awareness training programmes certified by IOSH, the largest provider in the field. There are also higher education qualifications awarded by universities and colleges. These are outlined in the frameworks for higher education qualifications (FHEQs). To find out how the different qualification levels across the UK and Ireland relate to each other, have a look at Appendix B, page 13. All UK countries have frameworks and share agreements with each other, although there are some minor differences between the various frameworks. Ofqual regulates the framework in England, in collaboration with other regulators in the UK. While the frameworks for England, Wales and Northern Ireland are very similar, the Scottish framework differs from the others in the level descriptors for vocational qualifications. National Occupational Standards (NOS) describe what an experienced, effective worker does in their job. There are NOS for many different workplace sectors. They all have a similar format, and cover: • key roles – the different areas in which people in the occupation work • unit summary – what the unit is about, who it’s for and explanations of terminology • unit catalogue – the activities that workers have to carry out • performance criteria – what effective workers do and the standards they need to achieve • knowledge requirements – what workers need to know to meet the standards. NOS apply to most jobs and roles, and include sections on health and safety. They set outcomes that workers must demonstrate to show that they have the necessary knowledge and skills. These outcomes set a framework for achievement and improvement that supports many formal training programmes, such as National and Scottish Vocational Qualifications (NVQs/SVQs), apprenticeships, further and higher education courses, and professional development programmes. NOS are developed by Sector Skills Councils and standard-setting bodies, through consultation with practitioners, employers, professional bodies and trade unions. There are also specific NOS for health and safety practice. These are set by ENTO, which is also responsible for setting standards in other areas, such as: • prevention and management of work-related violence • personnel, advice and guidance • coaching and mentoring • learning and development. The NOS for health and safety cover the main areas and key principles of practice that are common to the role of health and safety professionals, regardless of the industry or sector they work in. They include: • promote a positive health and safety culture • develop and implement a health and safety policy • develop and implement effective communication systems for health and safety information • identify and evaluate health and safety hazards • develop and implement health and safety review systems • influence and keep pace with improvements in health and safety practice. For more information on the NOS for health and safety, visit www.ento.co.uk/standards/hands/ index.php. It’s worth bearing in mind that if you have an academic qualification in health and safety – such as one from the higher education sector or nationally accredited awarding bodies such as the National Examination Board in Occupational Safety and Health (NEBOSH) – it doesn’t make you competent to practise health and safety. What it demonstrates is that you’ve carried out a programme of academic work leading to the development of knowledge and some skills, and that they’ve been formally assessed in an examination and/or by some other method. The knowledge you’ve gained can form the basis of competence, as long as you then acquire suitable experience and skills in the workplace. Similarly, if you hold an NVQ/SVQ in occupational health and safety, while this demonstrates competence in the knowledge and skills needed in the workplace setting you took your qualification in, you still have to gain more work experience to become competent. 05 3 Training Training is any activity that leads to skilled behaviour. Training also leads to knowledge and supports competence. The Health and Safety Executive (HSE) defines health and safety training as covering all training and developmental activities that aim to provide workers, safety representatives and managers with: • a greater awareness of health and safety issues • skills in risk assessment and risk management • skills relating to the hazards of particular tasks and occupations • a range of other skills, including those relating to job specification and design, contract management, ergonomics and occupational health. Refresher training can be useful to make sure that people maintain their competence in a specific area. Many occupational safety and health-related courses, such as first aid, passport schemes and fire warden training, have a prescribed frequency for retraining. Retraining may not always be needed, and this is where a basic competence assessment can be useful, for example using a computer-based package for the knowledge element, with refresher training for those who haven’t reached the required standard. It’s important to understand what specific competences are needed over and above those that may be provided by basic awareness training. A ‘training needs analysis’ will help identify any competency gaps, so that training can be tailored to fill them. This is a more professional approach than providing ‘blanket’ training on a topic, which can be unnecessary in some cases. For advice on how to carry out a training needs analysis, see www.cipd.co.uk/subjects/ lrnanddev/needs/ idtlneeds.htm'IsSrchRes=1. Remember that, on its own, attending training isn’t enough. Delegates are often set learning objectives by course providers, and usually have to pass end-of-course assessments to successfully complete a course. More importantly, learning needs to be transferred and applied to the workplace. To assess how successful training has been, managers can agree objectives with staff before they begin a course, for example a reduction in poor safety behaviours. At a suitable point after the course, staff and managers can then evaluate how far the training has helped to meet the objectives. For a background to training evaluation, see www.cipd.co.uk/subjects/ lrnanddev/evaluation/evatrain.htm. It’s also important to be aware of and accommodate any individual requirements that staff might have before they begin training. These might include issues arising from: • dyslexia • mobility difficulties • visual or hearing impairment • mental health conditions • language problems • numeracy or literacy problems. > The regulator’s training strategy The need for competence – and for training and development systems that support competence – is recognised at the highest level in the health and safety sector in the HSE’s ‘Strategy on health and safety training’. The vision of the strategy is: “Everyone at work should be competent to fulfil their roles in controlling risk.” The specific aims of the strategy are to: • raise awareness of the importance of health and safety training • bring about a substantial improvement in the quality and quantity of training • promote an awareness of the importance of competence in controlling risk • influence education providers so that they offer the necessary framework of basic knowledge and skills. The HSE proposes to increase competence by: • encouraging employers and trade unions to recognise the need to provide good quality health and safety training • getting its own and local authority inspectors to assess the competence of workers and managers, and to examine if the training provided by employers is adequate – this forms an important part of inspection, investigation and enforcement activities • setting up partnerships to provide the right quality and quantity of training • influencing other government departments so that they promote training in their areas of responsibility • making sure that all parts of the education system provide a knowledge base on which training can be built. 06 4 Who needs training and competence' Everyone who works needs at least some level of training and competence in health and safety – how much they need depends on their role and responsibilities. The Health and Safety at Work Act and Management of Health and Safety at Work Regulations set out a framework for training and competence. There are also other specific laws that cite competence requirements, for example the Control of Asbestos at Work Regulations and the Provision and Use of Work Equipment Regulations. Young people Risk awareness needs to be an important part of young people’s education and training. The ‘safe learner’ concept, developed by the Learning and Skills Council (LSC) and promoted by colleges and training providers in England, helps integrate health and safety into the curriculum and working life. The ‘safe learner’ is defined as someone who, through the quality of their learning experience: • gains an understanding of the importance of health and safety • understands how hazards are identified, risks are assessed, and control measures work • develops a set of safe behaviours, so that they play an active part in the process and gain practical, transferable skills from their experience. One of the key elements of the safe learner blueprint is a five-stage model. The stages are: • pre-work briefing • induction • progression • the safe learner and worker • lifelong learning in health and safety. The fifth stage emphasises that an individual’s competence in health and safety must be maintained throughout their working life and as circumstances, environments, work and risks change. You can get more information at www.safelearner.info. Employees Every employee should have a basic understanding of health and safety so that they aren’t injured, killed or made ill by work, and so that they can comply with their organisation’s health and safety policy. For this group, courses such as IOSH’s one-day training session, Working safely, cover the basics, focusing on health and safety hazards and risks, and improving performance. For more information, visit www.iosh.co.uk/workingsafely. 07 Supervisors and line managers Supervisors and line managers need to have a much deeper understanding of their health and safety duties than non-supervisory staff. They need to know how health and safety law applies to them and what their organisation’s health and safety policy expects of them. They should be able to apply their management skills in a health and safety context, know about the risks associated with the work they oversee, and be able to manage them on a day-to-day basis. There are a number of courses that can help managers and supervisors handle health and safety in their teams. For example, IOSH’s Managing safely course looks at a range of issues, including identifying hazards, assessing and controlling risks, investigating accidents and measuring performance. To find out more, visit www.iosh.co.uk/managingsafely. Senior managers Senior managers need to know their responsibilities and accountability within the law, especially their duties under the Health and Safety at Work Act and any specific regulations that apply to their sector. They should be able to recognise key health and safety risks related to the work their organisation carries out, understand how these impact on the business, be able to provide leadership, and plan strategically to minimise those risks. Courses for senior managers include IOSH’s Directing safely and Safety for senior executives. Both aim to provide directors and owners of small and medium-sized enterprises with an understanding of the moral, legal and business case for proactive health and safety management, and give guidance on effective risk management. If you want to know more, visit www.iosh.co.uk/directingsafely. Employees’ representatives Although employees’ representatives hold voluntary positions, they need to be competent to fulfil their roles. In recognition of this, they’re allowed by law to take time off for training. This includes training in health and safety, as well as personal communication and negotiation. Suitable health and safety courses for this group include IOSH’s Working safely and Managing safely. Health and safety professionals Health and safety professionals should have a high level of competence. This should be proportionate to the work they do and the type of organisation they work for. They can acquire competence in different ways – including graduate and postgraduate studies, NEBOSH and British Safety Council Awards diploma courses, NVQs/SVQs – and by gaining skills and experience in different roles. Generally, the higher the level of competence that a health and safety professional needs, the longer it will take them to acquire the necessary knowledge, skills and experience. 08 5 Competence in health and safety General competence IOSH is the Chartered body for occupational safety and health practitioners and the guardian of professional standards. Since NOS were first introduced, we’ve taken an active role in their development, and we use them to underpin our membership structure. For example, Graduate Members must have a qualification based on the level 4 standards – which may be a degree, a QCA-accredited qualification or an NVQ/SVQ – while Technician Members need a qualification based on the level 3 standards. In our view, effective health and safety management can only be achieved when employers, employees, employees’ representatives and health and safety professionals work together in partnership. Each of these groups needs a different level of competence so that they can take an active part in managing health and safety and comply with their duties under the law. Competence for specific duties As well as the general levels of competence that employees and managers need to have, there are also specific requirements for particular tasks, and work involving specific hazards. These include: • using certain types of work equipment • driving forklift trucks • handling and disposing of asbestos • working with radiation • advising on the transport of dangerous goods • working with chemicals and other dangerous substances. You can get more information on these and other tasks involving specific hazards in the relevant legislation, approved codes of practice and guidance documents, as well as on the HSE website at www.hse.gov.uk/ aboutus/furtherinfo/policy/outline. htm and through industry and trade associations. 09 6 Developing and maintaining competence As we noted earlier, competence is about having the right amount of knowledge, skills and experience to carry out a task to a set level. These levels may be prescribed by law, by national standards or by best practice. Regardless of how competence is set or developed, employees at all levels need to maintain their competence. Competence has several distinct stages: • unconscious incompetence – when you’re unaware of what you need to do to act in a competent way • conscious incompetence – when you begin training and become aware of what you don’t know • conscious competence – when you’ve completed enough training to complete a task in a competent way and you’re aware of this • unconscious competence – when you carry out tasks in a fully competent way and you’re unaware of this because your behaviour has become habitual. With ‘unconscious competence’, you could continue to perform competently. On the other hand, your performance could deteriorate if you: • unconsciously develop bad habits • don’t keep up to date with best practice • don’t regularly use your skills or knowledge. Your performance could also deteriorate if changes to the business mean you need new competences. Employers need to check both their own competence and that of their employees on a regular basis, to make sure that their organisation’s health and safety performance is at the level they believe it to be. To make sure staff keep their competences up to date, employers need to: • assess their level of competence • produce a development plan that sets out the current position and the desired level • list the development activities that will help staff achieve the desired level. This may involve experience or supervised practice, not just standard training courses. Employers should review development plans on a regular basis. Continuing Professional Development (CPD) is a part of every professional’s working life. For those working in health and safety, IOSH offers its members a structured development plan throughout their career. All IOSH members (other than those in the Affiliate and Retired categories) register for online CPD, recognising that it is a mixture of maintaining and developing technical health and safety skills and associated management skills. CPD activities can take many forms and vary between individual practitioners, depending on their current level of competence and development needs. It is the reflection of what has been gained from activities that is important. For more information, see www.iosh.co.uk/ professional. IOSH also runs an Initial Professional Development (IPD) scheme for all members in the Graduate category. Under IPD, members have to demonstrate that they have enough knowledge, skills and experience before they can progress to Chartered membership. For more information, visit www.iosh.co.uk/ipd. ‘Mentoring’ is an effective way of providing support to professionals who are developing their competence. It can be beneficial at all stages of someone’s career – from helping them choose which qualification to take, to applying for Chartered Fellowship of their professional body. A mentor is an experienced person who is prepared to advise and guide a less experienced person to manage their own learning and develop their career. Mentoring can also be an effective development activity for the mentor, often leading to increased confidence and leadership skills. Using an Open University course, IOSH trains a number of its members to carry out mentoring roles. Where someone has to complete a training course as part of their development of competence, to make sure their knowledge and skills remain at the optimum level, some courses have expiry dates and voluntary or mandatory renewal programmes. For example, first aiders in the workplace have to renew their qualification every three years. Similarly, at IOSH, we recommend that, for some of our courses, learners should take a refresher course three years later. Development plans and appraisal systems can help employers review their staff’s key competences, identify any gaps, and plan activities to renew or add to them. It’s also worth noting that gaps can be revealed after accidents, incidents or near misses in the workplace. In these cases, employers should take immediate action to fill the gap. Employers should encourage all employees to take responsibility for their own competence. And if employees have any concerns about their competence, or suggestions for more development, employers should encourage them to raise them with their manager. Employers must make sure that development plans evolve so that they remain relevant to the work that an employee does. In sectors that have a transitory workforce, some schemes capture information about competence so that it can easily be transferred from one employer to another. These are often known as ‘passport’ schemes. You can get more information on these schemes from industry associations and trade unions. 10 7 Conclusion Effectively defining and managing competence is an essential part of a good health and safety management system. For most employees, requirements for competence in health and safety are integrated in the NOS relevant to their specific job, trade or skill base. For employees who take an active role in the management of health and safety at work – such as employees’ representatives and specialist health and safety advisers – competence should be achieved through the NOS specific to health and safety. The key to defining, achieving and maintaining competence is to take a partnership approach, where each employee understands their role and responsibilities for health and safety at work and the associated competence requirements, and agrees a development plan with their employer that will allow them to achieve their desired level of competence. This process will differ for each employee as well as for each job, task and role. It’s important to work to the established framework and keep the process as clear and simple as possible. Whatever the process, all organisations should aim to make sure every employee achieves a level of competence in health and safety that’s suitable for them. A good competence and development programme will help support an effective health and safety management process. And while competence helps keep employees safe and healthy, organisations benefit too in terms of keeping the cost of absenteeism down – including the associated costs of replacing staff, loss of productivity and profits, and possibly harming the business’s reputation. October 2008 11 > More information You can get more information from the following organisations: Alliance of Sector Skills Councils www.sscalliance.org Chartered Institute of Personnel and Development www.cipd.co.uk/subjects/lrnanddev Department for Innovation, Universities and Skills www.dius.gov.uk ENTO www.ento.co.uk Health and Safety Executive www.hse.gov.uk/aboutus/ furtherinfo/policy/outline.htm Institution of Occupational Safety and Health www.iosh.co.uk/training Ofqual www.ofqual.gov.uk Scottish Qualifications Authority www.sqa.org.uk/sqa/4596.557.html UK Commission for Employment and Skills www.ukces.org.uk Trades Union Congress www.tuc.org.uk > Further reading Essex County Council. Health and safety: competence and capability – code of practice. Human resources department PF/06.23, September 2004. Harvey H N. Training and competence in occupational safety and health. Tolley’s health and safety at work handbook. 18th edition. Croydon: LexisNexis UK, 2007: T700/1–T70/22. Health and Safety Commission. Strategy on health and safety training. LAC 84/3. 2005. Health and Safety Executive. ‘Competent health and safety advice’ webpages. www.hse.gov.uk/ business/competent-advice.htm. Health and Safety Executive. HSE statement to the external providers of health and safety assistance. www.hse.gov.uk/pubns/external providers.pdf. Health and Safety Executive. Human factors briefing note no. 2: competence. www.hse.gov.uk/humanfactors/ comah/02competency.pdf. IOSH. Consultancy – good practice guide: practical guidance on working as a competent health and safety consultant. Wigston: IOSH, 2008. www.iosh.co.uk/files/technical/ Consultancy%20%2D%20good%20 practice%20guide1%2Epdf. IOSH. Getting help with health and safety: practical guidance on working with a consultant. Wigston: IOSH, 2008. www.iosh.co.uk/files/ technical/Getting%20help%20with %20health%20and%20safety1% 2Epdf. Kerrin M, Silverman M and Thomson L. ‘The safe learner’ – exploring the concept. Brighton: Institute for Employment Studies, 2002. www.employmentstudies.co.uk/pdflibrary/1486lsc.pdf. 12 Appendix A – The National Qualifications Framework for England Framework level Entry Level indicators Entry level qualifications recognise basic knowledge and skills, and the ability to apply learning in everyday situations under direct guidance or supervision. Learning at this level involves building basic knowledge and skills and isn’t geared towards specific occupations. Level 1 qualifications recognise basic knowledge and skills, and the ability to apply learning with guidance or supervision. Learning at this level is about activities that mostly relate to everyday situations and may be linked to job competence. Level 2 qualifications recognise the ability to gain a good knowledge and understanding of a subject area of work or study, and to perform varied tasks with some guidance or supervision. Learning at this level involves building knowledge and/or skills in relation to an area of work or a subject area, and is appropriate for many job roles. Level 3 qualifications recognise the ability to gain and, where relevant, apply a range of knowledge, skills and understanding. Learning at this level involves acquiring detailed knowledge and skills. These qualifications are appropriate for people who want to go to university, work independently or, in some areas, supervise and train others in their field of work. Level 4 qualifications recognise specialist learning and involve detailed analysis of a high level of information and knowledge in an area of work or study. Learning at this level is appropriate for people working in technical and professional jobs, and/or managing and developing others. Level 4 qualifications are at a level equivalent to certificates of higher education. Level 5 qualifications recognise the ability to increase the depth of knowledge and understanding of an area of work or study to enable the formulation of solutions and responses to complex problems and situations. Learning at this level involves the demonstration of high levels of knowledge, a high level of work expertise in job roles and competence in managing and training others. These qualifications are appropriate for people working as higher grade technicians, professionals or managers. They are at a level equivalent to intermediate higher education qualifications such as diplomas of higher education, foundation and other degrees that don’t typically provide access to postgraduate programmes. Level 6 qualifications recognise a specialist high-level knowledge of an area of work or study to enable the use of an individual’s own ideas and research in response to complex problems and situations. Learning at this level involves the achievement of a high level of professional knowledge and is appropriate for people working as knowledge-based professionals or in professional management positions. Level 6 qualifications are at a level equivalent to bachelor degrees with honours, graduate certificates and graduate diplomas. Level 7 qualifications recognise highly developed and complex levels of knowledge that enable the development of in-depth and original responses to complicated and unpredictable problems and situations. Learning at this level involves the demonstration of high-level specialist professional knowledge and is appropriate for senior professionals and managers. Level 7 qualifications are equivalent to master’s degrees, postgraduate certificates and postgraduate diplomas. Level 8 qualifications recognise leading experts or practitioners in a particular field. Learning at this level involves the development of new and creative approaches that extend or redefine existing knowledge or professional practice. Level 1 Level 2 Level 3 Level 4 Level 5 Level 6 Level 7 Level 8 Table adapted from www.qca.org.uk/qca_6638.aspx. The frameworks for Wales and Northern Ireland are similar to this. For information on the Scottish framework, visit www.sqa.org.uk/sqa/4595.html. Appendix B – How the different qualification levels relate to each other National Framework of Qualifications for Ireland Level 1 Level 1 certificate Level 2 Level 2 certificate Level 3 Level 3 certificate, Junior certificate National Qualifications Framework for England, Wales and Northern Ireland Scottish Credit and Qualifications Framework Entry level Entry level certificate Access level 1 Access level 2 Access level 3 Foundation standard grade Level 1 Level 1 certificate, NVQ level 1, GCSEs (grades D–G) Level 2 Level 2 certificate or diploma, NVQ level 2, GCSEs (grades A*–C) Level 4 Level 4 certificate, Leaving certificate Level 5 Level 5 certificate, Leaving certificate Level 4 Intermediate 1, General standard grade, SVQ level 1 Level 5 Intermediate 2, Credit standard grade, SVQ level 2 Level 3 Level 3 certificate or diploma, NVQ level 3, ‘A’ levels Level 6 Advanced certificate, Higher certificate Level 6 Higher, SVQ level 3 England, Wales and Northern Ireland framework for higher education qualifications Level C Certificate of higher education Level 4 Level 4 certificate or diploma, NVQ level 4 Level 5 Level 5 certificate or diploma, NVQ level 5, Higher national diploma Level 7 Advanced higher, Higher national certificate, Certificate of higher education Level 8 Higher national diploma, Diploma in higher education, SVQ level 4 Level 7 Ordinary bachelor’s degree Level 9 Ordinary degree, Graduate certificate or diploma Level 10 Honours degree, Graduate certificate or diploma Level 11 Master’s degree, SVQ level 5 Level I Ordinary bachelor’s degree Foundation degrees Diplomas of higher education and other higher diplomas Level 6 Level 6 certificate or diploma, NVQ level 6 Level 7 Level 7 advanced professional diploma, certificate or fellowship, NVQ level 7 Level 8 Specialist diploma from a professional body Level 12 Doctoral degree Level 8 Bachelor’s degree with honours, Higher diploma Level 9 Master’s degree, Postgraduate diploma Level 10 Doctoral degree Level H Bachelor’s degree with honours Graduate certificate or diploma Level M Master’s degree Postgraduate diploma or certificate Level D Doctoral degree 13 Table adapted from www.nfq.ie/nfq/en/frame_action/documents/QualificationsCanCrossBoundaries.pdf. 14 Appendix C – The NQF levels for NVQs in England, Wales, and Northern Ireland, and SVQs in Scotland These definitions of NVQ/SVQ levels provide a general guide and are not intended to be prescriptive. Level 1 Competence that involves the application of knowledge and skills in the performance of a range of work activities, most of which are routine or predictable. Level 2 Competence that involves the application of knowledge and skills in a significant range of work activities, performed in a variety of contexts. Some of the activities are complex or non-routine, and there is some individual responsibility and autonomy. Collaboration with others, perhaps through membership of a work group or team, may often be needed. Level 3 Competence that involves the application of knowledge and skills in a broad range of work activities, performed in a wide variety of contexts, most of which are complex and non-routine. There is considerable responsibility and autonomy, and control or guidance of others is often needed. Level 4 Competence that involves the application of knowledge and skills in a broad range of complex, technical or professional work activities, performed in a wide variety of contexts and with a substantial degree of personal responsibility and autonomy. Often, there is responsibility for the work of others and the allocation of resources. Level 5 Competence that involves the application of skills and a significant range of fundamental principles across a wide and often unpredictable variety of contexts, and substantial personal autonomy. There is often significant responsibility for the work of others, for allocating substantial resources, as well as personal accountability for analysis and diagnosis, design, planning, execution and evaluation. Adapted from www.qca.org.uk/14-19/qualifications/index_nvqs.htm. 15 Appendix D – Case study: Competence in health and safety at a nuclear company These extracts are adapted from a booklet that outlines the role definitions and profiles of safety managers and practitioners at a UK nuclear company, as well as the competence levels that people in each category need to do their jobs. We’ve included only three areas of competence that are listed in the booklet. Role definitions Safety manager Role description To provide advice on the implementation of and improvement in safety performance to facilities or operational units. Role responsibilities Provide authoritative advice on an ad hoc basis and as part of formal systems and structures, such as change control, safety committees, work planning and risk assessments. Manage the provision of safety support and advisory services to the organisation unit, including the appointment of specialists. Advise on implementation of systems, such as incident investigations, auditing, emergency planning, safety training and promoting culture change (eg using behavioural safety methods). Directly contribute to complex assurance (audit) tasks, such as safety cases and analysis. Safety practitioner Role description To provide advice on the implementation of and improvement in safety performance. Role responsibilities Provide advice at the point of work and personally carry out workplace inspections, audits and investigations. Deliver instruction and training in health, safety and related subjects, and facilitate safety improvement and problem resolution with groups and individuals. Generate safety reports, incident and investigation reports, and present information in writing and in formal safety committees. Provide advice across a wide range of safety specialisms within own competence and provide additional subject matter depth in one or more specialism (eg COSHH, electrical safety, asbestos). Role profiles Core competences Assurance function Safety manager Level B Safety practitioner – Level B Level C Interpreting legislation and standards Level D Hazard identification and risk control Level C 16 Assurance function Definition – Knowledge of and ability to manage the major responsibilities, accountabilities, processes and organisation of the assurance (audit) function. Level A Basic understanding • Explains the role and contribution of the assurance function • Describes the major tasks and responsibilities of the assurance function • Identifies the core assurance processes, such as event reporting, measurement and review • Discusses the role of line and operational management in assurance Working experience • Outlines the assurance regulatory context of working with contractors • Describes the major assurance programmes, initiatives and issues currently being addressed • Works with corporate- and directorate-based resources to contribute to assurance objectives • Participates in meetings regarding relevant regulatory considerations and agencies • Implements locally the basic assurance procedures used within the organisation Extensive experience • Contributes to the development and communication of assurance strategies and plans • Participates in defining assurance mission, vision and objectives at a corporate or directorate level • Facilitates assurance-related business process implementation or improvement initiatives • Contributes to the establishment of best practices for assurance, including the use of benchmarking • Improves key relationships and dependencies between assurance specialists and operators • Interacts with external regulators regularly, representing the organisation Subject matter depth and breadth • Leads and architects major assurance projects or process change across the organisation • Integrates assurance processes and activities with other processes such as human resources • Defines financial, staffing and competency requirements for assurance • Promotes and justifies organisational assurance strategies in the broader business context • Initiates communications campaigns to promote awareness of key assurance issues • Analyses, influences and interprets the changing regulatory context for its impact on the organisation B C D Note This competence is about assurance as a professional function and is likely to be applied to all assurance roles as a basic foundation. Level B should relate to junior professionals, level C to senior technical specialists or people who directly manage assurance professionals, and level D to the senior standard setters, typically ‘heads of’ or ‘heads of profession’. 17 Interpreting legislation and standards Definition – Knowledge of and ability to influence and interpret statutory legislation and accepted best practice into standards for the organisation and to advise and guide others on compliance with such standards. Level A Basic understanding • Describes company standards and links with legislation, contract or best practice • Explains the statutory powers of regulators, such as the HSE • States the statutory instruments and authorities relating to an area of law • Describes the relationship and structure of the organisation’s management systems with respect to legislation Working experience • Participates in developing company standards that satisfy legislation, contract or best practice requirements • Advises others in the routine interpretation of company standards • Explains how statutory and enforcement notices work and the obligations on the organisation • Summarises the key features and requirements of a specific statutory instrument • Assesses compliance issues associated with legislation or contractual requirements in routine circumstances Extensive experience • Is a subject expert for translating legislation, contract or best practice into a company standard • Advises others on the interpretation and application of company standards • Recalls pivotal case law examples • Interacts with enforcement agencies on routine matters • Develops pragmatic solutions and advice for compliance in line with business requirements • Evaluates levels of compliance with legislation, contract or best practice at an organisational level Subject matter depth and breadth • Influences the development of legislative or other standards through lobbying and consultation processes • Acts as the principal point of contact for the organisation on a specific legislative or contractual requirement • Elaborates in depth on best practice, contract requirements or case law in a specific area of legislation • Evaluates changes to legislation in terms of organisation impact and risk • Advises the executive on interpretation and compliance issues • Assesses the impact of company standards on business performance B C D Note This competence does not imply someone knows everything about every law. Rather, it is to be applied to experts within a field of legislation – such as employment law, health and safety or environment, finance, property and so on. 18 Hazard identification and risk control Definition – Knowledge of tools, techniques and company requirements for identifying, understanding, quantifying and controlling hazards and risks. Level A Basic understanding • Lists basic concepts of hazard identification, analysis and risk control • Identifies key factors to consider in risk control • Recognises types of risk relevant to the task and work area • Locates company standards and guidance relating to hazard identification and risk control Working experience • Participates effectively in routine hazard identification inspections and audits • Contributes to workplace risk assessments using established methodologies • Describes risk categorisation system and its implications for risk control and facility operations • Explains the concept of ALARP (‘as low as reasonably practicable’) and cites examples of its application • Identifies key risk control and mitigation mechanisms underpinning risk assessments Extensive experience • Works with both routine workplace risk assessment and major hazard assessment approaches • Selects risk assessment techniques appropriate to the need, based on hazard categorisation • Compares risk analyses with standards relating to tolerability of risk • Advises facility users of facility safety case envelope and risk constraints • Monitors standards and implements improvements to risk assessment and control • Evaluates, records and reports on risk control performance Subject matter depth and breadth • Demonstrates experience with designing and implementing various types of risk management processes • Defines policy, strategy and best practices for analysis, measurement and management of risk • Compares and contrasts alternative risk and effectiveness measurement approaches • Stays abreast of industry experiences with new risk analysis, management approaches and tools • Analyses industry-specific and state-of-the-art risk management methods and models • Elaborates on the historical and future perspectives of risk assessment and management • Knowledge of and ability to influence and interpret statutory legislation and accepted best practice into standards for the organisation, and to advise and guide others on compliance with such standards B C D > Acknowledgments The IOSH Technical and Professional Committees would like to thank Gary Booton and Del Basi for their valuable voluntary work on this guide, and everyone else who contributed to it, particularly AWE for its kind permission to reproduce its health and safety competence model. We welcome all comments aimed at improving the quality of our guidance, including details of non-UK references and good practices. Please send your feedback to the Policy and Technical Director, at richard.jones@iosh.co.uk. t +44 (0)116 257 3100 f +44 (0)116 257 3101 www.iosh.co.uk Institution of Occupational Safety and Health Founded 1945 Incorporated by Royal Charter 2003 Registered charity 1096790 image:www.jupiterimages TA/RJ/271008/P IOSH The Grange Highfield Drive Wigston Leicestershire LE18 1NN UK IOSH is Europe’s leading body for health and safety professionals, with over 33,000 members worldwide, including 13,000 Chartered Safety and Health Practitioners. The Institution was founded in 1945 and is an independent, not-for-profit organisation that sets professional standards, supports and develops members and provides authoritative advice and guidance on health and safety issues. IOSH is formally recognised by the ILO as an international non-governmental organisation.