CPD Guidance

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Guide to the Skills Development

Portfolio
Version 6
All portfolios submitted online must follow this guidance
1
IPD and CPD
Initial Professional Development (IPD) is a one-off process that is available only to Graduate
members. It’s the process that takes you from Graduate to Chartered status. Most of IPD is
available online and there are several routes through IPD. Which route you are enrolled on is
governed by the qualification that gave you Graduate membership. Routes that involved an
academic qualification require the completion of a Skills Development Portfolio (SDP), to
demonstrate application of knowledge gained, and this can be completed online.
Whichever route is taken, the final stage of the IPD process is the Peer Review Interview
(PRI).
CPD is your Continuing Professional Development programme. You must do this online
through MyCPD. You must maintain your CPD record throughout your membership of IOSH
in order to retain your membership status and postnominal letters (GradIOSH now and
CMIOSH when you achieve Chartered status).
Members who wish to progress to the PRI will have their CPD audited by IOSH. Graduate
members who have been successful with their Skills Development Portfolio but don’t have a
satisfactory and up to date CPD record won’t be allowed to progress to Peer Review
Interview.
Your registration for IPD lasts for two years, which should be sufficient time to complete the
process. Should you not complete it within this time, you will need to re-register. You are not
required to have been a Graduate member or registered for IPD for any specific length of time
before you can start or complete it. Quite simply, once your portfolio has been approved you
will be able to move to interview provided your CPD is satisfactory, and once you have been
successful at interview you will be recommended for transfer to Chartered Status. So how
quickly you get to Chartered status is largely up to you!
2
Selecting performance criteria
There are five elements in a Skills Development Portfolio, each containing several
performance criteria from which you can choose. You must select 1 performance criterion
from elements 1 to 3, and 2 performance criteria from elements 4 and 5, to address.
e.g.
Element 1 – 1.4
Element 2 – 2.1
Element 3 – 3.3
Element 4 – 4.1 & 4.5
Element 5 – 5.2 & 5.3
These should be the performance criteria that you can most easily demonstrate. The
performance criteria you find easier to cover may not be the same as other Graduate
members but this is exactly why there is a choice in each element.
We recommend that you read through the guidance for each performance criterion, this will
help you to decide whether you’ll be able to cover its requirements. Ideally, your choices will
correlate with work you have already done or are undertaking that could meet the criteria
requirements.
You can change your mind at any time your portfolio is not under assessment, and change a
performance criterion, even if you have partly completed it.
It is best to submit one criterion at a time, have this assessed, review the feedback from the
assessor, make any necessary corrections, have this approved, and then submit another
criterion. That way, if you have misunderstood any general points about submissions, you will
not have to go back and correct all of your seven criteria submissions.
What if I can’t cover the criterion in my current role?
Members who are unable to cover the required 7 performance criterion within the remit of
their current or previous roles have three options:
Firstly they can look for opportunities within their organisation or for clients e.g. if in order to
cover a performance criterion you’re required to demonstrate that you’ve developed or
implemented emergency procedures but that is the role of another department or individual –
then ask if you can develop or implement these procedures on their behalf in order to satisfy
the criterion.
The second alternative is for you to undertake some voluntary/charitable work in order to
cover your outstanding criterion.
The third option is to carry out work for others, perhaps in a part-time consultancy role.
Do bear in mind, though, that if you carry out work involving providing advice/assistance to
people outside your normal employed role, you should make sure that you have suitable
insurance to do so.
Remember this is not about demonstrating that you can cover these criteria within the remit of
your current role. It is about demonstrating that you can cover the criteria in whatever role, to
the level that would be expected of a Chartered Safety Practitioner.
Security Issues and Client confidentiality
If you have confidentially issues within your organisation (or that of your client) then you can
remove any company names and addresses from your evidence – just remember not to
remove yours!
3
Please be aware of the requirements of the Data Protection Act (or similar provision) about
personal information, and redact names or other identification if the information is of a
personal nature (e.g. accident reports), or obtain and demonstrate the permission of the
person concerned to include such details.
If you work for an organisation that requires you to sign the Official Secrets Act, or you need
security clearance to see the documents you’re working on then we’ll need to know, before
you submit any material. We can find you an assessor who has the required level of security
clearance in order to assess your portfolio for us. As soon as you know when you’re going to
submit your portfolio/criteria – let one of our membership development advisors know and
they can start the process of finding someone suitable. If you don’t inform us until your
portfolio is submitted this may result in your progression being held up whilst we find an
assessor, and you may have breached the requirements of the Official Secrets Act or similar
restrictions.
Activity sheets
The activity sheets are for you to provide details of what happened in addressing the
requirements of the criteria, and the evidence that was produced and submitted, broken down
into discrete activities that make up the body of work.
Complete the Activity sheets in the following manner:
Outline and background – a brief explanation of the body of work or project you are
presenting for the criterion, including the reasons for it
Activity column – simply a sequential number given to your activities
Description column - provide some details about what the aim of the activity is, for example,
‘Identify the Key individuals to consult with’.
Dates column – when exactly the activity/event took place (start and end dates)
Outcome column – Explain what happened once your aim was achieved. E.g. ‘I identified
the key individuals to consult and set up a meeting to discuss….’
Evidence column – List your evidence and give it a sequential number or other form of
identification that will enable it to be cross-referenced to the actual evidence uploaded
Upload column – in here will appear the links to the evidence you upload.
4
Reflective accounts
Reflective practice is important for all Chartered members. The IPD scheme supports the
development of the principles of reflective practice by requiring you to submit a reflective
account for each criterion submission as part of your portfolio.
The primary purpose of the reflective account is to enable you to demonstrate your ability to
analyse the personal professional practice you’ve just carried out in order to cover the
criterion, in terms of the outcomes and learnings from the body of work. There is no word limit
for a reflective account (although one that extends to significantly more than two pages is
likely to have drifted off the point, and one that is less than a page is unlikely to cover all the
required aspects).
In your reflective account you should cover observations relevant to your development within
the chosen performance criterion as follows:
• The context and background of the activities you carried out to meet the criterion.
• Your professional objectives
• Your approach and the reasons for it, including interpretation of data
• Details of your completed activities, including where relevant the contribution of others
• The result of the activities and the extent to which your objectives were achieved
• Details of the strengths and weaknesses of the approach you took and learning points for
the future
• Details of any strengths and weaknesses that you have identified within yourself including
details of how you intend to improve these areas if they are important in your role
Don’t repeat all the information from your activity sheets – summarise or reference as
appropriate the information required. If you find it helpful, you can use the bullet points above
as sub-headings in your reflective accounts.
5
Activities and Evidence
You can use activities and evidence from up to two years before the date on which you made
the criterion submission. If you want to use something from prior to this date (within reason)
you will need to review and update it in order to confirm its currency. A second possible
exception is in the case of an ongoing project that commenced prior to two years before the
submission date (again within reason), but includes substantial evidence coming within the
two year period. The general protocol we use is to stop the clock on the age of evidence
when the criterion it is featured in is first submitted for assessment, so that it will not become
unacceptable during the assessment and any re-submission process – within reason. If the
evidence has significantly exceeded the two year limit, but no work has been done on the
submissions for a year or more, we would no longer consider the evidence acceptable if you
subsequently take up the portfolio at a later date, and you would need to submit more up to
date evidence.
You do not need to use evidence from your current role. We are not looking for you to
demonstrate that you can cover the criterion entirely within your current role, but rather that
you can cover it with your current knowledge in whatever role.
If you are a consultant please check with your client that you can use documents before you
base your activities on them. If you intend to use specific templates (e.g. for risk
assessments) produced by others (with the exception of those in the public domain), please
make sure you have permission to use these. If you have evidence containing
personal/sensitive data on individuals, either obtain their express permission to use it, or
remove identifying details before submission, in order to comply with the Data Protection Act.
We do operate a secure environment for submissions and adhere to Data Protection
principles at all times, but this does not remove your responsibility to comply. If there are
commercially or legally sensitive issues within your evidence, please check with your
organisation or client and obtain their permission, and submit evidence of such permission.
For further details please consult the specific guidance provided on confidentiality.
If you submit emails, make sure you identify the recipient’s role – Mr Smith doesn’t mean
anything to the assessor, but Mr Smith (Managing Director) gives a clear indication of who
you are communicating with. Alternatively, provide an organogram or other means of
identifying individuals involved. A similar consideration would apply to minutes of meetings
where attendees are listed.
Evidence of consultation could consist of formal minutes of meetings, but some meetings may
not generate such minutes. In this case, your hand-written contemporaneous notes of the
meeting are acceptable (as long as they are legible), which you should sign to confirm their
authenticity.
Unsuitable Evidence
Your portfolio must be based purely on Health and Safety. If you have aspects of
Environmental, Quality Management or Security in your role this evidence is not generally
suitable, unless it has demonstrable health and safety relevance. You can however use any
development that you complete in these areas as Continuing Professional Development
(CPD).
Blank forms – these generally do not demonstrate the application of your knowledge. The
only instance when blank forms may be relevant is when you are demonstrating a process or
system that you have developed – even then we recommend that you submit a completed
form as well.
Links to websites – linking to a source of information on the internet (such as the HSE
website) generally doesn’t show how you’ve applied your knowledge, unless of course you’ve
written a document that is on the website.
6
Documents produced by others – this portfolio is about demonstrating your application of
your knowledge – not your ability to get others to apply their knowledge. An exception might
be where you have demonstrably reviewed a document produced by others.
Witness statements/testimonials – these can be submitted alongside other evidence but

should not be submitted as stand-alone documents to cover a criterion. One way they could
be used might be if the only way you can prove that something is your own work is through a
testimonial from e.g. your manager; this should be a last resort and other methods of
demonstrating authorship should be used if possible.
Large documents – it is not generally necessary to put in a whole report if you are just
referring to one paragraph, if the rest of the report isn’t relevant. You can submit the front
page, index and your relevant section. On your Activity sheet, simply list it as, ‘an extract
from a report I produced….’, or ‘an extract I produced for …..’. If you do submit a
report/meeting minutes where only a section applies as evidence, you should highlight the
relevant section.
Legal Privilege – any documents that are subject to legal privilege should not be submitted
without express permission of your organisation/client, bearing in mind that submission to
IOSH could well negate such legal privilege, and the document could then be disclosable in
court proceedings.
Plagiarism – submitting evidence that has been copied from other sources, including from
other candidates, and presenting this as your own work is classed as plagiarism. It is
recognised that candidates will occasionally submit documents from other sources (e.g. HSE
guidance documents, other people’s work that is being reviewed). As long as it is clear from
the document itself that it is not being presented as your own work, and you have referenced
the source of it, or used recognised quoting protocols in the case of sections of a document,
then this is acceptable (providing that it only constitutes a very small proportion of your
material). If however you submit evidence or activity text that has been copied from elsewhere
and present this as your own work, then this is plagiarism, and is viewed very seriously by
IOSH. Deliberate or persistent examples of this could result in the disqualification of the
criterion submission or the IPD process overall, and possibly disciplinary action under the
IOSH Code of Conduct. It is important therefore to avoid this, or check with IOSH if unsure.
7
Performance criteria – detailed guidance
The following pages will go through each element and each performance criterion within that
element.
At the start of each criterion, there is the title of the criterion, typically followed by a qualifying
statement providing further detail, and the minimum number of activities and items of
evidence required for that criterion, followed by guidance on the areas to cover. The activities
can be a wide range of tasks/communications/exercises that you go through in the process of
satisfying the criterion, and the evidence will be various forms of documentation that
demonstrate the completion of the activities. Minimum numbers for these are stipulated for
each criterion to set a base level to try and ensure that the criteria are tackled at a suitably
high level and provide the assessors with sufficient material to arrive at a meaningful
assessment of the submission. The online system will not allow you to submit for a criterion if
the minimum number of activities and evidence are not present. Submitting blank evidence
entries or activities to circumvent this control is not acceptable.
For some performance criteria there are a number of ways that you can cover the criterion
and these are detailed as options. Under each option, or for the criterion as a whole, the
guide will tell you what your objectives are and will give you guidance in the form of ‘Areas to
cover’, ‘Key points’ where appropriate, an example activity sheet and other helpful tips. The
example activity sheet is only an example of the activities that you could use to cover this
criterion; you should use activities relevant to your work, but by reading through the examples
given it should help you get a feel for what the criterion is asking for.
If you choose to cover it from a different angle make sure you don’t go off the point.
The guidance on aspects that should be covered in the ‘Areas to cover’ and ‘Key Points’
sections are the minimum that you should aim to cover, but if you have other activities you
wish to list then do so.
Once you have made a start on your portfolio, if you find you are struggling with some
aspects of it then contact the Membership Department to speak to a Membership
Development Advisor. The advisors are not health and safety professionals but will be able to
answer any questions you have about the process. They can also discuss with you the
additional support and resources available and how to access them.
It is recognised that candidates completing this portfolio will come from various backgrounds
and job roles. The criteria guidance is generally phrased on the basis of a health and safety
role in the candidate’s own organisation, or a client’s organisation if a consultant, on the basis
that this will encompass the majority of candidates. However, candidates who are health and
safety directors, enforcement body inspectors, those with a health and safety role in addition
to a main employed role etc, should still be able to identify and apply criteria that they can
complete. Any members who are having difficulty choosing criteria because of their job role
should contact IOSH for advice.
8
The Criteria - Summary
Element 1 – Promoting and developing a positive safety culture in an

organisation, and its integration with other management functions
Performance criteria, select one from:
1.1 Developing or reviewing an organisation’s health and safety strategy

1.2 Engaging individuals and groups in the promotion and development of a positive safety
culture
1.3 Developing and maintaining individual and organisational competence in health and
safety
1.4 Making a presentation at a meeting or seminar
1.5 Identifying and overcoming barriers to an effective health and safety culture
Element 2 – Undertaking work-based projects to develop or implement

positive health and safety policies and processes in an organisation
2.1 Analysing the impact of health and safety requirements on inputs, processes and outputs
2.2 Using goals and performance targets to design and implement positive health and safety
processes
2.3 Identifying or using appropriate management techniques to implement a health and safety
policy
2.4 Engaging individuals and groups in developing and implementing a health and safety
policy
2.5 Developing and implementing an occupational health system in an organisation
Element 3 – Developing or implementing effective communication

systems for health and safety information
3.1 Identifying, evaluating and using sources of health and safety information for
dissemination internally and externally
3.2 Producing publications on health and safety
3.3 Developing and implementing communication systems between different areas of your
organisation or client
3.4 Developing or implementing effective communication with contractors
3.5 Contributing to legal actions
Element 4 – Assessing the health and safety risks of an organisation

Performance criteria, select two from:
4.1 Evaluating risk assessment methodologies

4.2 Carrying out risk assessment activities
4.3 Applying appropriate tools and techniques for measurement or investigation
4.4 Identifying actual and potential loss events and making recommendations
4.5 Assessing human factors and addressing behavioural safety
4.6 Developing or implementing a risk assessment and control strategy
Element 5 – Managing the health and safety risks of an organisation

Performance criteria, select two from:
9
5.1 Developing and applying safe systems of work
5.2 Developing or implementing health and safety active monitoring systems, including
gathering and analysing appropriate data
5.3 Analysing loss events using effective methods of investigation
5.4 Developing or implementing health and safety emergency response systems, contingency
plans and procedures
5.5 Developing and implementing health and safety audit systems and formulating reports
5.6 Reviewing a health and safety management system and making recommendations
10
Element 1 – The promotion and development of a positive safety culture
in an organisation, and its integration with other management functions
1.1 Developing or reviewing an organisation’s health and safety

strategy
You need to demonstrate that you have developed or reviewed the strategy of the
organisation, identifying internal and external factors, and have developed a suitable revised
strategy and implemented this
Minimum activities: 5
Minimum evidence: 6
Areas to cover:
• Identify key internal and external factors impacting on the organisation
• Identify trends and likely future developments in those factors
• Select and use appropriate ways of gathering information
• Consult with appropriate people in the assessment of necessary change
• Develop the strategy to maximise opportunities and minimise obstacles
• Ensure review processes are in place
• Receive feedback and act upon this to revise the strategy
Example activity sheet:
Outline and Background

My organisation was moving into new markets, which highlighted possible deficiencies in our
strategy for addressing health and safety legislation and best practice. It was considered
therefore that the time was right to review and amend our overall strategy. I carried out a
review of the relevant factors, compiled information on what we needed to address, and
consulted with directors and managers to get their input to make sure that what was
developed would be workable and would have their support. I developed the new strategy
and put in place mechanisms for reviewing this periodically.
Activity Description Dates Outcome Evidence Upload

1 Carried out a August Strengths and 1. List of
SWOT analysis of 2016 weaknesses information
my organisation identified to sources used for
inform the data
process of 2. SWOT analysis
developing a of the
new strategy organisation
2 Researched our August Information on 3. Review of our
new markets to 2016 likely trends in new markets
identify likely relation to 4. HSE guidance
trends and health and relating to the
developments safety new markets
implications 5. Report on likely
trends and new
developments
11
3 Consulted with September Feedback from 6. Email to MD
directors and 2016 them, which and his response
managers was valuable 7. Minutes of
in view of their managers
experience, meeting at which
highlighting this was
some issues I discussed
hadn’t thought 8. Amended
of report taking
feedback into
consideration
4 Developed health September Report 9. Strategy report
and safety strategy to October detailing the 10. Emails
2016 new strategy sending report to
consultees and
their responses
5 Developed review October Documented 11. Review policy
process to ensure 2016 review policy, signed by the MD
regular scrutiny of signed by MD 12. Screen shot
the strategy of intranet
against prevailing showing the
market conditions policy as now
accessible
12
1.2 Engaging individuals and groups in the promotion and
development of a positive health and safety culture
Key points
• Make sure you cover both individuals and groups
• Make sure you cover both the promotion and development
Minimum evidence: 6
Areas you should cover in this criterion:

• identifying topic areas, including aims and objectives
• identifying key personnel
• demonstrating how you engaged them
• carrying out activities to develop the health and safety culture
• gathering feedback and explaining your follow up.

In a recent audit, one issue that was identified was the weakness and inconsistency of our
induction process for new employees. We had an employee handbook, but this had not been
reviewed for some years, and important information from this was not consistently brought to
the attention of new employees. I therefore got the names of all new starters, developed a
new induction presentation and reviewed and revised the employee handbook to match this. I
consulted with line managers, gave the presentation to the latest group of new or recently
started employees, and got feedback from them which will enable me to fine tune the
presentation for future use.
1 Contact the HR September List of people 1. Email to HR
department to 2016 to include in asking for new
request the names induction starters’ details
and job titles of activity
new starters for
the month
2 Develop general September Induction 2. Copy of
induction 2016 presentation presentation and
presentation and developed for notes I’ve
booklet for new starters, produced.
attendees and employee 3. Extract from
handbook the health and
reviewed and safety section of
revised. the employee
handbook with
changes marked
where I’ve
reviewed it
13
3 Liaise with October Consultation 4. Email to
Managers of 2016 with managers managers asking
departments to to arrive at a for feedback on
make sure that the useful and the presentation.
presentation pertinent
covers all the main content to the 5. Emails from 3
hazards within in induction managers giving
their areas. feedback.
6. Evidence that
I’ve modified the
presentation in
light of the
feedback.
4 Give presentation October Induction 7. Attendance
2016 presented to sheet from
new presentation
employees
5 Get feedback from October Feedback 8. Copy of some
attendees to 2016 obtained to attendees’
gauge how learn from feedback forms
effective the
presentation was
14
1.3 Developing and maintaining individual and organisational
competence
You need to demonstrate that you have identified training needs in the organisation, have
developed or sourced training needed, and have monitored the success of this training
Minimum evidence: 6
Areas to cover:
• Analyse the functions, activities, tasks and job roles within the organisation
• Identify present health and safety competencies and additional competencies required
• Identify, design or source appropriate training or other development activities
• Provide or supervise the delivery of appropriate training or development
• Obtain feedback on training activities
• Monitor the effectiveness of training or development activities

During a recent management system audit, the auditor picked up that the means by which we
determined training needs and met these needs was quite ad hoc and flawed. As a result,
some employees were compelled to attend training sessions that were not really relevant to
their jobs, whilst others received no training. I thus set out to properly identify training needs
and ensure that the training we provided met those needs in a timely and relevant manner.
Some of the training I carried out, but there were some areas where I sourced specialists to
provide training and instruction. In all cases, feedback from trainees was obtained, and
managers were consulted, to enable me to assess the effectiveness of the training activities.
1 Contacted the HR August I was able to 1. Emails to
department to 2016 assemble a matrix and from HR
obtain job of principal job about job
descriptions for all roles descriptions
types of employees, 2. Emails
and consulted with and
line managers to responses
determine if these from line
job descriptions managers
matched the 3. Section of
demands of the job role
employees’ job matrix (this
roles. was a very
large
document in
total)
2 From analysis of August Second matrix, 4. Matrix of
job roles, identified 2016 showing job roles, job roles and
the health and health and safety training
safety knowledge and required
training/competenci competence
es required required for these
3 Through a gap September Third matrix, 5. Matrix of
analysis, identified 2016 showing training training
what training had received and received and
already been done, training needed required
and what additional through a traffic against job
training was light colour system role
required
15
4 Determined what September Report on training 6. Report on
training I could 2016 required, with training with
carry out, and what proposals on how proposals
training we needed this would be done, 7. Email to
to source externally and identifying MD with
external training report
providers needed 8. Reply from
MD giving
the go ahead
5 Carry out training October Training carried 9. Sheets
and ensure that 2016 out, comprising a showing
external trainers mixture of training attendance
provide specialist done by me and on some
training training carried out training
by external courses
specialists 10. Sample
of one of the
training
slides I used
6 Obtained feedback October Feedback which 11. Sample
to help assess the 2016 enable me to of feedback
effectiveness of the compile a report on sheets from
training provided the training, with trainees
further 12. Emails to
recommendations line
managers
with
responses
13. Formal
report on
training
carried out
16
1.4 Making a presentation at a meeting or seminar
You need to demonstrate that you’ve given a presentation at a meeting or seminar which is
promoting a positive health and safety culture. This should be a discrete presentation, rather
than a complete training course, and must be on an area of health and safety.
Minimum evidence: 5
Areas to cover:
• how you identified the topic area for your presentation
• how you identified your target audience
• what research you did for your presentation
• who you consulted with
• demonstrating the development of the presentation
• demonstrating carrying out the presentation
• how you gained feedback and acted on this

Having commenced employment with my organisation recently, I wanted to identify any
issues that employees might need information on. I carried out a survey to determine the
health and safety culture, which would also show up any areas where employees were
lacking information. After analysing the results of this, I realised that employees were quite
uninformed about manual handling, so I set out to remedy this situation.
1 Identify a topic September I gained an 1. Copy of health
that needs 2016 understanding and safety
promoting within of live health questionnaire I
my organisation and safety developed to gain
issues within an understanding
my of health and
organisation, safety awareness
and from these amongst the
identified the lecturing staff.
most crucial
one that 2. Table showing
needed the results of the
addressing questionnaire.
3. Report
detailing the
findings of the
questionnaire and
the topic areas
that are less well
understood.
17
2 Topic identified September Reviewed, 4. My notes –
(Manual 2016 updated and showing
Handling), expanded my headings and
research for knowledge proposed
information for and content.
presentation understanding
of manual 5. Copy of
handling indg143 Getting
to grips with
manual handling
with my
annotations.
6. Copy of my
reflective
statement from
my CPD record –
detailing what I
have learned.
3 Produce a September Refreshed my 7. Copy of
presentation 2016 knowledge of presentation I
Powerpoint have produced.
4 Carry out October Presented to 8. Email to

presentation and 2016 target Managers
collect feedback audience explaining 2
successfully, options for dates
gained and times of
feedback and presentations –
learned from asking that their
this for future staff book
presentations themselves onto
one of the
options.
9. Attendance
lists
10. Feedback
forms from staff
who attended.
11. Summary of
main points from
feedback and
changes to
presentation in
the light of these
18
1.5 Identifying and overcoming barriers to an effective health and
safety culture.
You need to demonstrate that you’ve experienced barriers whilst promoting or developing a
positive safety culture and that you’ve gone on to overcome them. This is a common area for
health and safety professionals.
Minimum evidence: 7
Typical barriers could be a lack of:

• support from various members of staff or client personnel
• resources
• training
• understanding
• interest
• commitment
You need to give two examples of times when you’ve overcome a potential barrier. In each
case you should cover:
• what you were trying to do to promote or develop a positive safety culture when you
encountered the barrier
• what or who the barrier was
• how you overcame it
• what the final outcome was
Ways in which you could overcome the barriers could include:

• challenging unsupportive members of staff or client personnel
• using existing resources more effectively
• providing suitable training
• explaining what you’re trying to do
• using new approaches and ideas to refresh your approach
• promoting visible safety objectives in organisational change processes
• monitoring and encouraging compliance with agreed improvement plans
• repackaging and re-presenting ideas to try to achieve support
Example activity sheet (one example only)

One of the first jobs I had to do on joining my present employer recently was to carry out an
audit to assess the health and safety culture and practice in the company. The senior
managers had a feeling that all was not well with the quality and degree of implementation of
the health and safety management system, but were unsure where the problems lay, or what
to do about them. After carrying out the audit, I identified several areas where custom and
practice fell far short of complying with legislation and best practice. When I started to try and
remedy this, I encountered considerable resistance from middle managers, and so had to try
various approaches to win them over and achieve improvement.
1 Carried out an August Audit report 1. Audit report
audit to assess the 2016 highlighting 2. Email to
safety culture several areas managers with
within the of poor health report
company and safety
practice
19
2 Considerable September Collated 3. Sample email
resistance and 2016 opinions from response from a
negative opinions managers, and line manager
received from identified a 4. Notes I took at
some line common an informal
managers, which I opposition to meeting with line
analysed to safety managers
assess what the inspections 5. Table of
issues were analysis of issues
3 Managers clearly October Developed a 6. Research
had a negative 2016 presentation notes on
experience of on safety inspections
safety inspections inspections, 7. Presentation
from previous using real life on inspections
advisors, which I examples of 8. Notes I took of
had to counter, when things issues raised by
and I identified an had not been managers who
initial method of an picked up to attended the
open training prevent presentation
session where accidents
feedback was
encouraged
4 Follow up to October Most 9. Notes from a
presentation with 2016 managers meeting with a
individual could see the key line manager
managers on their value of 10. Follow up
concerns inspections, email to
and were managers
willing to take
part
5 Once concerns October Agreement 11. Email to line
and negative 2016 from line managers, with a
impressions of managers to positive response
inspections had carry out from one key
been addressed, simple manager
encouraged inspections, 12. Initial
managers to carry and initial inspection rota
out simple efforts in this 13. Sample
inspections, which regard boded inspection report
I would be present well for the from a line
at to guide and future manager
acknowledge their
efforts
20
Element 2 – Undertaking work-based projects to develop or implement
positive health and safety policies and processes in an organisation
2.1 Analysing the impact of health and safety requirements on inputs,

processes and outputs.
This criterion involves identifying the inputs, processes and outputs of your organisation or
client and then looking at their health and safety requirements. It’s easier to cover if you work
for a manufacturing organisation, or provide consultancy services for one, but with a broad
approach can be applied to most organisations.
Minimum evidence: 5
Areas to cover:
• what the inputs, processes and outputs of your organisation or client are
• whether any of them have health and safety implications and requirements
• what is currently done to ensure that these health and safety requirements are met
• whether there are any areas where these requirements aren’t met
• what you would recommend should be done to meet these requirements
• you should ensure that at least 2 areas of shortfalls are fully detailed in your
recommendations

After a few months of ‘fire-fighting’ health and safety issues, I decided that I needed to go
back to basics and look at what we do and how we have addressed health and safety issues,
or not. I decided that the old HSG 65 model of inputs, processes and outputs would be a good
structure to use, although applying this to my organisation, a service company, was not
always easy.
1 Identify the September Gained better 1. Table I have
inputs, processes 2016 understanding produced
and outputs of my of business by identifying the
organisation. carrying out this inputs,
analysis processes and
outputs.
2 Identify the health September Increased 2. Table
and safety 2016 understanding showing inputs,
requirements of of the health processes and
these identified and safety outputs and the
inputs, processes issues health and
and outputs. associated with safety
the stages of the requirements
business relating to each
processes of these.
3 Identify how my October Collation of 3. Table
organisation has 2016 information on showing as
ensured that health and above and how
these safety the organisation
requirements are management has covered
met. system to these
enable analysis requirements.
of effectiveness
4. 4 policies that
have covered
various
requirements.
21
4 Identify where October Detailed 5. Report I have
there are 2016 analysis of produced
requirements that effectiveness identifying
are not covered and efficiency of requirements
and provide management that we don’t
recommendations system in meet along with
for the Board as addressing how I would
to how this might health and recommend that
be met. safety issues, we can meet
identifying areas these
for action requirements.
6. Copy of my
email of report
to my Director
for comment.
7. Confirmation
that I have put 2
additional
procedures in
place
22
2.2 Using goals and performance targets to design and implement
positive health and safety processes
This criterion asks you to demonstrate that you can identify deficiencies in your organisation’s
health and safety management system or practices, put together a programme in order to
address them, and implement or oversee implementation of this
If you are a consultant, you could apply this criterion to one of your clients, undertaking similar
work for their organisation.
Minimum evidence: 6
Areas to cover:
• identifying deficiencies (in management or implementation) and how you did this
• consulting others
• making recommendations
• putting together a programme for implementing recommendations, including deadlines
and persons responsible for actions
• addressing any recommendations you’re responsible for
• providing an update on implementation of the programme

The scheduled annual audit of the health and safety management system, and its
implementation, was due at the end of the calendar year. I therefore informed the relevant
managers of the audit date, and what information I would require, to give them a chance to
prepare. The audit went generally well, with some fairly minor issues highlighted, and I was
able to compile a programme to address these. One issue that did come to light was
regarding the lack of a detailed fire risk assessment, and this was an issue I needed to
address as the health and safety advisor to the company.
1 Audit the current August I carried out the 1. The completed
safety 2016 audit, which audit checklist
management highlighted some
system to identify deficiencies, 2. The report I
deficiencies. explained in my produced
report. highlighting
deficiencies
2 Analyse the results September I analysed the 3. Report I
of the audit and 2016 results and made produced
where necessary recommendations detailing
make to enable us to recommendations
recommendations meet the in order to meet
for change requirements. I requirements
emailed this including time
report to the frames.
director
responsible for 4. Copy of email I
health and safety sent to my
for comment director for
comment.
23
3 Compile a September Programme for 5. The
programme to 2016 improvement, improvement
address the with people programme
recommendations assigned to
implement this 6. Email of the
and deadlines for programme to the
doing so relevant people
4 Address the September I identified that 7. The fire risk
actions that I am 2016 we have a assessment I
responsible for deficiency with produced.
within the time regard to the
frames agreed RRFSO (2005): 8. Notes from
we don’t have a research into
fire risk types of fire door.
assessment. I
have produced 9. Email to
this and emailed director with
it to the director assessment
for comment. attached.
5 Provide a full October The director has 10. Minutes of
update on the 2016 taken my audit board meeting at
status of the findings to the which the audit
recommendations. quarterly Board findings were
meeting to get discussed.
‘buy in’ from the
top. A health and 11. Report
safety update will showing the
now be on the current status of
agenda of all highlighted
board meetings. actions. All
policies have
been reviewed or
written and most
have been
approved.
24
2.3 Identifying or using management techniques to implement a
health and safety policy
This criterion asks you to demonstrate how you’ve used management techniques to
implement health and safety policies in an organisation. This should involve a whole policy,
not just a policy statement of intent.
Management techniques are methods that you use in order to manage the process that
you’re working on, in this case the implementation of policies, and can include a variety of
methods.
Minimum evidence: 8
Areas to cover:
• where the policy came from (e.g. did your manager develop it? was it developed before
you joined the organisation? did you develop it?)
• whether you were given any information as to how to implement it
• how you planned to implement it
• how you actually implemented it
• whether it worked and any shortcomings
• what feedback you got
• whether the policy is now fully embedded within the organisation
• what follow up processes you have in place
If you are covering this criterion you should cover all these areas, either in your background
on your activity sheet, in your activities and evidence or in your reflective account.
Outline and background

Following an audit of the safety management system of the organisation it was highlighted
that there was a need to formalise the process of completing COSHH risk assessments. The
policy was developed by my Manager and approved by the Board. It has now been passed
over to me to ensure that the managers within each relevant department are aware of this
policy and that it is implemented within each department within a reasonable period of time.

1 Identify key July 2016 Identified the 1. Short report I
people and how key roles, i.e. have produced
best to Managers and
communicate the Technicians
new policy to and the best
each role. technique for
communicating
the changes
and their
implementation.
2 Produce July 2016 Valuable 2. Proposed
implementation experience in implementation
plan planning such plan I produced
an activity
3 Arrange meeting August Communication 3. Email to
with departmental 2016 with key role managers
managers for holders explaining reason
briefing for briefing and
venue.
25
4 Produce August Relevant and 4. Presentation
presentation for 2016 concise slides I produced.
briefing to presentation
Managers pack produced
5 Review feedback September Gained 5. Summary of
from managers 2016 valuable feedback
on proposed feedback that
implementation enabled further 6. Reviewed
process development of implementation
an effective plan.
plan
6 Arrange staff September Other staff 7. Emails
briefings for other 2016 included in showing briefings
roles process of being arranged
implementation and members of
staff being
invited.
7 Amend September Fine tuning of 8. Amended
presentation so it 2016 presentation presentation for
is relevant to the materials for technicians
different roles. target audience
8 Carry out briefing September Other staff 9. Attendance list
and collect 2016 briefed to bring
feedback them on board 10. Summary of
feedback from
attendees
9 Review October Implementation 11. COSHH
implementation 2016 process assessments
process commenced, completed by
ongoing, and technicians using
reviewed for new process.
effectiveness
12. Email to
managers asking
for feedback on
how affective the
implementation
process was –
emails from
managers with
feedback.
13. Summary of
feedback on
implementation.
26
2.4 Engaging individuals and groups in developing and implementing
a health and safety policy
You need to demonstrate that you’ve engaged individuals and groups whilst developing and
implementing positive health and safety policies. This should involve a whole policy, not just a
policy statement of intent.
Minimum Activities: 5
Minimum evidence: 7
Key points:
• make sure you cover both individuals and groups
• you can use a health and safety policy, procedure or process that you’ve developed to
cover this criterion
• try to use a different situation from the ones that you’ve used in other criteria
Areas to cover:
• which individuals you engaged with
• how you did this (e.g. by meetings, emails, presentations, memos)
• which groups you engaged with
• how you did this (e.g. by meetings, emails, presentations, memos)
• how these individuals or groups provided you with feedback
• what feedback you provided to these individuals or groups
• demonstrating your development and implementation of the policy
• how these individuals or groups helped you to implement your policy

On transferring from a sister company to my present employer, I discovered that no-one had
really been tasked with providing health and safety advice for over four years. As a result,
company documentation had either become outdated or irrelevant (or both). Amongst this, the
company did not have an effective health and safety policy, as the one in the files was five
years out of date and was deficient on several levels. I thus determined to develop and
implement an effective policy to give direction to the company (as well as complying with legal
requirements).
1 Develop health August Policy 1. Copy of draft
and safety policy 2016 developed and policy
including consultation on
organisation and it carried out 2. Email to my
arrangements. with my line Manager asking
manager for comment
3. Manager’s
reply with points
to consider
2 Review draft August Policy reviewed 4. Copy of
policy in view of 2016 to incorporate revised policy
manager’s manager’s with changes
comments comments, shown
thereby
encouraging
ownership
27
3 Consult staff September Consultation 5. Agenda for
about health and 2016 with staff on safety
safety policy policy carried committee;
out to bring policy is
them on board provided and
asking for
feedback
6. Feedback
received from
committee
members
4 Review draft October Policy reviewed 7. Copy of
policy in light of 2016 to incorporate revised draft
safety committee changes policy with
members’ suggested by changes shown
comments committee,
again
encouraging
ownership
5 Submit policy to October Finalised policy 8. Board
the board for 2016 submitted for meeting agenda
approval approval showing that the
policy is to be
discussed
9. Minutes of
the meeting
showing that it
was discussed
and approved
6 Communicate October Consideration of 10. Notes from
changes to staff. 2016 implementation meeting with my
aspects manager about
the best way to
implement the
policy and get
staff buy-in
11. Record of
briefing
sessions with
staff and
managers on
policy
responsibilities
7 Implement policy October Start made on 12. Examples of

2016 implementing completed new
the various style accident
aspects of the reports as per
new policy the new policy
13. Attendance
lists at new
briefing
sessions I held
as regards the
new policy
28
2.5 Developing and implementing an occupational health system in
an organisation
You need to demonstrate that you have identified the need for an occupational health system,
including appropriate health surveillance, and have established such a system
Minimum evidence: 7
Areas to cover:
• Identify health risks within the organisation, and people affected
• Identify means of monitoring the effects of health risks including sourcing appropriate
equipment and/or service providers
• Carry out relevant research and consult on initial proposals
• Establish the occupational health service, including specification of health surveillance
• Obtain suitably anonymised results from health surveillance and analyse these
• Report to senior management with appropriate recommendations
Example activity sheet

I asked the HR department for statistics on sickness absence, as it appeared to me that this
was increasing, and I wanted to confirm whether my impression was correct. As is often the
case, my impression that there has been an increase in sickness absence due to stress
wasn’t really borne out by the statistics. However, the statistics did show a slight but
significant increase in sickness due to sprains and strains. I instigated a training programme
on manual handling in response to this issue, but it also appeared to me that we were poor as
an organisation in monitoring the health and welfare of employees, and some of the sickness
absence could likely have been avoided if we had a system to pick up on developing health
issues sooner. I determined therefore to investigate, develop and implement a health
surveillance programme, and gained the support of my director to do this.
1 Research into May 2016 Better 1. HSE guidance
possible health understanding of on my industry
risks associated health risks within sector, with my
with the work the company annotations
carried out by our
employees, using 2. Spreadsheet of
both guidance sickness absence
and historical statistics by
trends revealed cause of absence
by sickness
absence statistics
2 Further research May 2016 Action list for a 3. List of relevant
to identify what range of health health issues with
monitoring could issues for which methods of
be carried out to monitoring could monitoring these
detect signs of be carried out,
employees’ but also 4. List of general
health being concluded that health issues and
affected general types of
monitoring of monitoring
employee health
would also 5. Report to my
contribute to director setting
reducing absence out the results of
my research and
recommendations
29
3 Consult with line May 2016 Valuable 6. Example of
managers and feedback from email trail with a
HR on my consultees, which line manager
proposals to get prompted some
their input and fine tuning of my 7. Email trail with
insight proposals the head of HR
8. My revised
proposal
9. Email to my
director and her
response
4 Investigation of June Reviewed 10. Proposal from
options for 2016 proposals from successful bidder
provision of service providers, (name removed)
health and selected one
surveillance, that would meet 11. Report to my
including a tender our specifications director and his
process for go ahead to order
service provision this
5. Receive October Information 12. Report from
anonymised 2016 available for service provider
results from first review purposes, on first round of
round of health and surveillance
surveillance and recommendations 13. Report to my
review and report on the basis of director with
on this this recommendations
30
Element 3 – Developing or implementing effective communication
systems for health and safety information
3.1 Identifying, evaluating and using sources of health and safety

information for dissemination internally and externally
This criterion asks you to demonstrate your ability to research, source and interpret
information available to you from both inside and outside the organisation. This is an
essential skill for all Chartered Safety and Health Practitioners.
Minimum evidence: 6
Key Point:
Ensure that you demonstrate that you obtain information, and disseminate it both internally
and externally
Areas to cover:
• what external sources of information you use
• what you specifically use them for (e.g. statistics, legislative updates, policy development)
• what documents you’ve produced that demonstrate that you’ve used information from one
of these sources to develop them
• what internal sources of performance measures you use (e.g. accident statistics, key
performance indicators)
• who else receives this information
• which regulatory and external bodies you report health and safety information to (e.g.
RIDDOR)
• what type of information they require and how often

My manager had expressed some concern over the number of subscriptions to information
sources that we have as a company, and the ongoing cost of these. He therefore asked for an
evaluation of these on a departmental basis, looking at the perceived value of them, what
they were used for, and for a report on the outcomes of this review. As the head of the small
health and safety department, it fell to me to carry out the review in my field of activities,
which used a significant amount of subscribed-to and free sources.
1 Identify external September Identification of 1. Table showing
sources of health 2016 the external the sources and
and safety sources of use, with an
information information I evaluation of their
have identified perceived value
and what to the company
information I’ve
extracted from
which source
31
2 Use an external October Policy on 2. HSE guidance
source of 2016 relevant issue on noise at work.
information to as a result of
help develop a the use of 3. My notes on a
policy document information noise control
on noise sources policy with points
sourced from the
HSE guidance
highlighted.
4. Copy of
completed draft
of the noise
control policy with
points sourced
from the HSE
guidance
highlighted.
3 Identify internal September Collation of 5. Table showing
sources of 2016 information on the internal
performance internal performance
measurement performance measurement
information measures information I’ve
identified, with
details of who at
which level of the
organisation
receives it.
4 Identify September Collation of 6. Table showing
regulatory bodies 2016 information on the external
that I report information sent bodies that I
health and safety outside the report health and
information to. organisation safety information
to, including
what, how often
and why it’s
reported.
32
3.2 Producing publications on health and safety
You need to demonstrate that you’ve produced publications designed to communicate health
and safety information. Examples include posters, leaflets, booklets, handbooks, videos and
presentations (discreet presentations, rather than complete training courses). Policy
documents, risk assessments, procedures, health and safety plans or safe systems of work
would not be considered publications in the context of this criterion. Documents may be
produced on paper, or electronically and held on a computer system.
If you are a consultant, you may have produced such publications for a client as part of your
services, and can apply this criterion accordingly.
Minimum evidence: 7
There are two slightly different ways to cover this criterion (although you can use a mixture of
both):
• Option 1 - by using items that you’ve developed in response to specific issues
• Option 2 - by using a regular publication that you produce, such as a newsletter
If you are taking option 1 then you should cover:

• how you identified the specific topics (e.g. through audit, accident data)
• how you identified your target audience
• how you decided what format to use for your communication
• who you consulted
• the publications themselves
• whether your campaign was successful, (did you have any feedback?)
• what you’ve learnt from this campaign
• what plans you have to follow up these publications
• how you plan to keep this information up to date
For option 2 you should cover:

• whether you were instrumental in establishing the newsletter
• exactly what role you play in its publication
• how often it’s published
• who is consulted about it
• whether special editions are produced as part of a campaign
• who receives the newsletter
• examples of the newsletters themselves
• whether there are different versions for different areas of the organisation
• whether you have any ideas for new features in future editions
• how the newsletter is received (do you have any feedback?)
• whether employees can have some input into the newsletter
In both cases you should aim to submit at least two examples of publications that you have
had a major input into. If you have had a small amount of input in a majority of the
publications you should submit at least four examples. The points to cover above should be
addressed between your activity sheet background, your activities and evidence, and your
reflective account, as appropriate.
33
Outline and background

I identified that there is a need to increase awareness of specific health and safety issues
within the organisation, very little having been done to disseminate information prior to my
taking up post. However, I am keen to ensure that such information should be relevant, and
so needs to be focused on live/ongoing issues within the organisation in order to capture
people’s attention.

1 Examine accident May 2016 Analysis 1. Accident data
data to identify any identified the in the form of
trends/ongoing two most graphs and
problem areas significant charts, with most
areas as affected parts of
manual the organisation
handling and highlighted
slips/trips, as
causes of
injury
2 Meet with June 2016 Obtained 2. My handwritten
managers and views on notes of the
staff in affected problems and meetings
areas how best to
provide
information
3 Produce and July 2016 Briefing note 3. My manual
distribute briefing on manual handling briefing
on manual handling note
handling provided to
most affected 4. Distribution list
departments for briefing note
4 Produced and August Briefing note 5. My slips and

distribute slips and 2016 on slips and trips briefing note
trips briefing note trips provided
to most 6. Distribution list
affected for briefing note
departments
5 Obtain feedback August Requested, 7. Email
on the information 2016 and received, requesting
provided feedback from feedback on
departmental briefing notes
managers on
the usefulness 8. Replies
of the briefing commenting on
notes how well received
the notes were
6 Ongoing October Analyse latest 9. Updated
monitoring of 2016 data on these accident data
trends as a result two areas from all parts of
of information the organisation
provided affected
34
3.3 Developing and implementing communication systems between
different areas of your organisation or client
You must demonstrate that you’ve developed and implemented communication systems
between different areas of your organisation, or that of your client.
There are several ways of covering this. One primary way is by developing or implementing
safety committees and appointing safety reps. But if you can provide an example of a
different situation where you’ve been involved in developing communication between different
areas of your organisation, or your client’s organisation if you are a consultant, then you can
use this.
Minimum evidence: 8
Key Points:
• You must demonstrate that there’s a two way flow of communication – this isn’t about
simply cascading information to staff
• The route of communication you use should be ongoing, not temporary
Option 1 – health and safety committees

Areas to cover:
• identify a health and safety representative within each area
• make sure health and safety representatives are aware of their role and responsibilities
• set up a safety committee – identify members
• arrange safety committee meetings
• circulate minutes of meetings, including action points
• demonstrate that you’ve consulted the safety committee on matters which affect
employees’ health and safety
Option 2 – other forms of communication systems

Areas to cover:
• identify the need for a communication system
• identify the people who need to be involved in this system
• research and consult on a suitable system
• demonstrate the communication system arrived at
• demonstrate the operation of the communication system
• review the system and make any necessary changes
35
Option 1 example activity sheet:

As my company grew in size, it was becoming increasingly hard to consult individually with
people, and attempting to do so was taking an inordinate amount of my time. By the Autumn
of last year, with the run up to the busy Christmas period starting, the issue was reaching a
crisis level, and employees were beginning to complain that they had not been consulted or
informed of some health and safety issues affecting them. It was therefore decided that steps
needed to be taken to instigate a health and safety committee to improve the consistency of
consultation whilst making best use of my time.
1 Identify a safety May 2016 Safety reps 1. Organisation
representative identified for all chart to identify
within each area areas to provide areas.
sufficient
representation 2. List of
of staff managers for
each area
3. Email to
managers asking
them to identify a
safety
representative in
their area and to
let me know who
they are.
2 Arrange a May 2016 All safety reps 4. Email to safety
meeting for brought up to representatives
safety speed on their asking them to
representatives roles and come to a
to make sure responsibilities presentation
they’re aware of to enable them
their role to function 5. My
effectively presentation to
them explaining
their role and
rights
6. List of
attendees at the
presentation
3 Identify May 2016 Management 7. Email to my
members of a kept in the loop manager for
safety to enable them comment, listing
committee to contribute to the people who
safety have been
committee appointed to the
safety committee
and their roles
4 Arrange safety June Safety 8. Email to
committee 2016 committee members of the
initiated and safety committee
functioning
9. Agenda for the
first meeting,
36
5 Circulate July 2016 Results of 10. Email to all
minutes of the meetings committee
meeting circulated to all members
interested attaching the
parties including minutes and an
noticeboards action list
6 Demonstrate July 2016 Consultative 11. Feedback
consultation on role of from committee
matters affecting committee members on the
the health and working smoking policy.
safety of staff effectively, staff
involved in 12. Email to
policy safety
formulation representatives
asking for
feedback on the
smoking policy.
7 Demonstrate the October Next meeting of 13. Minutes of the
ongoing nature 2016 the committee second meeting
of the committee held and of the committee
documented
Option 2 example activity sheet

As a result of some minor incidents, it became apparent that there was very little
communication between safety advisors in the various parts of the company. Advisors tended
to operate autonomously and apart from missed opportunities to share best practice, we
seemed to be regularly re-inventing the wheel on safety issues. I therefore decided that we
needed some form of communication/consultation forum to link advisors together, which
would operate regularly and act as an information exchange.
1 Identify the need September Nature of the 1. Email trail
for a 2015 problem discussing an
communication highlighted issue that arose
forum
2. Email trail on
another issue
3. My notes on
the matter
2 Identify who will September A list of 4. My notes on
need to be 2015 intended the required
involved participants in participants
the forum, and
contact details 5. Register of
relevant people
with full details
3 Consult with September There was a 6. Email trail on
intended 2015 unanimous the way to
participants as to view that face proceed
the best way of to face
proceeding meetings at a 7. My notes
central collating
location would responses
be best to
encourage and
support one
another
37
4 Carry out basic October Determined 8. Summary of
research to 2015 the best format guidance
determine the best for the obtained with my
remit and agenda meetings, and annotations
for the forum got feedback
on this 9. Email trail
eliciting feedback
5 Issue document October All participants 10. Forum
setting out the 2015 up to speed on document
forum format and the forum
rules 11. Email setting
out meeting dates
and location
6 Demonstrate the November Forum 12. Minutes of
operation of the 2015 to established first meeting
forum February and
2016 operational 13. Minutes of
second meeting
14. Report on,

and review of, the
forum
38
3.4 Developing or implementing effective communication with
contractors
You need to demonstrate that you’ve effectively communicated with contractors about health
and safety requirements.
Minimum evidence: 8
Areas to cover:
• identify the contractors used by your organisation
• identify what tasks they’re carrying out or could be called in to carry out
• demonstrate that you’ve communicated with them to establish their health and safety
credentials and information/systems
• demonstrate that you’ve told them about your health and safety requirements
• if you’re in a shared building, demonstrate that you’ve communicated with other
occupants who may be affected by your contractors’ work
• demonstrate that you’ve created a plan or can create one that will incorporate both
parties requirements
• demonstrate that the relevant plans are followed and monitored on site

My company contracts out many activities, so I am quite used to setting up and controlling
such contracts from a health and safety perspective. I will use this criterion submission to
demonstrate two very different examples of communicating with contractors.
1 Identify August Collation of 1. Table showing
contractors who 2016 information on all the contractors
are on site and current on site, what
what they’re doing contractors to they’re currently
facilitate doing, how long
control their work is
expected to take
and their main
contact details.
2 Demonstrate August to Collection of 2. Two examples
communication September information of emails to
with contractors to 2016 from contractors
ascertain their contractors to asking for their
health and safety enable method
requirements judgments to statements and
be made on risk assessments
their suitability for their proposed
for the work work.
3. Method
statements and
risk assessments
provided as
requested (with
company names
removed)
39
3 Demonstrate that August to Initial phase of 4. Emails to
the contractors September setting contractors
are aware of our 2016 standards for discussing
health and safety contractors access to the
requirements whilst on site site, the best
times for them to
do their work and
our risk
assessments for
them completing
the task required
in the relevant
area.
4 Create a plan to September Plan set to 5. Emails to a
make sure that 2016 enable work to contractor
everyone’s health be carried out discussing the
and safety in a safe best way to carry
requirements are manner out their work
catered for
6. Summary of
the discussion
and conclusion
on this, which is
then emailed to
the contractor as
the plan for the
work.
5 Demonstrate that October Confirmation 7. Copy of a hot
the plan is used 2016 that the plan is works permit that
on site followed and was authorised
work is carried for this task.
out in a safe
manner 8. Details of
night- time
security provided
for the duration of
this job.
9. Signed-off job
sheet, showing
that the task was
completed to the
standard required
and as the plan
required.
10. Email to my
manager
explaining that
the task went as
planned and met
all safety
requirements
40
3.5 Contributing to legal actions
You need to demonstrate that you have provided assistance and advice to an organisation on
either criminal prosecutions or enforcement action, or on civil claims. In the case of criminal
prosecutions or enforcement action, this criterion could also be addressed by candidates
working for enforcement bodies initiating such prosecutions or enforcement action.
Minimum evidence: 6
Two options ; Criminal or civil actions/liabilities
Option 1: Criminal prosecution or enforcement action by the enforcing authority
Areas to cover:
• Provide response and support for any criminal/enforcement action against the
organisation
• Advise relevant stakeholders of action required in response to criminal/enforcement
action
• Advise on the nature and extent of criminal liability
• Prepare a briefing/report for relevant people including legal agents
Option 2: Civil actions or liabilities
Areas to cover:
• Provide response and support for a civil action against the organisation
• Ensure or assist in collating relevant information
• Review loss event reports or other relevant documentation to report on civil liability
• Advise the claimant or defendant as appropriate of the nature and extent of civil liability
• Ensure that the civil claims process is carried out within the specified procedures and
timescales
Example activity sheet (Option 1):

As a result of a RIDDOR reportable accident where an operative at my organisation was
injured whilst using a lathe, the HSE investigated and unfortunately decided to proceed with a
prosecution having identified several serious issues involving risk assessment, supervision
and guarding. The safety advisor for that part of the business had been on sick leave for
some months, and I was asked to step in to advise and support the management on this
issue.
1 Notification of the September I was able to 1. Confidential
incident and the 2016 get information report from the
HSE’s intention to on the responsible
prosecute sequence of director
events from
the incident to 2. Follow up
the HSE visit email; request for
my involvement
2 Compile relevant September I was able to 3. Document
information on the 2016 assemble all detailing the
incident and HSE the relevant sequence of
prosecution notice information events
and timeline
4. My notes of a
meeting with the
responsible
director
41
3 Provide advice to September I was able to 5. Document on
the responsible 2016 compile an the research I did
director on initial report for
immediate action the 6. My initial report
required responsible
director
4 Research legal October Refreshed and 7. My notes on
situation and 2016 improved my my research
nature and extent knowledge of
of legal liability legal duties
and process
5 Produce a briefing November I was able to 8. Confirmation of
report for the 2016 provide receipt of my
director, and one detailed advice report from the
for our legal on the director (cannot
representatives prosecution, include the report
duties and due to legal
possible privilege)
defences
9. Confirmation of
receipt of my
report from our
legal
representatives
(same restriction
as above)
42
Element 4 – Assessing the health and safety risks of an organisation
4.1 Evaluating risk assessment methodologies

You need to demonstrate your knowledge and understanding of the various hazards in your
workplace and the different ways of identifying and assessing them. Consultants could apply
this criterion to a client organisation they have sufficient knowledge and understanding of.
Initially you’ll need to identify work activities or processes in your organisation on which risk
assessment is carried out. You could present this in a table showing the work activity or
process and the method of risk assessment that is used. Such a tabular format could be
expanded to incorporate many, but not all, of the guidance points below
Minimum evidence: 6
Areas to cover:
• why you use these methods of risk assessment on these work activities or processes
• what other options there are
• what the pros and cons (or advantages and pitfalls) of these methods are
• if there are any legislative, guidance or best practice reasons for carrying out risk
assessment or using any specific methods
• if you have recommended that risk assessment be carried out on specific activities
• what your reasoning behind this was
• if you have recommended that a specific method already in use be carried out in a
different way
• why you made these changes

During a visit by the HSE, the inspector commented on what appeared to him to be an ad hoc
approach to risk assessments, and the danger therefore of missing out an essential risk
assessment. My director was very concerned about this, and tasked me with compiling an
analysis of risk assessments carried on within the company and making recommendations on
the basis of this.
1 Identify work September Collation of 1.Table showing
activities that 2016 information on work activities,
hazard work activities the methods of
identification is and hazards, hazard
currently used increasing identification used
on. understanding and their
of these frequency
2 Explain why September Analysis of 2. A short report I
these particular 2016 identification produced
hazard techniques, explaining why we
identification providing an use particular
methods are opportunity to hazard
used on the evaluate these identification
specific tasks for methods for
mentioned. effectiveness particular tasks
including
explanation of
legal
requirements.
43
3 Provide an September Identification 3. Email to the
example in 2016 of an issue head of the art
which I’ve that had not so department
recommended far been explaining that
that hazard addressed COSHH
identification be assessments
carried out. need to be carried
out on all
substances used
in the sculpture
and pottery
department.
4 Carry out October Increasing 4. COSHH
COSHH 2016 legal assessments I’ve
assessments compliance completed
and
addressing an 5. A hazardous
area of risk to substance
avoid ill health register
6. Guidance notes
for members of
staff in the
department on
what to do if a
new product is
brought into the
department.
44
4.2 Carrying out risk assessment activities
This performance criterion follows on from 4.1 although it isn’t essential to do 4.1 if you intend
to cover this one. If you’re completing both, you may notice a small amount of overlap
between them, depending on the evidence you produced for 4.1.
In order to cover this criterion you need to actually carry out a range of risk assessment
processes and produce suitable documentation.
Minimum evidence: 7
Key Points: risk assessment processes that can be used:
You need to undertake a general risk assessment, and use at least two other different risk
assessment techniques. Some examples of techniques you could use are:
 General risk assessment of a task/process/location
 Specific risk assessments e.g.
o Manual handling assessment
o COSHH assessment
o DSE assessment
o Fire risk assessment
 Fault Tree Analysis
 Event Tree Analysis
 HAZOPs
 HTA
 FMEA
Areas to cover:
• identify the work activities that you’re going to assess and provide some information on
what exactly they involve.
• identify the risk assessment methods that you’re going to use on each work activity.
• carry out the proposed risk assessments. Remember that if you don’t normally do this as
part of your job, this doesn’t mean you don’t need to do this step. Ask the person who
normally does this whether they’d mind if you did a couple of assessments– it’s unlikely
there’ll be a problem!
• produce the necessary documentation, including control methods and recommendations
where applicable.

I recently joined my organisation, and after a short induction period, I carried out an audit to
both review the company’s approach to health and safety, and enable me to gain a better
understanding of its activities. One outcome from this review was that there were several
areas in which risk assessments were either deficient or non-existent. I therefore decided to
carry out these assessments, with the intention of passing these over to line managers to
keep up to date and carry out any further assessments.
1 Identify work September Identification of 1. Details of the
activities to be 2016 work activities for chosen work
used and risk assessment, activities with
assessment increasing background
processes for understanding of information to
the proposed inherent hazards explain what they
activities. involve and what
risk assessment
processes are
currently used.
45
2 Carry out risk September Identification of 2. Risk
assessment 2016 hazards in ‘low assessment I
on risk’ environment carried out,
hairdressing including
department. recommendations.
3 Carry out October Gained further 3. Manual handling
manual 2016 insights into a assessment I
handling department and carried out,
assessment its work including
on brickwork recommendations.
department.
4 Carry out October Identified several 4. COSHH
COSHH 2016 areas of concern assessments I
assessments for action carried out,
in pottery Including
department. recommendations
5 Carry out October Opportunity to 5. ETA I carried
Event Tree 2016 increase out, including a
Analysis on experience in report and
possible gas using an recommendations.
release from assessment tool
Gas Safe
assessment
area.
6 Summarise November Collation of 6. Summary report
findings of 2016 findings and on findings and
assessments recommendations, recommendations
to provide action plan to
action plan focus efforts 7. Email to
manager with
report for
information
46
4.3 Applying tools and techniques for measurement or investigation
You need to demonstrate that you’ve used tools or techniques to measure or analyse risks.
Minimum evidence: 10
Key Points: examples of tools you could use:

• Sound level meter
• Radiometer
• Anemometer
• Smoke tubes
• Gas monitors
• Personal samplers
• Dust lamps
• Temperature meter
• Light meter
• Vibration meter (not automatic types)
• Humidity measurement tool
Key Points: examples of techniques you could use:

• Task analysis
• Fault Tree Analysis (FTA)
• Event Tree Analysis (ETA)
Areas to cover:
• identify the specific risk - this can be through accident reports, audit findings, inspections,
risk assessment etc
• explain which tools or techniques you’re going to use – you, not a third party, must use
them
• demonstrate you’ve carried out the technique or used the tools
• provide feedback, such as a report with recommendations
• communicate your feedback to your manager, director or board for consideration
You will need to cover these areas for two examples, which needs to consist of either two
tools, or one tool and one technique
Example activity sheet (one example only shown):

As part of a recent reorganisation of rooms within my company’s offices, the staff room was
relocated to a room previously used for general storage. Within two weeks, I started to
receive complaints from staff members about the lighting in the room, which was considered
to be inadequate and badly laid out. I therefore undertook to measure and report on this to
identify if and where any improvements were needed.
1 Identify risk February Audit report I’ve 1. Audit report
2016 produced
showing that the
levels of lighting
in the new
staffroom are a
concern -
members of staff
have been
complaining of
headaches and
eyestrain.
47
2 Plan collection February Report showing 2. Report on
of data using a 2016 where the planned readings
light meter planned readings 3. Details of planned
are to be taken consultation
and at what times
of the day, with
and without the
lights on.
Consultation with
staff to establish
the kinds of work
carried out in the
area.
3 Carry out March Light level 4. Plan of staff room

readings using 2016 readings taken in marked with points
a RS-105 Light areas to assess where readings
Meter the extent of the were taken, with a
problem table of readings.
5. Notes from
meetings with
members of staff
4 Summarise March Collation of 6. Report showing
findings 2016 findings to enable the readings and
recommendations descriptions of the
to be made activities carried out
following suitable in each area.
research and
comparison of 7. Details of
results requirements that I
have researched
and
recommendations
for measures
needed to bring the
lighting up to the
required level.
5 Communicate March Communication 8. Email to my
findings to my 2016 of findings to director explaining
director for enable action to what I’ve done and
allocation of be initiated attaching the report.
resources
48
4.4 Identifying actual and potential loss events and making
recommendations
This criterion involves identifying loss events in your organisation and your industry (or that of
your client if you are a consultant). You need to identify examples of loss events, relevant
standards, and carry out comparisons and benchmarking of performance. Loss events can
include accidents resulting in injury or property damage, or even near misses where there
was a demonstrable loss/cost to the organisation. These must be health and safety related
incidents; environmental incidents would not be acceptable.
Minimum evidence: 6
Areas to cover:
• identify loss events in your organisation/client and expand on two specific events relating
to one identified hazard
• identify industry standards as a whole and examples of loss events from the industry for
the hazard identified
• compare your/your client organisation’s loss events with the industry standard
• benchmark your organisation/client against industry performance on such loss events
• summarise the findings of your comparison, including a review of guidance for the
identified hazard
• make recommendations for improvements to address the identified hazard
• make sure relevant employees are aware of your findings and proposed
recommendations

After I had submitted my annual report to the board, on health and safety within the company
they raised concerns over the number of accidents, which appeared to be rising. Despite my
assurances that in all probability the rise was due to improvements in reporting mechanisms, I
was asked to look into this, including identifying where we were falling short on practice, and
how we compared to similar companies.
1 Identify loss September Collation and 1. Copy of my
events in the 2016 analysis of loss spreadsheet
organisation. events in the showing loss
organisation, event details.
enabling trends
to be identified, 2. Table showing
and a relevant loss event data
issue (forklift I’ve put together
truck incidents) to for the
be identified and organisation
highlighted (extract from
larger report I
produced)
3. Table showing
trends of loss
events and
highlighting 2
specific events
involving forklift
trucks (extract
from larger report
I produced)
49
2 Identify industry September Practised 4. Notes from my
standards 2016 research skills research into the
and familiarised industry standard.
myself with
industry data to 5. Extract from a
enable report I produced
comparisons with summarising
my organisation industry loss
to be made event data and
specifically forklift
truck events
3 Comparison September Benchmarking of 6. Extract from a
between the 2016 our performance report I produced
industry standard regarding showing our
and the incidents current level of
organisation involving forklift loss events
trucks to evaluate against the
how well, or not, industry standard.
we are controlling
this risk 7. Further extract
showing the
industry standard
for loss events
involving forklift
trucks and our
current situation.
4 Summarise October Identification of 8. Summary from
findings and 2016 actions needed to report I produced
make improve the including
recommendations current situation recommendations
to reduce risk for working with a
forklift truck.
5 Communicate October Dissemination of 9. Email to my
findings to 2016 findings and manager for
relevant recommendations comment,
employees up and down the attaching report.
organisation to
ensure buy-in at 10. Reply from my
all levels manager
11. Minutes from

the board meeting
showing that my
report was
considered.
12. Newsflash I
produced to go to
all employees
highlighting the
findings of my
research and the
changes that will
be implemented
50
4.5 Assessing human factors and addressing behavioural safety
You need to demonstrate that human factors and associated behavioural safety issues have
been considered as part of risk assessment and task design.
Minimum evidence: 6
Areas to cover:
• where human factors/behavioural safety have led to risks or consequences that weren’t
considered in the initial assessment and planning of the task or process
• what the human factors were
• how you addressed these
• developing a behavioural safety programme, including setting objectives
• implementing a behavioural safety programme
• monitoring the outcomes from the programme, including the achievement of objectives
Key Points: Examples of evidence:

• risk assessments showing the original risks and the new risks when the human factors
become apparent
• accident reports showing human factors as a cause of the risk which ultimately led to the
loss event
• emails, memos and reports showing you’ve identified the human factors involved
• recommendations you’ve made to consider human factors in the assessment and
planning of tasks
• development and implementation of a behavioural safety programme to address the
human factors identified

I identified a developing trend of accidents involving falls at my company. Corrective
measures as a result of investigations had essentially focused on practical precautions
relevant to each incident. However, I analysed all of the accidents to see if there were any
common elements we could address, and identified several human factors that were involved
in most of them. This was therefore an issue for me to address.
1 Identify human April 2016 Amongst the 1. Accident
factors in an causes of the investigation
accident accident, human report with
involving a fall factors were possible human
from height evident and were factors
identified highlighted
2 Review risk April 2016 Examination of the 2. Existing risk
assessment for risk assessment assessment with
task being revealed that the my annotated
carried out human failure notes
identified in the
investigation had 3. Revised risk
not been foreseen assessment
51
3 Analysis of the April 2016 Review of the 4. Report into the
human failure accident and of accident
involved to HSG 48 enabled analysing the
pinpoint cause the human factors human factors,
involved to be and making
pinpointed recommendations
5. Email to my
director, attaching
the report for
comment
6. Reply from
director,
approving report
and proposed
action
4 Develop May 2016 Programme of 7. Summary of
behavioural training and programme
safety interventions developed, with
programme to developed targets for
address implementation
anticipated
human factors
5 Implement the June Initial training of 8. Training
programme 2016 staff carried out presentation
and supervisor
interventions 9. Example
started attendance list
10. Example of
report from
supervisor of
interventions
carried out
6 Review initial August Results analysed 11. My review
phases of 2016 and report
implementation recommendations
of the for further 12. Email of
programme improvement report to director
made
7 Instigate November Record and 13. Provide an
ongoing 2016 maintain example of a
monitoring monitoring results report to my
programme to director
confirm
continued
effectiveness of
interventions
52
4.6 Developing or implementing a risk assessment and control
strategy
If you’ve had a role in which you’ve set up or implemented a risk assessment and control
process, details of this will cover this criterion.
If you feel you’ll struggle to demonstrate how you’ve both developed and implemented a risk
assessment and control strategy, there’s the option to cover one or the other, i.e. how you
developed a risk assessment and control strategy or how you implemented one.
Minimum evidence: 8
If you are covering the development only you should cover:

• how you identified the scope of the strategy
• what arrangements you proposed and what they are based on
• who you consulted to put together your proposal
• any training that might be required
• if you designed any forms for record keeping
• whether you have a process for highlighting any shortcomings in the process
• whether there is a process for review and archiving
If you are only covering the implementation you should cover:

• which methods you used for implementation
• how you identified the key personnel
• how you will monitor how implementation is progressing
• if you have any follow up processes planned
• what training (if any) you needed to organise
If you are covering both development and implementation, you should address the points
from each list. You’ll find that there’s a degree of overlap between the information provided
for the two aspects. If you can cover the implementation and only a little of the development
then you should ensure you do include what you can of the development.
Example activity sheet (development only):

I had been in post in my company for a year, during which time I had continued the risk
assessment programme put in place by my predecessor. As the time for the annual
performance review approached, I felt it was timely to review our risk assessment
programmed to determine if it was still fit for purpose, or what changes we needed to make.
1 Carry out review January Analysis of 1. Report on review
of activities and 2016 current I produced of
risk assessments situation current situation,
in the organisation enabled a with
strategy to be recommendations
developed as
to future
assessment
needs
2 Distribute report January Report 2. Emails to
for comment 2016 disseminated managers
to managers requesting
for feedback comment, report
attached
53
3 Revise proposals February Finalised 3. Strategy I
in light of feedback 2016 strategy, produced, as
detailing issued as final
assessments
required 4. My
recommendations
for training for
assessors and
assessment
recipients
4 Make February Collate plans 5. Training plan
arrangements for 2016 for training,
implementation documentation 6. Assessment
forms
5 Write procedure, February Policy and 7. Policy/procedure
including 2016 procedure document I wrote
corrective action written and
process issued
6 Incorporate March Policy and 8. Screen shots of
documentation 2016 procedure, documentation
into formal and system showing
document process associated relevant
forms, now documents
subject to included
formal review
and archiving
processes
54
Element 5 – Managing the health and safety risks of an organisation
5.1 Developing and applying safe systems of work

This criterion asks you to demonstrate that you’ve identified the need for a safe system of
work (SSoW) and have gone on to develop and implement one. This must be a task-specific
SSoW – not a risk assessment, policy, plan or general guidance.
Minimum evidence: 7
Areas to cover:
• explain how you established that a SSoW was needed
• demonstrate how you used task analysis to develop the SSoW
• identify resource and other practical implications
• explain how you involved others in the process
• demonstrate the development of the SSoW
• outline how you ensured effective implementation, including:
o training
o staff briefing
o competence
• demonstrate how you’ll monitor the effectiveness of the SSOW

Ongoing analysis of accident reports identified a common type of accident occurring in the
operation of the sanding machine. On investigation, the method for instructing employees on
the operation of this machine was found to be somewhat ad hoc and didn’t address all
possible risks I could foresee. I therefore decided that an analysis of the operation of this
machine and what it was used for was called for, from which I could then develop a better
system of work.
1 Identify the August Analysis of 1. Accident reports
need for a 2016 trends and showing the same
SSOW identification of accident occurring
an activity not on three occasions
adequately at the same
documented in sanding machine
terms of a
system of 2. Email to head of
working to department
control risks highlighting this and
recommending the
development of a
SSOW
2 Complete task September Desk top 3. Task analysis
analysis for 2016 exercise to that I completed on
using sanding analyse the using the sanding
machine nature of the machine.
task
3 Meeting with September Consultation 4. Meeting request
operatives to 2016 and involvement and details of what
discuss the of staff to it’s about.
tasks they identify tasks
carry out on and hazards 5. My notes on
the sanding comments from
machine operatives during
the meeting.
55
4 Develop draft September Collation of 6. Draft SSOW that
SSOW 2016 information and I’ve developed,
arriving at including resource
system of work requirements,
to satisfy both document
process and templates and
safety demands monitoring
procedures.
5 Get manager’s October Got buy-in and 7. Email to my
approval for 2016 approval from manager explaining
process management for what I’ve found and
system of work describing my
proposed SSOW
implementation.
8. Email from my
manager approving
this
6 Implement November Instruction of 9. Record of
SSoW with 2016 relevant briefing session
ongoing operatives and with operatives
monitoring of start of
effectiveness equipment 10. Examples of
checks. equipment checks
User feedback
and SSOW 11. First monthly
revision if report on the
required operation of the
SSoW
56
5.2 Developing or implementing health and safety active monitoring
systems, including gathering and analysing the appropriate data
You need to review current active monitoring systems, and then either make
recommendations for improvement or alternatives, or implement alternative active monitoring
techniques. Capturing appropriate data and analysis will be part of these processes.
Minimum evidence: 6
As with other criteria, you can cover this from two angles - either developing or implementing
health and safety active monitoring systems. If possible, it’s best to cover as much of each as
you can as this will result in a stronger submission.
For the development of health and safety active monitoring systems, you should cover:
• identifying the active monitoring systems that are currently in place.
• explaining your recommendations and the reasoning behind them, which can be
supported by data showing the shortfalls of the current system or details of best practice
and benchmarking against other organisations in your industry.
• demonstrating that you’ve developed appropriate documents
• demonstrating that you’ve looked at how to implement your recommendations, including
identifying key roles, what knowledge is required and likely training requirements
For the implementation of health and safety active monitoring systems, you should cover:
• identifying the changes that have been given to you to implement and any background
information about why the changes are being made.
• demonstrating how you plan to implement the changes, including involvement of key
people, timetables and training requirements.
• demonstrating the phases of the implementation, including communication with staff,
training and so on, and providing feedback about how each step went.
• once implementation is complete, produce a report explaining how the implementation
went as a whole, what lessons were learned, whether everything went as planned and
whether all steps been covered
• providing details of proposed reviews of the system and how these will carried out and by
whom, and identifying what data will be used to check that the process is working as
proposed.
In both cases, you need to gather and analyse appropriate data. In the development option, it
may be easier to do this when looking at what’s currently in place to identify any shortfall in
the process, although you’ll need to cover how you expect the data to change after the
proposed changes. In the implementation option, the data analysis will flow nicely on from
implementation as a way of checking that the new process is working as expected; you may
still need data from the initial process in order to make a comparison.
Example activity sheet (development only shown):

There was an established inspection regime in place when I started work at my present
company. I received somewhat irregular reports from this, and as time went on I started to
find issues that weren’t part of the regime, and therefore went unaddressed. It was therefore
timely to review the regime, and any other methods we used to monitor safety compliance, to
see what improvements could be made.
1 Carry out review of January Report on all 1. Copy of report
active monitoring 2016 the active
systems monitoring
methods
currently used
57
2 Analyse the January Analysis using 2. Report on the
effectiveness of 2016 historical data analysis, making
the systems used showing recommendations
improvements for improvement
(if any), any
identifiable 3. Email to
influence on director asking for
accident rates, comment,
and attaching reports
benchmarking
information 4. Reply
with similar approving report
organisations and proposed
actions
3 Develop February New forms and 5. New
appropriate 2016 other documentation
documentation associated
documentation
developed
4 Produce February Plan identifying 6. Implementation
implementation 2016 key roles, plan
plan knowledge
required and
training
requirements
5 Issue plan to March Plan issued 7. Emails to
managers 2016 ready for managers with
implementation plan attached
by target date
6 Following plan June Record and 8. Provide an
implementation 2016 maintain example of the
instigate ongoing results initial results
monitoring
programme to
confirm its
effectiveness
58
5.3 Analysing loss events using effective methods of investigation
You need to demonstrate that you’ve used various methods to investigate a loss event. You’ll
also need to highlight any weaknesses in the methods used and identify the most effective
methods to be used for loss event investigation. Loss events can include accidents resulting
in injury or property damage, and could include near miss events where there is a
demonstrable cost/loss to the organisation. Whatever category is chosen, it must be a health
and safety related event; environmental incidents are not acceptable.
Minimum evidence: 8
Key Points: Examples of loss event investigation methods:

• witness interviews
• speaking to the injured person (if there is one)
• photographs
• measurements
• relevant records, e.g. training, risk assessments, procedures/SSOW
• analysing accident reports
• analysing near miss reports
• analysing incident records
Areas to cover:
• how you heard about the event (e.g. accident report, near miss report, incident report)
• demonstrate that you investigated a loss event
• what you did (e.g. as per the methods mentioned above, and/or using recognised
investigation protocols)
• how you recorded this information
• whether you looked back at any previous reports
• whether you referred to any accident statistics
• whether there were any recommendations made previously in this area that haven’t been
carried out
• what your findings were (e.g. direct, underlying and root causes, contributory factors)
• what your recommendations were

After an extended period of having no significant accidents at my company, and certainly no
lost time, I was informed one morning of a potentially serious incident that had occurred in the
workshop. The employee involved had to be taken to hospital, but was not detained.
However, the potential for a serious injury was quite obvious on receipt of the initial report of
the event. It was therefore crucial to carry out a full investigation of this incident to determine
what lessons could be learned.
1 Obtained accident June Initial details 1. Accident report
report and 2016 confirmed and
contacted site to arrangements 2. Emails
confirm details made to visit site confirming details
to conduct
investigation
2 Visit site and June Site investigation 3. Short form
conduct initial 2016 carried out; investigation
investigation interviews, report
photographs and
measurements
taken
59
3 Review accident July 2016 Identified two 4. Accident
data, trends, similar accidents statistics and
actions previously; action summary,
taken on one but relevant ones
not the other highlighted
4 Analyse July 2016 In-depth analysis 5. My

information from of information to handwritten
current identify notes of exercise
investigation immediate and
underlying
causes
5 Produce July 2016 Detailed 6. Investigation
investigation investigation report
report with report, identifying
findings and all factors, and
recommendations making
recommendations
to prevent
recurrence
6 Disseminate July 2016 Report sent for 7. Email to
report comment and director with
approval report attached
8. Reply
confirming that
report had been
discussed at
board meeting
and approved
60
5.4 Developing or implementing health and safety emergency
response systems, contingency plans and procedures
You need to either demonstrate that you’ve developed emergency response systems,
contingency plans and procedures, or that you’ve implemented them.
Minimum evidence: 8
Again this performance criterion gives you the option of covering either the development or
implementation of emergency response systems. Although you can cover this criterion by
focusing on one aspect, for a strong submission you should aim to cover both areas.
For the development aspect, you should cover:

• developing emergency response systems taking into account where
necessary/appropriate:
o statutory requirements
o injury accidents
o effects of fatalities
o dangerous occurrences
o fires and explosions
o toxic releases
o major disasters
o rescue
o security alerts
o first aid requirements and / or medical provision
o communication on and off site
o employees, visitors, members of the public with disabilities
• demonstrating who you’ve involved in the development of the procedures
• demonstrating you’ve identified potential sources of an emergency situation within your
organisation (or that of your client, if you’re a consultant)
• demonstrating how records of the emergency procedures will be maintained
• demonstrating how the proposed procedures will be tested to ensure that they are both
effective and current
• checking whether there are sufficient resources available – if not making
recommendations for improvement
• establishing effective communication with the emergency services
• making sure that the organisation has an applicable investigation procedure
• demonstrating that there are sufficient records of the emergency procedure available to
key personnel and that staff are aware of what they should do in the event of an
emergency
For the implementation aspect, you should cover:

• reviewing the emergency response system you’ve been asked to implement to check that
it has taken into account where necessary/appropriate:
o statutory requirements
o injury accidents
o effects of fatalities
o dangerous occurrences
o fires and explosions
o toxic releases
o major disasters
o rescue
o security alerts
o first aid requirements and / or medical provision
o communication on and off site
o employees, visitors, members of the public with disabilities
if it doesn’t – you should highlight this and make recommendations
• explaining who you’ve involved in the implementation process
61
• demonstrating that you’ve planned the implementation process and stating what the
various phases or steps are
• making sure that the relevant people are aware of the review, testing and investigation
processes and their involvement in them
• making sure that the required resources have been allocated (including training
requirements)
• demonstrating that there is effective communication with the emergency services
• making sure that employees are aware of their role in an emergency, even if it’s just to
evacuate the premises
• checking the effectiveness of the procedure by review/drills and monitoring
If the procedure doesn’t cover all these areas, but your organisation doesn’t need to, then you
must still demonstrate that you’ve reviewed the document, but in your reflective account you
can explain why your organisation doesn’t need to cover all the issues.
Example activity sheet (development only):

A recent audit from an external body identified that our arrangements to deal with
emergencies were not as robust as they could be, and there was the potential for confusion
amongst staff faced with an event they had little or no experience of, that could occur due to
our increasing diversification of activities. I therefore convened a working party of
representatives from every department to review our arrangements and identify
improvements.
1 Convene a June 2016 Led the working 1. Minutes of
working party to party to consider meeting of
consider an the likely types of working party
emergency emergency, and
response plan for the factors that
the site would need to be
considered
2 Assemble a draft June 2016 Draft emergency 2. Draft plan
emergency plan plan put together
to address
foreseeable
scenarios
3 Disseminate plan July 2016 Plan sent for 3. Emails to
for comment consultation, managers asking
feedback for comment,
received plan attached
4. Replies
received
5. Minutes of
health and safety
committee at
which plan was
discussed
62
4 Review August Report produced 6. Resources
resources 2016 making review report
needed, training recommendations
and testing for improvement 7. Email to
requirements to enable plan to director attaching
be put into action report
8. Reply
received,
confirming that
report had been
discussed at the
board meeting
and actions
approved
5 Liaise with September Contact with 9. Copies of
emergency 2016 emergency written
services services communication
established and with emergency
plan sent for their services
information
6 Disseminate October Copies of plan 10. Controlled
copies of plan to 2016 available to all distribution list for
departments staff plan
63
5.5 Developing and implementing health and safety audit systems
and formulating reports
You need to demonstrate that you’ve developed or implemented an audit system. In both
cases you must use the findings of the audit to produce a report.
As in previous cases in order to make a strong submission you should aim to cover as much
of the development and implementation as possible although it’s still possible to cover this
criterion whilst concentrating on one aspect.
It’s important to make sure that you submit activities and evidence relating to an audit, not an
inspection (the two terms are often confused, but describe different activities)
Minimum evidence: 8
For the development aspect, you should cover:

• defining the nature, scope and frequency of the proposed audit system
• developing the documentation, such as questionnaires and check sheets
• ensuring that the audit is structured in line with recognised standards, guidance or
legislation
• incorporating a recognised protocol for the conduct of the audit
• ensuring that suitably qualified auditors will be used
• developing an audit programme
• agreeing the audit programme with managers and directors
• identifying the roles of people involved in the audit in any way
For the implementation aspect, you should cover:

• demonstrating that you’ve identified the key roles that will be involved in the auditing
process and ensuring that the people concerned are aware of their roles and
responsibilities
• developing an audit programme
• agreeing the audit programme with managers and directors
• identifying any other auditors involved and checking that they’re competent
• ensuring that a recognised audit protocol is used
• ensuring that the audit takes into account recognised standards, guidance or legislation
• ensuring that the audit records significant findings and recommendations
There is some overlap between development and implementation, which can be seen in the
guidance points above.
Whether you cover development or implementation, you must then go on to demonstrate that:
• you have raw data from the audit
• you’ve extracted the data into an organised format
• you’ve produced a report summarising your findings and highlighting any areas of
concerns, along with recommendations
64

As part of the continuing improvements taking place at my organisation, amongst them was a
development of the health and safety management system that I had played a pivotal role in,
we had decided as an organisation to seek certification to recognised standards, to recognise
achievements and send a powerful message of commitment to the workforce. A meeting of
the managers group was set up to discuss this and the next steps needed.
1 Agree nature, June During meeting 1. Minutes of
scope and 2016 with managers managers group
frequency of audit group, it was meeting at which
system agreed that an the issue was
audit against discussed
OHSAS 18001
would be
devised, at
directorate level,
at two-monthly
intervals
2 Develop question July 2016 I developed 2. Sample of
sets question sets question sets
against the
clauses of 18001
for auditors to
use
3 Assemble and July 2016 Proposed audit 3. Proposed
agree an audit programme audit programme
programme devised,
circulated, and 4. Emails to
agreement directorate
reached managers asking
for feedback
5. Replies, some
amendments
needed
4 Ensure auditors July 2016 Confirmed that 6.Copies of
are competent auditors selected auditor training
to assist had at certificates
least the same
level of auditor
training as me
5 Carry out audit July 2016 Audit carried out 7. Example of my
against 18001 completed
using checklists checklist
6 Write audit report July 2016 Data extracted 8. The audit
from checklist report
and formal audit
report written, 9. Email of the
with report to the
recommendations managers group
65
5.6 Reviewing a health and safety management system and making
recommendations
You need to demonstrate that you have reviewed the effectiveness and performance of a
health and safety management system, and made suitable recommendations to address any
deficiencies
Minimum activities:5
Minimum evidence:7
Areas to cover:
• Identify each part of the health and safety management system and identify SMART
targets or performance indicators for these as appropriate
• Define the factors, features and review frequency for each part of the management
system
• Assess the efficiency, performance and cost-effectiveness of the management system
• Advise relevant stakeholders of any changes needed to improve the system
• Assist in the implementation of any necessary changes
• Keep appropriate records of the reviews
Example activity sheet

My health and safety department had been busy over the last year carrying out proactive
measures such as audits, inspections, training and assisting with risk assessments, in
addition to collating information on accidents and incidents. We had thus accumulated a lot of
information. As the year came to a close, I felt it was time to review all of this information, to
see exactly what we had achieved and where we now were. I therefore proposed to my
director that we carry out an end of year management review, which he agreed to.
1 Gain support from September Full support and 1. Email to
the directors for a 2016 commitment from directors
review of health the board proposing the
and safety review
performance
2. Response
from the
responsible
director
2 Identify what October Established the 3. Table of
performance 2016 performance targets and
measures we had measures we performance
already set would use in the measures
review
3 Set up the review October Meeting 4. Email to
meeting 2016 scheduled and required
required attendees
attendees notified
5. Agenda for
the meeting
4 Attend and November Performance 6. Minutes of
contribute to the 2016 reviewed the meeting
review meeting
5 Report on review November Formal report and 7. My report
and make 2016 recommendations,
recommendations targets and 8. Schedule for
objectives for next implementing
year changes
66

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Guide to the Skills Development

All portfolios submitted online must follow this guidance

What if I can’t cover the criterion in my current role?

Security Issues and Client confidentiality

Complete the Activity sheets in the following manner:

Witness statements/testimonials – these can be submitted alongside other evidence but

Element 1 – Promoting and developing a positive safety culture in an

1.1 Developing or reviewing an organisation’s health and safety strategy

Element 2 – Undertaking work-based projects to develop or implement

Element 3 – Developing or implementing effective communication

Element 4 – Assessing the health and safety risks of an organisation

4.1 Evaluating risk assessment methodologies

Element 5 – Managing the health and safety risks of an organisation

1.1 Developing or reviewing an organisation’s health and safety

Example activity sheet:

Outline and Background

Activity Description Dates Outcome Evidence Upload

Areas you should cover in this criterion:

Example activity sheet:

Outline and Background

Example activity sheet:

Outline and Background

Example activity sheet:

Outline and Background

4 Carry out October Presented to 8. Email to

Typical barriers could be a lack of:

Ways in which you could overcome the barriers could include:

Example activity sheet (one example only)

Outline and Background

2.1 Analysing the impact of health and safety requirements on inputs,

Example activity sheet:

Outline and Background

Example activity sheet:

Outline and Background

Example activity sheet:

Outline and background

Activity Description Dates Outcome Evidence Upload

Example activity sheet:

Outline and Background

7 Implement policy October Start made on 12. Examples of

Example activity sheet

Outline and Background

3.1 Identifying, evaluating and using sources of health and safety

Example activity sheet:

Outline and Background

If you are taking option 1 then you should cover:

For option 2 you should cover:

Outline and background

Activity Description Dates Outcome Evidence Upload

4 Produced and August Briefing note 5. My slips and

Option 1 – health and safety committees

Option 2 – other forms of communication systems

Outline and Background

Option 2 example activity sheet

Outline and Background

14. Report on,

Example activity sheet:

Outline and Background

Two options ; Criminal or civil actions/liabilities