Conduct a Health and Safety Risk Assessment of the Workplace
ProQual Level 3 NVQ Certificate in Occupational Health and Safety
Risk assessment is at the heart of effective health and safety management. This mandatory unit of the ProQual Level 3 NVQ Certificate in Occupational Health and Safety focuses on developing the practical skills required to identify hazards, evaluate risks, implement controls and review assessments when workplace conditions change.
Learners completing this unit will demonstrate competence in selecting suitable areas for assessment, conducting risk assessments, prioritising significant risks, communicating findings and keeping assessments up to date.
Unlike traditional classroom-based qualifications, the ProQual Level 3 NVQ Certificate in Occupational Health and Safety is a competency-based qualification assessed through workplace evidence. This means learners demonstrate their ability to apply health and safety knowledge in real workplace situations rather than sitting written examinations.
This unit is particularly relevant for:
Supervisors and Team Leaders
Health and Safety Coordinators
Health and Safety Officers
Site Supervisors
Operations Staff responsible for risk assessments
Individuals progressing towards Technician Membership of IOSH (TechIOSH)
By successfully completing this unit, learners will demonstrate their ability to identify workplace hazards, assess risks, implement suitable controls and keep risk assessments current and effective.
What Does This Unit Mean?
This unit is about identifying workplace hazards, assessing the risks they present and implementing suitable controls to reduce the likelihood of harm.
The unit requires learners to prepare for risk assessments, identify hazards, evaluate risks, determine suitable control measures and review assessments when workplace conditions change.
In simple terms, this unit is asking:
“Can you identify workplace hazards, assess the risks they create and ensure suitable controls are implemented to protect people?”
What Competence Does This Unit Require?
You are expected to demonstrate that you can:
Select suitable areas for risk assessment.
Identify workplace hazards.
Choose appropriate hazard identification methods.
Conduct workplace risk assessments.
Evaluate the level of risk.
Identify and implement suitable control measures.
Prioritise significant risks.
Record findings and recommendations.
Communicate risk assessment findings.
Review risk assessments when workplace conditions change.
Update risk assessments and communicate changes.
The focus is not on completing a risk assessment form.
The focus is on demonstrating that you can identify hazards, assess risks, implement controls and keep risk assessments up to date.
Evidence Requirements: Unit 06
How do you evaluate the workplace and decide which areas need risk assessment?
Maps to AC 1.1
Evidence Examples:
A workplace evaluation record, site survey, work activity list, assessment schedule or scoping document showing the areas selected for risk assessment.
Evidence showing why those areas were chosen, such as work activity records, incident history or previous assessment findings.
How do you select a suitable method for identifying hazards?
Maps to AC 1.2
Evidence Examples:
A risk assessment plan, methodology record or completed assessment showing the hazard identification method used, such as direct observation, workplace inspection, examining records or interviewing workers.
Evidence showing the method was appropriate to the workplace being assessed and in line with legal requirements.
How do you record and list the hazards you identify?
Maps to AC 1.3
Evidence Examples:
A hazard identification record, hazard checklist, inspection record or completed risk assessment listing the hazards found.
Evidence showing the hazards were recorded in a way that meets legal, good practice and workplace requirements.
How do you recognise the limits of your own knowledge and obtain expert advice when needed?
Maps to AC 1.4
Evidence Examples:
Emails, meeting records, consultation records or specialist reports showing that expert advice or guidance on operational controls was sought, for example from an occupational hygienist, structural engineer, manufacturer or competent health and safety advisor.
Evidence showing how the advice was used in the risk assessment.
How do you make sure your hazard investigation covers the areas where serious harm is most likely?
Maps to AC 2.1
Evidence Examples:
Hazard investigation records, inspection records or completed risk assessments showing that areas with the potential for serious harm were fully identified.
Evidence showing that the impact on both people in the workplace and other people (such as visitors, contractors or members of the public) was considered.
How do you carry out a risk assessment of the hazards you have identified?
Maps to AC 3.1
Evidence Examples:
A completed risk assessment of the identified hazards using appropriate workplace documentation, such as a risk assessment form or template.
Evidence showing the assessment covers the hazards recorded during hazard identification.
How do you assess the level of risk and decide how risks can be controlled?
Maps to AC 3.2
Evidence Examples:
A completed risk assessment showing risk ratings, such as a likelihood and severity matrix or scoring system.
Evidence showing how risks can be controlled to minimise harm, such as identified control measures within the assessment.
How do you identify risks that cannot be eliminated?
Maps to AC 3.3
Evidence Examples:
A completed risk assessment showing residual risk after controls, identifying risks that could not be eliminated.
Evidence showing how remaining risks are managed, such as ongoing control measures, monitoring arrangements or PPE requirements.
How do you prioritise the hazards that could cause serious harm?
Maps to AC 3.4
Evidence Examples:
A risk assessment, risk register or action plan showing hazards ranked or prioritised by level of risk.
Evidence showing that hazards with the potential for serious harm to people at work and other people were given priority.
How do you identify, implement and record control measures?
Maps to AC 3.5
Evidence Examples:
A completed risk assessment or action plan showing the control measures identified and recorded, with actions and expected completion dates.
Evidence showing that the control measures were implemented, such as photographs, purchase records, training records, revised procedures or completed actions.
How do you identify changes to policies and practices resulting from a risk assessment?
Maps to AC 3.6
Evidence Examples:
A revised policy, procedure, safe system of work or workplace instruction resulting from the risk assessment findings.
Evidence showing the link between the risk assessment and the change made.
How do you deliver the findings of your risk assessment?
Maps to AC 3.7
Evidence Examples:
A risk assessment report, briefing record, toolbox talk, meeting minutes or email delivering the findings with actions identified.
Evidence showing that the findings were communicated to the relevant people.
How do you review a risk assessment against current workplace conditions and working practices?
Maps to AC 4.1
Evidence Examples:
A risk assessment review record comparing the latest risk assessment to current workplace conditions and working practices.
Evidence showing any significant differences identified between previous and new working practices.
How do you plan and take action following a risk assessment review?
Maps to AC 4.2
Evidence Examples:
An updated risk assessment or action plan identifying new hazards arising from change and showing the changes made to the risk assessment to include them.
Evidence showing that everyone affected by the changes was promptly informed, such as briefing records, toolbox talks, emails or communication records.
Some of your evidence against one Assessment Criterion may also be used to meet the requirements in other assessment criteria (Where applicable).
Important Note for Learners
The competence requirements outlined above describe the practical workplace activities, systems, processes and records that may be used to demonstrate competence against this unit.
As this is a competency-based qualification, learners are expected to demonstrate that they can apply their health and safety knowledge and skills within their own workplace or working environment.
In addition to the competence-based assessment criteria, this unit also contains a number of knowledge-based assessment criteria. These are typically assessed through:
Written responses
Professional discussions with the assessor
Assessor questioning
In most cases, the knowledge-based assessment criteria relate directly to the same workplace activities, systems and processes described above. Learners will therefore often find that the workplace evidence gathered to demonstrate competence also helps them prepare for and satisfy the knowledge assessment requirements.