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NEBOSH Diploma in Occupational Health and Safety

Unit D Workbook


Contents Unit D Assignment – NEBOSH Guidance, Examiners Feedback and General Advice for Candidates .............................................................................................................................................................5

1 Assignment Brief .........................................................................................................................................5

2 Structure of the Report .............................................................................................................................7

3 Report Style ................................................................................................................................................ 10

4 Marking ........................................................................................................................................................ 11

5 Executive Summary ................................................................................................................................. 12

6 Introduction ............................................................................................................................................... 13

7 Review of the Health and Safety Management System ............................................................ 16

8 Hazards ......................................................................................................................................................... 17

9 Risk Assessments ...................................................................................................................................... 18

10 Conclusions .............................................................................................................................................. 20

11 Recommendations ................................................................................................................................ 21

12 Action Planning ...................................................................................................................................... 22

13 Bibliography and References ............................................................................................................ 23

14 Appendices .............................................................................................................................................. 24

15 Marking Scheme and Grade Indicators ......................................................................................... 25

16 Quality Standard Checklist ................................................................................................................. 33

17 Submission of the Report ................................................................................................................... 35

Powerpoint Presentation – Notes Pages ................................................................................................. 37

Planned Coursework / Homework ............................................................................................................. 51

Introduction ................................................................................................................................................... 51

End of Week 1 ............................................................................................................................................... 51

End of Week 2 ............................................................................................................................................... 53

End of Week 3 ............................................................................................................................................... 54

End of Week 4 ............................................................................................................................................... 55

End of Week 5 ............................................................................................................................................... 56

Post Course Support ................................................................................................................................... 57

NEBOSH Website – How to Find the current Unit D Guides ............................................................ 59

Unit D Assignment Log .................................................................................................................................. 63

Unit D Assignment Cover Sheet ................................................................................................................. 65


Unit D Assignment – NEBOSH Guidance, Examiners Feedback and General Advice for Candidates This advice is drawn primarily from the NEBOSH Guidance for Candidates and is supplemented with:

information drawn from Examiners Feedback on Unit D (which is presented in grey textboxes throughout; and

Additional advice from Astutis tutors. Comprehensive guidance is provided regarding the presentation, structure, style and submission of the Unit D assignment report. Candidates should study this document carefully before submitting their assignment. NB the most current NEBOSH guidance can be downloaded for free from the NEBOSH students webpages at https://www.nebosh.org.uk/Students/default.asp?cref=189&ct=2 The guidance should be read carefully in conjunction with the assignment mark scheme, which is attached at the end of this guidance document, to provide a clear guide to the requirements of the assignment report.

1 Assignment Brief The candidate is required to carry out a detailed review of the health and safety performance of a workplace or organisation and to produce a justified action plan to improve performance. The assignment will require the candidate to apply the knowledge and understanding gained from their studies of elements of Units A, B and C in a practical environment and to

Information from NEBOSH Examiners Feedback

Advice from Astutis tutors

Candidates who perform well in Unit D evidently follow the detailed guidance provided very closely.

It is clear that they understand and apply the requirements of the said guidance to structure their report, often using the guidance content to produce section headings in their work.

It is disappointing, though, that far too many candidates fail to follow the guidance provided by NEBOSH.


carry out critical analysis and evaluation of information gathered during the review. The level of work should be that expected of a competent occupational health and safety practitioner working within an organisation. The report should include:

an introduction that sets the scene by stating clear aims and objectives and a description of the methodology employed to carry out the assignment;

a description of the chosen workplace/organisation to set a context for the assignment. The candidate will need to consider the legal framework within which the workplace/organisation operates;

an overview of the current health and safety management arrangements in which the candidate should critically review the health and safety management system;

a survey of a wide range of significant hazards or activities within the workplace. The candidate should prioritise the identified hazards or activities and, carry out a risk assessment on one physical (Unit C) and one health and welfare (Unit B) hazard or activity. This should include an evaluation of the effectiveness of the organisation in controlling the risk arising from the hazards or activities identified and proposals to further control the hazard(s) and reduce risks;

conclusions which summarise the main issues identified in the candidate’s work together with justified recommendations for improvement;

a costed and prioritised action plan for implementation of the candidate’s recommendations in each of the two areas; and

an executive summary of the report. The focus of the Unit D assignment should be the application of the knowledge and understanding developed in Units A, B and C to a real workplace situation. It provides opportunities for the candidate to carry out research and demonstrate the ability to carry out a range of activities that would be expected of a health and safety practitioner.

Develop the report objectives from these specified areas of required content. An objective should be expressed as something that the report is trying to achieve and deliver so that the reader can check whether or not the objective has been fulfilled.


The aim of the assignment is to produce an overall review of the health and safety management system of an organisation and indicate, using risk assessment, the priorities for the organisation for the future. It is important that a suitable workplace upon which the assignment research will be based is chosen. The workplace should be large enough to provide both an opportunity for the review of the health and safety management system and a sufficiently large range of significant hazards in the areas covered by Units B and C to provide an adequate range for identification and prioritisation. Candidates who have difficulty identifying a suitable workplace should ask their tutor for advice. If the organisation is very large, in order that the assignment is manageable the candidate should limit the area considered. In such circumstances it might be more appropriate to consider a department or division of the organisation rather than the organisation as a whole, although obviously, the health and safety management system will probably be that adopted by the whole organisation. Candidates should ensure that they understand fully the requirements of the brief and are recommended to prepare an outline plan of their approach that can be discussed with a tutor. While it would not be appropriate for tutors to read and amend drafts of the report, their role is to ensure that the candidate is ‘heading in the right direction’– for example, they may comment on whether the candidate has chosen a suitable workplace or situation that satisfies the brief and will give sufficient scope to achieve the necessary breadth and depth of content required at Diploma level. Tutors must not provide a ‘pre-mark’.

2 Structure of the Report A good assignment is planned well from the outset. Candidates should read the brief and the detailed guidance carefully and highlight the key words to make sure it is understood what is required. An outline plan which includes the main headings for the report and the topics required in each part should be produced. This can be used as a checklist to make sure that everything has been included when the report is proof read at the end. The report should be organised in sections which match those set out in the assignment mark scheme and contain a contents page. To help the reader, each section should be headed with the appropriate title. The sections are:

Executive Summary

Introduction

Aims and objectives

Consider this and the first paragraph of the assignment brief above to help articulate the aim of the assignment


Methodology

Description of the organisation

Legal Environment

Review of the Health and Safety Management System

Gap Analysis

Hazard Identification

Physical Hazards

Health and Welfare Hazards

Risk Assessment

Physical Hazard

Health and Welfare Hazard

Conclusions

Recommendations

Action Plan

Management System

Hazards and Risk

References / Bibliography

Appendices. The report should be approximately 8,000 words in total, excluding the References/ Bibliography and Appendices. No penalty will be applied to reports which exceed 8,000 words but candidates should aim to keep their word count under 12,000 to avoid the main requirements of the assignment brief becoming lost and the report losing clarity. Candidates should also note that irrelevant material included in their reports will not attract marks. Risk assessments must be included in the main body of the report. Candidates must note that risk assessments included as appendices cannot be awarded marks. Appendices are pieces of work which support the content of the report. The candidate should include only material which is an essential aid to an understanding of the content of the report. Each item in the appendices should be referred to in the report so that the reader can turn directly to it to find the background to the factor


concerned. Appendices should be kept to the minimum. The reader is not going to spend time reading through a collection of items which may not be relevant.

Planning and presentation Run a spelling check on their reports and ask an independent ‘lay person’ to read

the report before submission.

Avoid:

Unnecessary tables or images.

Scanned copies of handwritten work or flip charts should be avoided.

Ensure the report is properly formatted, with pagination, headers and footers, and section headings being included.

Ensure the report is clear, concise, well-structured and appropriate for an audience of senior managers

Assuming that the report is going to be written in around 10 000 word use the available word count in proportion to the marking scheme

Executive summary (10%)

(NB this has to be delivered in single page – around 450 word - see section 5

Introduction (10% - 1000 words)

SMS Review (12% - 1200 words)

Hazard identification (16% - 1600 words)

Risk assessments (2 x 10% - 1000 words each)

Conclusions (6% - 600 words)

Recommendations (6% - 600 words)

Action Plans (2 x 6% - 1200 words)

8650 words

Given the reduced word count for the Exec summary and the marks available for planning etc there are 2000 or so additional words available

Ensure the report is balanced and proportionally weighted


3 Report Style There are many detailed general guides to writing reports available on the internet, often as part of study guides produced by university departments. A search under ‘writing reports’ will produce links to such sites. It is strongly recommended that candidates study such material in order to understand how to write a report to the required standard for the assignment. The report should use a formal style as would be expected for a report to management. The report should convey the information as clearly and concisely as possible. However, sets of bullet points are unlikely to give sufficient indication that the writer has a firm understanding of the subject matter. Some aspects of the report, for example the gap analysis of the Health and Safety Management System, might benefit from a tabular presentation but this is not the only effective way of presenting such material. The report should be easy to read. The organisation of the report helps this. A good style is also essential and candidates should structure their report into paragraphs and avoid large blocks of text. Candidates should try to avoid jargon which is specific to one sort of organisation such as the armed forces or health service. Sentences should be kept relatively short and to the point. A good rule is ‘one subject one sentence’. Candidates should check grammar and spelling and should not use abbreviations without writing them first in full. Checking the accuracy of references to legislation, Approved Codes of Practice (ACoPs) etc. is important as there is no excuse for inaccurate citation in an assignment at this level.

Consider advice on how to write University or business reports but do not deviate from the prescribed Unit D structure

Report writing advice that makes reference to BS 4811:1972 “Specification for the presentation of research and development reports” should generally be fine

Write in the past tense and be impersonal (e.g. this was done, rather than I did this)

Be careful of changing tense mid report. Many candidates begin in future tense and finish in past

Use plain English and avoid jargon

Write for an intelligent lay person


4 Marking In each section of the assignment marks are awarded both for the range of factors considered and the quality of treatment and so candidates need to achieve a balance between range and depth. Given the level of the Diploma, a large range of factors treated superficially would not be sufficient to gain a high mark for a particular section.

The marks are allocated by section as indicated below. The full marking scheme table showing grade indicators is presented in section 15 of this advice.

Planning and presentation (8)

Executive Summary (10)

Introduction (10)

Review of the Health and Safety Management System

Description (6)

Gap Analysis (6)

Hazard Identification

Physical Hazards (8)

Health and Welfare Hazards (8)

Risk Assessment

Physical Hazard (10)

Health and Welfare Hazard (10)

Conclusions (6)

Recommendations (6)

Action Plan

Management System (6)

Hazards and Risk (6)


5 Executive Summary The executive summary should be written after the candidate has completed the rest of the report but it should be inserted at the beginning of the report. An executive summary is written for a person who is not necessarily an expert in the field. The purpose of the executive summary is to provide a concise overview of the important points arising from the work and summarise the main conclusions and recommendations arising from it that can be read in a short time to accommodate the schedule of a busy reader. It should:

highlight the important facts and outcomes,

state the implications for the organisation (including any costs involved); and

inform the reader of the proposed course of action and the benefits. An executive summary should provide sufficient information to enable a busy senior manager to make a decision as to whether or not to read the full report and to provide a persuasive case for implementation of recommendations made. The executive summary is the only part of the report which is length limited. This must be no longer than one side of A4 using single-spaced Arial font (size 11) and 2cm print margins (left, right, top and bottom). 10% of the marks available for the executive summary will be deducted for text covering up to an additional one-quarter of a page and a further 10% for each additional quarter of a page submitted as part of the executive summary.

Write the executive summary in a style and format which will allow it to be read quickly and easily by the intended audience – senior managers and executives.

Stick to the allowed one side of A4 paper, using a single-spaced Arial 11 font size (or similar) and 2cm print margins.

Write in a concise and persuasive manner

‘Grab the attention’ of the reader and provide them with a clear sense of what is happening in terms of health and safety management, what more needs to be done and why it is so important to take action.


6 Introduction The introduction provides a foundation for the report and enables the reader to place the following information and judgements in context. A well written report will have clear, stated aims and objectives. What does the report writer intend to achieve through undertaking the assignment? These should be clearly identified so that the reader is clear as to what they are. They provide a signpost to the direction of the candidate’s work, both to help keep on track and to orientate the reader. Referring the conclusions back to these aims and objectives will help the reader to decide how well the assignment has achieved them.

The report should also give a description of the methodology employed in order to carry out the work for the assignment. This should include what methods of research or information gathering will be used and what particular methods of presentation and analysis of findings will be used. This provides the reader with evidence that the work has been undertaken in a rigorous manner and that the findings are therefore to be relied upon.

Properly written aims, objectives and methodology sections are the key to producing a good assignment.

Valuable marks can easily be obtained by properly outlining what is intended to be done and how it is going to be done.

Meaningful objectives can be used throughout the writing / preparation of the report to ‘sense check’ progress; and checked on completion of writing the report to ensure that the candidate has done what they intended to do at the outset.

Accommodate and personalise the information given in the assignment brief to develop the assignment objective

Accommodate and personalise the information given in the contents list within the assignment brief to develop specific objectives

The methodology section of the report should define the approaches to data gathering (checklist development, desktop document review, inspections, interviews etc) and data analysis / evaluation (statistical analysis of accident data, benchmarking against standards etc)

The methodology for undertaking the SMS review is likely to be different to that adopted for the hazard identification and risk assessment


A description of the chosen workplace/organisation is needed to set the context for the assignment report. The reader will be unfamiliar with the situation and will need some background to provide a context for the main body. This should include the size of the organisation, the nature of work undertaken, and what processes are undertaken, the employment profile, the work patterns and production schedules employed and if a department or site has been chosen in a very large organisation, its relationship to the work of the organisation. Any special situations that are likely to have an impact on health and safety should also be included.

Candidates are also required to outline legislation and case law relevant to the organisation. Candidates are required to demonstrate their knowledge and understanding of the relevant statutes, regulations, ACoPs, standards and guidance and most importantly the ability to put these in the context of the development of an effective health and safety management programme. An exhaustive list of statutes, regulations etc is not expected.

Better submissions keep the general description of the chosen workplace relatively short and concise and relevant to the assignment brief. It is important that working arrangements, work environment, shift patterns and peripatetic worker activities are covered in this section.

There is no need for copious amounts of information on the chosen workplace, its history or its management systems to be included in the appendices.

Candidates who explain and justify the basic principles of their chosen methods tend to achieve good marks in this area. Clear statements of what research has been carried out, which models have been chosen and why, are most useful and are usually evident in better reports.

Consider commenting on the organisational structure and culture

Consider what demographic information about the workers may be useful in the context of the later hazard discussions – age profile , gender split etc

Remember the target audience – the senior executive – what do they need to know?

A simple narrative explaining the two systems of law (civil and criminal – taking care not to confuse systems and sources)

An overview of the criminal landscape – HASAWA, Regulations, ACoPs and Guidance – In the context of the report – related to the following hazard ID and risk assessment pieces

The consequences of non-compliance – for the business and the individual


An overview of the civil framework – compensation for injury, negligence, duty of care, employers liability insurance etc

The business consequences of claims

Make reference to relevant case law (particularly those specified in the syllabus) and use the opportunity to comment on the relationship between common and statute law

An outline of the principal legal (statute, common, civil and criminal) and other requirements within which the organisation operates should be included.

Better submissions attempt to apply these legislative requirements to their workplace as required.

Candidates are required to demonstrate their knowledge and understanding of relevant statutes, regulations, ACoPs, standards and guidance and outline these in the context of the development of an effective health and safety management programme.

An exhaustive list of statutes, regulations and case law is not expected.

Candidates who score particularly well in this section ensure that they give time and effort to identifying and explaining the relevant civil cases, giving clear and accurate references to carefully selected case law.

Better submissions paint a balanced picture of the criminal and civil organisational context.

Candidates are required to demonstrate their knowledge and understanding of the relevant legal framework and most importantly the ability to put these in the context of the development of an effective health and safety management programme.


7 Review of the Health and Safety Management System This is start of the main body of the report which is where the research and analysis that is undertaken is reported. It is where candidates demonstrate their understanding of health and safety and their ability to apply it to the situation in the brief. An overview of the current health and safety management system in the workplace/organisation should be given, however informal it might be. This should be compared to a recognised health and safety model e.g. HSG65. Candidates should note that a detailed description of the recognised model used is not required. The model should be used to critically review the organisation’s health and safety management system. Candidates should then provide a clear systematic description of gaps and where no gaps exist, for all areas of the management system, identify priorities for improvement.

Candidates outline or describe a generic health and safety model (such as HSG65) without making clear reference to their own management system cannot therefore be awarded maximum marks.

Better reports outline the selected model before explaining the relevance of the models’ elements to existing policy, arrangements, etc.

A good working knowledge of HSG65, OHSAS18001 (or a similar model) is essential for those candidates wishing to perform well.

Better submissions clearly identify shortcomings in the chosen health and safety management systems against such a standard, carrying forward these identified gaps into the recommendations and action plans required later in the report.

Better submissions often summarise the gaps identified in tabular format, which is a useful technique and allows candidates to display the gaps, required improvements and priorities in a clear and concise manner.

If using HSG65 3rd edition (PDCA model) the guidance will need to be thoroughly read and a checklist developed to facilitate the benchmarking exercise.

As OHSAS 18001 was original written as a specification the standard clauses and sub-clauses can be used to develop a checklist.

Whichever SMS model is used a significant part of it will relate to hazard identification, risk assessment and control. It is imperative that any observations or comments made here are consistent with what is offered in the hazard identification and risk assessment sections of the report, which must hang together as a joined up piece of work


8 Hazards The assignment requires candidates to identify significant hazards from across a range of categories and to prioritise them. Candidates should identify at least 15 relevant hazards using knowledge and understanding gained in Units B (health and welfare) and C (physical) as a starting point. In order to cover a sufficient range, the identified hazards should be from across a range of categories: e.g. chemical, physical, biological, psychosocial, ergonomic, mechanical, electrical, fire and explosion and transport. Hazards should be identified, relevant to the chosen organisation and candidates should briefly discuss the likely implications of each. It is not necessary to identify the same number of hazards from each group. Hazards identified may include those for which all appropriate control measures have been implemented. Candidates must then identify two high priority hazards, one physical hazard or activity and one health and welfare hazard to be used as part of a suitable and sufficient risk assessment. For the purposes of the assignment, hazards associated with health and welfare can generally be considered to be those covered in Unit B (Hazardous agents). Physical hazards are covered by the material in Unit C (Workplace and work equipment). It is recognised that temperature and welfare hazards covered in Unit C may be included as health and welfare hazards. Candidates must justify the choice of each hazard by prioritising the hazards identified. Candidates should use a system to assign levels of importance to each of the hazards identified. A full risk assessment is not needed on each hazard.

Do not forget the basics – a hazard is something which has the potential to cause harm. Do not get this confused with the harm itself.

Avoid generic topics. It is not useful to identify fire, hazardous substances, work at height, noise or electricity as hazards.

The hazards discussed should be specific examples that are relevant in the context of the particular organisation and ideally task related

Try to cover each chosen hazard in around half a page.

Be consistent in approach to each hazard. Explain the hazard; show any local or national data to indicate the scale of the problem; describe the current controls; comment on their adequacy with reference to appropriate standards; conclude with a priority indicator

Explain the approach to determining priorities

Indicate which hazards are going to be fully risk assessed in the next section

y


9 Risk Assessments The required risk assessments must be completed on the chosen hazards identified and justified in the preceding section. An evaluation of the effectiveness of the organisation in controlling the risks arising from the hazards should be included and proposals to further control the hazards and reduce the risks given. The methodology adopted in completing each risk assessment should be briefly described, including reference to relevant publications, legislation, ACOPs, other technical documents and standards. The risk assessment methodology chosen should be suitable and sufficient, legally compliant and be appropriate for each hazard identified. High marks will not be awarded for a generic risk assessment model when a specific risk assessment is required due to the nature of the hazard e.g. manual handling. The risk assessment should include a review of the existing control measures and provide options for further action with reference to a hierarchy of control. The candidate should make use of any data available for any hazards which have already been quantified e.g. noise surveys. Risk assessments must be included in the main body of the report and cannot attract marks if included as Appendices.

Describe the chosen risk assessment process or methodology.

Explain risk quantification models and their relevance.

Demonstrate a clear understanding of the difference between the terms ‘hazard’ and ‘risk’.

Take a methodical approach to breaking down and differentiating between work activities, hazards, risks and possible outcomes.

Clearly explain the risk assessment process being used, detailing how any ranking or scoring systems are used for comparison, prioritisation and consideration of improvements required.

Select one ‘Physical hazard’ (Unit C) and one ‘Health hazard’ (Unit B) for closer assessment using a recognised risk assessment approach - Some candidates fail to score marks due to the selection of two Physical or two Health hazards rather than one of each.

The HSE’s 5 steps to risk assessment may be appropriate in many circumstances, but in some situations this approach is not appropriate.

Continued…


Specific risk assessment tools should be used for manual handling, noise or hazardous substance assessments etc.

Sufficient emphasis and detail must be given to identifying ‘who might be harmed and how’. Generic headings of groups of people such as “staff, contractors and visitors” should be avoided

Company risk assessment templates should not be used, without being checked for completeness and adequacy

Risk assessments submitted for this assignment must be the candidate’s own original work.

Good submissions ensure that gaps and areas for improvement from the main body of the report are carried forward into the final part of the report.


10 Conclusions This section should provide a concise summary of the findings identified in the main body of the candidate’s report. The conclusions should not introduce new issues or additional relevant factors.

The conclusions should start by referring back to the aims and objectives through a brief discussion of how well they were achieved. The remainder of the conclusions should follow on logically from the findings in the main body. Candidates should identify the main findings, possibly by highlighting them on a draft of the main body to make sure that each of them is referred to in the conclusions.

The conclusions should refer to things identified in the main body

Refer back to aims and objectives when writing conclusions.

Include a summary of key findings

Do not include recommendations and other suggestions for improvements in the conclusions.

Carry out ‘Quality’ checks on the work done, and refer back to the aims and objectives, critically assessing in their conclusion whether or not the aims and objectives have been met.

To ensure that the reports key findings are properly captured read the SMS review, hazard ID and risk assessment sections carefully and highlight, underline or asterisk (and number) the key issues and make sure that these are summarised in the conclusions section

NB remove all such marks and annotations from the final – submitted version

The key findings should be outlined in chronological and/or priority order


11 Recommendations Recommendations should be based upon the points set out in the conclusions and make reference to the candidate’s gap analysis of the health and safety management system and assessments of the levels of risk posed by the hazards identified. The recommendations should lead on from the conclusions and not come as a complete surprise to the reader. Recommendations should:

be justified – give a reason why each one of them is included;

be complete – make sure that each of the main findings is covered;

be practical – the reader should see that they are a realistic proposal in terms of the resources required;

include a cost benefit analysis – in other words what will the organisation gain by implementing the recommendations set against the costs involved.

Recommendations should be prioritised. The most pressing issues, those which present the highest risk levels and those that can be done immediately at little or no cost, should be addressed first. Candidates should explain the system of prioritisation used.

The recommendations section should follow on from the main conclusions in a logical manner, and need to provide any indication of prioritisation, justification and ‘Cost Benefit Analysis’ in relation to the recommendations

Recommendations should be expressed as ‘SMART’ objectives


12 Action Planning An action plan is the tool through which the recommendations will be implemented. It is not a list of recommendations. The action plans in the assignment report should present actions to improve the health and safety management system and to reduce the risks associated with the hazards the candidate has identified for the two risk assessments. The action plans should identify the actions to be taken and for each action, a person with responsibility for seeing that it is carried out should be indicated. The likely cost should also be identified and candidates can make reasonable assumptions about costs. Remember that staff time costs money. Staff involved in carrying out tasks will need time to do them. Members of staff attending training courses for example are not carrying out their normal duties. All of this time is paid for through the salaries and on-costs for the people involved. The timescale in which each action is to be completed should be given. Finally the plan should include provision for a review of the success of each action. Again an individual, usually the line manager, should be identified for this and again there will be a cost implication. There are a number of suitable formats for action plans but a tabular format is often the most successful because it is easy to see that all of the requirements have been included

:Recommendations Action(s) Timescale Responsibilities Cost Success Criteria

Review date / format

1 a

b

2 a

etc….

The two action plans required should be separate from each other, and must provide the information in a tabulated format with all of the relevant headings included.

Actions plans must also include some information relating to how and when progress against the recommendations will be reviewed.

Any given recommendations may require several actions to be addressed as ‘stepping stones’ to completion

The action plan has to be able to be implemented. There should be sufficient detail to enable a third party to pick it up and deliver on it


13 Bibliography and References Candidates are required to show evidence of having carried out research in order to complete the assignment. This is shown through the detailed referencing and the bibliography and how you refer to the sources within the body of your report. It is no use putting in a lot of references if you haven’t read them. There are established conventions for referencing. The two most common methods used in reports are the Harvard system and the Vancouver system. An explanation of these referencing systems can be found at: http://www.bournemouth.ac.uk/library/using/harvard_system.html http://www.libweb.anglia.ac.uk/guides/new_harvard.php http://www.blackwellpublishing.com/authors/reference_text.asp?site=1 The bibliography provides a list of general references to books and other documents which were used in the preparation of the report.

Any work that is not the report writers own should be accredited to the appropriate author and properly referenced

Make sure that references given are current

Sources that have been useful in preparing the work but not directly referenced in the assignment should be listed in a separate bibliography section

The Harvard system gives the author and year of publication as a reference within the text, e.g. the current safety management system will be benchmarked against the requirements of the 3rd edition of HSG65 (HSE, 2013) and then in the reference section lists the references by author in alphabetical order

The Vancouver system allocates a numerical reference in the text, e.g. the current safety management system will be benchmarked against the requirements of the 3rd edition of HSG65 (1) and then in the reference section lists the references in numerical order

Pick a University guide to follow (Most University library’s publish referencing guides – often called “cite’m rite”). Follow the advice diligently

List the referencing guide followed in the bibliography


14 Appendices Appendices are pieces of work which support the content of the report. The candidate should include only material which is an essential aid to an understanding of the content of the report. Each item in the appendices should be referred to in the report so that the reader can turn directly to it to find the background to the factor concerned. Appendices should be kept to the minimum. The reader is not going to spend time reading through a collection of items which may not be relevant.

NB material presented in the appendices cannot attract marks

Appendices should be kept to a minimum (avoided if possible) and only used where cross referencing to it from the main report adds value and aids the reader – e.g. if a detailed checklist was developed to facilitate the SMS review

Appendices containing HSE publications in whole or in part is unnecessary and should be avoided


15 Marking Scheme and Grade Indicators

8-7 6-5 4-3 2-1

Planning and Presentation

Presentation and organisation including research bibliography and references

Logical structure, fully meets requirements of brief. Clear and concise, user friendly writing style. Evidence of extensive research with all references cited correctly using recognised system

Structured to meet requirements of brief but some sections may be combined. Clear style. Evidence of some research. References cited but some errors in referencing system.

Confused structure with some information included in wrong sections. Structure and language makes it difficult to follow. Little evidence of research with some references not cited.

Poor structure with much of the information included in wrong sections. Difficult to read. Little or no evidence of research, references with no accepted system of referencing used.


6 5-4 3-2 1

Introduction Aims and objectives

Clear, stated aims and objectives. Description of methodology.

Aims and objectives given but not clear. Methodology incomplete

Aims and objectives confused. Limited methodology

Aims and objectives omitted. Methodology omitted.

Description of the organisation

Full description of organisation with all elements clearly described allowing reader to understand the context of the report.

Clear description of organisation includes most relevant elements.

Description of organisation incomplete with some significant elements missing. Description unclear.

Poor description of organisation providing insufficient information to understand the content of the report.

Legislation and case law relevant to the organisation

Outline of principal legal (statute, common, civil and criminal) and other requirements. Reference to statutes and regulations together with ACOPs standards and guidance described and justified with relevance to the organisation. Statutory provisions quoted accurately.

Partial outline of essential features of legal environment including principal legal (statute, common, civil and criminal) and other requirements. Partial description of relevant statutory provisions. Some may not be justified. All quoted accurately.

Limited outline of essential features of legal environment including principal legal (statute, common, civil and criminal) and other requirements. Partial description of relevant statutory provisions. Little or no discussion of relevance. Some quoted accurately.

Little or no outline of essential features of legal environment including principal legal (statute, common, civil and criminal) and other requirements. Partial description of relevant statutory provisions. No explanation of relevance to organisation.


Review of Health and Safety Management System

6-5 4-3 2-1

Description of Health and Safety management system

Clear overview of current system linked to recognised Health and Safety model.

Partial overview, one or two elements omitted. Attempts to link to a recognised system.

Some aspects of system identified but not linked to recognised model.

6-5 4-3 2-1

Gap analysis

Clear systematic description gaps and areas where no gap exists for all areas of management system and identification of priorities for improvement linked to a recognised management system.

Identifies gaps with clear description, little or no consideration of areas without identified gaps. Some discussion of improvements linked to a recognised management system.

Identifies major gaps only, some indication of areas for improvement but not linked to a recognised management system.


8-7 6-5 4-3 2-1

Hazard Identification Physical Hazards

Full range of hazards / activities identified, relevant to organisation, drawn from across the range of categories and includes the likely implications. Prioritised with justification.

Range of hazards / activities relevant to organisation but restricted range of categories. Includes the likely implications. Attempt at prioritisation not fully justified.

Restricted range of hazards / activities and restricted range of categories. Some may be irrelevant to organisation. Little attempt at prioritisation.

Very limited range of hazards / activities with little attempt to justify prioritisation, no indication of implications.

8-7 6-5 4-3 2-1

Hazard Identification Hazards Appropriate To Health And Welfare

Full range of hazards / activities identified, relevant to organisation, drawn from across the range of categories and includes the likely implications. Prioritised with justification.

Range of hazards / activities relevant to organisation but restricted range of categories. Includes the likely implications. Attempt at prioritisation not fully justified.

Restricted range of hazards / activities and restricted range of categories. Some may be irrelevant to organisation. Little attempt at prioritisation.

Very limited range of hazards / activities with little attempt to justify prioritisation. No indication of health implications.


10-9 8-7 6-5 4-3 2-1

Risk Assessment Physical Hazard / Activity

Full risk assessment of chosen hazard following recognised risk assessment model. Full consideration of all factors

Risk assessment on chosen hazard following recognised risk assessment model. One or two stages omitted.

Risk assessment on chosen hazard following recognised risk assessment model. One or two significant stages omitted.

Risk assessment on hazard which may not be chosen identified above. Risk assessment does not follow recognised model or missing significant stages.

Risk assessment missing significant stages, may not be carried out on chosen hazard or hazards mixed.

10-9 8-7 6-5 4-3 2-1

Risk Assessment Health And Welfare / Activity

Full risk assessment of chosen hazard following recognised risk assessment model. Full consideration of all factors.

Risk assessment on chosen hazard following recognised risk assessment model. One or two stages omitted.

Risk assessment on chosen hazard following recognised risk assessment model. One or two significant stages omitted.

Risk assessment on hazard which may not be chosen hazard identified above. Risk assessment does not follow recognised model or missing significant stages.

Risk assessment missing significant stages, may not be carried out on chosen hazard or hazards mixed.


6-5 4-3 2-1

Conclusions Conclusions are complete and summarise all findings in main body. No new material introduced.

Conclusions do not cover all findings but no new material introduced.

Conclusions do not cover all findings. New material introduced.

6-5 4-3 2-1

Recommendations Recommendations are based upon conclusions, practical, justified and prioritised. Full cost benefit analysis included.

Most recommendations follow on from conclusions with some attempt at justification and prioritisation. Partial cost benefit analysis.

Some recommendations follow on from conclusions but not all justified or prioritised. Limited or no cost benefit analysis.


6-5 4-3 2-1

Action Plan 1

Health and Safety Management System

Action plan follows from recommendations, all actions are costed, time bound with responsibilities identified and provision for review.

Action plan follows from recommendations in main but some new points might be introduced, costings time limits and responsibilities partially identified. Provision for review may not be adequate.

Action plan follows from recommendations in main but some new points might be introduced. Some key elements such as costings, time limits and responsibilities omitted. Provision for review omitted. Action points may not be based on priorities identified in RAs.

6-5 4-3 2-1

Action Plan 2

Hazards and Risk

Action plan follows from recommendations. Actions based on chosen priority areas from the two RAs. All actions are costed, time bound with responsibilities identified and provision for review.

Action plan follows from recommendations in the main but some new points might be introduced, Plan includes areas from both RAs but does not prioritise them well. Costings, time limits and responsibilities partially identified. Provision for review may not be adequate.

Action plan follows from recommendations in the main but some new points might be introduced. Some key elements such as costings, time limits and responsibilities omitted. Provision for review omitted. Action points may not be based on priorities identified in RAs.


10-9 8-7 6-5 4-3 2-1

Executive summary

Includes all important findings, summarises conclusions and recommendations Persuasive case made for implementation. Within page limit.

Most important findings, conclusions and recommendations included. Presents case for implementation. Within page limit.

Includes some findings. Conclusions and recommendations incomplete with weak case for implementation. Page limit may be exceeded by less than 10%.

Includes only a few findings. Conclusions and recommendations not clear. Very weak case for implementation. Exceeds page count limit by between 10% and 20%.

Significant omissions, provides little indication of conclusions, recommendations and benefits of implementation. Exceeds page count limit by more than 20%.


16 Quality Standard Checklist Check

Have you recorded and signed your tutor/student contact sheet?

The report begins with an Executive Summary

The Executive Summary does not exceed one page of Arial 11 font

The report has an introduction (starting on a new page)

The aims of the project are clearly stated. (sub-headed)

The objectives of the report are clearly stated. (sub-headed)

The study methodology is clearly described. (sub-headed)

The introduction provides a description of the organisation. (sub-headed)

The introduction includes a description of the Legal Environment. (sub-headed)

The report has a main body (starting on a new page) (headed findings)

The findings include a description of the Health and Safety Management System

The findings include a Gap Analysis on the Health and Safety Management System

The findings identify at least 15 significant hazards (headed significant hazards)

The hazards represent a broad range of categories

The hazards are prioritised

A selection of the hazards is given under the heading Physical Hazards

A selection of the hazards is given under the heading Health and Welfare Hazards

The report risk assesses one Physical Hazard

The report risk asses one Health and Welfare Hazard

The risk assessment methodology is described

The report contains clear conclusions

The conclusions refer back to the aims and objective (how well were they achieved?)

The conclusions refer back to the main findings

The conclusions do not introduce any new concepts (not discussed in main body)

The report contains clear recommendations relating to each of the conclusions

The recommendations are justified (give reason)

The recommendations are practical

Cost benefit analysis of recommendations is given

An action plan is included in tabulated form which recognises each recommendation

The action plan includes action for safety management system

The action plan includes action for the two hazards (as risk assessed)

References are included using a recognised system

Bibliography shows research material appropriately referenced

Appendices are attached


Concluding Checklist from Examiners Feedback

Write the reports in a clear and concise manner

Use the mark scheme to help structure reports

In the introduction state what is to be done and how

Be clear about the differences between hazards and risk

Check that at least 15 hazards are identified

Check that two ‘highest priority’ hazards are identified

Ensure that two selected hazards are not both ‘Physical’ or both ‘Health and Welfare’

Use the most appropriate risk assessment tool for the two chosen hazards

Include information on review periodicity and mechanisms

Include cost benefit justifications for recommendations

Support main recommendations with a persuasive argument for implementation

Check accuracy and clarity of references.


17 Submission of the Report Assignment reports should be submitted before the set submission dates which are published by NEBOSH annually and available on the NEBOSH website at https://www.nebosh.org.uk/students/default.asp?cref=172&ct=2

Candidates intending to submit an assignment must register through their centre using the appropriate form and paying the appropriate fee. On registration candidates will receive a submission form*which must accompany the assignment report. In order to ensure that work submitted is that of the candidate, an Assignment Log* has been developed (attached). This records discussions between the candidate and the tutor at various points during the development of the assignment. It is recommended that the centre and the candidate maintain copies of the Assignment Log so that it is available for submission with the finished assignments. Candidates should ensure that they complete all the requested details on the log, which must be submitted with the assignment. Assignments which are not accompanied by the submission form and a completed assignment log sheet will not be accepted. (The Assignment Log is not required again when resubmitting the assignment.) The appropriate Assignment Cover Sheet* attached to this document must be placed at the front of the assignment, duly completed with Student number. Neither the candidate’s name nor their centre’s name/number should appear anywhere on this page or in the assignment. Names of persons and organisations referred to in the assignment may be changed at the discretion of the candidate. However, the organisation that forms the subject of the assignment should be ‘real’ in all other respects (i.e. fictitious workplaces or simulated scenarios are not acceptable). Assignments must be presented in an approved manner (i.e. in a flat, A4, (maximum 23 cm X 31 cm), two-pronged, clear-fronted, plastic binder). Pages must not be put in plastic ‘pockets’. Assignments inappropriately bound are liable to be returned. Text should have the appropriate choice of font size and line spacing. Font size should be a minimum of 11 to facilitate reading. Assignments must be submitted directly to NEBOSH. They should be sent by Royal Mail Special Delivery or a courier service that provides a track-back facility (this is a next day guaranteed delivery service). Failure to use such a service close to the closing date may result in arrival after the closing date and rejection of your assignment.

Submission dates are now quarterly in February, May, August and November of each year


Candidates are strongly advised to keep a copy of their assignment report. No refund of fees will be made in cases where assignments are rejected or where candidates register but fail to submit. Assignments must be the candidate’s original work. Cases of plagiarism or collusion will be dealt with severely and are liable to result in the assignment being disqualified and the candidate being required to submit a new assignment at a later date. Any candidate who provides an opportunity for another candidate to use his/her assignment inappropriately shall be liable to the same sanction. Assignments will NOT be sent back to candidates. On completion of marking, moderation and appeals procedures, assignments will be treated as confidential waste. After the completion of the marking process candidates will be informed of the total mark for their submission and a breakdown of the marks for each section (as indicated on mark scheme). Candidates must achieve a pass standard of 50% in the assignment in order to satisfy the assessment criteria for the award of National Diploma. Marks for resubmitted assignments are not capped.

*Key Paperwork The assignment log and assignment cover sheet (and resubmission cover sheet) should be obtained from the current NEBOSH Unit D candidate guidance.

A copy of the assignment log is included at the end of the workbook to enable a record of tutor conversations to be kept.

The submission form will be provided directly from NEBOSH upon registration for a particular submission date.


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Planned Coursework / Homework

Introduction It is recommended that you take the opportunity to make progress with your Unit D assignment throughout the twelve months or so of your course. This section of the workbook suggests activities to be tackled between study weeks giving you the opportunity to get tutor input along the way.

End of Week 1 The following should be tackled before week 2 of the course:

(1) Visit the NEBOSH website and download the latest guidance and examiners feedback

(2) After reading the guidance prepare an outline plan of how you intend to tackle the assignment

(3) Describe the organisation (or part thereof) that is to be used for the assignment in no more than 250 words.

Notes


End of Week 2 The following should be tackled before week 3of the course:

(1) Complete first draft of introduction section.

(2) Determine which SMS model is going to be used in the gap analysis (e.g. HSG65, OHSAS18001). Define methodology for SMS review.

Notes



(1) Select one Unit B hazard and work on approach / content for the hazard identification section.

Notes



(1) Complete a risk assessment of the priority health and welfare (Unit B) hazard.

Notes



(1) Take two recommendations arising from SMS review and / or Unit B risk assessment and develop into an Action Plan.

Notes


Post Course Support Should you require further support on Unit D after completing the six weeks of study you are still able to contact your tutors for advice. If, because of teaching commitments etc, a particular tutor is unavailable an email to [email protected] will enable the administration time to find an alternative tutor, or line up an appointment for a discussion. NB tutors are able to answer queries and provide general advice and support. Tutors are not permitted to over coach, provide examples of successful assignments, or pre-mark assignments ahead of submission.


NEBOSH Website – How to Find the current Unit D Guides The latest vesrsions of guidance and feedback can be found at the following http address https://www.nebosh.org.uk/Students/default.asp?cref=189&ct=2 Alternatively you can navigate your way from the NEBOSH homepage as follows

Click on “Students”

Click on “Currently studying”


Scroll down to find NEBOSH National Diploma in Occupational Safety and Health

Click on “assignment brief Unit D”


Latest version of Guidance with current submission paperwork – updated quarterly And examiners feedback – unchanged since 2011


Unit D Assignment Log


Unit D Assignment Cover Sheet

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