, SMA4803
ASSIGNMENT 4
DUE OCTOBER 2026
1. When evaluating a Safety Management System (SMS), what documentation will you be
looking at? [10]
When evaluating a Safety Management System, one must examine a comprehensive range of
documentation to determine whether the system is both compliant with legal requirements and
effective in practice. The evaluation begins with the foundational documents, namely the safety
policy and the safety management plan or manual. The safety policy should be signed by the most
senior executive and should clearly articulate the organisation's commitment to health and safety,
its objectives, and its willingness to allocate resources (Reason, 1997). The safety management
manual then translates that policy into procedures, responsibilities, and arrangements, and it is
against this document that many of the subsequent records are judged.
Operational documentation forms the next layer of the evaluation. This includes risk assessments,
which must be suitable and sufficient, and method statements that describe how high-risk tasks
will be carried out safely (Health and Safety Executive, 2013). Hazard registers or risk registers
should be reviewed to confirm that hazards have been identified, assessed, prioritised, and
assigned to responsible persons, with evidence of control measures being implemented and
reviewed. Permits to work, lock-out/tag-out records, and confined space entry certificates are also
relevant where high-risk activities take place.
Incident-related documentation is equally important. Accident reports, near-miss reports, and
ill-health records reveal how the organisation detects and responds to failures. The evaluation
should examine not only the reports themselves but also the investigation findings, root cause
analyses, and the corrective and preventive actions that followed, together with evidence that
those actions were completed and effective (Robson et al., 2007). This demonstrates whether the
organisation learns from events or simply records them.
Monitoring and assurance documents provide further evidence. Internal and external audit reports,
inspection checklists, workplace monitoring results (such as noise, dust, or vibration surveys), and
statutory examination certificates for equipment such as pressure systems, lifting gear, and local
exhaust ventilation all fall within scope. Safety committee minutes, toolbox talk records, and safety
briefing registers show how safety information is communicated and discussed.
ASSIGNMENT 4
DUE OCTOBER 2026
1. When evaluating a Safety Management System (SMS), what documentation will you be
looking at? [10]
When evaluating a Safety Management System, one must examine a comprehensive range of
documentation to determine whether the system is both compliant with legal requirements and
effective in practice. The evaluation begins with the foundational documents, namely the safety
policy and the safety management plan or manual. The safety policy should be signed by the most
senior executive and should clearly articulate the organisation's commitment to health and safety,
its objectives, and its willingness to allocate resources (Reason, 1997). The safety management
manual then translates that policy into procedures, responsibilities, and arrangements, and it is
against this document that many of the subsequent records are judged.
Operational documentation forms the next layer of the evaluation. This includes risk assessments,
which must be suitable and sufficient, and method statements that describe how high-risk tasks
will be carried out safely (Health and Safety Executive, 2013). Hazard registers or risk registers
should be reviewed to confirm that hazards have been identified, assessed, prioritised, and
assigned to responsible persons, with evidence of control measures being implemented and
reviewed. Permits to work, lock-out/tag-out records, and confined space entry certificates are also
relevant where high-risk activities take place.
Incident-related documentation is equally important. Accident reports, near-miss reports, and
ill-health records reveal how the organisation detects and responds to failures. The evaluation
should examine not only the reports themselves but also the investigation findings, root cause
analyses, and the corrective and preventive actions that followed, together with evidence that
those actions were completed and effective (Robson et al., 2007). This demonstrates whether the
organisation learns from events or simply records them.
Monitoring and assurance documents provide further evidence. Internal and external audit reports,
inspection checklists, workplace monitoring results (such as noise, dust, or vibration surveys), and
statutory examination certificates for equipment such as pressure systems, lifting gear, and local
exhaust ventilation all fall within scope. Safety committee minutes, toolbox talk records, and safety
briefing registers show how safety information is communicated and discussed.
