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Course 716 - Safety Management System Evaluation

Safety Management System (SMS) Basics


A "system" may be thought of as an orderly arrangement of interdependent activities and related procedures which implement and facilitate the performance of a major activity within an organization. (American Society of Safety Engineers, Dictionary of Terms)

Syssie is a System.
Click to enlarge.

Take a look at Syssie, the cow. Syssie is a system, right? You can tell she's a cow because she looks like one: she has "structure." She needs food, air, water, a suitable environment, tender loving care, and other "inputs" to function properly. We know she has respiratory, digestion, circulation, and many other "processes" inside. Finally, she produces outputs like milk, waste products, and behavior.

Just like Syssie, all organizational systems are composed of the same four basic components:

  1. S tructure
  2. I Inputs
  3. P Processes
  4. O Outputs

If a system does not have adequate structure, inputs, or processes, the outputs will not be those desired. Let's take a closer look at these components as they relate to the safety management system.

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1. A _____ may be thought of as an orderly arrangement of activities and related procedures which implement and facilitate the performance of a major activity within an organization.

a. program
b. plan
c. system
d. process

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Safety Management Systems Structure

All Systems have structure.

The structure of an SMS can take many forms. All safety management systems function within and support the company's operations system. Remember safety managers and staff exist to help (assist) the line organization, not control it. Safety people are consultants, not cops!

We'll discuss a simple structure that includes four basic positions; safety manager, safety engineer, human resources coordinator, and the safety committee. Actually, there's really no one-fits-all structure. In a small company, one person may fulfill duties in each of the four positions. In larger companies, each position may be filled by an individual.

Safety in an Organization

It's important to understand where the safety function "fits" in an organization. Some organizations make the "mistake" of thinking safety is primarily a human resource function: It's not. Although HR is an important part of the SMS, it's not the center or hub of the system. Safety is a primary function of operations. It relates directly to the quality of the production/service process within the organization. Therefore, the system usually works best when the safety manager reports to the top operational decision-maker. With this in mind, let's discuss each of these positions.

2. All safety management systems function within and support the company's _____.

a. human resources department
b. safety department
c. safety culture
d. operations system

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Kevin Burns - Make Your Safety Job Redundant

Safety Manager (SM)

The safety manager has overall responsibility to manage the SMS, but primarily focuses on the physical safety and health of employees using administrative controls to limit exposure to hazards. This position most effectively reports to the head of operations. In larger companies, the safety manager is usually the in-house subject matter expert on mandated OSHA programs. Also, this person will be the primary consultant to the employer on safety-related matters. He or she will also help the safety committee as a consultant. It's usually best if the safety manager is a consultant to, but not a member of, the safety committee. When the safety manager is also a safety committee member, he or she usually winds up filling the chairperson position and does "all the work."

Typical programs for which the SM is responsible include:

  • Safety Training Program
  • Incident/Accident Analysis Program
  • All mandated OSHA programs - confined space, hazard communications, etc.
  • Job Hazard Analysis

Typical duties that are performed by the SM include:

  • Manages all areas of the SMS
  • Conducts inspections and audits
  • Ensures compliance with all mandated OSHA programs
  • Consults with the Safety committee, safety engineer, and human resources coordinator
  • Conducts research, analysis and evaluation to improve the SMS

3. Who has overall responsibility to manage the company's Safety Management System (SMS)?

a. Safety manager
b. Safety committee
c. Human resource manager
d. Safety engineer

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The safety engineer is responsible for developing engineering controls to eliminate or reduce hazards that might cause serious injuries.

Safety Engineer (SE)

The first question to ask when a hazard is identified in the workplace is, "How can we engineer the hazard out"? The safety engineer usually works in the maintenance or engineering department and would be responsible for developing engineering controls to eliminate or reduce hazards that might cause serious injuries. Consequently, the safety engineer needs additional training in "engineering" topics such as eliminating hazards associated with machine guarding, electrical, and lockout/tagout.

Examples of programs in which the safety engineer may be involved include:

  • Lockout/Tagout
  • Electrical Safety
  • Walking-Working Surfaces
  • Machine Guarding

Examples of duties for which the safety engineer may be responsible for include:

  • Conducts inspections and audits
  • Ensures safety consideration in purchase of tools, equipment, machinery
  • Consults with the Safety manager and committee
  • Conducts research, analysis and evaluation to improve safety in the workplace

4. In which program would the safety engineer be responsible for identifying and controlling hazards that might cause serious injury?

a. Safety Recognition
b. Lockout/Tagout
c. Emergency Action Plan
d. Behavior-Based Safety

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The HR coordinator is primarily assigned responsibility for the quality of programs that affect the psychosocial health of employees.

Human Resource Manager/Coordinator (HR)

This position is primarily assigned responsibility for the quality of programs that affect the psychosocial health of employees. Depending on what works best, this person may or may not be a member of the safety committee.

Typical programs in which the HR Manager/Coordinator has primary responsibility includes

  • Employee Assistance Program (EAP)
  • Drug Free Workplace (DFW)
  • Early-Return-To-Work (ERTW - Light Duty)
  • Workplace Violence Prevention Program (WVPP)
  • Incentives and Recognition Program
  • Claims management
  • Accountability Program
  • New employee orientation

Typical duties assigned to the HR Manager/Coordinator include each of the following:

  • Conducts audits of safety- and health-related HR programs
  • Designs and implements incentive and recognition programs
  • Maintains safety and health records
  • Conducts disciplinary actions
  • Conducts training on HR-related programs
  • Consults with the safety committee on HR-related issues

5. Who is assigned responsibility for management of programs that affect the psychosocial health of employees?

a. Human Resource Manager/Coordinator
b. Accountability Program Manager
c. Safety Manager
d. Department Supervisors

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The safety committee helps the safety manager identify, analyze, and evaluate the design and performance of the SMS.

Safety Committee (SC)

In some states employers are required to have a safety committee. Even when safety committees are not required, it's smart business to have one. This in-house consultant team acts as the "eyes and ears," for the SM by collecting data.

The committee helps the SM identify, analyze, and evaluate the design and performance of the SMS. The SC provides data to the safety manager, safety engineer and human resource coordinator. The committee usually submits recommendations and reports to the safety manager.

Programs the safety committee may be involved with include:

  • Incident/Accident Analysis Program
  • Accountability System
  • Safety Inspection Program

Duties the safety committee may be assigned include:

  • Conducts safety inspections
  • Evaluate the accountability system
  • Develop incident and accident procedures
  • Ensure effective reporting of concerns
  • Observe conditions and behaviors
  • Conduct surveys and interviews

6. The safety committee acts as _____ within a company.

a. the facility auditing department
b. the enforcement wing for safety
c. an internal consultant team
d. an internal security team

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All Systems Behave

Remember Syssie? Well, just like Syssie the cow, the SMS behaves in a way that is unique to each organization. The behaviors occur as individual actions and SMS processes, each with a number of unique set of activities and procedures. A system performance evaluation looks at how well these actions and processes are working. Primary SMS activities and processes include the following:

  • Commitment - leading, following, managing, planning, funding
  • Accountability - role, responsibility, discipline
  • Involvement - safety committees, suggestions, recognizing/rewarding
  • Identification - inspections, observations, surveys, interviews
  • Analysis - incidents, accidents, tasks, programs, system
  • Controls - engineering, management, PPE, interim measures, maintenance
  • Education - orientation, instruction, training, personal experience
  • Evaluation - judging effectiveness of conditions, behaviors, systems, results
  • Improvement - change management, design, implementation

7. Inspections, observations, surveys, and interviews are activities within the safety management system _____ process.

a. analysis
b. identification
c. improvement
d. involvement

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Quality In: Quality Out

If the system provides quality inputs and effectively performs activities and procedures, the outputs (effects) are likely to be those desired and intended. Remember, quality in likely means quality out.

  • Short-term results are usually specific observable-measurable conditions and behaviors.
  • Long-term outcomes are not so easy to see and effect the entire organization.

Examples of results and outputs include:

    • Safe/Unsafe conditions, behaviors - results. An unguarded machine and working at elevation without fall protection.
    • Many/Few incidents and accidents - results. Incidents and accident results on a construction project.
    • High/Low accident costs - results. Workers' compensation costs and accident rates.
    • High/Low productivity, morale, trust - outcomes. Production costs and employee turnover.
    • High/Low employee physical and mental health - outcomes. Stress and employee violence.

8. Which of the following is an example of a long-term failure of the safety management system?

a. An unguarded machine
b. Horseplay in the maintenance shop
c. Low morale and productivity
d. An employee gets injured

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What does this principle mean?

Every system is designed perfectly to produce what it produces.


Every organization has a safety management system. In fact, you cannot NOT have a safety management system. Any system, whether it's Syssie the cow, or a complex safety management system can get sick if it's not designed properly and deployed effectively. Just like Syssie, your safety management system will produce only what it is designed to produce. It can't produce anything else.

If your safety management system results in symptoms like poor employee safety performance and high accident rates, it's because the safety management system has been, you guessed it, perfectly designed to produce those results. Basically, The symptoms (unsafe behaviors, hazardous conditions) will not arise if you can eliminate the causes (safety management system weaknesses).

Bottom line idea: You can determine the health of your SMS by analyzing the symptoms.

9. The _____ will not arise if you can eliminate the _____.

a. symptoms, causes
b. causes, symptoms
c. solutions, problems
d. causes, solutions

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This is a good overview of the components of an SMS that apply not only to aviation, but to all industries. (34:59)

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