Appendix B—SMS Required Documentation
This appendix provides an outline of all information that shall be contained in an organization’s SMS written documentation.
(1) Safety Management Plan
(a) Safety policy;
(b) Non-punitive disciplinary policy;
(c) Description of roles, authorities, responsibilities, and accountabilities for safety;
(d) Safety objectives and goals;
(e) Means of performance measurement with respect to meeting safety goals; and
(f) Description of how the management review of the system shall be performed.
(2) Document Management
(a) Description of how applicable regulations are identified, and how changes to the regulations are incorporated into organization documentation;
(b) Description of the process and schedule for review and revision of SMS documentation;
(c) Description of how safety meetings are documented; and
(d) Description of how details of reviews and corrective actions are recorded.
(3) Safety Oversight Plan
(a) Description of the processes for reporting and responding to hazards, safety concerns, accidents and incidents;
(b) Description of how risks are evaluated and classified;
(c) Description of how risk analyses are proactively performed;
(d) Description of how events are investigated and analyzed; and
(e) Description of how risk control strategies are monitored, and how their effectiveness is recorded.
(4) Training
(a) Outline of the SMS training program; and
(b) Description of how staffs training records are maintained.
(5) Quality Assurance
(a) Description of the processes for conducting and documenting internal audits or reviews of operations;
(b) Description of how internal system reviews are conducted;
(c) Description of how results of reviews are communicated to senior management; and
(d) Descriptions of how corrective actions are implemented.
(6) Emergency Response Preparedness—a description of the responsibilities and actions required in the event of an emergency.