The Operator shall have processes to monitor and assess its SMS processes in order to maintain or

continually improve the overall effectiveness of the SMS. [SMS] (GM)

Auditor Actions

Identified/Assessed SMS review process (focus: processes for monitoring and assessing SMS
to maintain/improve safety performance).

Interviewed AE and/or designated management representative(s).

Examined selected examples of output from SMS review process (focus: changes implemented
to maintain/improve organizational safety performance).

Other Actions (Specify)
Guidance
Refer to the IRM for the definitions of Safety Assurance, Safety Action Group (SAG) and Safety
Review Board (SRB).
Safety performance monitoring and measurement is an element of the Safety Assurance component
of the SMS framework.
Monitoring and assessing the effectiveness of SMS processes would normally be the function of a
strategic committee of senior management officials that are familiar with the workings and objectives
of the SMS. Such committee is typically referred to as a Safety Review Board (SRB), which is a very
high level, strategic committee chaired by the AE and composed of senior managers, including
senior line managers responsible for functional areas in operations (e.g. flight operations,
engineering and maintenance, cabin operations).
To ensure frontline input as part of the SMS review process, an operator would form multiple units of
specially selected operational personnel (e.g. managers, supervisors, frontline personnel) that
function to oversee safety in areas where operations are conducted. Such units are typically referred
to as Safety Action Groups (SAGs), which are tactical committees that function to address
implementation issues in frontline operations to satisfy the strategic directives of the SRB.
Expanded guidance may be found in the ICAO SMM, Document 9859.