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GACA العلانيه العامه للطيران المحيي General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="6">ASSESSMENT INFORMATION</td></tr><tr><td>Assessment Completion Date</td><td colspan="5"></td></tr><tr><td>Certificate Holder Name</td><td colspan="2"></td><td colspan="2">Certificate Number</td><td></td></tr><tr><td>Post Holder Name</td><td colspan="2"></td><td colspan="2">Post Holder Title</td><td></td></tr><tr><td rowspan="2">GACA Assessment Team</td><td>Assessor 1</td><td></td><td colspan="2">Assessor 2</td><td></td></tr><tr><td>Assessor 3</td><td></td><td colspan="2">Assessor 4</td><td></td></tr><tr><td>Assessor Name</td><td colspan="2"></td><td colspan="2">Signature</td><td></td></tr></table> ASSESSMENT SUMMARY <table><tr><td colspan="9">EFFECTIVENESS ASSESSMENT RESULTS (ONLY USE FOR EFFECTIVENESS ASSESSMENT)</td></tr><tr><td></td><td>Safety Policy (Weight-20%)</td><td colspan="2">Safety Risk Management (Weight-25%)</td><td colspan="2">Safety Assurance (Weight-30%)</td><td colspan="2">Safety Promotion (Weight-15%)</td><td>SMS Documentation and Recordkeeping (Weight-10%)</td></tr><tr><td>Number of Effective Indicators (N1, N2, N3, N4, N5)</td><td>N1 = (out of 14)</td><td colspan="2">N2 = (out of 6)</td><td colspan="2">N3 = (out of 11)</td><td>N4 = (out of 5)</td><td colspan="2">N5 = (out of 3)</td></tr><tr><td>Percentage of Effectiveness (Element)</td><td>N1/14x100= %</td><td colspan="2">N2/6x100= %</td><td colspan="2">N3/11x100= %</td><td>N4/5x100= %</td><td colspan="2">N5/3x100= %</td></tr><tr><td>Index of Effective Indicators</td><td>N1/14x20= (a)</td><td colspan="2">N2/6x25= (b)</td><td colspan="2">N3/11x30= (c)</td><td>N4/5x15= (d)</td><td colspan="2">N5/3x10= (e)</td></tr><tr><td>Total Effectiveness Achieved</td><td colspan="8">a + b + c + d + e = % SMS Effectiveness</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 1 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST SUBPART B – SAFETY POLICY (Element 1) SAFETY POLICY (1.1) 1.1.1 There is a safety policy, signed by the Accountable Executive, which includes a commitment to continuous improvement, defines the organisation's safety objectives, and reflects the organisation's commitment to promoting a positive safety culture <table><tr><td>Guidance</td><td>- Ask for a copy of the Safety Policy- Check that the policy is signed by the Accountable Executive- Read the policy and confirm it clearly includes:• A commitment to safety• A commitment to continuous improvement• Clear safety objectives• A commitment to a positive safety culture- Review the wording of the policy and confirm it is:• Clear• Easy to understand• Relevant to the organisation's actual operations- Check the last review date of the policy- Check if a review cycle is defined (for example, every two years)- Confirm that the review cycle is being followed- Verify that the latest version was approved by the Accountable Executive- Speak with the Accountable Executive to see if they can explain the policy in their own words- Confirm that the Accountable Executive shows real commitment to continuous improvement- Look for visible leadership involvement in safety activities- Confirm that the policy is actively used in the organisation, not just kept on file</td></tr><tr><td>Reference</td><td>GACAR 5: 5.21 (a) (1) & (2) - 5.21 (c) - 5.21 (e)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 2 of 79 GACA العربيه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="5">1.1.1 Evaluation</td></tr><tr><td colspan="2">□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td colspan="2">Safety policy is signed by the Accountable Executive.</td><td>The safety policy is easy to read and clearly communicates the organisation's commitment to safety, continuous improvement, safety objectives, and the promotion of a positive safety culture.</td><td>The safety policy is reviewed regularly by the Accountable Executive to ensure it remains relevant to the organisation.</td><td>The Accountable Executive is familiar with the contents of the safety policy and committed to continuous improvement.</td></tr><tr><td>How it is achieved</td><td></td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 3 of 79 GACA العلانيه الخاصه للطيران المجتمع General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="2">1.1.2 The safety policy includes a statement to provide appropriate SMS resources, and the organisation is managing resources by anticipating and addressing any shortfalls.</td></tr><tr><td>Guidance</td><td>- Check that the safety policy includes a clear statement about providing SMS resources- Confirm that the policy refers to:• Financial resources• Human resources• Technical resources- Ask how the organisation decides what SMS resources it needs- Look for evidence of a formal process to assess resource needs- Ask how the organisation identifies any shortage in SMS resources- Check how resource gaps are recorded or tracked- Review how resource shortfalls are addressed- Confirm that SMS staff are competent and Sufficient in number- Check that SMS resources are properly established and maintained- Check how the Accountable Executive ensures resources are made available- Look for evidence such as:• SMS budget allocations• Approved SMS positions• Tools and systems used to support SMS- Confirm that resources are:• Planned, not only added after problems occur- Adjusted when the organisation or operations change</td></tr><tr><td>Reference</td><td>GACAR 5: 5.21 (a) (3)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 4 of 79 GACA العربيه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST 1.1.2 Evaluation <table><tr><td colspan="2">□ Present</td><td>□ Suitable</td><td colspan="2">□ Operating</td><td>□ Effective</td></tr><tr><td colspan="2">A clear statement about the provision of the necessary resources for the implementation of the SMS.</td><td>There is a process for assessing resources and addressing any shortfalls.</td><td colspan="2">The organisation is assessing and providing the necessary resources for the implementation of the SMS.</td><td>Competent and adequate SMS resources are established and sustained. The accountable executive ensures financial, human and technical resources are available to support the implementation of SMS.</td></tr><tr><td>How it is achieved</td><td colspan="2"></td><td>Comments</td><td colspan="2"></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 5 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST 1.1.3 There is a means in place for the communication of the safety policy. <table><tr><td>Guidance</td><td>- Check how the safety policy is communicated within the organisation- Ask for evidence of communication methods used for the safety policy- Confirm that communication clearly covers:ResponsibilitiesAccountabilityAuthority of the Accountable ExecutiveAuthority of safety personnel- Check that the safety policy is:Cloarly visible to all staffDisplayed at all relevant sites and facilitiesConfirm that the policy is:Easy to understandAvailable in the right languages, where neededVerify that the policy is communicated to:All employeesContracted staffExternal organisations involved in operationsConfirm that safety policy awareness is:Widespread across the organisationNot limited to management onlyLook for evidence such as:Policy briefingsInduction trainingSafety meetingsInternal communicationsConfirm that communication of the safety policy is ongoingNot just a one-time activity or operations change</td></tr><tr><td>Reference</td><td>GACAR 5: 5.21 (b) - 5.21 (d)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 6 of 79 GACA العربيه العامه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="4">1.1.3 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td>There is a means in place for the communication of the safety policy including responsibilities, accountability, and authority of the accountable executive and safety personnel.</td><td>The safety policy is clearly visible to all staff (consider multiple sites).The safety policy is understandable (consider multiple languages).</td><td>The safety policy is communicated to all personnel (including relevant contract staff and organisations).</td><td>People across the organisation are familiar with the policy and can describe their obligations in respect of the safety policy.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 7 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="2">1.1.4 The Accountable Executive and the senior management team promote a positive safety culture and demonstrate their commitment to the safety policy through active and visible participation in the safety management system.</td></tr><tr><td>Guidance</td><td>- Verify the policy includes a documented commitment to safety- Look for evidence of visible leadership involvement, such as:• Participation in safety meetings• Safety walk-arounds• Safety briefings• Safety campaignsLook for evidence of:• Leadership engagement with staff on safety• Safety feedback mechanisms• Management response to safety concerns- Ask staff:• If they feel encouraged to report safety issues• If they feel they are treated fairly and justly- Look for evidence that:• Safety is prioritized in management decisions• Safety objectives influence operational decisions- Check for:• Staff participation in safety initiatives• Safety suggestions and improvement actions</td></tr><tr><td>Reference</td><td>GACAR 5: 5.21 (a) (2)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 8 of 79 GACA العلانيه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="4">1.1.4 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td>The organization commitment to safety is documented within the safety policy.</td><td>The policy expresses a strong, visible commitment to fostering a positive safety culture, including principles such as openness, trust, fair and just treatment, encouragement of safety reporting, and shared responsibility.</td><td>Safety-related expectations are consistently communicated and reinforced through leadership engagement, team meetings, and feedback mechanisms.</td><td>The safety commitment is visibly upheld by leadership and staff, evidenced by increased engagement in safety initiatives, decision-making that prioritises safety, and alignment with the organisation's overall SMS effectiveness.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 9 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST 1.1.5 There is a safety reporting policy that defines requirements for employee reporting of safety hazards or issues and for reporting safety data and issues to the President <table><tr><td>Guidance</td><td>- Ask for a copy of the Safety Reporting Policy- Check that the policy clearly explains:· What employees must report· What safety data and issues must be reported to the President- Review the policy to confirm it clearly states:· Which hazards and safety issues must be reported· What type of safety data must be reported· How reports are submitted· Who is responsible for reporting (employees and management)- Check that the policy aligns with:· The organisation's safety objectives· Safety reporting principles- Speak with employees and managers to confirm:· They know how to submit a safety report· They have used the reporting system before Confirm that safety reporting is:· Actively used by employees· Actively used by management- Check that safety data and issues are:· Shared with the President· Communicated through clear and defined channels- Look for evidence such as:· Submitted safety reports· Records of escalation to senior management· Safety data shared with the President· Confirm that reporting is timely, accurate and complete- Check that reported safety issues result in:· Management awareness· Decisions being made· Corrective or preventive actions</td></tr><tr><td>Reference</td><td>GACAR 5: 5.21 (a) (4)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 10 of 79 GACA العربيه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="2">1.1.5 Evaluation</td><td colspan="2"></td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td>A documented safety reporting policy exists, outlining reporting requirements for employees and for communication to the President.</td><td>The policy clearly defines what hazards, issues, or safety data must be reported, the reporting process, and the responsibilities of employees and management, ensuring alignment with safety objectives.</td><td>Employees and management actively follow the reporting policy, submitting safety reports and communicating relevant safety data to the President as required.</td><td>The policy effectively ensures timely, accurate, and complete reporting of safety issues, enabling senior management to monitor safety performance, make informed decisions, and take corrective or preventive actions.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 11 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="2">1.1.6 A just culture policy and principles have been defined that clearly identifies acceptable and unacceptable behaviours to promote a just culture.</td></tr><tr><td>Guidance</td><td>- Ask for a copy of the Just Culture Policy- Check that the policy clearly defines: · Acceptable behaviours · Unacceptable behaviours · Conditions under which disciplinary action may apply- Confirm that the policy gives clear examples such as: · Illegal activity · Negligence · Wilful misconduct- Check that the policy clearly reflects just culture principles- Confirm that the policy is written in a way that allows it to be applied consistently across the organisation- Look for evidence that the policy is: · Communicated to staff · Reinforced through training or briefings- Speak staff to confirm: · If they are aware of the just culture policy · If they trust the policy- Look for evidence that the policy is: · Applied fairly · Applied in a consistent way- Look for records or examples such as: · Case reviews · Decisions made in line with the just culture policy · Similar events being treated in a consistent manner</td></tr><tr><td>Reference</td><td>GACAR 5: 5.21 (a) (5)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 12 of 79 GACA العربيه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="5">1.1.6 Evaluation</td></tr><tr><td colspan="2">□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td colspan="2">There is a policy that defines unacceptable behaviour and conditions for disciplinary action.</td><td>The policy clearly identifies unacceptable behaviours, including the conditions under which punitive action would be considered (e.g. illegal activity, negligence or wilful misconduct). The principles ensure that the policy can be applied consistently across the whole organisation.</td><td>There is evidence of the just culture policy and supporting principles being applied and promoted to staff.</td><td>The just culture policy is applied in a fair and consistent manner and staff trust the policy.There is evidence that the line between acceptable and unacceptable behaviour has been determined in consultation with staff and staff representatives.</td></tr><tr><td></td><td colspan="2">How it is achieved</td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 13 of 79 GACA العلانيه للطيران المحيي General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST SAFETY ACCOUNTABILITY, AUTHORITY AND RESPONSIBILITIES (1.2) <table><tr><td colspan="2">1.2.1 An Accountable Executive has been appointed with full responsibility and accountability to ensure the SMS is properly implemented and performing effectively.</td></tr><tr><td>Guidance</td><td>- Ask for evidence of the formal appointment of the Accountable Executive- Confirm that the Accountable Executive has ultimate accountability for the SMS- Check that the Accountable Executive is: · The final authority over operations · In control of financial resources · In control of human resources · Ultimately responsible for safety performance- Check that the Accountable Executive is: · Clearly identified in SMS documents · Named in organisational and governance documents- Confirm that the Accountable Executive's SMS roles and responsibilities are clearly described- Check that the Accountable Executive: · Is fully aware of their SMS duties · Does not pass overall accountability to the Safety Manager- Speak with staff to confirm: · Whether the Accountable Executive is accessible · Whether staff can raise safety issues directly- Look for evidence that the Accountable Executive: · Monitors SMS performance · Reviews SMS performance · Supports SMS improvements- Check for involvement in: · SMS reviews · Safety meetings · Senior management safety discussions- Confirm that SMS performance is: · Tracked at senior leadership level · Linked to management decisions</td></tr><tr><td>Reference</td><td>GACAR 5: 5.23 (a) (1) - 5.25 (a) (2)(3) & (4)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 14 of 79 GACA العربيه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="5">1.2.1 Evaluation</td></tr><tr><td colspan="2">□ Present</td><td>□ Suitable</td><td colspan="2">□ Operating</td></tr><tr><td colspan="2">An Accountable Executive has been appointed with ultimate accountability for the SMS.</td><td>The Accountable Executive is the final authority over operations; controls the financial resources; controls the human resources required for the operations and retains ultimate responsibility for the safety performance of the operations.</td><td colspan="2">The Accountable Executive is fully aware of their SMS roles and responsibilities. The Accountable Executive is accessible to the staff in the organisation.</td></tr><tr><td>How it is achieved</td><td colspan="2"></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 15 of 79 GACA العلنيه العامه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST 1.2.2 The Accountable Executive is fully aware of their SMS roles and responsibilities in respect of the safety policy, safety standards, and safety culture of the organisation. <table><tr><td>Guidance</td><td>- Check that the Accountable Executive's SMS roles and responsibilities are clearly written and documented- Confirm that these responsibilities clearly include: Making sure the SMS is implemented across all areas Making sure the SMS is working effectively Developing and signing the safety policy Communicating the safety policy across the organisation Regularly reviewing the safety policy Reviewing safety performance Acting when safety performance is below standard Making sure accidents and incidents are reported in line with GACAR Promoting a reporting culture Supporting voluntary reporting to the President- Check that the Accountable Executive has documented authority to stop operations when safety risk becomes unacceptable- Look for evidence that the Accountable Executive: Reviews safety performance reports Approves safety-related actions Supports SMS improvement initiatives- Check that SMS performance is: Reviewed at senior management level Tracked through management review processes- Look for evidence of: Accountable Executive participation in management meetings Accountable Executive endorsement of safety communications Accountable Executive approval of safety resources and actions- Confirm that the Accountable Executive's responsibilities are: Built into governance documents Visible in real, day-to-day organisational practice</td></tr><tr><td>Reference</td><td>GACAR 5: 5.25 (b)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 16 of 79 GACA العربيه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="5">1.2.2 Evaluation</td></tr><tr><td colspan="2">□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td colspan="2">An Accountable Executive has been appointed with full responsibility for the SMS.</td><td>SMS responsibilities of the Accountable Executive include but not limited to the responsibilities in GACAR 5: 5.25 (b)</td><td>The Accountable Executive ensures that the SMS is properly resourced, implemented, and maintained, and has the authority to stop the operation if there is an unacceptable level of safety risk.</td><td>The Accountable Executive ensures that the performance of the SMS is being monitored, reviewed, and improved.</td></tr><tr><td>How it is achieved</td><td colspan="2"></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 17 of 79 GACA العلانيه للطيران المدنيه General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST 1.2.3 Safety accountabilities, authorities, and responsibilities are defined and documented throughout the organisation and staff understand their own responsibilities. <table><tr><td>Guidance</td><td>- Ask to see documents that show who is responsible for safety and what their authority is- Check that safety responsibilities are defined for: · Managers (excluding the Accountable Executive and Safety Manager) · Supervisors · Operational staff- Review the way responsibilities are written and confirm they are: · Clear · Linked to each role · Not generic or copied- Check that the structure of responsibilities: · Does not overlap between roles · Avoids confusion in who can decide what · Supports clear and practical decision-makingConfirm that safety responsibilities appear in: · Job descriptions · Organizational charts · SMS manuals or procedures- Confirm what happens in day-to-day operations match documented roles and responsibilities- Ask staff to explain what their safety responsibilities are- Look for evidence that: · No managers are actively using their safety authority · Safety decisions are taken at the right level- Confirm that safety responsibilities are: · Understood across different levels of the organisation · Not limited to management only- Look for signs of: · Strong ownership of safety by staff · Clear lines of safety authority · Safety decisions linked to defined responsibilities</td></tr><tr><td>Reference</td><td>GACAR 5: 5.21 (d) - 5.23 (a) (2 & 3) - 5.23 (b)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 18 of 79 GACA العربيه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="2">1.2.3 Evaluation</td><td colspan="2"></td><td></td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td>The safety accountability, authorities, and responsibilities of staff (other than the accountable executive and safety manager) are clearly defined and documented.</td><td>The defined accountabilities, authorities and responsibilities are comprehensive, role-specific, and structured in a way that ensures clarity, avoids overlap, and supports consistent application across the organisation.</td><td>Staff are aware of and apply their defined safety responsibilities, with accountabilities and authorities actively exercised in daily operations.</td><td>The clear definition and consistent application of accountabilities and responsibilities ensure strong ownership of safety at all levels, robust lines of authority, and effective decision-making, thereby reinforcing organisational safety performance and the overall effectiveness of the SMS.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 19 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST 1.2.4 A competent safety manager who is responsible for the implementation and maintenance of the SMS has been appointed with a direct reporting line to the Accountable Executive. <table><tr><td>Guidance</td><td>- Ask for evidence that a Safety Manager has been formally appointed- Confirm that the Safety Manager is: • Responsible for implementing the SMS • Responsible for maintaining the SMS- Check that the Safety Manager has a direct reporting line to the Accountable Executive- Verify that the Safety Manager is Acceptable to the President- Review the Safety Manager's background to confirm they are: • Competent in SMS • Properly qualified • Experienced for the size and complexity of the organisation- Confirm that the Safety Manager is fully aware of their SMS responsibilities- Look for evidence that the Safety Manager implemented and is actively maintaining the SMS- Check that the Safety Manager: • Is in regular communication with the Accountable Executive • Escalates safety issues when needed • Is accessible and approachable to staff on safety matters- Look for evidence that the Safety Manager: • Identifies safety issues and SMS improvements • Acts on improvements in a timely manner- Look for evidence that the Safety Manager: • Is formally involved in safety-related management meetings • Is consulted on major safety decisions • Provides input into risk assessments and safety actions • Has direct access to the Accountable Executive on safety matters • Submits safety performance reports to decision-makers • Has safety recommendations accepted and acted upon- Look for evidence that the Safety Manager is involved in: • Change management • Safety investigations • Safety performance reviews</td></tr><tr><td>Reference</td><td>GACAR 5: 5.25 (c) - 5.25 (d)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 20 of 79 GACA العربيه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="4">1.2.4 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td>A safety manager who is responsible for the implementation and maintenance of the SMS has been appointed with a direct reporting line to the Accountable Executive.</td><td>The safety manager is competent and fully aware of the SMS responsibilities. The safety Manager is acceptable to the President.</td><td>The safety manager has implemented and is maintaining the SMS. The safety manager is in regular communication with the Accountable Executive and escalates safety issues when appropriate. The safety manager is accessible to staff in the organisation.</td><td>The safety manager is competent to manage the SMS and identifies improvements in a timely manner. The Safety Manager has direct access to the Accountable Executive, escalates safety issues when needed, and their safety recommendations lead to real actions and improvements.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 21 of 79 GACA الطبيه العامه للطيران المدن General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST 1.2.5 The organisation has established appropriate safety committee(s) that discuss and address safety risks and compliance issues and includes the Accountable Executive and the heads of functional areas. <table><tr><td>Guidance</td><td>- Ask for evidence that safety committee(s) have been formally established- Check that the safety committee structure: · Supports the SMS across the organisation · Has a clear purpose and scope- Confirm that the scope of the safety committee includes safety risks and compliance issues- Check that the highest-level safety committee includes: · The Accountable Executive · The heads of key functional areas- Review meeting records to confirm: · Meetings are taking place · Attendance is recorded · Safety topics are discussed · Actions are documented- Check that the safety committee: · Monitors SMS effectiveness · Monitors compliance monitoring activities- Look for evidence that the committee reviews whether sufficient resources are available for SMS and compliance- Check that actions raised by the committee are tracked- Confirm that: · Safety objectives and SPIs are reviewed · Safety performance is discussed- Check that safety committees include relevant key stakeholders- Look for evidence that: · Meeting outcomes are documented · Decisions are communicated · Actions are agreed, taken, and followed up in a timely manner- Confirm that: · Safety performance and safety objectives are regularly reviewed · Necessary actions are taken based on the review</td></tr><tr><td>Reference</td><td>GACAR 5: 5.23 (a) (2) (I, ii & iv) - 5.25 (b) (5)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 22 of 79 GACA العربيه للطيران المحيي General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="4">1.2.5 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td>The organisation has established safety committee(s).</td><td>Safety committee(s)' structure and frequency support the SMS functions across the organisation. The scope of the safety committee(s) includes safety risks and compliance issues. The attendance of the highest-level safety committee includes at least the Accountable Executive and the heads of functional areas.</td><td>There is evidence of meetings taking place detailing the attendance, discussions, and actions. The safety committee(s) monitor the effectiveness of the SMS and compliance monitoring function by reviewing there are sufficient resources. Actions are being monitored and appropriate safety objectives and SPIs have been established.</td><td>Safety committees include key stakeholders. The outcomes of the meetings are documented and communicated, and any actions are agreed, taken, and followed up in a timely manner. The safety performance and safety objectives are reviewed and actioned as appropriate.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 23 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST EMERGENCY RESPONSE PLANNING (1.3) <table><tr><td colspan="2">1.3.1 An appropriate emergency response plan (ERP) has been developed and distributed that defines the procedures, roles, responsibilities, and is periodically tested for the adequacy of the plan and the results reviewed to improve its effectiveness.</td></tr><tr><td>Guidance</td><td>- Ask for a copy of the Emergency Response Plan (ERP)- Check that the ERP is: · Appropriate for the size and complexity of the organisation · Coordinated across relevant departments- Confirm that the ERP clearly defines: · Emergency procedures · Roles and responsibilities · Actions required during emergencies · Responsibilities of different internal and external organisations- Check that key personnel always have easy access to the relevant parts of the ERP- Review how the organisation: · Tests the ERP · Defines the frequency of testing · Defines the testing methods- Check that the ERP includes: · Coordination with external organisations · Coordination with non-aviation organisations, where applicable · Look for evidence that the ERP is reviewed regularly and is updated when needed- Check that ERP tests and exercises are conducted- Look for evidence of: · Exercise records · Drills · Table-top exercises- Check that the organisation: · Reviews the results of ERP tests · Identifies lessons learned- Confirm that: · Improvement actions are raised · Improvement actions are tracked · Improvements are implemented to strengthen the ERP</td></tr><tr><td>Reference</td><td>GACAR 5: 5.21 (a) (6) - 5.27 (a), (b) (1) (2) (3) (4) (5) & (6)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 24 of 79 GACA العربيه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="4">1.3.1 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td>A coordinated ERP has been developed and defined which is appropriate to the size and complexity of the certificate holder's organization.</td><td>Key personnel always have easy access to the relevant parts of the ERP. The ERP defines the procedures, roles, responsibilities, and actions of the various organisations and key personnel.The frequency and methods for testing the ERP are defined. The coordination with other organisations (including non-aviation organisations) is defined with appropriate means.</td><td>The ERP is reviewed and tested to make sure it remains up to date. There is evidence of coordination with other organisations as appropriate.</td><td>The results of the ERP review and testing are assessed and actioned to improve its effectiveness.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 25 of 79 GACA العلنيه العامه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="2">1.3.2 An appropriate family assistance plan has been developed as part of the emergency response plan (ERP), and is periodically tested for the adequacy (Only applicable for commercial air operator certificated under GACAR Part 119 and operating under GACAR Part 121 or Part 135 and aerodrome operators under GACAR Part 139)</td></tr><tr><td>Guidance</td><td>- Ask for a copy of the Family Assistance Plan- Confirm that the plan is formally developed as part of the ERP- Check that the plan explains how the organisation will support: Families of passengers Families of crew members Confirm that the plan clearly addresses: Timeliness of support Sensitivity in dealing with families Dignity and respect Material support Psychological, emotional and mental support, as appropriate- Review how the organisation: Tests the Family Assistance Plan Defines the testing frequency- Look for evidence that the plan is: Reviewed periodically Updated when needed- Check that tests or exercises are conducted- Look for evidence of: Exercise reports Drill records Lessons learned- Confirm that: Results of reviews and tests are assessed Improvement actions are identified Improvements are implemented to strengthen the plan</td></tr><tr><td>Reference</td><td>GACAR 5: 5.27 (c) (1) (2) & (3)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 26 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="5">1.3.2 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td colspan="2">□ Effective</td></tr><tr><td>Family assistance plan has been developed.</td><td>The plan describes how the certificate holder will provide the families of passengers and crew members involved in aircraft accidents with material and spiritual help by complying with the basic principle of timeliness, sensitivity, dignity and respect.</td><td>The family assistance plan is ready to be executed, is reviewed and tested to ensures its effectiveness.</td><td colspan="2">The results of the family assistance plan review and testing are assessed and actioned to improve its effectiveness.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td colspan="2"></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 27 of 79 GACA الحياء للطيران المحيي General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST SAFETY OBJECTIVES (1.4) <table><tr><td colspan="2">1.4.1 Safety objectives have been established that are consistent with the safety policy and they are communicated throughout the organisation.</td></tr><tr><td>Guidance</td><td>- Ask for a list of the organisation's safety objectives- Confirm that the safety objectives are: · Clearly established · Consistent with the safety policy · Check that the safety objectives are: · Relevant to the organisation's activities · Meaningful for the type of operation · Confirm that the safety objectives are: · Easy to understand · Written in clear language · Check that the safety objectives are: · Clearly visible to staff · Communicated across the organisation · Review how the safety objectives are: · Communicated to employees · Included in internal communications · Check that the safety objectives are regularly reviewed by the Accountable Executive · Look for evidence that: · Senior management monitors the achievement of safety objectives · Progress against the objectives is tracked · Confirm that actions are taken when objectives are not being met · Check that the organisation's safety objectives are aligned with the State Safety Program (SSP) safety objectives · Look for evidence such as: · Safety performance reports linked to objectives · Management reviews of objective achievement · Decisions taken to improve safety performance</td></tr><tr><td>Reference</td><td>GACAR 5: 5.29 (a) (b) & (c)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 28 of 79 GACA العربيه العامه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="4">1.4.1 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td>Safety objectives have been established that are consistent with the safety policy and there is a means to communicate them throughout the organisation.</td><td>Safety objectives are relevant to the organisation and its activities.Safety objectives are understandable and clearly visible.</td><td>Safety objectives are being regularly reviewed by the accountable executive and are communicated throughout the organisation.</td><td>Achievement of the safety objectives is being monitored by senior management and action taken to ensure they are being met.Safety objectives are aligned with The State Safety Program (SSP) safety objectives.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 29 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST SUBPART C – SAFETY RISK MANAGEMENT (ELEMENT 2) SYSTEM ANALYSIS AND HAZARD IDENTIFICATION (2.1) 2.1.1 There is a process for analysing the organisation's systems and operations to support the identification of hazards <table><tr><td>Guidance</td><td>- Ask for evidence that the organisation has a process to analyse its systems and operations- Check that the system analysis looks at:· The function and purpose of the system· The operating environment· The main processes and procedures· The personnel involved· The equipment used· The facilities required- Confirm that system analysis is:· Planned· Conducted as part of normal operations- Look for documented evidence such as:· System descriptions· Process maps· Operational flow charts· Change impact assessments- Check that the results of system analysis are:· Recorded· Used as input for hazard identification· Used in safety risk management- Confirm that system analysis:· Supports early detection of hazards· Is not only done after incidents- Look for evidence that:· Lessons learned from analysis are captured· Improvements are fed back into system design or procedures- Confirm that system analysis:· Supports continuous improvement· Influences how operations are designed or changed</td></tr><tr><td>Reference</td><td>GACAR 5: 5.53 (a) (b)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 30 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="4">2.1.1 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td>There is a process for analysing the organisation's systems and operations.</td><td>The system analysis process considers:- Function and purpose of the system.- System's operating environment.- An outline of the system's processes and procedures.- Personnel, equipment, and facilities required for its operation</td><td>System analysis is conducted as planned, with results documented and used as an input for hazard identification and safety risk management.</td><td>System analysis reliably supports proactive and predictive hazard detection.Lessons learned from analysis are integrated into future system design or operational procedures, supporting continuous improvement.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 31 of 79 GACA اللغه العربيه للطيران المحيي General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST 2.1.2 There is a process that defines how hazards are identified from multiple sources through reactive and proactive methods (internal and external). <table><tr><td>Guidance</td><td>- Ask for evidence that the organisation has a defined process for identifying hazards- Check that hazard identification is applied when: · New systems are introduced · Existing systems are changed · Operational procedures are developed or revised · Safety assurance identifies ineffective controls or new risks- Confirm that hazard identification focuses on: · Conditions that could lead to unsafe aircraft operations · Risks linked to aviation equipment, products, and services- Check that the hazard identification process includes: · Internal sources (e.g. reports, audits, investigations) · External sources (e.g. manufacturers, regulators, industry data) · Reactive methods (accidents, incidents, findings) · Proactive methods (risk assessments, system changes, trend analysis)</td></tr><tr><td>Guidance</td><td>- Hazards are formally identified and documented · Human factors and organisational factors linked to hazards are also identified.- Ask to see the organisation's hazard register- Check that the hazard register is: · Maintained · Regularly reviewed · Kept up to date- Confirm that hazard identification is ongoing and not limited to past events- Check that: · All key personnel are involved in hazard identification · Relevant external stakeholders are involved where appropriate- Look for evidence that hazards are: · Identified from daily operations · Identified from changes and developments · Identified from the operational environment</td></tr><tr><td>Reference</td><td>GACAR 5: 5.21 (f) - 5.51 - 5.53 (c) (d)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 32 of 79 GACA العربيه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST 2.1.2 Evaluation <table><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td>There is a process that defines how hazards are identified within the context of the system analysis.The process requires that hazard identification is applied when:- Implementing new systems.- Revising existing systems.- Developing operational procedures.- Hazards are detected or existing risk controls are found ineffective through safety assurance.</td><td>Hazard identification is focused on those conditions that could cause or contribute to unsafe operation of aircraft or aviation safety related equipment, product and services.The hazard identification process specifies a wide range of internal and external sources, integrates both proactive and reactive approaches, and ensures hazards relevant to the organisation's operations are consistently captured.</td><td>The hazards are identified and documented. Human and organisational factors related to hazards are being identified.</td><td>The organisation has a register of the hazards that is maintained and reviewed to ensure it remains up to date. It is continuously and proactively identifying hazards related to its activities and the operational environment and involves all key personnel and appropriate stakeholders including external organisations.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 33 of 79 GACA اللغه العربيه للطيران المحيي General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST 2.1.3 There is a process in place to analyse safety data and safety information to look for trends and gain useable management information. <table><tr><td>Guidance</td><td>- Ask for evidence that the organisation has a process to analyse safety data and safety information- Check that the process explains: · How hazards are analysed · How safety risks are evaluated- Confirm that data analysis is used to: · Produce usable safety information · Support safety decision-making- Look for evidence that: · Identified hazards are analysed · Safety data is reviewed on a regular basis- Check that safety information is used to: · Identify trends · Detect emerging safety issues- Look for evidence such as: · Trend reports · Safety dashboards · Statistical summaries · Periodic safety performance reviews- Confirm that the analysis process: · Consistently identifies meaningful trends · Highlights key safety risks- Check that management: · Uses the analysed safety information · Makes safety decisions based on the data- Look for evidence that: · Safety performance improvements are tracked · Decisions based on data lead to measurable safety improvements- Confirm that safety information: · Supports proactive safety management · Is not only used after accidents or incidents</td></tr><tr><td>Reference</td><td>GACAR 5: 5.55 (a)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 34 of 79 GACA المراعييه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="4">2.1.3 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td>There is a process that defines how to analyse safety risk associated with the hazards identified.</td><td>The data analysis process enables gaining useable safety information to identify trends.</td><td>Identified hazards are being analysed to gain useable safety information. Safety information is used to identify trends.</td><td>The analysis process consistently identifies meaningful trends and safety issues.Management uses the information to make informed decisions, demonstrate measurable improvements in safety performance.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 35 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST SAFETY RISK ASSESSMENT AND CONTROL (2.2) <table><tr><td colspan="2">2.2.1 There is a process for the assessment of risks associated with identified hazards; this is expressed in terms of likelihood and Severity.</td></tr><tr><td>Guidance</td><td>- Ask for evidence that the organisation has a defined process to assess safety risks- Check that the risk assessment process: · Uses likelihood and severity · Is clearly documented- Confirm that: · Severity criteria are defined · Likelihood criteria are defined · Both are relevant to the organisation's actual operations- Review examples of completed risk assessments- Check that risk assessments are: · Applied in a consistent way · Based on the same criteria and methodology- Confirm that: · Identified hazards are regularly assessed · Assessments are done in a systematic and timely manner- Look for evidence that: · Risk assessments are reviewed for consistency · Improvements to the risk assessment process are identified- Check that risk assessments are: · Reviewed periodically · Updated when conditions change- Confirm that: · Risk levels are used to support safety decisions · Controls are linked to the assessed risk level</td></tr><tr><td>Reference</td><td>GACAR 5: 5.55 (b)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 36 of 79 GACA العربيه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="4">2.2.1 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td>There is a process for the assessment of safety risks.</td><td>Severity and likelihood criteria are clearly defined and fit the service provider's actual circumstances.</td><td>Risk analysis and assessments are carried out in a consistent manner based on the defined process.</td><td>Hazards are continuously assessed in a systematic and timely manner.Risk analysis and assessments are reviewed for consistency and to identify improvements in the processes.Risk assessments are regularly reviewed to ensure they remain current.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 37 of 79 GACA الطبيه العامه للطيران المدن General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST 2.2.2 There are criteria for evaluating the level of risk the organisation is willing to accept and risk assessments and ratings are appropriately justified. <table><tr><td>Guidance</td><td>- Ask for evidence that the organisation has defined the level of risk it is willing to accept- Check that:• A risk matrix is in place• Risk acceptability criteria are clearly defined• The matrix is easy to understand and usable- Review examples of completed risk assessments to confirm that:• Risk ratings are justified• Justifications match the defined criteria- Check that the defined risk acceptability:• Is being applied• Is not only written in a manual- Look for evidence that:• Risk acceptability criteria are used in management decisions• Decisions reflect the assessed level of risk- Check that:• Risk acceptability criteria are reviewed regularly• Updates are made when needed- Confirm that:• Senior management has visibility of medium and high risks• Mitigation and controls for these risks are reviewed- Look for evidence that:• Unacceptable risks trigger actions• Risk levels influence operational decisions</td></tr><tr><td>Reference</td><td>GACAR 5: 5.55 (b)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 38 of 79 GACA المراعييه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="4">2.2.2 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td colspan="2">The level of risk the organisation is willing to accept is defined.</td><td>The risk matrix and acceptability criteria are clearly defined and usable.</td><td>The defined risk acceptability is being applied.</td></tr><tr><td>How it is achieved</td><td colspan="2"></td><td>Comments</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 39 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST 2.2.3 The organisation has a process in place to make decisions and apply appropriate and effective risk controls. <table><tr><td>Guidance</td><td>- Ask for evidence that the organisation has a defined process to decide on and apply safety risk controls- Check that risk controls meet applicable regulatory requirements- Confirm that:Responsibilities for selecting risk controls are definedTimelines for implementing risk controls are definedReview examples to confirm that:Risk is assessed before controls are appliedThe organisation checks whether the risk will be acceptable after controls are in placeLook for evidence that:Risk controls are implementedResponsibilities are assignedTimelines are followedCheck that applied risk controls:Reduce risk to an acceptable levelAre appropriate for the operationConfirm that risk controls are:PracticalSustainable over timeApplied without unnecessary delayLook for evidence that:Risk controls are reviewed regularlyTheir effectiveness is assessedCheck that human factors are considered when selecting and applying controlsConfirm that:Senior management has visibility of medium and high-risk controlsMitigation actions are reviewed at management levelLook for evidence that:Risk controls influence operational decisionsControl effectiveness leads to further improvement where needed</td></tr><tr><td>Reference</td><td>GACAR 5: 5.53 (a) - 5.55 (a) (c) (1) (2)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 40 of 79 GACA العلويه الخاصه للطيران المجتمع General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="4">2.2.3 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td colspan="2">The organisation has a process in place to decide and apply risk controls.The safety risk controls must, at a minimum, comply with the applicable regulatory requirements.</td><td>Responsibilities and timelines for determining and accepting the risk controls are defined.Before the safety risk control is implemented, the organisation must evaluate whether the risk will be acceptable with the proposed safety risk control applied.</td><td>Appropriate risk controls are being applied to reduce the risk to an acceptable level including timelines and allocation of responsibilities.</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 41 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation SMS EFFECTIVENESS CHECKLIST SUBPART D – SAFETY ASSURANCE (ELEMENT 3) REPORTING SYSTEM AND SAFETY INVESTIGATIONS (3.1) 3.1.1 There is a reporting system to capture errors, hazards, and safety concerns that is simple to use and accessible to all staff. <table><tr><td>Guidance</td><td>- Ask for evidence that the organisation has a safety reporting system in place- Confirm that the system allows for: Mandatory occurrence reporting Voluntary reporting Confidential reporting- Check that there is a procedure that clearly explains: What must be reported What can be reported voluntarily How reports are submitted How the reporting person is protected- Confirm that the reporting system is: Simple to use Easy to access Available to all staff- Check that confidentiality of reporters is protected- Look for evidence that the reporting system is actively used by personnel- Review how reports are: Evaluated Processed Analysed Stored- Look for signs of a healthy reporting system, such as: A reasonable volume of reports Good quality of information in reports- Check that safety reports are acted on in a timely manner- Speak with personnel to confirm they trust the reporting system and feel confident to report safety concerns- Look for evidence that the reporting system is used to: Support management decisions Improve safety continuously Confirm that the reporting system is also available to third parties, such as partners, suppliers, and contractors</td></tr><tr><td>Reference</td><td>GACAR 4: 4.1- 4.7 (a) (b) & (d) - 4.49GACAR 5: 5.71 (a) (7) & (b)</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 42 of 79 GACA العربيه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="5">3.1.1 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td colspan="2">□ Operating</td><td>□ Effective</td></tr><tr><td>There is a reporting system to capture mandatory occurrences and voluntary reports including confidential reports.</td><td>There is a procedure that details mandatory occurrences and voluntary reporting requirements and mechanism, including the provision for protection of reporting person.</td><td colspan="2">The reporting system is being used by personnel.Reports are evaluated, processed, analysed, and stored.</td><td>There is a healthy reporting system based on the volume of reporting and the quality of reports received.Safety reports are acted on in a timely manner.Personnel express confidence and trust in the organisations' reporting policy and process.The reporting system is being used to make better management decisions and continuously improve safety.The reporting system is available for third parties to report (partners, suppliers, and contractors).</td></tr><tr><td>How it is achieved</td><td></td><td>Comments</td><td colspan="3"></td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 43 of 79 GACA الطبيه العامه للطيران المحيي General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST 3.1.2 There is a reporting system that provides appropriate feedback to the reporter and, where appropriate, to the rest of the organisation. <table><tr><td>Guidance</td><td>- Ask for evidence that the reporting system includes a feedback function- Check that reports and feedback are stored in a database and are traceable- Review how feedback is provided to:· The individual reporter· The wider organisation, where appropriate- Confirm that the feedback process is:· Clearly defined· Structured· Easy to follow- Look for evidence that:· Reporters receive responses to their reports· Feedback is not left open without response- Check how safety information from reports is:· Shared with staff· Used for awareness and learning- Look for evidence such as:· Reporter feedback records· Safety bulletins· Lessons learned communications· Safety briefings based on reports- Confirm that feedback:· Supports learning· Encourages continued reporting- Look for signs that the feedback process:· Strengthens safety culture· Improves the quality of reporting- Check that:· Follow-up actions are linked to reports· Positive changes in safety performance can be traced to reported issues</td></tr><tr><td>Reference</td><td>N/A</td></tr></table> GACA-AVSES-SRM-F005 Rev: 3, Date: 11 Feb 26 Page 44 of 79 GACA العربيه للطيران المجتمع General Authority of Civil Aviation [Non-Text] SMS EFFECTIVENESS CHECKLIST <table><tr><td colspan="4">3.1.2 Evaluation</td></tr><tr><td>□ Present</td><td>□ Suitable</td><td>□ Operating</td><td>□ Effective</td></tr><tr><td>The reporting system includes a feedback system and stored on a database.</td><td>The feedback process is structured, clear, and designed to ensure that relevant information is shared with the reporter and, where appropriate, the wider organization.</td><td>The feedback process is actively applied, with reporters receiving responses and relevant information communicated to the organization to support awareness and learning.</td><td>The feedback process consi …(48,732 more chars)