SMS Checklist

 SMS Checklist

By OffRoadPilots

Every aviation system tasks come with one or more checklists attached, except for

the safety management system (SMS). Manufacturing aircraft comes with

checklists, operating an aircraft comes with checklists, designing an aerodrome

comes with checklists, conducting an audit come with checklists, and applying for

an airport certificate comes with checklists, but there are no checklists

requirements to operate a safety management system.

There are several justifications for the

use of checklists to operate one or

multiple systems. A computer completes

a checklist when starting up, and

another checklist when shutting down,

an autopilot performs checklist tasks

prior to engage, and artificial

intelligence performs compatibility

checks prior to engagement. A baker

uses a checklist in the form of recipes,

and a clothing manufactures uses

checklists in form of patterns. When

completing trivial tasks such as opening

a hangar door there are three tasks,

open, stop and close, or when doing

tasks that are completed by gut feelings,

there are no need for checklists. Whatever the checklist format is, and whatever

the process for completion is, a checklist does not replace operational knowledge,

but is an additional layer to verify complex tasks. A complex task has four or more

tasks to be completed within a short timeframe. The brain may recall up to three

items over a short-term period, and on a good day may be able to recall as many

as seven tasks. A complex task is to recall an ATC clearance. A seven-step clearance

may read, decent to 9000, turn left 285, cross xe beacon at 7000, after crossing

turn left 215, maintain 5000 direct KAXUG, reduce speed to 210. An acceptable

.process is for pilots to build their checklist while flying and read back to ATC

clearance received. When writing down a clearance with a pen or pencil, the

connection between the brain and the movement of the pencil and written text

establishes ownership of the clearance and easier to recall while flying. As a trivia

task, recite the clearance backwards without a checklist.

Awareness is the knowledge and understanding that something is happening or

exists. Awareness is also to “see what you are looking at”. Awareness is to collect

data by the five senses, sight (vision), sound (hearing), smell (olfaction), taste

(gustation), and touch (tactile perception). Awareness is different than paying

attention, since awareness is system comprehension, while paying attention is

process comprehension. Both play a role for the safe operations of an airport and

aircraft, but processes are short-term operations, e.g. landing checklist, and

systems are long-term operations, e.g. flight planning. Awareness is based on data

collected. Data collected is formatted into a media to communicate information,

information is absorbed by the mind to instill knowledge, and with knowledge a

person comprehend systems, and system interactions, also known as awareness.

When relying on memory it is expected that information will be forgotten or

distorted over time. Short-term memory loses information quickly and has a small

capacity and is stored in long-term memory by task repetition or by studying

information over time. 

Learning how to ride a bicycle is a repetitious task to be stored in long-term memory, and if a task or knowledge are unused for a while it becomes difficult for the brain to recall. Common terminology to pick up old tasks and habits is to shake off the rust. It does not take long for a person to ride a bicycle again after several years of not using the skill. A checklist is not useful when learning how to ride a bicycle, but it is useful for putting the bicycle together.

Distractions are significant interferences with the short-term memory. 

A distraction is when a crew member, passenger, or ground crew want your

attention while receiving a clearance. However, a distraction is also more than

being interrupted, it is to receive continuous new information. In a 7-item ATC

clearance, information number seven is a distraction to the first clearance task.There are several techniques available to flight crew for improving their memory

capability. One tool is the repetition and rehearsal learning tool, by becoming an

actor and repeat a line over and over again. One disadvantage of this tool is that it

does not relate what is learned to any operational task. Pilots may rehearse an

approach checklist until they can do it forward and backwards, but the tool defeats

its purpose unless pilots go through the motions of the task. The purpose of a

checklist is not to memorize the checklist, but it is a trigger-list to verify operational

knowledge.

Another type of rehearsal that

is common among pilots is to

review essential procedures,

or immediate tasks at hand.

Some of these rehearsals are

pre-takeoff review,

emergency after departure

review and departure

procedure clearance review.

Going through these

situations visually prepared

the crew to perform well

during a critical phase of

flight.

Taking time to organize information into building blocks that make sense also helps

to remember task flow. A cockpit layout is laid out in an organized flow to make sense when performing tasks. An old airplane, the PBY-5A has the circuit brakers behind the captain’s chair and using left and right as a standard to identify circuit brakers. During an emergency when a generator needs to be shutdown, the left generator is actually the right circuit braker when viewing the panels. Clear

communication is essential in airport and aircraft operations. On 11 February 1978

an aircraft crashed during a missed approach. A snowplow operator was requested

 to clear the runway, and communication was interpreted as to clear the runway

for snow. Just as the aircraft touched down, the crew noticed the snowplow on the

runway, and initiated a go-around. Organizing information is also to organize text

and word to be unique for expected tasks.

An exceptional way to learn is to teach someone else. Teaching forces a person to

research in details to learn more, and comprehend systems, and to take ownership

of what was learned. Without ownership teaching becomes just another task to be

checked off in the checkbox for the purpose of completion. Teaching is not telling,

it is not explaining, and it is not to show, but it is to transfer knowledge and skills

from one person to another person who is prepared to receive the transfer. In

other words, teaching takes place at the knowledge level of the student. A

commonly used method when teaching is to demonstrate a task, supervise the

same task, and the final step is to monitor the task before candidates practices on

their own.

Associate a mental image with each item of information is another tool recall from

memory. An effective cockpit checklist follows the flow of the cockpit in an S-

shape, T-shape, W-shape or whatever else has been established. The old-style

aircraft instrument panes are placed in a T-shape flow and placed in an order of

priority during flight. The artificial horizon is placed on top as a tool to collect data

for roll and pitch, and the directional gyro is placed just below as a tool to collect

date for yaw. With roll, pitch and yaw information, pilots have all the tools they

need to apply information to maintain controlled flight of an aircraft. Creating

images is a great tool and makes it possible to operate a vehicle on the street of a

country with a language unknown to the driver.

A helpful tool is to use mnemonics, since only one item needs to be recalled as a

trigger to recall several other items on the task list. For aircraft towing operators, a

mnemonic used is “CLEAR” Congested Area, Line of Towing, Equipment,

Accountable Crew, and Ready. Effective mnemonics to use are when the single

item recall is associated with the task to be performed.Everyone is prone to forgetting no matter how good their memory is, or how well tasks or information are learned. Test yourself and recite the first sentence of the first paragraph without going back for a review first. Skills and knowledge are stored in the brain, but it takes learning to recall on demand. Recalling details is difficult when a person is anxious, pressured for time, or experiences an inflight

emergency. A tool to assist flight crew or aircraft engineers in recalling procedures

is to establish the written text in a shortform format. As an example, a checklist

only needs to reference landing gear in an approach checklist to trigger the flight

crew to lower the landing gear. For aircraft engineers a reference to landing gear

might be to perform a static landing gear operational check.

There are three rules when

flying an airplane: Rule 1 fly the

airplane, rule 2 fly the airplane,

rule 3 fly the airplane.

Contributing factors for

accidents are when pilots’

attention, or process, is diverted

from the task at hand, and their

awareness, or system, is

distorted by expectations. There

is a difference between

situational awareness and

awareness. Situational

awareness is the ability to

identify, process, and

comprehend the critical elements of information about what is happening to a

flight crew with regards to their current flight. More simply, situational awareness

is knowing what is going on around you while awareness the mental act of

processing information into knowledge. On March 19, 1993, an aircraft on a night

approach to an airport in mountainous area struck a mountaintop while on approach. The flight crew were distracted by an industry standard expectation that when they have visual contact to the runway environment, the approach is unobstructed, and they are safe to land. Their awareness was distracted by visual

references to the ground and runway.

A safety management system checklist is a checklist of operational tasks. Each task

is already assigned with a regulatory compliance factor attached. An SMS checklist

is therefore not about regulatory compliance, but it is about SMS policy

compliance that safety is paramount.

There are six components of a

safety management system,

seventeen elements, and

several expectations attached

to a safety management

system. It is an unmanageable

task to recall from memory all

expectations attached and

their references to regulatory

requirements. An SMS

checklist of tasks should be

designed and developed for

each element and performed daily. When the checklists are built and placed into operations, these daily rundown tasks become integrated part of regular

operational tasks.

A safety policy checklist contains tasks to identify how safety is paramount and

what daily tasks are involved for personnel to maintain an acceptable level of

safety. A non-punitive safety reporting policy checklist that contains the conditions

under which immunity from disciplinary action will be granted as a tool to clarify

the prerequisites for non-punitive reporting. This particular regulation states the

responsibility for an operator to clarify when immunity from disciplinary action will

be granted but does not require an operator to clarify when immunity from

disciplinary action will not be granted.

When checklists are completed for all elements, each checklist is assigned to a

daily quality control process, e.g. airside personnel conducts FOD control, runway

condition reports, and aeronautical obstruction assessments. In many instances,

flight crew and airside personnel conduct SMS related tasks regularly, and the only

difference is that these tasks are documented in the form of checklists. The SMS

checklist for design and developing operational checklist are found in the SMS

reference handbook, where objectives, goals and processes establishes regulatory

compliance tasks.

OffRoadPilots

SMS Mom Pop Store

 SMS Mom Pop Store

By OffRoadPilots

The term mom-and-pop describes the small business entities that are independent

or family-owned, usually operates in a single location and they provide

personalized products and services to the local community. They operate with

limited capital investment, they handle small business volumes and run with

minimal numbers of employees. Typically, the shops are not franchised and only

operate at single locations. Therefore, their customers are mostly from local

communities, and products and services are more personalized. So, what does

mom-and-pop stores have in common with an aviation safety management system

(SMS)? What they have in common is that there is no value to their existence since

they do not generate measurable short-term gain.

A safety management system

does not provide accident-

free security today, and mom-

and-pop stores does not

generate short-term savings

today. A safety management

system is process control of

service provided, and a mom-

and-pop store is process

control of products and

services. SMS is not instant

gratification of process outcome, and a mom-and-pop store is not instant

gratification in short term savings. Over time, a mom-and-pop store is a long-term

money saver, while shopping at a super centers is a long-term cash saving illusion.

The reason mom-and-pop stores are in decline, is that they charge less in the long-

term, while customers spend more cash in super centers. It’s simple, someone, e.g.

customers, are paying for the super centers to be build and operated. When

purchasing at mom-and-pop stores, goods and products are used, while when

shopping large quantity as lower unit price at super centers, a large percentage is

wasted, and there is no savings in waste. The savings, when purchase at a mom-and-pop store is not in the unit price but is in what they don’t waste. An SMS is not

the lack of accidents, but what is not wasted on unknown processes.

Successful businesses keep a low inventory of products being held for sale. It is a

capital loss to keep a larger volume than what is expected to sell within a specified

time period. Large super complexes transfer their capital loss risk to customers by

offering lower unit prices with larger volume purchases required. Large super

centers have one definite purpose, which is to increase revenue and reduce losses.

A mom-and-pop store becomes an inventory storage location for customers,

where the store carries the capital losses of keeping products held for sale. 

They offset these loses to some degree by higher unit sales prices than super centers

offer, but their customers still reduce their waste products and losses. At a mom-

and-pop store it is also possible to purchase special ordered items, while

customers is required to purchase what is sold at super centers. Principles of a

successful SMS are no different than the principles of a mom-and-pop store.

However, SMS enterprises are falling into a trap to delegate control of their SMS to

larger third-party organizations. A third-party SMS organization transfer their

hazards to individual SMS enterprises, and are without accountability to

operational processes.  Hiring specialized consultants and SMS experts are necessary for SMS enterprises and is also a regulatory requirement for the triennial audit, but these consultants do not assert micromanagement control of the SMS.

The safety management system has developed into a super complex in safety that

very few comprehend. Large organizations set the stage of what an SMS must look

like and demanding the one-fit-all principle. Large organizations are conducting

comprehensive audits, and anyone who pass separate level are incorporated as

members with a compliance certification. SMS has become a system where the

focus for airlines and airports is to receive the highest possible certification and

remain in good standing with the auditor. What is excluded are how individual

airlines and airports operate with process that goes right day in and day out. SMS

enterprise receive a rating level of future expectations based on historical records

and regulatory compliance. While historical records are key performanceindicators are learning tools, they are incapable of providing future data for the

next day, next month or for the coming years.

Every SMS enterprise are

their own mom-and-pop

store. Whichever way an SMS

enterprise wish to look at it,

whatever recognition they are

longing for, or what group

and organization they belong

to, there are no competition

between SMS enterprises,

and they are still their own

independent and unique

mom-and-pop SMS store.

There are no two airports that are alike, and no two airlines with identical operations, but still, cloned process templates are applied to individual airports and airlines. An SMS cloudbased program with standardized requirements, is only applicable to regulatory requirements, which are operating in a static environment. A static environment is where a set of conditions, events, and surroundings that don’t change. In theory, a static environment doesn’t offer new or surprising elements, and does not adapt to operational processes. Operational processes must adapt to the static environment or conform to regulatory requirements. A static environment is any system that is intended to remain unchanged by users and administrators. The goal is to prevent or at least reduce the possibility of changes that could result in reduced security or functional operation. Each SMS enterprises must adapt and create their own unique

processes that conforms to regulatory requirements.

There is a difference between regulatory compliance and operational compliance.

Regulatory compliance is in a static environment, and operational compliance is in

a dynamic environment. An example of a regulatory environment is for an airport

operator to have a winter maintenance plan. A winter maintenance plan is

required by the regulations to be developed by the operator after consultations

with a representative sample of the air operators that use the airport.

In a regulatory environment

an airport operator invites

air operators to the

meeting, establishes an

agenda, and keeps detailed

minutes. An airport operator

may farm out the task, or

clone the tasks when

developing processes, but at

this point, there are no

actions initiated for the

airport operator to establish

operational compliance. The next step is for an airport operator to build processes that conform to regulatory requirements. Prior to the completion of processes, an

airport operator is in compliance with the static portion of regulatory requirements but remain in non-compliance with operational performance compliance until the process itself is fully completed. This delay, or gap, is the practical compliance gap.

A winter maintenance manual could be placed on the shelf and an airport operator

would still conform to regulatory requirements to have a winter maintenance plan.

Airports of similar size and complexity may have cloned winter maintenance plans

for regulatory compliance, but their regulatory conforming operational processes

are different based on services provided by the airport operator.

Just as a mom-and-pop store, each airport operator tailor their operations to the

needs of their customers, as opposed to demanding that air operators comply with

established services which suits the airport operator. Aprons, taxiways and

runways are different based on aircraft group number, and wingspan, tail height,

or approach speed. Airports tailor their operations to standard visibility, reduced visibility, or low visibility operations, based on an air operator’s need. A governing factor for airline requirements is aircraft size and distances between departure and arrival airports.

Airports of similar size and

complexity may offer

different services based on

the number of passengers

that are emplaned and the

number of passengers that

are deplaned at the airport.

Two independent airport may

both provide operational

service with a 9,000 FT

runway but may provide

different services based on

number of passengers. One

airport may provide a runway end safety area service, while the other airport decline to provide that service. Both airports are regulatory compliant in a static

environment since one airport has a higher number of passengers than the other, but their different level of service may cause airline operators to prefer the airport with a runway end safety area. In the same manner as mom-and-pop stores, different airports offer different services, but they cater to customers’ needs as opposed to demand that airlines use their airport because it is there.

An airport operator is required to maintain a regulatory compliant safety

management system (SMS) but is also required to maintain operational processes

which conforms to regulatory compliance. These are two distinct and separate

compliance requirements, since one is the regulatory static environment, and the

other is the operational dynamic environment. A regulatory compliant SMS manual

may be placed on the shelf and maintain its regulatory compliance status.

However, an airport operator remains within the regulatory compliance gap until

each operational process are completed with an outcome conforming to regulatory requirements. An operational process may be required to be performed

hourly, daily, weekly, monthly, or annually, which is dependent on services

provided by the airport operator.

Before taking off from, landing at or otherwise operating an aircraft at an

aerodrome, the pilot-in-command (PIC) of the aircraft shall be satisfied that there

is no likelihood of collision with another aircraft or a vehicle, and the aerodrome is

suitable for the intended operation. This regulatory requirement is applicable to

the pilot-in-command of an aircraft, but since an airport operator is required to

comply with the SMS regulations, it becomes a responsibility of an airport operator

to facilitate a level of service for the pilot-in-command to remain in compliance. A

rule of thumb for compliance with the SMS regulations, is when a requirement is

not stated in a regulation, that exactly the reason why an airport operator, as an

SMS enterprise, must develop their own processes founded in their safety policy.

Juts at the mom-and-pop stores providing individual service for customers, airport

operators have an opportunity to establish a level of service to assist pilots to

comply with their operational judgement requirement.

A safety management system includes a safety management plan, and the safety

management plan includes a safety policy, roles and responsibilities, performance

goals, a policy for reporting hazards, incidents and accidents, a policy under which

immunity from disciplinary action is granted, and a process for reviewing the safety

management. SMS requirements are unimaginable opportunities for an airport

operator to provide exceptional services to the airline and aviation industry. An

unwritten safety policy is a blank page to be filled with whatever an airport

operator decides, and include a non-punitive policy, roles and responsibilities, SMS

review and reporting. A safety policy may be closed for regulatory compliance, but

operational compliance are airport specific processes.

The savings when purchasing from a mom-and-pop store are reduction of waste

compared to purchasing large quantities at super complexes. A large jar of pickles

may come at a lower unit price at a super complex store, but when accounting for

the waste, the unit price is higher. Let’s say a large jar holds 50 pickles, while a mom-and-pop store jar holds 10 pickles. The unit price for 50 is 20 cents, while the

unit price for 10 is 50 cents. At first the 20 cents deal feels better. When

considering the waste, which are the number of pickles discarded plus pickles

consumed just because they are there. There will always be waste, and waste

often goes unnoticed and is not accounted for. With a new waste-calculation the

lower unit price at the end of the day cost a consumer five times more.

SMS waste are process deviations from expected outcome, or time spent on

unknown processes due to unfamiliar expectations. Cloned, and one-fits-all SMS

processes are encouraging SMS waste by enforcing expectations that are

unfamiliar to SMS operators. Within a mom-and-pop SMS, operational processes

are applied to regulatory requirements, as opposed to regulatory requirements

forcing operational changes. Mom-and-pop SMS also maintain a low inventory by

capturing drift, moving process back on the correct path, and spend minimum time

on irrelevant processes.

OffRoadPilots