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By following this guide, you will review your organization’s evidence readiness across all SMS pillars, identify gaps, and generate a downloadable evidence package for FAA surveillance preparation.
Who should read this: Safety managers, accountable executives, and system administrators who prepare for FAA surveillance visits.Prerequisites: Safety manager, accountable executive, or system administrator role with compliance:export permission. Your organization should have active SMS data (reports, hazards, CPAs, policy records) to produce a meaningful evidence package.

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What Is the Evidence Package?

The evidence package is a structured summary of all SMS artifacts that demonstrate compliance with 14 CFR Part 5. The system automatically scans your workspace and categorizes evidence by SMS pillar and regulatory subpart. Each evidence item shows whether it is available, partially available, or missing. The package covers eight evidence categories:
CategoryRegulatory BasisWhat It Includes
Safety PolicySubpart B (5.21—5.27)Safety objectives, code of ethics, non-punitive policy, accountable executive designation.
Safety Risk ManagementSubpart C (5.51—5.57)Risk assessments, hazard register entries, risk controls, hazard notifications.
Safety AssuranceSubpart D (5.71—5.75)SPIs, investigation records, CPA completion and verification, trend data.
Safety PromotionSubpart E (5.91—5.93)Training records, safety bulletins, culture survey results.
Documentation and RecordkeepingSubpart F (5.95—5.97)SMS manual, document versions, retention compliance.
Audit Trail14 CFR 5.97Change history, version logs, audit log entries.
Personnel Records14 CFR 5.23, 5.25Safety personnel designations, management review records.
Investigation Records14 CFR 5.75Completed investigations, findings, root cause analyses, linked CPAs.

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Review Evidence Readiness

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Step 1: Navigate to Evidence Export
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Go to Safety > Compliance > Evidence Export. The page displays a readiness score and a categorized checklist of evidence items.
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Step 2: Review the readiness score
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The readiness score at the top of the page shows your overall evidence availability as a percentage. Items are classified as:
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  • Available — the evidence exists and is complete.
  • Partial — the evidence exists but is incomplete (e.g., a policy document without a review date).
  • Missing — no evidence found for this requirement.
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    Step 3: Review each category
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    Expand each category card to see individual evidence items. Each item shows its status, a description of what is required, and the count of records found.
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    Focus on missing and partial items first. Address these gaps before your next FAA surveillance visit to avoid findings.
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    Step 4: Address gaps
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    For each missing or partial item, take the appropriate action:
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    Gap TypeActionMissing policy documentNavigate to Safety > Settings > Policy and complete the safety policy fields.Missing risk assessmentsCreate risk assessments for identified hazards via Safety > Hazards.Incomplete investigationsComplete open investigations and ensure all required artifacts are documented.Missing training recordsAssign and complete SMS training via Safety > Training.Missing CPA verificationVerify completed CPAs via Safety > CPAs > Verification.
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    Step 5: Re-check readiness
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    After addressing gaps, return to the Evidence Export page. The readiness score updates automatically based on current data.

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    Generate the Export Package

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    Step 1: Confirm readiness
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    Verify that the readiness score reflects an acceptable level of evidence availability. While 100% is ideal, ensure at minimum that all critical items (safety policy, risk assessments, investigation records) show as available.
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    Step 2: Generate the export
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    Click Generate Export Package in the page header. The system assembles all evidence items and produces a downloadable JSON file.
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    Step 3: Download the file
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    The file downloads automatically with the naming convention:
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    evidence-package-{workspace}-{YYYY-MM-DD}.json
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    Step 4: Store for your records
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    Save the exported file in your organization’s compliance documentation. The export includes a timestamp and a snapshot of all evidence items and their statuses at the time of generation.

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    Format and Contents

    The exported evidence package is a JSON file containing:
    SectionContents
    summaryReadiness percentage, counts of available/partial/missing items.
    itemsArray of all evidence items with category, title, description, status, count, and details.
    generatedAtUTC timestamp of when the package was generated.
    The evidence package is a summary and status report, not a full data export. It documents what evidence exists and where gaps remain. The actual evidence records (reports, investigations, policies) remain in PlaneConnection and can be presented to auditors directly through the application.

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    Retention Requirements

    Per 14 CFR 5.97, SMS records must be retained as long as they remain relevant to the safety management system. Evidence packages should be retained alongside your compliance documentation:
    • Evidence exports: Retain at least one per quarter and before each FAA surveillance visit.
    • Underlying records: Reports, investigations, CPAs, and policy documents are retained within PlaneConnection per the configured data retention policy.
    • Audit trail: All changes to SMS records are logged and retained automatically.
    Evidence exports are point-in-time snapshots. If you make changes to SMS records after generating an export, the export will not reflect those changes. Generate a fresh export before presenting evidence to auditors.

    Track Compliance

    Monitor compliance status across all Part 5 subparts.

    Hazard Register

    Hazard records that contribute to SRM evidence.

    Investigation Workflow

    Investigation records included in the evidence package.

    CPA Lifecycle

    CPA completion and verification evidence.
    Last modified on April 11, 2026