Skip to main content
Compliance tracking is how you measure your organization’s readiness for FAA surveillance and your progress toward the Part 5 Declaration of Compliance. PlaneConnection maps every requirement of 14 CFR Part 5 into trackable elements, lets you attach evidence to each one, and generates reports you can present during an audit. In this tutorial, you will review your compliance posture, identify gaps, upload evidence, and generate a compliance report. By the end of this tutorial, you will have a clear picture of your Part 5 compliance status and an evidence package ready for audit preparation.
Who should do this tutorial? Safety Managers and accountable executives responsible for regulatory compliance. Quality assurance personnel who conduct internal audits will also benefit. You will need Safety Manager or Admin permissions to update compliance elements and generate reports.

​
Before you start

Make sure you have:
  • An active PlaneConnection account with Safety Manager or Admin role
  • Your organization’s SMS documentation (safety policy, procedures, training records, meeting minutes) available for upload
  • Familiarity with the SMS module navigation (see the Quickstart)
FAA 14 CFR Part 5 compliance deadline: May 28, 2027. All Part 135 operators must develop and implement a Safety Management System and submit a Declaration of Compliance by this date. PlaneConnection provides the tools you need to meet every requirement.

​
Understanding the compliance structure

PlaneConnection organizes 14 CFR Part 5 into subparts, sections, and individual elements:
SubpartTitleSections covered
AGeneral5.1 — 5.9: Applicability, definitions, general requirements
BSafety Policy5.21 — 5.27: Policy statement, accountability, personnel, emergency response
CSafety Risk Management5.51 — 5.57: System analysis, hazard ID, risk assessment, notification
DSafety Assurance5.71 — 5.75: Monitoring, assessment, continuous improvement
ESafety Promotion5.91 — 5.93: Training, communication
FDocumentation and Recordkeeping5.95 — 5.97: SMS documentation, records retention
Each section is broken down into individual compliance elements — specific, verifiable requirements that you need to address.

​
Reviewing and building your compliance posture

2
  • Make sure you are in the Safety module. Check the module switcher at the top of the sidebar.
  • In the sidebar, click Compliance.
    • 3
    You are now on the compliance dashboard. The top of the page shows your overall compliance percentage — the proportion of elements that are marked Fully Implemented or Verified out of the total applicable elements.
    4
    Review the per-subpart status
    5
    Below the overall percentage, you see a breakdown by subpart:
    6
  • Each subpart (A through F) shows its own compliance percentage and a color-coded status bar.
  • Review the subpart breakdown to identify which areas need the most attention.
  • A subpart at 100% means all of its elements have been marked Fully Implemented or Verified with evidence attached.
    • 7
    Prioritize Subpart B (Safety Policy) and Subpart C (Safety Risk Management) first. These are the foundation of your SMS — your safety policy must be in place before other components can function, and SRM processes are the most scrutinized during FAA inspections. Subpart D (Safety Assurance) builds on both.
    8
    Open the elements list
    9
    Click on any subpart to see its individual compliance elements. Each element represents a specific regulatory requirement.
    10
  • The elements list shows:
    • Element ID: A reference code (e.g., “5.21-a-1”)
    • Regulatory reference: The specific CFR section (e.g., “14 CFR 5.21(a)(1)”)
    • Description: A plain-language summary of what the requirement asks for
    • Status: The current compliance status
    • Evidence count: How many evidence files are attached
  • Status values:
    • 11
    StatusMeaningNot StartedNo work has been done on this element yetPartially ImplementedSome aspects are addressed but gaps remainFully ImplementedAll requirements for this element are met with sufficient evidenceVerifiedImplementation has been independently verified as effective
    12
    Inspect an element in detail
    13
    Click on any element to open its detail page. The detail page includes:
    14
  • Regulatory reference: The exact CFR citation with a link to the regulation text.
  • Plain-language description: What this requirement means in practical terms for your operation.
  • Guidance notes: Tips on how to demonstrate compliance, including what types of evidence the FAA typically expects.
  • Current status: The compliance status you have assigned.
  • Evidence: Files and records attached as proof of compliance.
  • History: A log of status changes and evidence uploads.
    • 15
    The plain-language descriptions and guidance notes are based on FAA Advisory Circular 120-92D. They translate regulatory language into actionable steps for your organization. Use them as a checklist when gathering evidence.
    16
    Identify gaps using the Gaps view
    17
    PlaneConnection provides a filtered view that shows only elements that are not yet fully implemented or verified.
    18
  • On the compliance dashboard or elements list, click the Gaps filter (or tab).
  • The view shows only elements with status Not Started or Partially Implemented.
  • Sort by subpart to work through gaps systematically.
  • For each gap, note:
    • What evidence is needed
    • Whether the underlying process or policy exists but has not been documented
    • Whether a new process needs to be created
    • 19
    This is your compliance work list. Each gap represents work to be done before your Declaration of Compliance.
    20
    Upload evidence
    21
    For each element, attach the evidence that demonstrates compliance.
    22
  • Open the element detail page.
  • In the Evidence section, click Upload Evidence.
  • Select the file(s) to upload. Common evidence types by subpart:
    • 23
    SubpartTypical evidenceB - Safety PolicySigned safety policy statement, organizational chart, accountable executive appointment letter, non-punitive reporting policyC - SRMRisk assessments, hazard register, SRM procedures, risk matrix documentationD - Safety AssuranceSPI reports, internal audit reports, meeting minutes, CPA records, investigation reportsE - Safety PromotionTraining records, safety bulletins, communication logs, safety meeting agendasF - DocumentationSMS manual, records retention policy, document control procedures
    24
  • Add a description for each file explaining what it demonstrates and which aspect of the requirement it addresses.
  • Save the evidence.
    • 25
    You do not need to upload everything at once. Build your evidence base incrementally as you produce SMS artifacts. Every time you close a CPA, complete a meeting, or finish an investigation, attach the relevant output to the appropriate compliance element. This avoids a last-minute scramble before an audit.
    26
    Update element status
    27
    After uploading evidence, update the element’s compliance status.
    28
  • On the element detail page, click the Status dropdown.
  • Select the appropriate status:
    • Fully Implemented: You have fully addressed the requirement and attached sufficient evidence.
    • Partially Implemented: You have addressed some aspects but gaps remain. Add a note describing what is still needed.
    • Verified: An independent reviewer has confirmed the implementation is effective.
  • Save the status change.
    • 29
    PlaneConnection recalculates the subpart and overall compliance percentages immediately.
    30
    Generate the Part 5 Compliance Report
    31
    When you need a formal summary of your compliance posture — for internal review, management briefing, or audit preparation — generate a compliance report.
    32
  • On the compliance dashboard, click Generate Report.
  • Select the report scope:
    • Full Report: All subparts and elements
    • Subpart Report: A single subpart in detail
    • Gaps Report: Only non-compliant elements
  • The report includes:
    • Overall compliance percentage and trend
    • Per-subpart breakdown with status and evidence counts
    • Element-level detail for each section
    • Gap analysis with prioritized action items
    • Summary of evidence attached
  • Download the report as a PDF.
    • 33
    The compliance report is a snapshot in time. Generate a new one before each audit or management review to reflect your current posture. Store previous reports as evidence of continuous improvement per 14 CFR 5.75.
    34
    Export an evidence package
    35
    For FAA audit preparation, you can export a complete evidence package.
    36
  • On the compliance dashboard, click Export Evidence Package.
  • Choose the scope (all subparts or a specific subpart).
  • PlaneConnection compiles all attached evidence files into a structured ZIP archive, organized by subpart and element.
  • The package includes an index document mapping each evidence file to its regulatory requirement.
    • 37
    This evidence package gives you a ready-to-present collection of documentation for FAA inspectors or external auditors.

    ​
    What happens next

    With your compliance status documented and evidence organized:
    1. Internal audit. Conduct an internal audit against your compliance report to verify that the evidence actually demonstrates what it claims. Having a colleague review your work provides an independent check.
    2. Management review. Present the compliance report to the accountable executive and safety committee. Ensure leadership is aware of any remaining gaps and the plan to address them.
    3. Declaration of Compliance. When all elements are Fully Implemented or Verified, you are ready to draft your Declaration of Compliance for submission to your FAA Certificate Management Office.
    4. Ongoing maintenance. Compliance is not a one-time activity. Continue updating evidence and statuses as your SMS evolves, procedures change, and new safety data is generated.

    ​
    Next steps

    Track Compliance

    Detailed how-to guide for all compliance tracking features and workflows.

    FAA Part 5 Overview

    Understand the regulatory requirements behind each compliance element.

    Compliance Timeline

    Review the key milestones and deadlines on the path to your Declaration of Compliance.

    Run a Safety Committee Meeting

    Present compliance status at your next safety committee meeting.
    Last modified on April 11, 2026