> ## Documentation Index
> Fetch the complete documentation index at: https://docs.planeconnection.com/llms.txt
> Use this file to discover all available pages before exploring further.
# Prepare for a Compliance Audit
> Review your Part 5 compliance status, identify gaps, organize evidence, and generate a compliance report to prepare for an FAA inspection or internal audit.
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](/en/tutorials/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:
| Subpart | Title | Sections covered |
| ------- | ------------------------------- | ----------------------------------------------------------------------------- |
| **A** | General | 5.1 -- 5.9: Applicability, definitions, general requirements |
| **B** | Safety Policy | 5.21 -- 5.27: Policy statement, accountability, personnel, emergency response |
| **C** | Safety Risk Management | 5.51 -- 5.57: System analysis, hazard ID, risk assessment, notification |
| **D** | Safety Assurance | 5.71 -- 5.75: Monitoring, assessment, continuous improvement |
| **E** | Safety Promotion | 5.91 -- 5.93: Training, communication |
| **F** | Documentation and Recordkeeping | 5.95 -- 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
### Navigate to the compliance dashboard
1. Make sure you are in the **Safety** module. Check the module switcher at the top of the sidebar.
2. In the sidebar, click **Compliance**.
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.
### Review the per-subpart status
Below the overall percentage, you see a breakdown by subpart:
1. Each subpart (A through F) shows its own compliance percentage and a color-coded status bar.
2. Review the subpart breakdown to identify which areas need the most attention.
3. A subpart at 100% means all of its elements have been marked Fully Implemented or Verified with evidence attached.
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.
### Open the elements list
Click on any subpart to see its individual compliance elements. Each element represents a specific regulatory requirement.
1. 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
2. Status values:
| Status | Meaning |
| ------------------------- | ------------------------------------------------------------------ |
| **Not Started** | No work has been done on this element yet |
| **Partially Implemented** | Some aspects are addressed but gaps remain |
| **Fully Implemented** | All requirements for this element are met with sufficient evidence |
| **Verified** | Implementation has been independently verified as effective |
### Inspect an element in detail
Click on any element to open its detail page. The detail page includes:
1. **Regulatory reference:** The exact CFR citation with a link to the regulation text.
2. **Plain-language description:** What this requirement means in practical terms for your operation.
3. **Guidance notes:** Tips on how to demonstrate compliance, including what types of evidence the FAA typically expects.
4. **Current status:** The compliance status you have assigned.
5. **Evidence:** Files and records attached as proof of compliance.
6. **History:** A log of status changes and evidence uploads.
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.
### Identify gaps using the Gaps view
PlaneConnection provides a filtered view that shows only elements that are not yet fully implemented or verified.
1. On the compliance dashboard or elements list, click the **Gaps** filter (or tab).
2. The view shows only elements with status Not Started or Partially Implemented.
3. Sort by subpart to work through gaps systematically.
4. 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
This is your compliance work list. Each gap represents work to be done before your Declaration of Compliance.
### Upload evidence
For each element, attach the evidence that demonstrates compliance.
1. Open the element detail page.
2. In the **Evidence** section, click **Upload Evidence**.
3. Select the file(s) to upload. Common evidence types by subpart:
| Subpart | Typical evidence |
| ------------------------ | ----------------------------------------------------------------------------------------------------------------------------- |
| **B - Safety Policy** | Signed safety policy statement, organizational chart, accountable executive appointment letter, non-punitive reporting policy |
| **C - SRM** | Risk assessments, hazard register, SRM procedures, risk matrix documentation |
| **D - Safety Assurance** | SPI reports, internal audit reports, meeting minutes, CPA records, investigation reports |
| **E - Safety Promotion** | Training records, safety bulletins, communication logs, safety meeting agendas |
| **F - Documentation** | SMS manual, records retention policy, document control procedures |
4. Add a description for each file explaining what it demonstrates and which aspect of the requirement it addresses.
5. Save the evidence.
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.
### Update element status
After uploading evidence, update the element's compliance status.
1. On the element detail page, click the **Status** dropdown.
2. 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.
3. Save the status change.
PlaneConnection recalculates the subpart and overall compliance percentages immediately.
### Generate the Part 5 Compliance Report
When you need a formal summary of your compliance posture -- for internal review, management briefing, or audit preparation -- generate a compliance report.
1. On the compliance dashboard, click **Generate Report**.
2. Select the report scope:
* **Full Report:** All subparts and elements
* **Subpart Report:** A single subpart in detail
* **Gaps Report:** Only non-compliant elements
3. 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
4. Download the report as a PDF.
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.
### Export an evidence package
For FAA audit preparation, you can export a complete evidence package.
1. On the compliance dashboard, click **Export Evidence Package**.
2. Choose the scope (all subparts or a specific subpart).
3. PlaneConnection compiles all attached evidence files into a structured ZIP archive, organized by subpart and element.
4. The package includes an index document mapping each evidence file to its regulatory requirement.
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
Detailed how-to guide for all compliance tracking features and workflows.
Understand the regulatory requirements behind each compliance element.
Review the key milestones and deadlines on the path to your Declaration of Compliance.
Present compliance status at your next safety committee meeting.