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The Declaration of Compliance (DOC) is a legally binding document submitted to the FAA affirming that your organization has developed and implemented a Safety Management System meeting all requirements of 14 CFR Part 5. PlaneConnection’s DOC wizard guides you through preparation, verification, evidence packaging, executive signature, and export in six structured steps. By the end of this tutorial, you will have a signed Declaration of Compliance document and evidence package ready for submission to your FAA Certificate Management Office (CMO).
Who should do this tutorial? The accountable executive and safety manager responsible for SMS implementation. The accountable executive must sign the declaration. You will need Safety Manager or Admin permissions to access the DOC wizard.

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Before you start

Make sure you have:
  • An active PlaneConnection account with Safety Manager or Admin role
  • All compliance elements at Fully Implemented or Verified status (see Track Compliance)
  • A completed internal audit validating your SMS implementation (see Prepare for a Compliance Audit)
  • Your organization’s legal name, physical address, and FAA certificate number readily available
  • The accountable executive available to review and sign the declaration
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.

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Understanding the DOC wizard

The wizard is organized into six sequential steps. You must complete each step before proceeding to the next. Progress is saved automatically — you can exit and resume at any time without losing work.
StepTitlePurpose
1Organization DetailsConfirm your legal identity and key personnel
2Compliance VerificationValidate that every Part 5 element is addressed
3Evidence PackageCompile supporting documentation by pillar
4ReviewPreview the complete declaration document
5AE SignatureAccountable executive signs the declaration
6Export & SubmitDownload, submit, and record the declaration

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Walking through the DOC wizard

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Step 1: Organization Details
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The first step confirms the identity of your organization and the individuals responsible for your SMS.
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  • Navigate to Safety > Compliance > Declaration of Compliance in the sidebar.
  • Click Start DOC Wizard (or Resume if you have a draft in progress).
  • Review the pre-populated organization fields:
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    FieldSourceNotesLegal nameWorkspace settingsMust match your FAA certificate exactlyPhysical addressWorkspace settingsPrincipal place of businessCertificate numberWorkspace settingsYour Part 135 (or Part 91.147) certificate numberCertificate typeWorkspace settingsPart 135, Part 91.147 LOA, etc.Accountable executiveUser directoryThe senior manager with final authority over operationsSMS point of contactUser directoryThe primary contact for SMS-related communications
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  • Verify that each field is accurate. If any information is incorrect, update it in your workspace settings before proceeding.
  • Click Next to advance to Step 2.
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    The organization details are pulled from your workspace configuration. Keep these fields current in Settings > Organization so the DOC wizard always reflects accurate information. Changes in workspace settings are reflected in the wizard immediately.
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    Step 2: Compliance Verification
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    This step validates that your organization has addressed every requirement of 14 CFR Part 5 before the declaration is generated.
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  • At the top of the page, review the DOC Readiness radial gauge. This displays your overall compliance percentage based on the status of all Part 5 elements.
  • Below the gauge, review the full compliance checklist organized by subpart (A through F).
  • Each element displays its current status:
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    StatusEligible for DOCVerifiedYesFully ImplementedYesPartially ImplementedNoNot StartedNoN/A (not applicable)Yes — exempted elements
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  • Every element must show Verified, Fully Implemented, or N/A before the wizard allows you to proceed.
  • If any elements are incomplete, click on the element to navigate to its detail page, upload evidence, and update its status.
  • Once the readiness gauge shows 100%, click Next.
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    Single-pilot sole-individual operators (as defined in 14 CFR 5.9(e)) will see certain elements automatically marked as N/A based on their peer group classification. These exemptions are documented in the generated declaration. If your organization has any employees beyond the single pilot, all elements apply.
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    Step 3: Evidence Package
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    The evidence package compiles all documentation attached to your compliance elements, organized by SMS pillar.
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  • Review the evidence organized under each pillar:
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    PillarSubpartsTypical evidenceSafety PolicyBSigned safety policy, org chart, AE appointment letter, non-punitive reporting policy, code of ethicsSafety Risk ManagementCRisk assessments, hazard register, SRM procedures, risk matrix documentationSafety AssuranceDSPI reports, internal audit reports, CPA records, investigation reports, meeting minutesSafety PromotionETraining records, safety bulletins, communication logs, safety meeting agendasDocumentationA, FSMS manual, records retention policy, document control procedures
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  • Evidence is auto-populated from files you have attached to individual compliance elements. Review each pillar to confirm the evidence is complete and relevant.
  • If you identify missing evidence, click the element link to navigate to it and upload additional files.
  • Each evidence file displays its name, upload date, and the compliance element it supports.
  • When satisfied that the evidence package is complete, click Next.
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    Building your evidence base incrementally throughout your SMS implementation avoids a last-minute scramble at this stage. If you have followed the guidance in Prepare for a Compliance Audit, your evidence package should already be substantially complete.
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    Step 4: Review
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    The review step presents the complete Declaration of Compliance document for inspection before signature.
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  • Read the full preview of the DOC document. It includes:
    • Organization identification (legal name, certificate number, certificate type)
    • Compliance statement affirming SMS implementation
    • Summary of applicable elements and their statuses
    • Evidence index mapping each file to its regulatory requirement
    • Key personnel (accountable executive, SMS point of contact)
  • Review the compliance statement. The default statement reads:
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    “[Organization Name], holder of [Certificate Type] certificate number [XXX], hereby declares that it has developed and implemented a Safety Management System that meets the requirements of 14 CFR Part 5. The undersigned, as the accountable executive, confirms oversight of SMS implementation, reviews of safety performance, and ensures adequate resource allocation for safety management activities.”
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  • You may edit the compliance statement to reflect your organization’s specific language, but ensure it retains all required affirmations.
  • Review the evidence summary — a count of evidence files by pillar with any gaps highlighted.
  • Review the requirements checklist — a final pass of all Part 5 sections showing compliance status.
  • When everything is accurate, click Next to proceed to signature.
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    Review the compliance statement carefully. This is the language your accountable executive will sign. Any inaccuracies in the statement, organization details, or evidence references become part of the legal record submitted to the FAA.
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    Step 5: AE Signature
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    The accountable executive must personally review and sign the Declaration of Compliance.
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  • The compliance statement is displayed in read-only format for the accountable executive to review.
  • The accountable executive must check the confirmation checkbox affirming that they have:
    • Reviewed the Declaration of Compliance and all supporting evidence
    • Confirmed that the SMS meets the requirements of 14 CFR Part 5
    • Accepted ultimate responsibility for the organization’s SMS
  • The accountable executive signs using the e-signature pad. This captures a digital signature that is embedded in the final document.
  • The signature date is recorded automatically.
  • Click Next to finalize.
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    Per 14 CFR 5.23, the accountable executive retains ultimate responsibility for the SMS and cannot delegate this responsibility. The accountable executive should have direct knowledge of the SMS implementation before signing. If the AE has not been actively involved in SMS oversight, schedule a comprehensive briefing before this step.
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    Step 6: Export & Submit
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    The final step generates your submission-ready documents and provides instructions for filing with the FAA.
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  • Download the DOC as PDF. Click Download PDF to save the signed Declaration of Compliance as a formatted PDF document.
  • Download the evidence package. Click Download Evidence Package to export a structured ZIP archive containing all evidence files organized by pillar and element, along with an index document.
  • Review submission instructions:
    • Submit the signed DOC to your local FAA Certificate Management Office (CMO).
    • For questions about the submission process, contact the FAA SMS Program Office at 9-NATL-SMS-ProgramOffice@faa.gov.
    • Your CMO will acknowledge receipt and update your operator status in the FAA’s internal database.
    • Validation of your SMS occurs during routine FAA surveillance activities.
  • Mark as submitted. After you have sent the DOC to the FAA, click Mark as Submitted to record the submission date in PlaneConnection. This updates your compliance dashboard to reflect that the declaration has been filed.
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    Keep a copy of the submitted DOC and evidence package in your organization’s records. Per 14 CFR 5.95 and 5.97, SMS documentation must be maintained and available to the FAA Administrator upon request for as long as you hold your certificate.

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    After submission

    Once the Declaration of Compliance has been submitted:
    1. FAA acknowledgment. Your CMO updates the FAA’s internal database noting your SMS compliance status. There is no formal “approval” — the DOC is a declaration, not an application.
    2. Ongoing surveillance. The FAA validates your SMS through routine surveillance activities. Inspectors may request access to your SMS documentation, evidence, and records at any time.
    3. Continuous maintenance. You must maintain your SMS for as long as you hold your certificate. Use PlaneConnection’s compliance dashboard to monitor for degradation, track evidence expiration, and document changes through the Management of Change process.
    4. Record retention. Per 14 CFR 5.97: SRM outputs are retained as long as the control remains relevant, Safety Assurance findings for 5 years, and training records for 24 months after employee departure.

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    Next steps

    Track Compliance

    Monitor your ongoing compliance status after DOC submission.

    Prepare for a Compliance Audit

    Organize evidence and generate compliance reports for FAA surveillance.

    Compliance Timeline

    Review the key milestones and deadlines for Part 5 compliance.

    FAA Part 5 Overview

    Understand the regulatory requirements behind the Declaration of Compliance.
    Last modified on April 11, 2026