> ## 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 Your Declaration of Compliance
> Walk through PlaneConnection's 6-step DOC wizard to prepare, sign, and submit your Declaration of Compliance to the FAA.
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.
## 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](/en/how-to/sms/track-compliance))
* A completed internal audit validating your SMS implementation (see [Prepare for a Compliance Audit](/en/tutorials/prepare-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.
## 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.
| Step | Title | Purpose |
| :--: | ----------------------- | ----------------------------------------------- |
| 1 | Organization Details | Confirm your legal identity and key personnel |
| 2 | Compliance Verification | Validate that every Part 5 element is addressed |
| 3 | Evidence Package | Compile supporting documentation by pillar |
| 4 | Review | Preview the complete declaration document |
| 5 | AE Signature | Accountable executive signs the declaration |
| 6 | Export & Submit | Download, submit, and record the declaration |
## Walking through the DOC wizard
### Step 1: Organization Details
The first step confirms the identity of your organization and the individuals responsible for your SMS.
1. Navigate to **Safety > Compliance > Declaration of Compliance** in the sidebar.
2. Click **Start DOC Wizard** (or **Resume** if you have a draft in progress).
3. Review the pre-populated organization fields:
| Field | Source | Notes |
| --------------------- | ------------------ | ------------------------------------------------------- |
| Legal name | Workspace settings | Must match your FAA certificate exactly |
| Physical address | Workspace settings | Principal place of business |
| Certificate number | Workspace settings | Your Part 135 (or Part 91.147) certificate number |
| Certificate type | Workspace settings | Part 135, Part 91.147 LOA, etc. |
| Accountable executive | User directory | The senior manager with final authority over operations |
| SMS point of contact | User directory | The primary contact for SMS-related communications |
4. Verify that each field is accurate. If any information is incorrect, update it in your workspace settings before proceeding.
5. Click **Next** to advance to Step 2.
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.
### Step 2: Compliance Verification
This step validates that your organization has addressed every requirement of 14 CFR Part 5 before the declaration is generated.
1. 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.
2. Below the gauge, review the full compliance checklist organized by subpart (A through F).
3. Each element displays its current status:
| Status | Eligible for DOC |
| --------------------- | :----------------------: |
| Verified | Yes |
| Fully Implemented | Yes |
| Partially Implemented | No |
| Not Started | No |
| N/A (not applicable) | Yes -- exempted elements |
4. Every element must show **Verified**, **Fully Implemented**, or **N/A** before the wizard allows you to proceed.
5. If any elements are incomplete, click on the element to navigate to its detail page, upload evidence, and update its status.
6. Once the readiness gauge shows 100%, click **Next**.
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.
### Step 3: Evidence Package
The evidence package compiles all documentation attached to your compliance elements, organized by SMS pillar.
1. Review the evidence organized under each pillar:
| Pillar | Subparts | Typical evidence |
| -------------------------- | -------- | ----------------------------------------------------------------------------------------------------- |
| **Safety Policy** | B | Signed safety policy, org chart, AE appointment letter, non-punitive reporting policy, code of ethics |
| **Safety Risk Management** | C | Risk assessments, hazard register, SRM procedures, risk matrix documentation |
| **Safety Assurance** | D | SPI reports, internal audit reports, CPA records, investigation reports, meeting minutes |
| **Safety Promotion** | E | Training records, safety bulletins, communication logs, safety meeting agendas |
| **Documentation** | A, F | SMS manual, records retention policy, document control procedures |
2. Evidence is auto-populated from files you have attached to individual compliance elements. Review each pillar to confirm the evidence is complete and relevant.
3. If you identify missing evidence, click the element link to navigate to it and upload additional files.
4. Each evidence file displays its name, upload date, and the compliance element it supports.
5. When satisfied that the evidence package is complete, click **Next**.
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](/en/tutorials/prepare-compliance-audit), your evidence package should already be
substantially complete.
### Step 4: Review
The review step presents the complete Declaration of Compliance document for inspection before signature.
1. 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)
2. Review the **compliance statement**. The default statement reads:
> "\[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."
3. You may edit the compliance statement to reflect your organization's specific language, but ensure it retains all required affirmations.
4. Review the **evidence summary** -- a count of evidence files by pillar with any gaps highlighted.
5. Review the **requirements checklist** -- a final pass of all Part 5 sections showing compliance status.
6. When everything is accurate, click **Next** to proceed to signature.
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.
### Step 5: AE Signature
The accountable executive must personally review and sign the Declaration of Compliance.
1. The compliance statement is displayed in **read-only** format for the accountable executive to review.
2. 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
3. The accountable executive signs using the **e-signature pad**. This captures a digital signature that is embedded in the final document.
4. The signature date is recorded automatically.
5. Click **Next** to finalize.
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.
### Step 6: Export & Submit
The final step generates your submission-ready documents and provides instructions for filing with the FAA.
1. **Download the DOC as PDF.** Click **Download PDF** to save the signed Declaration of Compliance as a formatted PDF document.
2. **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.
3. **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](mailto: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.
4. **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.
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.
## 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.
## Next steps
Monitor your ongoing compliance status after DOC submission.
Organize evidence and generate compliance reports for FAA surveillance.
Review the key milestones and deadlines for Part 5 compliance.
Understand the regulatory requirements behind the Declaration of Compliance.