As an aviation safety manager or accountable executive, ensuring compliance with the Federal Aviation Administration’s (FAA) Safety Management System (SMS) requirements under 14 CFR Part 5 is critical to maintaining operational safety and regulatory adherence.
A key component of this process is submitting a Declaration of Compliance (DOC) to the FAA, which formally affirms that your organization has developed and implemented an SMS that meets Part 5 standards.
This guide provides a comprehensive overview of the DOC requirements, actionable steps for submission, and best practices to streamline the process. Whether you’re a Part 135 operator, Part 91.147 air tour operator, or Part 21 certificate holder, this article will help you navigate the compliance landscape with confidence.
The Declaration of Compliance is a legal document submitted to the FAA to confirm that your aviation organization has developed and implemented an SMS in accordance with 14 CFR Part 5. This document serves as a formal commitment to safety standards, providing accountability and assurance to the FAA that your organization operates under a structured, proactive approach to safety management.
The DOC is not a one-size-fits-all statement but a tailored affirmation that reflects your organization’s adherence to the four pillars of SMS: Safety Policy, Safety Risk Management (SRM), Safety Assurance (SA), and Safety Promotion. It is typically signed by the accountable executive, underscoring their responsibility for the SMS’s performance.
Submitting a DOC is a regulatory requirement for certain aviation organizations, including:
Part 135 operators (commuter and on-demand operations)
Part 91.147 air tour operators
Part 21 certificate holders (type and production certificate holders)
Part 121 air carriers (with potential revisions to meet updated requirements)
The DOC signals to the FAA that your SMS is fully implemented and operational. Once submitted, the FAA’s Certificate Management Office (CMO) updates your organization’s status in its internal database, noting SMS compliance. Routine FAA surveillance then validates your SMS performance over time.
Beyond compliance, a robust SMS enhances safety performance, improves resource allocation, fosters a stronger safety culture, and aligns your organization with international standards, such as those outlined in the International Civil Aviation Organization (ICAO) Annex 19.
To prepare a compliant DOC, aviation safety managers and accountable executives must ensure their SMS meets the following Part 5 requirements:
Your organization must have a fully developed and operational SMS that aligns with the four components of Part 5:
Safety Policy: A documented commitment to safety, signed by the accountable executive, including a code of ethics, emergency response plan, and employee reporting policies.
Safety Risk Management (SRM): Processes to identify hazards, assess risks, and implement controls to maintain acceptable levels of safety (ALoS).
Safety Assurance (SA): Systems for monitoring safety performance, conducting audits, and implementing corrective actions to ensure continuous improvement.
Safety Promotion: Training, communication, and activities to foster a positive safety culture across all levels of the organization.
The accountable executive is ultimately responsible for ensuring the SMS is implemented and performing across the organization. The DOC must be signed by this individual (or another senior management member with equivalent authority) to affirm compliance.
Your SMS must include documented processes for SRM, SA, and safety reporting. You should also maintain evidence of:
Corrective actions in response to safety deficiencies.
Employee training and communication of safety policies.
Regular safety performance assessments reviewed by the accountable executive.
The FAA’s 2024 SMS Final Rule, effective May 28, 2024, sets specific implementation deadlines. For example:
Part 135 operators and Part 91.147 LOA holders: Must submit a DOC by May 28, 2027 (36 months from the effective date).
Part 21 certificate holders: Deadlines vary based on certification date, with some requiring implementation plans by December 27, 2024, and full SMS implementation by December 27, 2025.
Always verify your organization’s specific deadline based on its regulatory category.
Submitting a DOC is a straightforward but critical process. Follow these steps to ensure compliance:
Before drafting the DOC, ensure your SMS is fully implemented. This includes:
Establishing a Safety Policy signed by the accountable executive.
Creating SRM processes to identify and mitigate hazards.
Setting up SA systems for performance monitoring, audits, and corrective actions.
Promoting safety through training and communication.
Leverage FAA resources, such as Advisory Circular (AC) 120-92D and Notice 8900.700, for guidance on SMS development.
The DOC should include:
SMS Implementation Statement: A clear affirmation that your organization has developed and implemented an SMS compliant with 14 CFR Part 5.
Authorized Signature: The accountable executive’s signature (or that of another senior management member).
Organization Details: Information about your organization, such as certificate type (e.g., Part 135, Part 21) and contact information.
Compliance Confirmation: A statement confirming that all Part 5 requirements, including the four SMS components, are met.
Consult FAA Notice 8900.700 for a detailed list of required DOC content.
Conduct an internal review to ensure your SMS meets all Part 5 requirements. Verify that:
All processes are documented and operational.
Safety performance data is being collected and analyzed.
Corrective actions are implemented and tracked.
Employees are trained and engaged in the SMS.
Consider engaging expert consultants, such as those from JDA Consulting, to validate your SMS and streamline compliance.
Submit the DOC to your local FAA Certificate Management Office (CMO) in a form and manner acceptable to the FAA. This typically involves:
Electronic submission via email or an FAA portal (check with your CMO for specific instructions).
Hard-copy submission, if required.
Accompanying documentation, such as an SMS manual or implementation plan, if requested.
Ensure submission aligns with your organization’s compliance deadline (e.g., May 28, 2027, for Part 135 operators).
After submission, the FAA will update your organization’s status in its database and conduct routine surveillance to validate SMS performance. Be prepared to:
Provide access to SMS processes and documentation per §§ 5.9(d) and 5.95.
Demonstrate continuous improvement through safety performance assessments.
Address any findings or deficiencies identified during FAA audits.
To ensure a smooth compliance process, consider these best practices:
Start Early: Begin SMS development well before your compliance deadline to allow time for refinement and validation.
Engage Leadership: Ensure the accountable executive is actively involved in SMS oversight and DOC preparation.
Leverage Technology: Use aviation SMS software like SMS Pro to document processes, track corrective actions, and manage safety data efficiently.
Train Your Team: Provide comprehensive SMS training to employees to foster a positive safety culture.
Seek Expert Guidance: Partner with consultants or attend FAA-approved workshops, such as those offered by Aviation Safety Solutions, to navigate complex requirements.
Maintain Documentation: Keep detailed records of SRM, SA, and safety promotion activities to support FAA audits.
Smaller organizations may struggle with the resources needed for SMS implementation. Solution: Scale your SMS to match your organization’s size and complexity, as permitted by Part 5, and prioritize cost-effective tools like SMS Pro software. SMS Pro subscriptions include regulatory compliant templates and configurable processes that are less expensive than human resources and less error prone.
Navigating Part 5 requirements can be daunting. Solution: Consult FAA guidance materials (e.g., AC 120-92D) and consider external consultants for tailored support. SMS Pro tech support is less expensive than external consultants, and support fees are included in the subscription.
Demonstrating ongoing SMS performance can be challenging. Solution: Establish robust SA processes, including regular audits and corrective action tracking, to show continuous improvement. SMS Pro automates these documentation burdens.
Submitting a Declaration of Compliance for FAA Part 5 is a pivotal step in demonstrating your organization’s commitment to aviation safety. By developing a robust SMS, meeting Part 5 requirements, and following the submission process outlined above, you can achieve compliance and enhance your safety culture.
For additional support, explore FAA resources like Advisory Circular 120-92D and Notice 8900.700, or contact your local CMO. If you need expert assistance, organizations like JDA Consulting or SMS Pro's Aviation Safety Management Solutions can provide tailored guidance to streamline your SMS implementation.
Take the first step today—review your SMS, engage your team, and prepare your DOC to ensure compliance by your deadline. A proactive approach to SMS not only meets regulatory requirements but also positions your organization as a leader in aviation safety.
Contact the FAA SMS Program Office at 9-NATL-SMS-ProgramOffice@faa.gov or visit www.faa.gov for more information. Stay ahead of the curve and make safety your organization’s top priority.
If you need reputable software tools to manage Part 5 SMS compliance, SMS Pro can help.