SMS Declaration of Compliance
Above is an example of a declaration of compliance (DOC) for and on the letterhead of a fictional small operator with an existing part 135 certificate.
As we've mentioned in our previous Safety Management Systems (SMS) Quick Takes series of blog posts, in May of 2024, the Federal Aviation Administration introduced the so-called 2024 SMS Rule, which expands SMS requirements to various aviation sectors. This post will focus on the SMS declaration of compliance (DOC), which is fundamental to the rule for certain operators.
Key Deadlines at a Glance
- May 28, 2024: SMS Rule implementation date
- May 28, 2027: Deadline for SMS Implementation & DOC Submission
Who Needs to Comply?
- Part 135 operators
- Part 91.47 LOA holders
- Organizations authorized before May 28, 2024
Anyone authorized to conduct operations under 14 CFR part 135 or who holds a Letter of Authorization (LOA) issued under part 91.47 before May 28, 2024, has until May 28, 2027 (36 months), to accomplish two things:
- Develop and implement an SMS that meets the requirements of part 5.
- Submit to the FAA, "a declaration of compliance with [14 CFR part 5] in a form and manner acceptable to the Administrator..."
Let's take a look at what a declaration is, its content requirements, and what it might look like.
What Is a Declaration of Compliance?
The declaration of compliance (not to be confused with a compliance statement) required by part 5 is a legal document that aviation organizations submit to the FAA after confirming they have developed and implemented an SMS in alignment with 14 CFR part 5 (AC 120‑92D, Safety Management Systems for Aviation Service Providers). In essence, the declaration should demonstrate the operator's commitment to safety standards and provide accountability and assurance to the FAA that the organization operates under a structured, preventive approach to safety management. Once the FAA receives an operator's declaration of compliance, the certificate management office (CMO) will update the organization's status in an internal FAA database noting they have an SMS or a voluntary SMS that meets part 5 requirements. After that, FAA validation of SMS performance will occur as part of its routine surveillance activities.
Content Requirements for a Declaration of Compliance
FAA AC120-192D outlines the specific information that must be included in the DOC:
- Organization Details: The name and physical address of the organization.
- Certificate Number: If applicable, the organization's FAA certificate number.
- SMS Implementation Statement: A declaration affirming the organization has developed and implemented an SMS compliance with 14 CFR part 5.
- Authorized Signature: The declaration must be signed by the accountable executive or another senior management member.
Submitting this declaration to the FAA allows operators to validate their SMS compliance, supporting continued operational safety and meeting regulatory standards.
Self-Assessment: Is Your Organization Ready?
Rate your readiness in these key areas (1-5 scale):
- □ Safety Policy Documentation
- □ Risk Management Processes
- □ Safety Assurance Mechanisms
- □ Safety Promotion Activities
- □ Employee Training Programs
- □ Documentation Systems
- □ Internal Audit Procedures
Ready to Implement Your SMS?
Getting your SMS to the point where you can submit your declaration of compliance may seem monumental, but it doesn't have to be. While there is no one-size-fits-all solution for complying with the new SMS requirements, knowing where to start and having the proper support can make all the difference. At PAI Consulting, we're here to provide you with expert guidance and tailored assistance, ensuring that your SMS implementation aligns seamlessly with the latest FAA regulations. Contact PAI Consulting today!
Remember: The May 2027 deadline might seem distant, but successful SMS implementation takes time. Start your journey today with PAI Consulting and ensure your organization's compliance and safety excellence.
Any opinions expressed in this article are those of the author and not the opinion of PAI Consulting. In addition, this article may contain links to third-party websites. PAI Consulting does not endorse or make any representations about them, or any information, software, or other products or materials found there, or any results that may be obtained from using them.
Do you have questions or concerns about SMS? Share them with us!
PAI Consulting | Helping you succeed. Learn more.
Any opinions expressed in this article are those of the author and not the opinion of PAI Consulting. In addition, this article may contain links to third-party websites. PAI Consulting does not endorse or make any representations about them, or any information, software, or other products or materials found there, or any results that may be obtained from using them.