SMS · October 31, 2026 · 7 min read · By BizJetDocs

SMS under 14 CFR Part 5 for small Part 135 operators: how big does it need to be?

What Part 5 actually requires of a small Part 135 operator, the May 28, 2027 deadline, the single-pilot exceptions, and the declaration of compliance.

Short answer: as big as your operation, and no smaller than Part 5. Section 5.5(a) says an SMS "must be appropriate to the size, scope, and complexity of the person's organization" and must include all four components: safety policy, safety risk management, safety assurance and safety promotion. AC 120-92D calls this scalability and says it "does not allow the aviation organization to set aside any sections of part 5." A small Part 135 operator writes short, plain procedures for every section, keeps the records Part 5 requires, and, if it held its certificate before May 28, 2024, submits a declaration of compliance by May 28, 2027 (§ 5.9(a)). A single pilot who does everything is excused from thirteen specific provisions.

Who has to comply, and by when

Section 5.1(b) applies Part 5 to any person holding or applying for a Part 119 certificate to conduct Part 135 operations, and § 5.1(c) to holders of a § 91.147 air tour Letter of Authorization.

Section 5.9 sets the dates:

• Existing operators (authorized under Part 135 or holding a § 91.147 LOA before May 28, 2024) must develop and implement an SMS meeting Part 5 "no later than May 28, 2027" and submit a declaration of compliance by the same date (§ 5.9(a)).
• Applicants (applying on or after May 28, 2024, or with an application pending then) must develop and implement the SMS as part of getting authorized (§ 5.9(b)). AC 120-92D, paragraph 3.2.5.3.7, says new Part 135 applicants meet Part 5 as part of the certification process, and AC 120-49B, paragraph 7.16, includes Part 5 in the regulations an applicant's compliance statement must list.
• The SMS must be maintained as long as the person is authorized (§ 5.9(c)), and the data showing it meets Part 5 must be made available to the FAA on request (§ 5.9(d)).

What Part 5 requires, section by section

Safety policy (§ 5.21). Safety objectives, a commitment to meet them, a statement on resources, a safety reporting policy, a policy defining unacceptable behavior and conditions for discipline, an emergency response plan meeting § 5.27, and a code of ethics stating that safety is the organization's highest priority. The accountable executive signs it, it is documented and communicated, and the accountable executive reviews it regularly.

Accountability and authority (§ 5.23). Define safety accountability for the accountable executive, management and employees, and identify the levels of management that can accept safety risk.

Accountable executive and management (§ 5.25). One person who is the final authority over operations, controls the financial and human resources, and keeps ultimate responsibility for safety performance. That person designates management personnel to coordinate the SMS, facilitate hazard identification, monitor risk controls, promote safety and report on SMS performance.

Emergency response (§ 5.27). Where emergency procedures are necessary, a plan covering delegation of emergency authority, employee responsibilities, and coordination with other organizations' plans.

Safety risk management (§§ 5.51 to 5.57). Apply it to new systems, revised systems, new procedures, and hazards found through safety assurance. Analyze the system, identify hazards, assess risk, decide what is acceptable, develop controls and check the risk is acceptable before implementing them. Notify interfacing persons of hazards they could address.

Safety assurance (§§ 5.71 to 5.75). Monitor operational processes and the environment, audit, evaluate the SMS, investigate incidents, accidents and reports of non-compliance, run a confidential employee reporting system, and investigate external hazard notifications. Analyze the data, assess performance against objectives with reviews by the accountable executive, and fix deficiencies.

Safety promotion (§§ 5.91 and 5.93). Train each person identified under § 5.23 to the competencies their SMS duties need, and communicate safety information to employees.

Documentation and records (§§ 5.95 and 5.97). Document the safety policy and the SMS processes and procedures. Keep risk management outputs while the control remains relevant, safety assurance outputs for at least 5 years, training records for as long as the person is employed, and communications records for at least 24 consecutive calendar months.

The single-pilot exceptions

Section 5.9(e) says these requirements "do not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft":

§§ 5.21(a)(4), 5.21(a)(5), 5.21(c), 5.23(a)(2), 5.23(a)(3), 5.23(b), 5.25(b)(3), 5.25(c), 5.27(a), 5.27(b), 5.71(a)(7), 5.93 and 5.97(d).

AC 120-92D, paragraph 3.2.6.3.1, translates each one: no employee reporting or disciplinary policy, no requirement to communicate the policy through the organization, no management or employee accountability lists, no designated management personnel, no delegation of emergency authority or employee emergency duties, no confidential employee reporting system, no safety communication procedure and no communication records. Everything else in Part 5 still applies, including hazard identification, risk assessment, safety assurance and the records of those.

The exception is narrow. It applies to "a single pilot who is the sole individual performing all necessary functions." An operation with one pilot and a separate mechanic or scheduler does not fit those words.

How small can it be?

AC 120-92D, Appendix G, is written for this question. It says the FAA does not define a small organization "because an SMS is designed to be adaptable based on the size and complexity of the organization," that "less complex organizations could use simple methods," and that existing processes "can serve as the foundation for portions of their SMS." In a single-pilot operation, "that single pilot could be the one to develop, implement, and use the SMS process."

In practice, for a small on-demand operator that means:

• a one-page safety policy and code of ethics signed by the accountable executive;
• a short hazard and risk procedure with one risk matrix and a log;
• a schedule of audits and reviews you will actually do, with a simple corrective action log;
• an emergency response checklist;
• training records for the people named in the SMS.

AC 120-92D, paragraph 3.2.5.3.6, adds that organizations not required to keep a manual still document their SMS policies and procedures and record the outputs of risk management and safety assurance under §§ 5.95 and 5.97.

The declaration of compliance

AC 120-92D, paragraph 3.2.5.3, says existing Part 135 and § 91.147 operators submit the declaration to their FAA certificate management office. It must contain the organization's name and certificate number, its physical address, and a statement that it "has developed and implemented an SMS that meets the requirements of part 5," and be signed by the accountable executive or another senior manager. After receipt the FAA records the status, and validation happens during routine surveillance.

Checklist

• Name the accountable executive and confirm they meet § 5.25(a).
• Write the safety policy with every § 5.21(a) element that applies to you.
• Decide honestly whether the § 5.9(e) single-pilot exception applies.
• Write the risk management procedure and start the hazard log.
• Set up safety assurance: what you monitor, audit and review, and how often.
• Write the emergency response plan.
• Train the people named in the SMS and keep the records.
• Set record retention to the § 5.97 periods.
• Submit the declaration of compliance before May 28, 2027 if you were certificated before May 28, 2024.

What you submit and who submits it

Existing certificate holders submit the declaration of compliance, signed by the accountable executive or another senior manager, to their certificate management office. Applicants include the SMS in their certification package and compliance statement. If your manual changes as a result, AC 120-92D says those changes go through existing manual revision procedures.

We prepare the SMS manual and implementation documents sized to your operation, the emergency response plan, the Part 5 compliance cross-reference and the declaration of compliance, with instructions for submitting. You review, sign and submit. The FAA validates the SMS through its own surveillance.

Frequently asked questions

Do I need an SMS if I am a one-pilot Part 135 operator?

Yes. Part 5 applies to all Part 135 certificate holders. A single pilot who performs all the functions is excused only from the thirteen provisions listed in § 5.9(e).

Does the FAA approve my SMS?

For existing operators, Part 5 asks for a declaration of compliance, and AC 120-92D says SMS performance is validated during routine surveillance.

How long do I keep SMS records?

Safety assurance outputs at least 5 years, communications at least 24 months, training for as long as the person is employed, and risk management outputs while the control is relevant (§ 5.97).

Have it prepared

The SMS manual and implementation plan is $1,875 and the emergency response plan is $725. The SMS manual is also included in the Part 135 Basic Operator Package at from $8,950. See the format below.

Sources

Primary sources, as retrieved when this article was last updated. Check the current text before you rely on it.

• 14 CFR Part 5, Safety Management Systems
• AC 120-92D, Safety Management Systems for Aviation Service Providers (5/21/2024)
• AC 120-49B, Parts 121 and 135 Certification (10/7/2024)

Informational only. Not legal advice, not FAA guidance and not a promise of FAA approval or of any FAA timeline. The operator submits its own application; only the FAA approves, accepts or issues an authorization.