Free Part 5 SMS Compliance Checklist for Part 135 Operators

• We have a written safety policy signed by our accountable executive.
• The policy states our safety objectives and our commitment to meet them.
• The policy commits to providing the resources needed to run the SMS.
• The policy includes a safety reporting policy that protects employees who report.
• The policy defines unacceptable behavior and when discipline may apply.
• We have a written code of ethics stating that safety is the company's top priority.
• The policy has been shared with every employee.
• Our accountable executive reviews the policy on a regular schedule.

Source: 14 CFR §5.21

• We have named an accountable executive in writing.
• We have written safety duties for the accountable executive, managers and employees.
• We have defined which management levels may accept which levels of risk.
• We have enough management personnel assigned to run and maintain the SMS.

Source: 14 CFR §5.23, §5.25

• We have an emergency response plan, coordinated with the organizations we work with, covering the move from normal to emergency operations and back.

Source: 14 CFR §5.27 — conditional: some operators will need this item, some won't.

• We run SRM when we add a new system (aircraft, base, route), change an existing one, or create a new procedure.
• We run SRM when Safety Assurance finds a new hazard or an ineffective control.
• We describe the system before analyzing it, so hazards are identified in context.
• We identify and document hazards.
• We assess risk using a defined method (likelihood × severity matrix).
• We put controls in place and record the residual risk after controls.
• Risk is accepted only by the management level authorized to accept it.

Source: 14 CFR §5.51, §5.53, §5.55

• We monitor our operations and collect safety data.
• We conduct internal audits of our operational processes.
• We evaluate the SMS itself.
• We investigate incidents, accidents and reports of possible noncompliance.
• We operate a confidential employee reporting system.
• We assess safety performance against our safety objectives, including review by the accountable executive.
• When a control isn't working, we take corrective action and track it to closure (owner, due date, status).

Source: 14 CFR §5.71, §5.73, §5.75

• Every employee has completed SMS training suited to their job.
• We share SMS outputs and safety lessons with employees.
• We explain why safety actions were taken and why procedures changed.
• We follow up with employees on hazards they reported.

Source: 14 CFR §5.91, §5.93

• Our safety policy and SMS processes and procedures are documented (SMS manual).
• We keep SRM records for as long as the control remains relevant.
• We keep Safety Assurance records for at least 5 years.
• We keep SMS training records for as long as the person is employed.
• We keep safety communications for at least 24 months.

Source: 14 CFR §5.95, §5.97

• Every item above is in place and working, not just written.
• We have filed our declaration of compliance with our Flight Standards office by May 28, 2027.

Source: 14 CFR §5.9