OPS_AnnualReport_2019

FLIGHT OPERATIONS STANDARDS DEPARTMENT (OPS) ANNUAL REPORT

At a Glance 3 Introduction 5 6 PART 1 – OPS Performance in the Past Year (2019) 7 9 OPS Regulations 11 Revision Highlights 13 OPS Team 14 15 OPS Qualified Technical Personnel 16 Technical Guidance, Tools, and Provision of Safety-Critical Information 18 OPS Portal 19 20 Introduction 21 22 Main Components – Air Operator Information (AOI) 23 24 Main Components – Oversight Log (OL) 26 27 Main Components – Personnel Information 28 Surveillance Activities 2019 31 36 Overview 39 41 Domestic Recertification 2019 Overview 42 Resolution of Safety Concerns 44 44 PART 2 – Way Forward : OPS Action Plan 2020 45 46 OPS Rebuilding Development Project 2020 47 1. Process Development: AOC Certification and Surveillance 50 51 2. Administrative Improvement: Systemization and Internal Quality Control 3. Upcoming Projects Implementation: Transition to EMPIC and TCAR PART 3 – OPS KPI : Key Project Planning OPS KPI: Key Project Planning 2020 A: Resolution of Finding: CAPs Proposed to ICAO B: Resolution of Finding: CAPs Proposed to FAA C: Improvement of the Safety Oversight System D: Development of Laws and Regulations E: Certification, Surveillance Activities Conduct and Surveillance Program Planning Project Team Planning 2020 Conclusion PART 4 – Appendix to OPS Annual Report 2019

The Flight Operations Standards Department (OPS) takes pride in presenting the first edition of its publication, the ‘OPS Annual Report 2019’, which provides conclusive information on the departmental achievements and challenges in 2019 and a strategic planning for the year 2020. OPS serve the Civil Aviation Authority of Thailand (CAAT) as a core regulatory function, performing Air Operator Certificate (AOC) certification and surveillance to maintain a high level of aviation safety standard and ensure full compliance to the ICAO Standards and Recommended Practices (SARPs). In 2019, major accomplishments for OPS are hereby graphically summarized. creogpuielastoiofnCsEw-2ere issued was fully implemented guidance materials and tools were introduced stakeholder was established of total planned engagement and implemented swuerrveeipllearnfcoermacetdivities were conducted was successfully organized As this report demonstrates, OPS commit to working in collaboration with Thailand’s aviation industry to take full advantage of its potential and to respond to the challenges it presents. Flight Operations Standards Department (OPS) The Civil Aviation Authority of Thailand 3

How did we do in the past year?

Introduction Since its October 1, 2015 establishment, the Civil Aviation Authority of 01 Thailand (CAAT) has upgraded Thai aviation to international standards primarily through the standardization of safety and security management. Even though the “Red Flag” or Significant Safety Concerns (SSC) issue was resolved in 2017, CAAT has continued implementing several additional upgrading projects to enhance civil aviation management efficiency along with promoting and strengthening the aviation industry’s growth and global competitiveness. Over time, with the growing complexity in the factors affecting aviation safety, Flight Operations Standards Department (OPS) – one of the CAAT’s core functions, has played an important role to ensure that all the related corporate missions, based on the “Standard toward Sustainability” vision, have been achieved effectively. Our main responsibilities are certification and maintaining continuous safety oversight of the operational aspects of Air Operators Certificate (AOC) holders to ensure that operators meets requirements equal to, or better than, those defined by the Air Operator Certificate Requirements (AOCR) in accordance with ICAO Standards and Recommended Practices (SARPs). The continuous safety oversight covers airlines operating scheduled, non-scheduled services, and general aviation including both fixed wing aircraft and helicopters, and Safety Assessment of Foreign Aircraft. The Flight Operations Standards Department 2019 Annual Report will provide a comprehensive summary of the changes, achievements and progress of the function from 01 January 2019 to 31 December 2019, including departmental policy, planning and strategy for the year forward. This report consolidates many introductory elements to portray the fundamentals of the department and its framework. To demonstrate the congruence of the Flight Operations Standards Department’s direction to that of the CAAT, this report will be structured using ICAO’s Critical Elements (CEs) as a guideline for main corporate and departmental duties. Some CEs will be combined due to their inter-dependency. 5

Let’s see Part 1 of OPS Annual Report 2019, “OPS Performance in the Past Year”. The contents of Part 1 are structured to illustrate the ICAO 8 Critical Elements (CEs) overall implementation. 6

OPS Regulations 02 In 2019, CAAT (OPS) issued 7 copies of regulations as follows: 01 Air Operator Certificate Requirements (AOCR) Revision 6, Dated 1 February, 2019 A revision of the existing Introduction Section, Chapter 1, 2, 3, 5, 6, 7, 8, 9, Appendix A, C, J, K2, Q, S and W, along with an addition of the new Appendix X, Y, Z1, Z2, AA and AB 02 Air Operator Certificate Requirements (AOCR) Revision 6.1, Dated 30 April, 2019 A minor revision of Chapter 2, 4 and Appendix A Requirements of the Civil Aviation Authority of Thailand No. 13 03 General Aviation, Dated 15 March, 2019 This requirements establishment is in accordance with the authorization in Section 37 of the Civil Aviation Authority of Thailand Emergency Decree B.E. 2558 to regulate civil aviation and control civil business for conformity with current and timely international standards. 04 General Aviation Requirements (GAR), Dated 29 March, 2019 In accordance with the authorization from the Requirements of the Civil Aviation Authority of Thailand No. 13, GAR was issued into 3 parts: • Part I - General Aviation Operations (Aeroplanes) • Part II - Large and Turbojet Aeroplanes Operations • Part III - General Aviation Operations (Helicopter) Helicopter Operations Requirements (HOR), 05 Issue 01, Rev 01, Dated 16 May, 2019 An amendment to comply with Standards and Recommended Practices of ICAO Annex 6 Part III: International Operations – Helicopter, Section II – International Commercial Air Transport (Amendment 22). 7

OPS Regulations 02 06 Helicopter Operations Requirements (HOR), Issue 02, Rev 00, Dated 14 November, 2019 A revision of Helicopter Operations to include Helicopter Emergency Medical Services (HEMS) Regulations and Guidance. 07 Dangerous Goods Notifications, 2019 • Notification of the Civil Aviation Authority of Thailand on Classifications and List of Dangerous Goods B.E. 2562 • Notification of the Civil Aviation Authority of Thailand on Classifications and List of Prohibited Items B.E. 2562 8

Revision Highlights 03 AOCR Revision 6, Effective Date: 01 February 2019 9 To align with AOCR Revision 6, Air Operators are given a transition period of 6 months (01 February 2019 to 31 July 2019) to update their concerned manuals and submit the revisions to CAAT for approval. Air operators have been notified that the six-month transition period includes the review and approval process from CAAT. AOCR Revision 6: Introductory Session - 13 March 2019 On 13 March 2019, an AOCR Revision 6 - Introductory Session on the area of Cabin Safety was arranged after the official announcement of the Air Operator Certificate Requirements (AOCR) Revision 6 on 01 February 2019. To create mutual understanding and facilitate air operators with the amendment of manuals and documents involved in Cabin Safety operations, all air operators operating with cabin crew, including those under the Air Operator Certificate (AOC) application process, were invited to attend and were requested to provide their feedback through an online Google Form after the completion of such session. An AOCR Introductory Session - Summary Report was presented to the Director General on 6 May 2019 to provide a comprehensive summary of the introductory session and the results analyzed from the questionnaire responses. The feedback results indicated that the session elaborated CAAT’s primary objective. Most operators were satisfied with the contents and information provided and are looking forward to attend future sessions arranged in a similar manner. AOCR Revision 6.1, Effective Date: 30 April 2019 This revision served the minor changes in: • Chapter 2: Operations Manual; • Chapter 4: Training and Checking; and • Appendix A: Format of the Air Operator Certificate and Operation Specifications, AOC Application and Associated Forms This revision did not require an introductory meeting to address the changes to the operators as they consist mainly of minor issues. General Aviation Requirements (GAR), Effective Date: 30 March 2019 To align with GAR, Air Operators were given a transition period of 6 months to update their procedures and relevant manuals in accordance to the GAR, and submit revisions to CAAT for approval.

Revision Highlights 04 Helicopter Operations Requirements (HOR), Issue 02, Rev 00, Dated 14 November, 2019 01 Since the government has organized the Eastern Economic Corridor 02 Development Project to promote investment and upgrade the 03 competitiveness of Thailand’s industries by piloting 3 provinces namely 04 Chonburi, Chachoengsao and Rayong, the direct impact is the traffic over 05 200,000 cars on the Bangkok - Laem Chabang intercity motorway per day. To enable an increased survival rate 10 of the patients from the motorway accidents, CAAT developed HEMS roadmap in Thailand in order to speed up capability to land a medical team as close as possible to the patient in life-threatening situations as a primary mission and to be Air Ambulance flights for urgent transfer of critical patients from one hospital to a more capable one as a secondary mission. The dedicated work of CAAT in addressing previous legal constraints and developing regulatory framework and guidance material now presents industry with the opportunity to establish and deliver safe HEMS Operations. Through support and collaboration with the EU and EASA, CAAT has developed the necessary regulatory platform from application of which operators can safely establish HEMS operations. HEMS Milestones 28 AUG 19: MOU Signing between National Institute for Emergency Medicine (NIEMS) and the Civil Aviation Authority of Thailand (CAAT) 27 SEP 19: HOR Issue 2 Revision 00 Public Hearing 14 NOV 19: Announcement of HOR Issue 2 Rev. 00 - HEMS Regulations and Guidance 21-22 NOV 19: Workshop • The Emergency Medical Service in the EEC and related laws • The Oversight of HEMS Operations • AOC: HEMS Approval • Aircraft and Equipment Requirement • ATC Coordination and Publishing Procedure HEMS Operation Base • Protection of A/C and Severity Concerns in HEMS 09 DEC 19: HEMS Operation Demonstration at EEC by Police Aviation Division and Bangkok Helicopter Services

OPS Team 05 Director General Flight Operations Standards Department (OPS) Ms. Araya Saengkrachang Acting Manager General Administration (GO) AOC Certification Division (CT) Flight Standards Cabin Safety Division (CS) Ms. Araya Saengkrachang Development Division (FD) Ms. Araya Saengkrachang Acting Head of Division Mr. Veera Cheevaidsarakul Head of Division Head of Division Helicopter Division (HL) Small Aircraft Division (SA) Ms. Waritha Kulkusol Ms. Nitiya Ariya Acting Head of Division Head of Division Foreign Air Operators Division (FO) Dangerous Goods Division (DG) Mr. Manop Hungkasee Mr. Suphakit Riengsuwan Head of Division Head of Division 11

OPS Team Flight Operations Standards Department (OPS) aims to establish the fundamental knowledge and experience for 06 its inspectors performing certifications and safety oversight functions. Appropriate training courses are arranged to maintain and enhance their competence at the desired level. The training for OPS personnel includes initial, recurrent and On-the-Job Training. An internal management system for training records has been established to ensure currency and completeness of all training courses required. With the inputs provided from each member in the department and the monitoring of our internal QA team, the system provides summary, indicators, as well as an alerting system for recurrent courses to ensure that all personnel are capable and competent for the assigned duties. As of December 2019, the total number of OPS personnel is 52 (including contracted specialists working under OPS functions). The extracted number of inspectors, inspector trainees and non-inspectors are as shown below. For standardization and enhancement of OPS procedural and task management, the inter-divisional staff shuffle and recruitment plan, the assessment of internal re-processing and the manpower calculation is 12 on process. The individual training plan is also developed in order to ensure that OPS has a sufficient number of inspectors and personnel to serve all functional responsibilities effectively.

Our Credential Inspectors 07 As of 31 December 2019, CAAT (OPS) employs 24 Aviation Safety Inspectors (Credentials) as detailed follows: Credentials Total Names Flight Operations Inspector - FOI 11* 1. Capt.Saktawee Saengaram (B747, B767) Planning on the increased number of FOI is ongoing. OPS 2. Capt.Nattapan Yangyuen (A380, A350, A320) will re-process all the tasks in order to reconsider the 3. Capt.Supamit Songpaisan (B777, B787, PEL) reasonable number of required FOI again in early 2020. 4. Capt. Ekapasana Plengkhum (B737, B787, PEL) * One CSI Trainee is undertaking 5. Warayut Sooksawat (B737) the training courses as required. After the completion of the 6. Sompol Chompradist (B737, OMI) training in mid 2020, the total number of CSI will increase to 4. 7. Matima Ariyachaipanich (A319, A320, OMI Trainer) Cabin Safety Inspector – CSI 8. Veera Cheevaidsarakul (A319, A320, OMI Trainer) Dangerous Good Inspector - DGI 9. Aroon Sanguanthamarong (A330, A350) One DGI Trainee is undertaking 10. Manop Hungkasee (HL S92, OMI) the training courses as required. After the completion of the 11. Sumruam Smaiklang (HL S76) training in mid 2020, the total number of DGI will increase to 7. 3 1. Araya Saengkrachang (CSI Trainer, CSI Assessor) Operations Management 2. Arthit Sumon Inspector - OMI 3. Varanya Lertvanangkul Training of OMI Trainees is ongoing. OPS will re-process all the tasks in order 6 1. Suphakit Riengsuwan to reconsider the reasonable number of required OMI again in 2020. 2. Sureerat Kumsree Total 3. Thanathep Tanumore 4. Ratchapon Phakkapornphattarapop 5. Katwadee Meeubon 6. Preeyanuch Termsup 5 1. Chanathorn Horata 2. Kiatwirada Wora-attamapitak 3. Pavinee Tongsrinak 4. Waritha Kulkusol 5. Akaradech Wuthisuwan (*Under Credential Issuance Process) 25* (Expected number of inspectors will be reconsidered in early 2020) 13

08 Technical Guidance, Tools, and Provision of Safety-Critical Information In 2019, OPS issued guidance and tools as follows: Guidance Material for Extended Diversion Time Operations 01 (EDTO/ETOPS) Revision 2, Effective Date: 30 April 2019 Guidance Material for Aircraft Tracking, 02 Effective Date: 30 April 2019 Flight Operations Inspector Manual (Volume 2 and 3), 03 Issue 04 Revision 01, Effective Date: 30 April 2019 Flight Standards Development Procedures (FSDP), 04 Effective Date: 1 August 2019 Flight Operations Standards Department Portal, 05 Original Version: September 2019 14

OPS Portal Our Single Gateway to Work 09 15

09 Introduction 16

OPS Portal 10 The OPS Portal, accessible only by the OPS Personnel using the @caat.or.th domain, is an online internal OPS site containing links to relevant software, resources and collaborative documents used by the OPS Department. It is designed for OPS team members to access relevant, updated and correct work-related resources and tools quickly with minimal clicks. Compatibility-wise, the OPS Portal can be used on any mobile devices or notebooks/computers. The OPS Portal was designed to serve as a key contributor to the improved working efficiency and activities monitoring within the OPS Department. It not only consolidates all the links and utilities in everyday OPS activities within a very close reach but also minimizes the risk of having OPS team members accessing and referring to the wrong documents - directing all team members to access the same controlled contents. This firm control over the sources being utilized by OPS enhances the accuracy of internal work and output. Centralized and Paperless and easily accessible Controlled Database Updated and Alerting Correct Source of Information OPS Portal Main Components • Air Operator Information (AOI) • OPS Master Schedule • Oversight Log (OL) • OPS Personnel Information • Surveillance Program and Package • Document Log (DL) • OPS Bulletin, Minutes and Agendas • Standard Controlled Forms and Templates • OPS Current Projects 17 • National/International Updates

18 11 Main Components • Air Operator Information (AOI) AOI is a centralized, single online cloud-based document for OPS team members to maintain information/data associated to the air operators. As a regulator, it is vital that the latest information on the air operator are constantly maintained and kept valid, since this information is regularly referred to during a large number of tasks ranging from daily communication, to surveillance activities and reports. The information maintained in this system include: • OPS Master Schedule The new cloud-based collaborative system to update OPS team members’ activities which can be updated online anywhere. The OPS Schedule automatically generates a summary sheet that summarizes all the activities for the year, such as number of overall activities per month, number of surveillances by team and by inspector, number of job assignment and training, etc. This will enable a real-time activity monitoring, facilitate with the job assignment on the basis of balanced workload and allow better performance review as well as manpower calculation by the Department Manager.

19 12 Main Components • Oversight Log (OL) The Oversight Log (OL) is an online, collaborate system designed to facilitate the OPS with surveillance planning on the risk-based assessment, audit management, data management, oversight activities monitoring as well as the management of information vital to the establishment of an effective OPS surveillance plan for the upcoming years. Through the routine logging of the surveillance activities and findings, the OL was designed to automatically process every data to generate reliable and accurate summaries. In addition, to prevent activities or findings from slipping through the cracks, the OL has been programmed to automate push emails to each Inspector every Monday to prompt them of the required important activities as well as its respective due dates. The OL has been introduced to OPS members since early 2019 and will be active to facilitate OPS with surveillance and routine activities management until the new EMPIC software comes into place. The OPS Manager and OPS EMPIC Team are process owners who will actively be involved in development and onboarding process for the new EMPIC software to be utilized by the CAAT in the near future.

13 20 Main Components • Personnel Information The OPS Personnel Information is a centralized, single-source personnel database containing information relevant to each and every OPS staff including Inspectors employed under a contract basis. It consists of updated personnel’s name-surname, email address, contact number, current position, official documentation, division and overall service period (real-time calculation), task specific information such as inspector authorization details, and unique links to each personnel's records folder. The records folder accommodates all scanned copies of personnel’s documents and records, such as personal identification card, CAAT official identification card, personal and official passport, CAAT credential card, airport security passes and other licenses. The privacy of these records folders is strictly controlled by OPS General Administration (GO) with predefined permission settings granted only to the respective personnel and the data custodian. This centralized database is one of OPS' high-level databases employed that constantly feeds real-time data to other OPS systems and forms. This database also processes personnel data into useful summaries for management decisions - especially in regard to manpower review and planning. This database is monitored, updated and backed-up regularly by OPS General Administration (GO). There are still many components in OPS Portal that all the OPS personnel use as a daily basis to acquire all necessary information required for their routine works. This is to set up a standard and create a single source of important information that will enable the Manager for all activities monitoring and resources management and allocation which will be a solid basis of the departmental planning in the future.

14 21

2019 Overview 14 Planned Activities: 498 • Thai AOC Inspections (378) • Foreign AOC Inspections (120) (As of 31 Dec 2019) Conducted (on Time): 318 Conducted (Deviated) 155 Conducted (Additional): 2 Postponed and Cancelled: 25 Actual Activities Conducted Comparing to Plans: 22 1. Main Base Audit: 94.15% 2. Cockpit / Cabin Inspections: 94.12% 3. Station Inspections: 98.33% 4. ITP Inspections: 95.65% 5. Special Inspections: 92.31% 6. Foreign AOCs Inspections: 95.83%

15 2019 Overview • What progress did we make? In 2019, OPS has started to conduct Domestic AOCs Recertification as follows. No. Operator AOC Validity * 1 Air Inter Transport Company Limited 25 Nov 2016 – 24 Nov 2017 2 Thai Flying Service Company Limited 10 Jul 2014 – 11 Jul 2019 3 Asian Aerospace Services Company Limited 8 Sep 2016 – 16 Jul 2017 4 RPS System Company Limited 23 Dec 2016 – 25 Dec 2017 (*The validity of above-mentioned AOC was extended by CAAT until further notice to serve the recertification process.) The recertification process of the following Air Operators was terminated because their AOCs were automatically discontinued due to incomplete document submission during Phase 2 of the recertification. 1. Skyview Airways Company Limited 2. Kannithi Aviation Company Limited 3. Siam Air Transport Company Limited • What is the current status of Domestic AOCs Recertification? Air Inter Transport Company Limited – On Process • Phase 3 Verification, Preparing for Phase 4.1 Thai Flying Service Company Limited – On Process • Phase 3 Verification, Preparing for Phase 4.1 Asian Aerospace Services Company Limited – On Process • Phase 3: Review of Operations Manuals RPS System Company Limited – Project Terminated • AOC Suspended: Incompletion of Phase 4.1 CAP All Domestic AOCs Recertification are expected to be completed in June 2020. 23 Close monitoring of all activities shall be performed to ensure its completion.

24 16 Of Safety Concerns • Enforcement that OPS Exercised As of December 2019, OPS has suspended and revoked AOCs as follows: No. Operator Remark 1 Siam Air Transport Company Limited Incompletion of Phase 2 Recertification 2 Asian Air Company Limited Incompletion of Phase 2 Recertification 3 City Airways Company Limited Incompletion of Phase 2 Recertification 4 Siam Airnet Company Limited Incompletion of Phase 2 Recertification 5 Skyview Airways Company Limited Expiration of AOC 6 Kannithi Aviation Company Limited Expiration of AOC 7 Jet Asia Airways Company Limited No operation more than 6 months 8 Asia Atlantic Airlines Company Limited No operation more than 6 months 9 Business Air Centre Company Limited Incompletion of Phase 2 Recertification 10 Thai Lion Air B737-900 Max (OPSSPEC) B737-900 Max Problem 11 RPS System Company Limited Incompletion of Phase 4.1 Recertification 12 Heliluck Aviation Company Limited Incompletion of Phase 3 Recertification 13 Rabbit wing Airways Expiration of AOC and C of A 14 Thai Express Air Company Limited Voluntary AOC Suspension Orient Thai Airlines Company Limited • Cease of operations over one year as per regulations Nine Star Airways Company Limited • Expiration of Air Operator License (AOL)

That’s all for the past. What are we continuing to do in the future?

Now let’s see Part 2 of OPS Annual Report 2019, “OPS Way Forward to the Upcoming Year”. The contents of Part 2 are structured to illustrate OPS major goals to achieve in 2020. 26

17 2020 27

17 Development Project 2020 • The OPS Action Plans: Way to become better This part of the annual report indicates the next steps that OPS will take to propose the re-systemization of the department, reduce critical gaps detected from the overall work process and create a more efficient, synchronized and sustainable way of OPS working. Further than the routine task on AOC certification and safety oversight, in 2020, OPS will focus on three major projects categorized as follows: 1. Process Development: AOC Certification and Surveillance 2. Administrative Improvement: Systemization and Internal Quality Control 3. Upcoming Projects Implementation: Transition to EMPIC and TCAR Process Development: AOC Certification and Surveillance OPS’ main responsibilities are AOC certification and maintaining continuous surveillance of the operational aspects of Air Operators Certificate (AOC) holders to ensure that operators meets requirements equal to, or better than, those defined by the Air Operator Certificate Requirements (AOCR) in accordance with ICAO Standards and Recommended Practices (SARPs). With huge effort of OPS team to improve the internal work process especially in relation to the AOC, in December 2019, CAAT/OPS has been certified for ISO9001:2015 Quality Management - Air Operator Certification. This marks a milestone in reaching our goal and sets a higher standard that OPS need to sustainably maintain. In 2020, OPS will keep moving forward. The Project Plan related to AOC Certification and Surveillance for a better work efficiency includes: 1. Risk Based Surveillance Enhancement 2. AOC Surveillance Package Implementation 3. AOC Certification Standard Process Improvement 4. Service Level Agreement Revision 5. Surveillance Activities Monitoring System Development 28

Development Project 2020 • OPS has implemented a risk-based surveillance program to plan our safety oversight activities since 2019. All activities cover as many aspects of an operation as possible under a specific surveillance cycle. In principle, the operation that involve the greatest risk receives more frequent attention. • OPS considered the year 2020 as a trial period for full implementation of the risk-based surveillance approach. More enhanced data collection and risk profile assessment will be conducted thoroughly by “OPS Planning Team” for a better oversight program in the next cycle of each operator. • AOC Surveillance Package has been introduced to Air Operators to provide a comprehensive and conclusive guideline to ensure a proper assessment of an operator's continuing competence, record of compliance and overall capability throughout all the audits with the scopes clearly identified in the package. • A post audit survey has been included to provide the operators with an efficient tool to give comments and feedback on CAAT surveillance activities conducted. A result of survey analysis will be used to improve not only the quality of our audit but also the performance of our Inspectors. • The AOC Surveillance Package will be further developed every year to make it solid guidelines and principles for both parties involved in CAAT Surveillance Program, the operators and our Inspectors. A sample of actual surveillance package is attached in the appendix to this annual report. • OPS standard work processes related to all aspects of AOC duties have been implemented. However, they need to be improved to create more synchronization and better guidelines for all OPS staffs in order to control internal work quality and maintain consistency of the departmental procedures. 29

Development Project 2020 • In 2019, OPS introduced internally a Service Level Agreement (SLA) on AOC Certification and intended to make it known as our commitment to the stakeholders. Particular aspects of the service – quality, availability, responsibility are agreed between the team and will be strictly used to maintain work standards. • In 2020, the SLA shall be revised to better align with the improved standard work process and procedures as a whole. It will clearly define the level of service to be expected by stakeholders, laying out the metrics by which service is measured, as well as remedies on service levels not achieved. • OPS staffs will be trained on both the revised work process and procedures and the SLA so that they are better aware of the departmental commitment to the stakeholders. This is to ensure that we focus on the same goal and strive to achieve the level of standard we agreed particularly those related to AOCs. • In order to successfully conduct a departmental transformation on the activities monitoring, the tools, the team and the system created in 2019 will be further developed for the overall operational sustainability. All systems related to AOC activities will be prepared for EMPIC implementation expected in 2021. • Centralization is one of the keys to success. To monitor and control all surveillance activities efficiently, one function responsible for centralization of all data and staff performance evaluation is needed so that any discrepancies/deviations/delay detected during the work process can be fixed promptly. • “OPS Operational Control Center” will be enhanced to monitor and control not only the inspection-related activities but also the inspector schedule and workload, the surveillance plan achievement and deviation, the non-compliance management, the resolution of safety concerns, the collection of data, etc. 30

18 Development Project 2020 • The OPS Action Plans: Way to become better Administrative Improvement: Systemization and Internal Quality Control In November 2019, OPS team outing under the theme “OPS Fourth Year: Rebuilding 101” was organized in Phetchaburi province. This was one of the OPS Improvement Projects to rebuild the spirit, teamwork and efficiency of all employees of the department as a whole. The team outing was an opportunity for OPS team to participate in fun, out-of-the-box activities that will help them grow in areas like communication and collaboration and solidify bonds between team members inter- divisionally. It was also a good opportunity for the team leaders to learn more about their employees and help them discover new talents. Resulting from this team outing, a gap analysis in the departmental work process was defined. The team agreed to improve work quality, create synchronization and reduce redundant work procedures in both short and long-term. Details of the gap identifications and proposed solutions to improve systemization and internal quality control are attached in the appendix. Some extracts from the information delivered during the outing is as follows: 31

Development Project 2020 • The OPS Action Plans: Way to become better 32

Development Project 2020 • The OPS Action Plans: Way to become better 33

Development Project 2020 • The OPS Action Plans: Way to become better 34

Development Project 2020 • The OPS Action Plans: Way to become better 35

19 Development Project 2020 • The OPS Action Plans: Way to become better Upcoming Projects Implementation: Transition to EMPIC The Civil Aviation Authority of Thailand (CAAT) has decided to implement a standard safety oversight management system, EMPIC, for aviation regulators to encompass the majority of core tasks undertaken by CAAT. To support the ongoing development of CAAT to be able to perform oversight function more effectively in order to regulate the increasing demands in number of service providers in Thailand, OPS is getting ready for the new system implementation which is expected to be in early 2021. OPS has assigned EMPIC Project Team to handle with all the requirements to facilitate the new system transition and implementation. Starting from 2019, the team has involved with many processes including data collection, workflow/tools updates and preparation for data migration. We have provided the following data to support the project as required: • Hierarchical checklist templates to define a typical certification process (5-phase certification approach and its sub-steps) • Team definition with competencies • Due date for corrective action of each step and sub-step • Document management integrated • Links to certificates, persons, companies, audits, etc. • Clearance needs to be documented • Configurable workflows • Audit Management Related Information (e.g. Planning, Report, etc.) In 2020, OPS will continue working closely with the vendor to support successful transition from Centrik to EMPIC system as we considered this as a crucial factor that will allow CAAT to become fully capable of operating and maintaining a sustainable and effective oversight system. 36

20 Development Project 2020 • The OPS Action Plans: Way to become better Upcoming Projects Implementation: Transition to TCAR CAAT and UK Civil Aviation Authority International (CAAi) have a coordination project to support a sustainable aviation safety regulatory oversight of Thailand. The work package includes regulations development (Thailand Civil Aviation Regulations - TCAR), reviewing and redrafting of operating procedures, manuals, forms and checklists. The overall technical structure of the new regulations has been agreed, and core elements have been highlighted in order to reflect more of what is suitable for Thailand’s requirements. OPS and the UK CAAi Experts have been working together on the review of TCAR 6 – Air Operations draft, including the related guidance materials, tools, forms and checklists required. In order to be well prepared for an adoption of the total new aviation safety regulatory oversight scheme, OPS has also received technical support from the French Civil Aviation Authority, DGAC, in the preparation for TCAR Transition Project, which is one of the Technical Cooperation Projects provided by DGAC to support CAAT/OPS development and sustainability. TCAR 6 Transition Project that OPS will continue working together with DGAC includes the publishing of the new regulations, the training to both the OPS Inspectors and also the industry, the TCAR training material development, the workshop to the Air Operators and then the implementation of the new regulations at a full scale. As for the next milestone, OPS expect to successfully execute those plans within the last quarter of 2020. 37

Apart from the goals to achieve as described earlier, what else that OPS will complete in 2020 to serve the corporate strategy?

Now we have arrived Part 3 of OPS Annual Report 2019, “OPS KPI - Key Project Planning”. The contents of Part 3 are structured to illustrate OPS KPI and the Key Project Planning to serve the Corporate Strategy in 2020. 39

OPS KPI 21 40

21 Key Project Planning 2020 • The OPS KPI Projects: Way to serve the corporate strategies As for the next milestone, OPS has plans to move forward by registering important projects and plans to CAAT’s Key Performance Indicators (KPIs) Register for year 2020. When the annual KPIs are aligned with OPS internal projects and improvement plan, OPS can ensure and verify that its progress are always in parallel with the direction prescribed by CAAT’s corporate strategy. It is also important to note that a number of the internal plans has close resemblance with the findings from external organizations/authorities such as the ICAO and the FAA, as much of the findings from external entities have suggested similar problems, repetitions of the same problems, or even problems with the same underlying cause. Together, the holistic consideration of internal, corporate, and external factors would enable OPS to verify its progress towards the most suitable direction. OPS project and plans that will be incorporated into CAAT’s year 2020 KPI register can be classified into the following groups. A. Resolution of Findings in Accordance with the Corrective Action Plans (CAPs) Proposed to ICAO B. Resolution of Findings in Accordance with the Corrective Action Plans (CAPs) Proposed to FAA C. Improvement of the Safety Oversight System D. Development of Laws and Regulations E. Certification, Surveillance Activities Conduct and Surveillance Program Planning 41

22 Key Project Planning 2020 • The OPS KPI Projects: Way to serve the corporate strategies The tables below detail the projects and plans relevant to the groups. A: Resolution of Finding in Accordance with the Corrective Action Plans (CAPs) Proposed to ICAO No. Project Project Lead Team Member FD CS, DG, CT, FO A-1 Amend relevant announcements to be FD in accordance with Annex 6 Part 1 FD SA FD HL A-2 Amend relevant announcements to be FD DG in accordance with Annex 6 Part 2 HL Every Division FD A-3 Amend relevant announcements to be FD Every Division in accordance with Annex 6 Part 3 FD CT, HL FD Every Division A-4 Amend relevant announcements to be FD CS in accordance with Annex 18 FD DG FD FO A-5 Revise Helicopter Operations Requirements (HOR) FD All Inspectors to be in accordance with document control procedures FD CT, HL, CS, DG A-6 Arrange meetings with operators Portal Team, Every Division (in the case of new laws or regulations) FOSD Team A-7 Improve and update the ICAO Compliance Checklists (CCs) through the Electronic Filing of Differences (EFOD) A-8 Establish the Interception Guidance Material and publish it with proper training A-9 Revise the Flight Operations Inspector Manual (FOIM) to be in accordance with international standards A-10 Revise the Cabin Safety Inspection Manual (CSIM) to be in accordance with international standards A-11 Revise the Dangerous Goods Inspection Manual (DGIM) to be in accordance with international standards A-12 Revise the Foreign Air Operators Surveillance Manual (FOSM) to be in accordance with international standards A-13 Revise and update surveillance checklists to be in accordance with international standards A-14 Revise and update AOC Certification checklists to be in accordance with international standards. Establish and develop a database system and procedures for the management of information, documents, and A-15 evidences related to the AOC Certification, approval and surveillance process. 42

22 Key Project Planning 2020 • The OPS KPI Projects: Way to serve the corporate strategies No. Project Project Lead Team Member FD Trainer A-16 Arrange internal training for OPS personnel on the FD operations manuals and checklists that have been revised Planning Team OPS Manager Division Heads A-17 Establish the Annual Surveillance Plan 2021 in OPS Manager Division Heads coordination with concerned departments (AIR, ERD) All Inspectors FD POI, Inspectors A-18 Revise manpower estimation plan to be FD POI, Inspectors in line with international standards FD POI, Inspectors FD Planning Team A-19 Recruit new staffs and monitor the training FD Every Division in accordance with the projected manpower estimation FD Every Division FD A-20 Process exemptions in accordance with the procedures specified in the Exemption Policy and Procedures Manual A-21 Audit AOC Certification Package to ensure compliance with international standards A-22 Audit Air Operator’s Operations Manuals to ensure compliance with international standards A-23 Audit Air Operators’ Special Operations Approval to ensure compliance with international standards A-24 Establish guidelines for developing Risk-Based Surveillance Plan A-25 Establish an AOC Process Quality Control System A-26 Compile evidence of corrective actions and report progress to ICAO via the Online Framework (OLF) 43

23 Key Project Planning 2020 • The OPS KPI Projects: Way to serve the corporate strategies The tables below detail the projects and plans relevant to the groups. B: Resolution of Finding in Accordance with the Corrective Action Plans (CAPs) Proposed to FAA No. Project Project Lead Team Member OPS Manager Division Heads B-1 Revise manpower estimation plan to be in line OPS Manager Division Heads with international standards FD POI, Inspectors B-2 Recruit new staffs and monitor the training FD POI, Inspectors in accordance with the projected manpower estimation FD POI, Inspectors FD POI, Inspectors B-3 Audit Air Operator’s Operations Manuals to ensure FD Every Division compliance with international standards B-4 Audit approval on flight demonstration process to ensure compliance with international standards B-5 Collect evidence of Evacuation Demonstrations to ensure that international standards are met B-6 Revise AOC Certification Checklists (OPS-CHK-400-AOC) to ensure compliance with international standards B-7 Compile documents and evidences of corrective actions and report progress to FAA C: Improvement of the Safety Oversight System Project Lead Team Member FO FD No. Project C-1 Inspector Attachment Program (IAP) 2020 44

24 Key Project Planning 2020 • The OPS KPI Projects: Way to serve the corporate strategies The tables below detail the projects and plans relevant to the groups. D: Development of Laws and Regulations No. Project Project Lead Team Member DG FD D-1 Draft the CAAT Regulations on the Request for Permission DG FD to Transport Prohibited Items Onboard the Aircraft. SA FD CT FD Draft the CAAT Regulations on the Conditions and SA FD D-2 Guidelines for the Reporting of Accidents/Incidents DG FD regarding the Transport of Prohibited Items. DG FD D-3 Draft the CAAT Announcement Regarding CT FD Aerial Work Operations Requirements CT FD CT FD D-4 Draft CAAT Regulations on Air Operations Certificate CT FD Approval (By virtue of Section 15/10) CT FD CT FD D-5 Draft CAAT Announcement regarding General Aviation SA FD D-6 Draft CAAT Regulations regarding the Request for Permission to Transport Dangerous Goods Draft CAAT Regulations on the Conditions and Guidelines for Packaging, Marking, Carrier Liability, Consignor D-7 Responsibility, Training Plans, Reporting of Accidents/Incidents, and other Operations relevant to Dangerous Goods D-8 Draft CAAT Regulations on the Minimum Standards in Safety Management for Commercial Air Transport D-9 Draft CAAT Regulations on the Submission of AOC Package within the AOL Approval Process Timeframe D-10 Draft CAAT Regulations on the Criteria for Air Operator Certificate (AOC) Approval and Issuance Draft CAAT Regulations on the Issuance, Amendment and D-11 Renewal of Air Operator Certificate (AOC) and the Terms and Conditions for Operations Specifications (OPSSPEC) D-12 Draft CAAT Regulations on the Validity of Air Operator Certificate (AOC) D-13 Draft CAAT Regulations on the Freedom of the Air and the Operations of Air Operator Certificate (AOC) Holders D-14 CAAT Regulations Development Project on the Light- Sport and Ultralight Aircrafts Operations 45

25 Key Project Planning 2020 • The OPS KPI Projects: Way to serve the corporate strategies The tables below detail the projects and plans relevant to the groups. E: Certification, Surveillance Activities Conduct and Surveillance Program Planning No. Project Project Lead Team Member E-1 Air Operator Certification for Thai Eastar Jet CT Inspectors E-2 Air Operator Certification for Thai Summer Airways CT Inspectors E-3 Air Operator Certification for Asia Atlantic Airways CT Inspectors E-4 Air Operator Certification for Thai Flying Service CT Inspectors E-5 Air Operator Certification for Asian Aerospace Services CT Inspectors E-6 Air Operator Certification for Air Inter Transport CT Inspectors HL Inspectors E-7 Addition of Aircraft Type (Helicopter) to Operations DG DG Specifications (OPSSPEC) - Siam Land Flying E-8 Dangerous Goods Permit Issuance for Nok Airlines E-9 Dangerous Goods Permit Issuance for NokScoot Airline DG DG E-10 Dangerous Goods Permit Issuance for Thai Aviation Service DG DG E-11 Surveillance for Thai Air Operators conduct as planned CT, HL, CS, DG Inspectors E-12 Surveillance for Foreign Air Operators conduct as planned FO Inspectors E-13 Thai Air Operators Risk-Based Surveillance Planning 2021 Planning Team CT, HL, CS, DG E-14 Foreign Air Operators Risk-Based Surveillance Planning 2021 Planning Team FO 46

47 26 Project Team Planning 2020 • The OPS KPI Projects: Way to work with project assignments In order to achieve the goals for both departmental and organizational aspects, OPS has decided to establish project teams to support all the task deliverables. The effective development and integration of the project team is essential in the successes of OPS projects, as it is the project team who will be responsible for delivery of the scope throughout the project life cycle. OPS Project Teams will vary, established in accordance with the departmental task assignments and supervised by the OPS Manager. The members of each team belong to different divisions but seek to combine their efforts, skills, knowledge and experiences to achieve a common goal. They will be informed exactly what end result is expected under certain timeframe and their performance will be measured against it. The tables below detail the team planning for all OPS projects assignment. No. CODE PROJECT NAME OPS DESIGNATED PERSONNEL Leader Anan Tulyathan 1 IQA Internal Quality Assurance Sutas Srichan Leader Barom Vichitranuj 2 OCC Operations Control Center Leader Thanathep Thanumore Leader Ratchapon Phakkapornphattarapop 3 SKP Safety Key Personnel Barom Vichitranuj Leader Korapin Wiboonronnarong 4 DOC Document Control Sutas Srichan Akaradech Wuthisuwan 5 ADT Internal, Waritha Kulkusol International Audit Katwadee Meeubon Varanya Lertvanangkul Korapin Wiboonronnarong Sutas Srichan Itsara Habangkam Ratchapon Phakkapornphattarapop GO Division Supamit Songpaisan Thapanapat Srimoonsang Thanathep Thanumore Pavinee Tongsrinak Thanapol Khoonthothom Korapin Wiboonronnarong

48 26 Project Team Planning 2020 • The OPS KPI Projects: Way to work with project assignments No. CODE PROJECT NAME OPS DESIGNATED PERSONNEL Leader Waritha Kulkusol 6 EMPIC EMPIC Transition Anan Tulyathan Leader Pavinee Tongsrinak 7 CNTK Centrik Controller Leader Kunpichaya Intrasomjai Chanathorn Horata 8 TCAR TCAR Transition Leader Thanathep Thanumore Barom Vichitranuj 9 SLA AOC Reprocess & SLA Leader Chanathorn Horata Leader Korapin Wiboonronnarong 10 RBS Planning: Head of FD Division Risk-Based Surveillance Supamit Songpaisan Warayut Sooksawat 11 PRTL Portal Controller Matima Ariyachaipanich Waritha Kulkusol Thanathep Thanumore Arthit Sumon Pavinee Tongsrinak Waritha Kulkusol Sutas Srichan Chanathorn Horata Heads of Divisions Arthit Sumon Pavinee Tongsrinak Kunpichaya Intrasomjai Anan Tulyathan Barom Vichitranuj Kunpichaya Intrasomjai Ratchapon Phakkapornphattarapop Thanapol Khoonthothom Itsara Habangkam Sarun Sattayasanskul

26 Project Team Planning 2020 • The OPS KPI Projects: Way to work with project assignments In addition, for the AOC certification and annual surveillance plans for each Air Operator, Principal Operations Inspectors (POI) responsible for the overall management of AOC activities will be shuffled, as well as the Inspectors specialized in each area, to allow for greater flexibility, accountability, to ensure successful project improvement, to avoid any possible conflict of interest, and to increase individual POI and inspectors' exposure to different types of operations. The new POI and Inspectors allocation will be introduced to Air Operators by the AOC Surveillance Package, with details as attached in the Appendix. 49

There can be no doubt that 2019 was a year of considerable challenges and achievements for our Flight Operations Standards Department on supporting CAAT’s mission for the safe operations of the aviation industry of the country. Nevertheless, because of the clear vision of what is needed and the ability to double our collective efforts, we were able to respond to emerging needs and at the same time continue our adherence to implementing the programme of strategic priorities that we have initiated. We hope that this report has succeeded in highlighting the progress and continuing challenges for the upcoming year that require us to remain strongly united and persevere for the sustainability of the organization and the aviation industry. As we move forward, one of the most important influences on our work will be the sustainable development goals endorsed by the CAAT’s mission statement, ‘Standard toward Sustainability’. The goals are comprehensive in scope and, if achieved, will have profound impact on the development of Thailand’s aviation. The OPS goals have been developed with the stated objective to ensure that ‘safety standards are always met’ and will remain the key pillar of all our work. The Acting OPS Manager would like to thank all the OPS employees for their fine efforts during tough periods, where the team delivers strong results in terms of safety, quality and system development. OPS would also like to thank our CAAT Management for their good support and cooperation in 2019 and look forward to the continued support and positive contribution in 2020. Let us remain united in our commitment to the safe flight operations always. Flight Operations Standards Department (OPS) The Civil Aviation Authority of Thailand 50