CAAT ANS Inspector Handbook PART 7 Guidance For Certification of Service Providers

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ANS Inspector Handbook

PART 7 Guidance for Certification of Service Providers
PART 7. GUIDANCE FOR CERTIFICATION

OF SERVICE PROVIDER
Issue 04, Revision: 00, 29/Apr/2020 7-1

1. PURPOSE
This part introduces the necessary steps that CAAT must take for the initial certification
of Service Providers under the provision of the CAAT Regulations in place.
In accordance with the Chicago Convention, provisions of ICAO Annexes and National
regulations, Thailand as a member state of ICAO shall arrange for Air Navigation Services in
accordance with:
- Annex 3 for MET service:
The State shall designate the authority (hereinafter referred to as the meteorological
authority) to provide or to arrange on its behalf for the provision of meteorological services for
international air navigation.
Details of the meteorological authority shall be included in the State aeronautical
information publication, in accordance with Annex 15, Appendix 1, GEN 1.1.
- Annex 10 for CNS service:
The State shall designate the authority responsible for ensuring that the international
aeronautical telecommunication service is conducted in accordance with the Procedures in this Annex.
- Annex 11 for ATS service:
Those portions of the airspace over the high seas or in airspace of undetermined
sovereignty where air traffic services will be provided shall be determined on the basis of
regional air navigation agreements. The State, having accepted the responsibility to provide air
traffic services in such portions of airspace shall thereafter arrange for the services to be
established and provided in accordance with the provisions of this Annex.
Whenever it is determined that air traffic services are needed, the State shall
designate the authority responsible for providing such services.
- Annex 12 for SAR service:
Contracting States shall, individually or in cooperation with other States, arrange for the
establishment and prompt provision of search and rescue services within their territories to ensure
that assistance is rendered to persons in distress. Such services shall be provided on a 24-hour basis.
- Annex 4, 5 and 15 for AIS service:
The State shall ensure that the provision of aeronautical data and aeronautical
information covers its own territory and those areas over the high seas for which it is responsible
for the provision of air traffic services.

The State shall ensure that formal arrangements are established between the
originators of aeronautical data and aeronautical information and the aeronautical information
service, in relation to the timely and complete provision of aeronautical data and aeronautical
information.
2. REGULATORY REFERENCES
2.1 General
- Air Navigation Act, B.E. 2497 amended by the Air Navigation Act (No. 14) B.E. 2562
(Chapter 1/1 and Chapter 1/2);
- Civil Aviation of Thailand Emergency Decree, B.E. 2558.:
1. Chapter 1, Part 1, Section 7 and 8, CAAT’s functions; and
2. Chapter 1, Part 2, Section 37, CAAT’s oversight obligations;
- The Requirement of CAAT No.25 on the Application for and Issuance of Air Navigation
Services Certificate;
- The Announcement of CAAT on the Specification of the juristic person, validity and
other duties of the Air Navigation Service certificate holder;
- CAAT Rules on the Annual report of the Air Navigation Services certificate holder;
- Guidance on the Application for Air Navigation Services Certificate (CAAT-ANS-CERGM);
2.2 ATM: ATS

- The Regulation of CAAT No. 8 on Air Traffic Management Services: Air Traffic Services Standards;
- CAAT Rules on Manual of Standards of Air Traffic Management Services: Air Traffic
Services Standards;
- CAAT Rules on Operations Manual of Air Traffic Management Services: Air Traffic Services;
2.3 ATM: ASM

- [TBD]. The Regulation of CAAT on Air Traffic Management Services: Airspace
Management Standards;
- [TBD]. CAAT Rules on Manual of Standards of Air Traffic Management Services: Airspace
- [TBD]. CAAT Rules on Operations Manual of Air Traffic Management Services: Airspace
Management;

2.4 ATM: ATFM

- [TBD]. The Regulation of CAAT on Air Traffic Management Services: Air Traffic Flow
- [TBD]. CAAT Rules on Manual of Standards of Air Traffic Management Services: Air
Traffic Flow Management Standards;
- [TBD]. CAAT Rules on Operations Manual of Air Traffic Management Services: Air Traffic
Flow Management;
2.5 IFPD
- The Regulation of CAAT No. 12 on Instrument flight procedure design services Standards;
- CAAT Rules on Manual of Standards of Instrument Flight Procedure Design Service Standards;
- CAAT Rules on Operations Manual of Instrument Flight Procedure Design Service;
2.6 CNS
- The Regulation of CAAT No. 9 on Communications, Navigation and Surveillance Standards;
- CAAT Rules on Manual of Standards of Communication, Navigation and Surveillance Services
Standard;
- CAAT Rules on Operations Manual of Communication, Navigation and Surveillance
Services;
2.7 MET
- The Regulation of CAAT No. 10 on Aeronautical Meteorological Services Standards;
- CAAT Rules on Manual of Standards of Aeronautical Meteorological Services Standards;
- CAAT Rules on Operations Manual of Aeronautical Meteorological Services;
2.8 AIS
- The Regulation of the CAAT No. 11 on Aeronautical Information Services Standards;
- CAAT Rules on Manual of Standards of Aeronautical Information Services Standards;
- CAAT Rules on Operations Manual of Aeronautical Information Services;
2.9 SAR
- The Regulation of CAAT No. 13 on Search and Rescue Services standards;
- CAAT Rules on Manual of Standards of Search and Rescue Services standards; and
- CAAT Rules on Operations Manual of Search and Rescue Services.

3. SCOPE AND PROCEDURES

These procedures have to be applied by the ANS Department in order to harmonise
the certification process of Service Providers according to the requirements included in The
Requirement of the Civil Aviation Authority of Thailand No.25 on the Application for and
Issuance of Air Navigation Services Certificate in place.
4. ELIGIBILITY FOR SERVICE PROVIDERS CERTIFICATION

The steps that Service Providers must take for a successful application under the CAAT
Regulations in place are detailed in the “Guidance on the Application for Air Navigation
Services Certificate”.

5. ANS CERTIFICATION PROCEDURES (FLOWCHART)
Figure 7.1 ANS Certification procedures (flowchart)

6. DETAILED PROCESS
Initial enquiries regarding application and certification process (1)
Process ‘Initial enquiries’ regarding application and certification process
Description
CAAT certificate must be obtained by a prospective Air Navigation Service Provider (ANSP) before any
service can be delivered. The ANS Certificate is issued under RCAAT No. 25
This is the first contact from a potential Air Navigation Service provider (ANSP) regarding an application
and certification process.
NOTE 1: The main triggers or inputs which start the whole process are:
(1) The initial application for an ANSP’s certification;
(2) The application for the renewal and modification of the ANSP’s certificate. In the case
of the renewal and modification, the same process as the initial certification can be applied.
NOTE 2: In the case of loss or damage of the Certification, submit the Application for Replacement
of Air Navigation Services Certificate form attached to the RCAAT No.25.
Task 1: Person Responsible:

Dispatch information pack to potential ANSP ANS officer (Nominated focal point)
After the potential ANSP contacted CAAT regarding an application and certification process, the ANS officer or
nominated focal point will dispatch information pack containing:
- Guidance Material(s) for certification including the application process;
- Application form; and
- Copy of the regulations.
NOTE: A face-to-face meeting may be arranged to clarify any issue in the process and to understand the
defined requirements and obligations of the service provider.

Application for certification (2)
Process ‘Application for certification’
Description
This process involves managing the application, including the full review of the application itself and
the assessment of the document by the ANS Application Management Team (AMT)

ANS Application Management Team (AMT) ANS Manager
1. After the application has been sent to CAAT, ANS Manager will identify an ANS Application Management
Team (AMT) and nominate a team member to act as a focal point with responsibility for the management
of an application.
2. The nominated focal points, in coordination with the rest of the AMT (and supported by appropriate
CAAT experts or other experts working for the CAAT), are responsible for the brief assessment of the
documentation received.
Reception of the Application AMT
1. The AMT would first assess the plenary of all submitted documents according to the RCAAT No. 25.
The documents are:
(1) application form (CAAT-ANS-CER-100 & 101);
(2) documentation accompanying the application form;
(3) operations manual;
(4) compliance matrices (CAAT-ANS-CER-104); and
(5) the evidence that specified in compliance matrices.
In assessing applications, an AMT will work through the ANS Certification Process Checklist (ANS-CER-101)
to ensure that the certification process is covered in a systematic way. An approval should not be given
unless every one of the regulatory requirements/standards has been assessed, and each adequately
addressed and met by the applicant.
2. Whenever application does not meet the requirements established in CAAT Regulations, the nominated
focal point shall notify the applicant in writing as soon as possible, providing details of the omissions and
errors. The AMT will require that the interested party correct it within a period of ten (10) business days,
otherwise the application will be dismissed.
3. For any technical issues raised by the application, the nominated focal point should consult the
appropriate CAAT experts or other experts working for the CAAT.

NOTE 1: - The application form must be forwarded together with the documents stated in sections 7 of the
RCAAT No. 25.
NOTE 2: - The submission of documents needs to ensure appropriate ‘proof read’ for typos and paragraph
numbering errors. CAAT may reject poorly produced and error laden documents.
- The submission of ‘Draft’ documents is not allowed. Certificates cannot be issued against draft
documentation. The documents submitted must be the actual documents intended for use.
NOTE 3: - It is important that each document indicates its version or issue numbers and that any amendments
made these are recorded and indicated within the document.
NOTE 4: - When repeatedly submitting the same updated document, it is important to maintain consistent
numbering and naming conventions to ensure clarity of tracking.
NOTE 5: - The organisation exposition and all documents must be amended by the applicant on an ongoing
basis, so that it is up to date at all times (the CAAT and the applicant should agree on an update procedure).
Communication of the acceptance of the application AMT (Nominated focal point)
After the analysis through the assessment carried out by the AMT, the ANS Manager will take a final decision
whether or not to accept the application.
When eligibility has been assessed and the ANS Manager has decided to accept the application, The AMT shall
provide written acknowledgement of the receipt of the applications within a period of no more than fifteen (15)
business days.
the AMT shall inform the applicant of the following:
a) the details of Certification Team Leader who will perform the technical on-site inspections/audits for
certification to verify compliance with applicable requirements, including the relevant safety regulatory
requirements; and
b) if no selection has been made yet, the nominated focal point must notify the applicant of the time
when such resources are expected to be available.
This is communicated to the applicant within two (2) months following receipt of the correct application.

Assessment process for verification of compliance with the Regulations and

Requirements (3.1)
Process ‘Assessment process for verification of compliance with the Regulations
and Requirements’
Description
As part of the certification process, the Certification Team will verify that the applicant has the sufficient
mechanisms to comply with the applicable Regulations and Requirements.
The standards and procedures under which any ANS is to be provided must be at least in accordance
with the following:
 the Civil Aviation Authority Regulations;
 the standards in the MOS(s); and
 the standards in ICAO Annex.
The applicant must provide documentary proof of compliance with the requirements of the
Regulations, standards and procedures.
The process for the verification of compliance with the requirements for certification has two different
phases:
I. Assessment of the documentation and the application
II. On-site inspections/audits of the premises/facilities of the functional units
Based on the outputs from the ‘Application for certification’ (2), this process explains the tasks to be
done as regards communications with applicants in case the applications are accepted or refused.
The AMT and the Certification Team will work alongside throughout the certification process.

Nominate the Certification Team for the assessment ANS Manager and Certification Team Leader
Certification team composition

The Certification Team must:
1. Be proposed by an ANS Manager and approved by the DGCA
2. Consist of certified inspectors and authorised for the specific domain related to the area of activity of
the applicant. The team will include a certification Team Leader and inspectors as a part of the team.
3. If necessary, include other technical support to the certification team members for the review of
documentation regarding to the services to be provided by the applicant.

4. If necessary, include specialists/subject matter experts and observers.

NOTE: The certification team could also be a member of the AMT.
Size of the certification team

In order to determine the composition and size of the certification team, the following considerations are
taken into account:
1. the size of the applicant’s organisation;
2. the number of sites covered by the certificate;
3. the nature of the services to be provided by the applicant and their direct impact on aviation safety;
and
4. the various criteria concerning the review of service provider’s documentation and the implementation
of initial oversight audit visits.
Qualifications
The qualification of the certification team members shall comply with the provision of the Regulation of the
CAAT on Qualification, Appointment, Authorization and Supervision of Aviation Inspector.
Assessment
1. Within the team, specific responsibilities are allocated as regards to the activities intended to verify
compliance with all of the applicable requirement to the services for which the certification is requested.
2. For specific on-site inspections/audits, the certification team can call upon the assistance of
appropriate specialists.

Specialist Assistance and other observers ANS Manager in coordination with each Head of
the ANS Divisions
1. The specialists or subject matter experts are persons who possess the knowledge and expertise
required for the certification team. The specialists may join the certification team by mutual
agreement of the CAAT, ANS manager and each Head of Division.
2. The specialist shall provide the certification team with advice on general organisation, compliance
with the requirements and guidance on technical interpretation of the Regulations.
3. Where the specialist is invited to provide the conclusions and recommendations of final certification
reports their advice should not be binding on the CAAT’s requirements.
4. The specialist should:
a) have the extensive technical knowledge and experience necessary for the certification of a service
provider; and
b) conclude and recommend based on the technical interpretation of the Requirement of CAAT
No.25 and related to CAAT safety regulatory requirements or other associated regulations.
5. Observers may join the certification team upon approval by the ANS Manager. Observers could be
other specialists or subject matter experts, officers under OJT or any other person.

Task 3:
Person Responsible:
Assessment of the documentation and
Certification Team Members
the application
(Phases I: Assessment of the documentation and the application)
1. The Certification Team member will assess the documentation received with the application and the
Compliance Matrices in details. It shall be assessed against the applicable sections of the Regulations in
force with regard to the services for which the applicant requested certification. The Certification Team
shall look for evidences that the applicable requirements of the CAAT Regulations have been
understood and there are clear indications that processes have been developed to meet them.
2. The scope of the review should not necessarily be limited to the documents referenced by the applicant
in its organisational exposition. It could also cover:
a) Operational documentation (e.g. technical manuals, working instructions);
b) Technical systems documentation (e.g. arrangements related to the installation and
maintenance of equipment, etc.);
c) Various documentation in the areas of quality, human resources, staffing plans, security and
quality of services, etc. depending upon the case.
3. After the assessment of documentation received, the Certification Team Leader will hold a
coordination meeting with the team members to discuss on the preliminary findings. A list of
additional documents to be requested and errors or identified findings will be prepared.
4. The Certification Team will inform the applicant through AMT (Nominated focal point) of those findings
and request for actions including the resubmission of the amended documentation within a specific time.
Review the amended document (if any) Certification Team Members
The Certification Team will assess the amended documentation or actions for errors or identified findings
resubmitted by the applicant.
This process of review continues until a sufficient level of compliance in the Compliance Matrices is achieved.
However, CAAT may reject or suspend the certification process if the applicant cannot meet a sufficient level
of compliance within a specific time.
The Certification Team Leader will coordinate with the ANS Manager and AMT (Nominated focal point).
1. If there is evidence revealing weaknesses or concerns regarding the service provider’s arrangements
to meet the applicable requirements, the information will be confirmed, updated and subjected to
further on-site inspections/audits.
2. If serious concerns were raised concerning the applicant’s understanding of the applicable
requirements or processes established to meet applicable requirements, the Team Leader shall
notify about the cancellation of the initial oversight visit to ANS Manager and shall then refer to the
DGCA for a decision on the further actions to take.
NOTE: CAAT may request the applicant to submit other related documents for further review and assessment.


Decision of eligibility ANS Manager and AMT
The ANS Manager will inform the applicant through a formal letter signed by the DGCA about the reasons of
acceptance/refusal of the Service Provider application.
o In case of acceptance, the formal letter should include the steps to be taken to launch the initial
oversight activities, if possible enclosed the audit plan.
o If the eligibility has been assessed and the ANS Manager does not accept the application, the ANS
Manager will inform the DGCA the reasons of refusal.
NOTE: The reasons of refusal include, but not limited to:

- the applicant cannot meet a sufficient level of compliance within a specific time
- the applicant cannot submit requested documents for further review and assessment
- the applicant shows lack of understanding of the applicable requirements or regulations
- the lack of resources within the applicant’s structure or lack of commitment to comply with
the applicable requirements.
NOTE: In making applications for approval, an organisation must clearly indicate which of these services the
application covers. The Certification team must ensure that the applicant has the organisational structure,
ANS facilities and equipment, appropriately qualified personnel, and the external data and co-ordination
interfaces necessary to provision of the nominated services.

Preparation of On-site inspections/audits fee invoice AMT in coordination with the Certification Team leader
1. Once the application and documents assessment meet sufficient level of compliance with
the requirement of the CAAT Regulations, The Certification Team Leader shall inform AMT to send
the requested letter (Attachment: the applicant details form that AMT coordinated with the
applicant) to FAB to issue an on-site inspections/audits fee invoice. (See in Appendix A.1 & A.2)
2. FAB processes and issues the invoice of on-site inspections/audits fee within three (3) business days
after receiving the ANS letter.
3. After the invoice has been issued, FAB will send the invoice to the applicant and ANS via e-mail.
4. The Certification process will not be continued until the on-site inspections/audits fee payment is
completed within date specified in the invoice.
5. After receiving the payment from the applicant, FAB will send the receipt to the applicant and ANS
via e-mail.

On-site assessment (3.2)

Process ‘On-site assessment”
Description
(Phases II: On-site inspections/audits of the premises/facilities of the functional units)

This process includes specific information to set up and organise the Certification activities upon
the decision of the ANS Manager to go ahead with the application. On-site inspections/audits shall be
conducted by the Certification Team to gain objective information to enable CAAT decision on
the recognition of the applicant organisation as capable of providing specific services.
Upon the initial review of the documentation received in the application, the Certification Team shall
verify that the arrangements described in the documentation are being used and are effectively
implemented within the organisation. To that end, this process details how this verification should be
done through a series of on-site audit visits to the relevant site(s) of the organisation.
Depending on each case, on-site audit visits may focus on a specific aspect or address various
applicable requirements.
The scope of the inspection/audit plan for a certification of each Air Navigation Service provider under
the regulation will cover at least 10% of the units and/or premises concerned. Without limiting the
foregoing percentages, the Certification team will conduct at least one audit activity for each type of
unit/premises of the service provider.
Non-onsite visits could also be considered. However, at least one on-site audit visit should be
conducted even in the case of small applicants.

Determine human resources Certification Team Leader
1. The Certification Team Leader should determine the human resources required for the initial auditing
process (number of auditors, observers and/or specialists in particular disciplines) and specifically,
the days required for the audit.
2. The criteria to be used for the identification of the most suitable profiles for each specific activity will
follow the recommendations detailed in Part 5 and Part 6 of this handbook.


Audit plan and audit schedule Certification Team Leader
The Certification Team Leader must follow and implement the applicable CAAT audit procedures detailed in
Part 5 and Part 6 of this Handbook:
1. The Certification Team Leader should develop an audit plan and determine where in the organisation
the various requirements are to be verified and the scope of the activities, recognising that it is
feasible to verify only a sample of the total requirements in each area of the organisation. But he/she
should ensure that all requirements are ultimately verified somewhere within the organisation.
2. The information obtained after the documentation review will be used by the Certification Team
Leader to identify those areas in the service provider’s organisation and the specific processes to be
audited in order to test the applicant’s compliance with a selected set of ANS requirements for all
service providers. Moreover, the implementation of the applicant’s arrangements in line with the
identified intentions set out in the documentation reviewed should also be audited.
NOTE: The sampling of requirements in each area of the organisation should:

1. Depend upon the processes being verified and the level of confidence obtained by the Certification
Team from the documentation review. It should not exclusively cover the areas highlighted by the
documentation review.
2. Take into account the results from audits, inspections or surveys conducted by the CAAT in the 24-months’
period prior, review the findings and identifying areas where sufficient level of confidence exists as
regards management practices already implemented by the organisation.

Coordinate with applicant The AMT (Nominated focal point) in coordination with
Certification Team Leader
The AMT (Nominated focal point) should make arrangements with the applicant to undertake the assessment
of documentation, meetings and on-site inspections/audits at all the relevant location(s).

On-site inspections/audits Certification Team Members
The Certification Team Leader must follow and implement the applicable CAAT audit procedures detailed in
Part 5 and Part 6 of this Handbook.

As a result of the on-site inspections/audits, the CAAT may terminate the certification process if it deems it
cannot be completed due to the lack of resources within the applicant’s structure or its lack of commitment
to comply with the applicable requirements. Such a decision shall be notified to the applicant together with
the reasons.
The certification team shall maintain records of all documents generated and received during on-site
inspections/audits.
Assessment report (3.3)

Process ‘Assessment report’
Description
At the completion of the on-site audit, the certification team has the responsibility to prepare the audit
report in which the summary of the initial oversight activities and the Non-Compliances (if any) and/or
observations.
Compliance shall be assessed against the requirements established in the regulations with regard to
the services for which the applicant requested certification.
The Assessment report shall be sent to the auditee (applicant) within ten (10) business days accompanied
by the Non-Compliance forms (if any).

Prepare the Assessment report Certification Team Leader
1. The Assessment report (as audit report that available in http://drms.caat.or.th/flow.) will contain
a detailed account of non-compliance finding with the requirements established with regard to the
services for which the applicant requested certification.
2. In case of full compliance with the applicable requirement, the certification Team Leader is
responsible for the preparation of the certification report and forwarding it to the DGCA to begin with
the issuance of the certification processes.
3. If there is any non-compliance issued, the Non-compliance management phase will be activated in
accordance with CAAT applicable procedures detailed in Part 5 and Part 6 of this Handbook.
Such non-compliance findings will only be those considered to be type level 2 or observations.
A certificate cannot be issued with an open level 1 non-compliance finding.
Therefore, CAAT may reject or suspend the certification process.

Treatment of Non-compliances (4)

Process ‘Treatment of Non-compliances’
Description
In case non-compliances are identified and duly submitted through the corresponding Non-Compliance
Form (NCF), the non-compliance management phase will be activated detailed in Part 5 and Part 6 of
this handbook.
The applicant shall be responsible for determining and initiating the actions needed to correct the
non-compliance findings or to correct the cause(s) of non-compliance with corrective actions.
Corrective actions and any subsequent follow-up audits should be completed by the applicant within
a time period agreed by the Certification team.
If the Certification team through audits/inspections determine that the Certification process cannot be
completed due to insufficient resources within the applicant's organisation or due to non-compliance
with the requirements, the Director General of CAAT is entitled to suspend the certification process in
any of its phases.
Note1: If an applicant has previously been approved as an ANS provider, and the approval was
cancelled by CAAT for contravention of the Act or the Regulations, the applicant must provide any
available evidence tending to show that the applicant could now properly provide the services
applied for.
Note2: If an onsite follow-up audit is required, CAAT will send the invoice for the follow-up audit to
applicant. The applicant must make the payment within date specified in the invoice . (See in
Appendix A.1 & A.2)

Issuance of the Certificate (5)
Process ‘Issuance of the Certificate’
Description
Once the initial certification process has been completed, CAAT will send the invoice for the
certification fee to applicant. CAAT will issue a Certification together with a Certification Report
enclosed. The certification issuance is the final process of the ANS certification. The certificates shall
be finalised and signed by the DGCA
For on-site inspections/audits all non-conformities should be corrected prior to a certificate being
issued.
CAAT must make a decision about an application within 6 months after receiving it. The 6 months’
assessment period may be extended if CAAT has made a request for further information. The time
between when CAAT makes the request and when the applicant gives CAAT the information does not
count in the 6 months’ period.
In case of a renewal of the Certificate requested by the certificate holder 6 months’ in advance to
the expiry of the validity of the certificate, the CAAT should issue a new certificate equivalent to
the one held by the organisation if the on-going compliance assessment activity does not reveal
an unsafe situation, a major lack of compliance or a lack of commitment to comply with the applicable
common requirements.

Preparation of the Certification fee invoice AMT in coordination with the Certification Team Leader
1. Once the full on-site inspections/audits for the initial oversight of the applicant’s compliance with the
requirement of the CAAT Regulations has been satisfactorily determined, the Certification Team Leader
shall inform AMT to send the requested letter (Attachment: the applicant details form that AMT
coordinated with the applicant) to FAB to issue an on-site inspections/audits fee invoice. (See in
Appendix A.2 & A.3)
1. The Certification Invoice will be issue within three (3) business days after receiving the ANS letter.
2. After the invoice has been issued, FAB will send the invoice to the applicant and ANS via e-mail.
3. The Certification process will not be continued until the certification fee payment is completed within
date specified in the invoice.
4. After receiving the payment from the applicant, FAB will send the receipt to the applicant and ANS via e-mail.


Preparation of the Certification Report AMT
1. When the certification fee payment is completed, the AMT shall prepare the Letter of approval and
a Certification Report in coordination with the Certification team leader.
2. The Certification Report produced shall include, at least, the following information:
a) General information about the on-site inspections/audits conducted (Assessment report), including:
i. The date(s) of the initial oversight audit(s)
ii. The name(s) of the members of the Certification team
iii. The names and addresses of all sites audited
iv. The assessed scope of certification, including reference to the applicable requirements considered
b) Details on identified non-compliances, corrective actions determined by the applicant
organisation and accepted by the nominated inspectors as sufficient and their implementation
and closure
c) Conclusions and recommendations based on the findings of the initial oversight process, including,
if applicable, proposals for any condition to be attached to the certificate.
d) A list of the applicant’s updated organisation exposition and documents following the initial
oversight process

Produce ANS certificate AMT
1. The AMT will ensure that the Certificate is based on the Model Certificate Template.
(CAAT-ANS-CER-102)
2. The AMT shall forward the Letter of approval, a Certification Report and a Receipt of Certification fee
prepared to the ANS Manager for his/her approval.
In case of a newly established ANSP, the Certification Team may propose to grant a certificate with specific
conditions establishing a transitional period to allow the complete implementation of the ANSP arrangements
and its verification by the CAAT. That transitional period should be no longer than one year.
NOTE1: - The Certificate should be valid for a limited period after its issue, in accordance with the yearly
ongoing compliance assessment.
- In case of already established Service Providers, a 5 years’ duration is a maximum valid period;
this duration could be reduced in cases where there is, for objective reasons established by the oversight
process, a lower confidence in the ability of the provider to ensure ongoing compliance
.
NOTE2: - As a general principle, the introduction of changes to the organisation does not modify the validity
period whenever a certificate has been issued unless the change requires a full on-site inspections/audits
leading to the issue of a new certificate


Notify DGCA ANS Manager
1. From the previous activity, the ANS Manager will ensure that all non-compliances are corrected
before the certificate is issued. If not, the ANS Manager shall ensure that the conditions are attached
to the certificate.
2. The ANS Manager will provide opinions on the conclusion and recommendation of the final
certification report then notify the result to DGCA.

Sign and Issue the certificate DGCA
1. The DGCA makes a final decision on the certification and the conditions attached to it based on the
final certification report.
2. The DGCA signs the certificate.
NOTE: The DGCA will not proceed to sign the certificate if the Receipt of Certification fee is not received.

Notify the applicant AMT
1. The following documents are sent to the applicant by registered mail with a covering letter:
o CAAT's letter of approval;
o A Certification Report; and
o The signed ANS Certificate.
2. AMT retains
o one copy of the above documents;
o one copy of the approved provider’s Operations Manual; and
o all documents involved in the certification process.
All documents and information received by the applicant relating to the certification process shall be subject
to protection from disclosure.

Continued surveillance of certificate holders (6)

Process ‘Continued surveillance of certificate holders’
Description
CAAT shall ensure that the certificate holder is under a continued surveillance programme.
CAAT may suspend or cancel an approval if the Regulation is breached. However, CAAT must be able
to justify the suspension or cancellation. The notification shall be sent to the certificate holder.
All proposed actions to suspend or cancel a Certificate should be coordinated with the CAAT Office
of Legal Counsel.
7. DOCUMENT CONFIDENTIALITY
All documents and information received by CAAT relating to the certification process
shall be subject to protection from disclosure.

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CAAT ANS Inspector Handbook PART 7 Guidance For Certification of Service Providers

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ANS Inspector Handbook

PART 7. GUIDANCE FOR CERTIFICATION

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2.2 ATM: ATS

2.3 ATM: ASM

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2.4 ATM: ATFM

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3. SCOPE AND PROCEDURES

4. ELIGIBILITY FOR SERVICE PROVIDERS CERTIFICATION

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5. ANS CERTIFICATION PROCEDURES (FLOWCHART)

Figure 7.1 ANS Certification procedures (flowchart)

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Task 1: Person Responsible:

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Application for certification (2)

Process ‘Application for certification’

Task 1: Person Responsible:

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Assessment process for verification of compliance with the Regulations and

Task 1: Person Responsible:

Certification team composition

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4. If necessary, include specialists/subject matter experts and observers.

Size of the certification team

Task 2: Person Responsible:

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Task 5: Person Responsible:

NOTE: The reasons of refusal include, but not limited to:

Task 6: Person Responsible:

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On-site assessment (3.2)

(Phases II: On-site inspections/audits of the premises/facilities of the functional units)

Task 1: Person Responsible:

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Task 2: Person Responsible:

NOTE: The sampling of requirements in each area of the organisation should:

Task 3: Person Responsible:

Task 4: Person Responsible:

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Assessment report (3.3)

Task 1: Person Responsible:

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Treatment of Non-compliances (4)

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Issuance of the Certificate (5)

Process ‘Issuance of the Certificate’

Task 1: Person Responsible:

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Task 2: Person Responsible:

Task 3: Person Responsible:

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Task 4: Person Responsible:

Task 5: Person Responsible: