THE CIVIL AVIATION AUTHORITY OF THAILAND

TRAINING ORGANISATION AUDIT CHECKLIST - ATCTO

Name of Training Fill by ATO
Organisation:
Addres Fill by ATO
s:
Type of ATCT ATO certificate Fill by Expiry Date: Fill by ATO
Organisation: O no: ATO
Course Approval: 1.Aerodrome Control Rating
2.Approach Control
Procedural Rating
3.Approach Control
Surveillance Rating
4.Area Control Procedural
Rating
5.Area Control Surveillance
Rating
Accountable Fill by ATO Email: Fill by ATO
Manager Tel:
Type of Audit Initial Certification Planned Date of Inspection /

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 Surveillance Audit
Renewal Certification Unplanned
Inspection
FOR ORGANISATION FOR CAAT OFFCIALS
By signing below, I, as an authorised person of Fill by No Position Name – Last Signature
ATO hereby confirm that the information given on the Name
self-assessment as well as the document attached 1. Lead
herewith the checklist are entirely true, accurate, and Auditor
complete. If it appears that any submitted information 2. Auditor
or document found to be untrue, false or obscure, I 3. Auditor
admit that CAAT has an authorization to suspend or 4. Auditor
revoke the Approval Certification, or refuse to accept Date:
any learning outcomes from my ATCTO.
___________________________
(Fill by ATO) Date:

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 Instructions
(1) ‘Yes’ refers to satisfactory level. It shall be given if the ATO is able to provide valid documents, reliable records of
implementation and demonstrate a sound knowledge if interview of relevant personnel are performed. Also, all sub-
items must be satisfied.
(2) ‘No’ shall be given if any actions found not to be compliance with CAAT rules and regulations or not to be conformed
to any ATO’s documentations as well as any actions being done without evidence of records.
SECTION 0: GENERAL INFORMATION OF THE ATO
No Key Positions Name-Last Name Date of Appointment
1 Accountable Manager Fill by ATO Fill by ATO
2 Director of Aeronautical Services Fill by ATO Fill by ATO
Training Division
3 Quality Manager Fill by ATO Fill by ATO
4 Instructor Fill by ATO Fill by ATO
5 Instructor Fill by ATO Fill by ATO

No Course Approval Date of Approval

1 Fill by ATO Fill by ATO
2 Fill by ATO Fill by ATO
3 Fill by ATO Fill by ATO
4 Fill by ATO Fill by ATO

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 No Course Approval Date of Approval
5 Fill by ATO Fill by ATO
6 Fill by ATO Fill by ATO
7 Fill by ATO Fill by ATO
8 Fill by ATO Fill by ATO

No Title of controlled Document Current Issue no. Date of Approval

1 Fill by ATO Fill by ATO Fill by ATO
2 Fill by ATO Fill by ATO Fill by ATO
3 Fill by ATO Fill by ATO Fill by ATO
4 Fill by ATO Fill by ATO Fill by ATO
5 Fill by ATO Fill by ATO Fill by ATO
6 Fill by ATO Fill by ATO Fill by ATO
7 Fill by ATO Fill by ATO Fill by ATO
8 Fill by ATO Fill by ATO Fill by ATO
9 Fill by ATO Fill by ATO Fill by ATO
10 Fill by ATO Fill by ATO Fill by ATO

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 No Training Registration No and Type/Serial Qualification Sim Certificate no. and Expiry Date
Device(s) Number
1 Simulator Fill by ATO Fill by ATO Fill by ATO
2

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SECTION 1: ORGANISATION & STAFFING IMPLEMENTATION
Date of Audit: Day 1,
Ref: Regulatory Compliance Reference CAAT USE ONLY
N Requirements Eg. Section 1, Part 4, Ye No Remarks
Check List Item
O. No. 5 Organisational s
Structure, p. xx
1 Does the ATO have an Notification of N/A
Op appropriate organisational CAAT; Approval of
structure? Air Traffic Control
Training
Organization B.E.
2559, Clause 5(4)
2 Has the ATO described clear Notification of N/A
responsibility and accountability CAAT; Approval of
of key personnel? i.e. Air Traffic Control
Management positions, Training
instructors, examiners etc. Organization B.E.
2559, Clause 5(4);
Clause 6(2), (3), (4);
Clause 12(3)
3 Has the ATO employed sufficient Notification of N/A
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 Ref: Regulatory Compliance Reference CAAT USE ONLY
N
Check List Item Requirements Eg. Section 1, Part 4, Ye No Remarks
O.
No. 5 Organisational s
qualified personnel for the CAAT; Approval of Structure, p. xx
planned tasks and activities to be Air Traffic Control
performed in accordance with the Training
applicable requirement? Organization B.E.
2559, Clause 6(3)
4 Has the ATO employed qualified Notification of N/A
practical and theoretical CAAT; Approval of
instructors relevant to the courses Air Traffic Control
provided? Training
Organization B.E.
2559, Clause 6 (4);
Clause 12(9);
Notification of
CAAT; Approval of
Air Traffic Control
Training Course B.E.
2559, Clause 5(4);
Notification of
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 Ref: Regulatory Compliance Reference CAAT USE ONLY
N
Check List Item Requirements Eg. Section 1, Part 4, Ye No Remarks
O.
No. 5 Organisational s
CAAT; Approval of Structure, p. xx
Air Traffic Control
Training Course B.E.
2559, Clause 6(3)
5 Has the ATO established a Notification of N/A
procedure to maintain CAAT; Approval of
competence of the instructors? Air Traffic Control
Training
Organization B.E.
2559, Clause 6 (4);
Clause 12 (3), (9).
6 Has the ATO controlled training Notification of N/A
quality? CAAT; Approval of
Air Traffic Control
Training
Organization B.E.
2559, Clause 6 (3)

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 Ref: Regulatory Compliance Reference CAAT USE ONLY
N
Check List Item Requirements Eg. Section 1, Part 4, Ye No Remarks
O.
No. 5 Organisational s
7 Does the ATO have a function to Notification of Structure, p. xx N/A
monitor compliance with the CAAT; Approval of
applicable regulatory requirement Air Traffic Control
and any additional requirements Training
by the ATO? Organization B.E.
2559, Clause 12 (5)
General Comments:

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SECTION 2: TRAINING PROCEDURES
Date of Audit:
Ref: Regulatory Reference CAAT USE ONLY
N Requirements Eg. Section 1, Part 4, No. Ye No Remarks
Check List Item
O. 5 Organisational s
Structure, p. xx
1 Does the ATO have an approved, Notification of
up-to-date amended TPM? CAAT; Approval of
Air Traffic Control
Training
Organization B.E.
2559, Clause 5;
Clause 12 (3)
2 Has the ATO documented any Notification of
changes/amendments of its TPM? CAAT; Approval of
Air Traffic Control
Training
Organization B.E.
2559, Clause 5;

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 Ref: Regulatory Reference CAAT USE ONLY
N
Check List Item Requirements Eg. Section 1, Part 4, No. Ye No Remarks
O.
5 Organisational s
Clause 12 (3) Structure, p. xx

3 Has the ATO made any changes Notification of

correctly as recorded in the CAAT; Approval of
Documentation Amendment
Air Traffic Control
Record?
Training
Organization B.E.
2559, Clause 5;
Clause 12 (3)

4 Has the ATO distributed updated Notification of -

TPMs to all parties listed in the CAAT; Approval of
distribution list?
Air Traffic Control
Training
Organization B.E.
2559, Clause 5;

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 Ref: Regulatory Reference CAAT USE ONLY
N
Check List Item Requirements Eg. Section 1, Part 4, No. Ye No Remarks
O.
5 Organisational s
Clause 12 (3) Structure, p. xx

5 Does the ATO have all offered Notification of

Course Manuals? CAAT; Approval of
Air Traffic Control
Training
Organization B.E.
2559, Clause 6(5)

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 6 Do the training plans indicate Notification of a)
basic training/rating training, CAAT; Approval of
comprising of the subjects Air Traffic Control
prescribed in the CAAT-ATCC Training Course B.E.
B.E.2559, Course Content? 2559, Course
Content
- See lists of
subject.
7 Have the ATO provided training in Notification of 
accordance with the approved CAAT; Approval of
courses? Air Traffic Control
Training
Organization B.E.
2559, Clause 6(5);
Notification of
CAAT; Approval of
Air Traffic Control
Training Course B.E.
2559, Clause 5(2);
(3), (4); Clause 6 (2)
*Evidence required:
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 1) Lesson plan;
2) Objective of the
course;
3) Qualifications of
Trainees
4) Qualifications of
Instructors
5) Evidence of ATC
Simulator use if
any.
8 Has the ATO detailed evaluation Notification of
requirements for examinations CAAT; Approval of
and assessment and Air Traffic Control
implemented accordingly? Training Course B.E.
2559, Clause 6(2)
a) Attendance
not less than
80%
b) Passing
examination
not less than
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 70%

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 9 Have the ATO issued Graduated Notification of
Certificate and Transcripts as CAAT; Approval of
prescribed in the CAAT- Air Traffic Control
ATCO.B.E.2559, Clause 13? Training
Organization B.E.
2559, Clause 13(1),
(2)
General Comments:

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SECTION 3: STANDARDS OF TRAINING
Date of Audit:
Reference CAAT USE ONLY
N
Check List Item Ref: Regulatory Eg. Section 1, Part 4, No. 5 Ye No Remarks
O.
Requirements Organisational Structure, p. xx s
1 Is the ATO able to Notification of
demonstrate a sound CAAT; Approval of
quality of theoretical
Air Traffic Control
training delivery?
Training
a) Adequate training
Organization B.E.
materials provided for
both instructors and 2559, Clause 12

trainees;
b) Instructor’
performance
c) Appropriate and
effective equipment
used for delivering
theoretical training
2 Is the ATO able to Notification of
demonstrate a sound
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 Reference CAAT USE ONLY
N
Check List Item Ref: Regulatory Eg. Section 1, Part 4, No. 5 Ye No Remarks
O.
Requirements Organisational Structure, p. xx s
quality of Simulation CAAT; Approval of
training delivery? Air Traffic Control
a) Appropriate
Training
equipment used for
Organization B.E.
the practical lesson;
2559, Clause 12
b) Suitable and safe
training environment
provided;
c) Instructor’
performance in
relation to:
(1) an appropriate
pre-planning
procedure;
(2) appropriate pre
and post practical

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 Reference CAAT USE ONLY
N
Check List Item Ref: Regulatory Eg. Section 1, Part 4, No. 5 Ye No Remarks
O.
Requirements Organisational Structure, p. xx s
briefings
procedures that
include both
technical and non-
technical threats
and errors
management;

General Comments:

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SECTION 4: FACILITIES, TOOLS, EQUIPMENT & TRAINING DEVICES
Date of Audit:
Reference CAAT USE ONLY
N
Check List Item Ref: Regulatory Eg. Section 1, Part 4, No. 5 Ye N Remarks
O.
Requirements Organisational Structure, p. xx s O
1 Do all the facilities, tools, Notification of
equipment and CAAT; Approval of
simulators have the same Air Traffic Control
capacities and Training Course
configuration as B.E. 2559, Clause
prescribed in the ATO 6(4);
Certificate -Training Notification of
Specification? CAAT; Approval of
Air Traffic Control
Training
Organization B.E.
2559, Clause 12(3)
2 Does the ATO provide Notification of
suitable office/working CAAT; Approval of
areas for instructors and Air Traffic Control
staff members? Training
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 Reference CAAT USE ONLY
N
Check List Item Ref: Regulatory Eg. Section 1, Part 4, No. 5 Ye N Remarks
O.
Requirements Organisational Structure, p. xx s O
Organization B.E.
2559, Clause 5(4)

3 Does the ATO have Notification of

adequate storage areas CAAT; Approval of
including secure areas for Air Traffic Control
storage of documents, Training
personal information, and Organization B.E.
training information? 2559, Clause 6(7)
Notification of
CAAT; Approval of
Air Traffic Control
Training
Organization B.E.
2559, Clause 12(3)

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 4 Does the ATO provide Notification of
suitable classrooms with CAAT; Approval of
equipment for delivering Air Traffic Control
theoretical training for Training
current student’s Organization B.E.
population size? e.g. 2559, Appendix 6.
blackboard / flipchart /
marker /overhead
projector/Enough
tables/chairs/Size of
tables, quality of
furniture, working space.
5 Does the ATO provide Notification of
suitable practical training CAAT; Approval of
areas that are designed Air Traffic Control
and equipped with all Training
essential facilities Organization B.E.
consisting of: 2559, Appendix 6.
a) Descriptions of ATC
Simulators;
b) Operational areas,

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 planning areas, and
briefing rooms;
c) Areas for simulation
training;
6 Are the ATC Simulator Notification of
Certificate(s) valid? CAAT; Approval of
Air Traffic Control
Training
Organization B.E.
2559, Appendix 6.
7 Has the ATO established Notification of
procedures for keeping CAAT; Approval of
and maintaining the Air Traffic Control
qualifications of the ATC Training
Simulator(s) as follows: Organization B.E.
a) Simulator/Aircraft 2559, Clause 6(7);
manual(s); Clause 12(14).
b) Procedural
manual/SOP for staff;
c) Maintenance
programme;
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 d) Safety requirement.
General Comments

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SECTION 5: RECORD KEEPING
th
Date of Audit: Day 2, 9 June 2020
Reference CAAT USE ONLY
N
Check List Item Ref: Regulatory Eg. Section 1, Part 4, No. 5 Ye No Remarks
O.
Requirements Organisational Structure, p. xx s
1 Does the ATO have Notification of
Record Keeping CAAT; Approval of
policy/procedures? Air Traffic Control
Training
Organization B.E.
2559, Clause 6(7);
Clause 12(3);
2 Are the following records Notification of
recorded properly as CAAT; Approval of
required by CAAT-ATCO Air Traffic Control
B.E.2559, Clause 6? Training
a) Full name of trainee; Organization B.E.
b) Copy of transcripts 2559, Clause 12(8),
and graduated (9), (14)
certificates;
c) Course name; *Minimum
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 Reference CAAT USE ONLY
N
Check List Item Ref: Regulatory Eg. Section 1, Part 4, No. 5 Ye No Remarks
O.
Requirements Organisational Structure, p. xx s
d) Pre-training requirement for
qualifications; keeping records
e) Duration of training; are two years.
f) Date of completion of
training;
g) Date of graduation or
date of transfer to
another ATO;
h) Results attained in
each phase of training
and names of
instructors;
i) Training progress
results in each phase;
j) Additional training
hours in case of failing
the tests;
k) Instructors and
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 Reference CAAT USE ONLY
N
Check List Item Ref: Regulatory Eg. Section 1, Part 4, No. 5 Ye No Remarks
O.
Requirements Organisational Structure, p. xx s
Examiners’ profiles
and training records;
l) Records of ATC
Simulators’
maintenance
General comments

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SECTION 6: QUALITY MANAGEMENT SYSTEM
Date of Audit:
Reference CAAT USE ONLY
N
Check List Item Ref: Regulatory Eg. Section 1, Part 4, No. 5 Ye No Remark(s)
O.
Requirements Organisational Structure, p. xx s
1 Does the ATO have an Notification of
approved Quality CAAT; Approval of
Management Manual by Air Traffic Control
CAAT? Training
Organization B.E.
2559, Clause 6(6)
and Clause 12
2 Is Training Policies of the Notification of
ATO included in QA CAAT; Approval of
manual and
Air Traffic Control
communicated within the
Training
ATO?
Organization B.E.
2559, Clause 6(6)
and Clause 12

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 Reference CAAT USE ONLY
N
Check List Item Ref: Regulatory Eg. Section 1, Part 4, No. 5 Ye No Remark(s)
O.
Requirements Organisational Structure, p. xx s
3 Is the Quality Manager Notification of
able to demonstrate a CAAT; Approval of
sound knowledge and
Air Traffic Control
understanding of the
Training
ATO’s quality
Organization B.E.
management system?
2559, Clause 6(6)
and Clause 12

4 Has the ATO provided Notification of

training to all staff CAAT; Approval of
members, in relation to
Air Traffic Control
its ATO’s quality
Training
management system?
Organization B.E.
2559, Clause 6(6)
and Clause 12

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 5 Has the ATO provided Notification of -

relevant and appropriate CAAT; Approval of

trainings to personnel
Air Traffic Control
who perform the role of
Training
quality auditor(s)?
Organization B.E.
2559, Clause 6(6)
and Clause 12

6 Has the ATO established Notification of

a document control CAAT; Approval of
system and effectively
Air Traffic Control
implemented it for at
Training
least the following
Organization B.E.
documentations
a) SMS (if applicable); 2559, Clause 6(6)

b) QMS; and Clause 12

c) Record Keeping (if
applicable); and
d) Approved Training
Course Manuals?

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 7 Does the ATO have Notification of
quality internal audit CAAT; Approval of
procedures,
Air Traffic Control
corrective/preventive
Training
action procedures,
Organization B.E.
monitoring process of
corrective actions, and 2559, Clause 6(6)

internal audit periodic and Clause 12

plan?
8 Has the ATO Notification of
implemented its quality CAAT; Approval of
assurance system and is
Air Traffic Control
able to provide the
Training
following evidence:
Organization B.E.
a) Conformity of training
policy; 2559, Clause 6(6)

b) Effective assessment and Clause 12

and testing methods;
c) Effectiveness of
document control
system;

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 d) Effectiveness of its
Record Keeping
Implementation
including (1)
personnel
qualifications and
training and (2)
training devices and
equipment
qualifications; and
e) Monitoring system to
comply with CAAT
rules and regulations?
General Comments:

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 __________________________________________________________________________________

INITIAL SURVEILLANCE REPORT

Category Description
A level 1 finding shall be issued when any significant noncompliance is detected
with the applicable requirements of CAAT Regulations and its Implementing
Rules, with the organisation’s procedures and manuals or with the terms of an
approval or certificate which lowers safety or seriously hazards flight safety.
Timescale for corrective action is recommended as immediate to 3 days.
The level 1 findings shall include:
Level 1
(1) failure to give CAAT access to the organisation’s facilities during normal
operating hours and/or after an official written request;
(2) obtaining or maintaining the validity of the organisation certificate by
falsification of submitted documentary evidence;
(3) evidence of malpractice or fraudulent use of the organisation certificate; and
(4) the lack of an accountable manager.
A level 2 finding shall be issued when any non-compliance is detected with the
applicable requirements of CAAT Regulations and its Implementing Rules, with
Level 2 the organisation’s procedures and manuals or with the terms of an approval or
certificate which could lower safety or hazard flight safety. Timescale for
corrective action is recommended as up to 3 months
An observation is opportunity for improvement which is minor gap, mostly
documented and implemented. The management system that may be weak,
Observati cumbersome, redundant, overly complex, or in some other manner, may, in the
on opinion of the auditor, offer an opportunity for an organisation to improve its
current status. For internal quality audit, an observation is not subject to any
corrective actions.
Deficiencies Overall, there are…13…items found unsatisfactory, indicated in the table
below.
In Part
No. Section Findings
(Observation)
Organisation and Staffing
1
Implementation

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 __________________________________________________________________________________

2 Training Procedures
3 Standards of Training
Facilities, Tools, Equipment and
4
Training Devices
5 Record Keeping
6 Quality Management System
Total
The official findings will be issued in the form of Non-Compliance Forms (NCF)
along with an official audit report, the organisation is required to complete the NCFs
and return them with supporting documents within the given time stated on the NCFs.
The follow-up actions are also written in the official audit report.

QA Manager: Team Leader Inspector:

Date: Date:

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