30 August 2022

GUIDELINE FOR SUBMITTING EXEMPTION REGULATIONS FOR AIR OPERATOR

 

1     Disclaimer:

The "Guideline for submitting exemption regulations for air operator " is for informational purposes only and does not guarantee the CAAT will grant your required exemption. The CAAT will evaluate your exemption and send you its decision based on a full review of your request. The CAAT grant or denial of exemption is based on the specifics of each situation.

2     Exemptions:

An exemption is a request to the CAAT to provide relief from any specified requirement in the Air Navigation Regulations and the CAAT Standards Documents.

Reference to section 15/14 of the Air Navigation Act B.E. 2497 as amended by the Air Navigation Act (No.14) B.E. 2562  provides the power to the Director-General to exempt in the public interest and does not affect air navigation safety, by notification through at least in CAAT Website or in any CAAT Information Network, any person, aircraft, aeronautical product, aerodrome, or aviation related service from any specified requirement in any regulations order, notice, circular, directive, guideline or requirement, issued under this Act in either wholly or partially, subject to such conditions, if any, as may be specified in such notification.

Execution for the exemption under the ANA, Section 15/14, must have one of the following reasons appear to the Director prior to such exclusion. In each individual case, the Director must be satisfied that:

(1) The requirement has been substantially complied with and further compliance is unnecessary;

(2) The action taken or provision made in respect of the matter to which the requirement relates is as effective or more effective than actual compliance with the requirement;

(3) The prescribed requirements are clearly unreasonable or inappropriate in the particular case; or

(4) Events have occurred that make the prescribed requirements unnecessary or inappropriate in the particular case, and the risk to safety will not be significantly increased by the granting of the exemption.

Before granting an exemption, CAAT will consider whether an applicant’s proposal provides a level of safety, or risk control, equivalent to that required by the existing regulation or standard. Aviation is a dynamic environment and individual circumstances vary, therefore the granting of a similar exemption in the past is not justification for the granting of another exemption. Each exemption will be assessed on its own merits, with reference to the most up-to-date information.

3      Applicant Responsibility:

The obligation is on the applicant to provide a risk and evidence-based justification as to why the Director-General should grant an exemption. To be able to successfully assess an application, the CAAT requires documentation and supporting evidence to clearly support the reasons for the exemption request, including any proposed actions or conditions to maintain an appropriate level of safety.

The request for Exemptions shall be accompanied by safety and risk assessments. This will allow the CAAT to view proposals in context and should reduce the time spent analyzing any associated risks. Failure to provide adequate information will result in a delay in the processing of the application while the CAAT seeks the information necessary for it to consider the application.

When seeking an exemption, the applicant should provide at least the following information: –

  • A person/organization seeking exemption shall submit an application for exemption to the Director.
  • The application for exemption shall clearly state the reasons for seeking exemption and shall be supported with the reasons for non-compliance, safety assessment reports, means of mitigation, and an indication as to when compliance can be expected.
  • The applicant’s name and current mailing address.
  • Aircraft Registration, Type, and Serial Number (a copy of the Certificate of Registration or equivalent must be supplied).
  • Details of the airworthiness certificate and any associated Operating Limitations (a copy of the Certificate of Airworthiness or equivalent must be supplied, if applicable).

4      Criteria:

In order to grant an Exemption, the CAAT will need to be satisfied in all cases that the risk to safety will not be significantly increased by the granting of the exemption. Applicants need to demonstrate that the risk to safety will not be significantly increased by the granting of the Exemption. This is to provide assurance that all risks have been identified and mitigations are in place to ensure that risk to safety is kept as low as reasonably practicable.

The details of the exemption application form contain the applicants:-

  1. Name;
  2. A street address and mailing address, if different;
  3. Telephone number;
  4.  Fax number, if available;
  5. Email address, if available;
  6. Agent for all purposes related to the application.

The details and substance of the Request for Exemption: –

(a) The application for exemption shall clearly state-

  1. The reasons for seeking exemption;
  2.  Risk assessments report (s), Analyses, aeronautical studies, etc.

As appropriate which may deem fit, along with the means of mitigation and indication as to when compliance can be expected.

(b) Applications must contain the following:

  1. A citation of the specific requirement from which the applicant seeks relief;
  2. Description of the type of operations to be conducted under the proposed exemption;
  3. The proposed duration of the exemption;
  4. An explanation of how the exemption would be in the public interest, that is, benefits the public as a whole.
  5. The category under which exemption is sought (temporary/ permanent) and justifiable reasons why the applicant needs the exemption. The reasons provided should be detailed and self-explanatory.
  6. A detailed description of the alternative means by which the applicant will ensure a level of safety equivalent to that established by the Regulation in question;
  7. A review and discussion of any known safety concerns with the requirement, including information about any relevant accidents or incidents of which the applicant is aware;
  8. If the applicant seeks to operate under the proposed exemption outside of Thailand airspace, the application must also indicate whether the exemption would contravene any provision of the Standards and Recommended Practices of the International Civil Aviation Organization (ICAO).

(c) The action plan for rectification and review of the temporary exemption, including the mitigation measures adopted for ensuring safety during the exemption period.

(d) If a permanent exemption is sought, the applicant has to indicate the mitigation measures adopted to reduce the risk arising due to non-compliance after carrying out a safety assessment.

(e) Undertaking by the person/ organization that he shall annually review the conditions or mitigation measures and any other resultant non-compliance in particular when any significant changes in the activity are proposed.

(f) The applicant should provide adequate information in the prescribed proforma for consideration for granting exemptions with supporting documents. Failure to provide adequate information may delay the processing/ refusal of the application.

(g) If the applicant seeks emergency processing, the application must contain supporting facts and reasons that the application was not timely filed, and the reasons it is an emergency. The Authority may deny an application if the Authority finds that the applicant has not justified the failure to apply in a timely fashion.

5     Exemption internal CAAT assessment team:

The role of the exemption internal CAAT assessment team is to assess the documentation and supporting evidence supplied, with input from subject matter experts, and provide an evidence-based recommendation for the Director's consideration. Therefore, the information and evidence supplied will directly affect the recommendation put forward to the Director. The exemption process may require a CAAT technical, policy, and legal review before it is presented to the Director. Additionally, applications are prioritized alongside all other applications received. Therefore, applicants should allow adequate time for their application to be processed.

6      Processing time:

An exemption goes through internal assessment by the internal CAAT assessment team before it is presented to the Director. This assessment process takes time; therefore, an applicant should submit an exemption request at least 90 days in advance. This will ensure the exemption decision is received before the date it is required and provides adequate time for the applicant to implement a fallback strategy if the exemption is declined. There should be no expectation that a short-notice request will receive urgent or priority attention, particularly if the applicant has known about the situation for some time.

7     Charges:

Currently, there is no charge associated with the processing of an exemption request.

8      Period of Exemptions:

  • Exemptions of a ‘temporary’ nature shall be reviewed annually by the Director with respect to the conditions or relevant regulations and standards.
  • For permanent exemption, nature shall be effective until the Director has an order for cancellation.

9      Exemption issuing:

  • The holder of an exemption (i.e., an air operator, individual, or organization) shall have to carry a copy of the exemption document while in operation.
  • The exemption, once approved, shall be included in the relevant manuals of the applicant.
  • If the Director determines that an exemption should be granted, other persons or organizations may apply to the Director to be included in the relief granted.

10    Extension of granted exemption:

  • The holder of an exemption may request to extend an exemption previously at least 60 days before the exemption expires.
  • The extension of a granted exemption shall not modify a previously granted exemption. If your circumstances have changed, the CAAT may request that you file a new exemption as mentioned in item 4 above.

11    Guidance Material and Application for Seeking an Exemptions:

The applicant can download the related notification exemption, guidance material for the exemption policy and procedure manual, and the exemption application form and find the related Air Operator Regulations via the provided information below:

​12    Submission:

The applicant shall submit the signed exemption application, including the evidence as mentioned in Item 4 above, to the Director-General of The Civil Aviation Authority of Thailand at the following address:

THE CIVIL AVIATION AUTHORITY OF THAILAND

333/105 Lak Si Plaza, tower 2, floor 11,

Kamphaeng Phet 6 Rd., Talat Bang Khen, Lak Si, Bangkok 10210.