Standard Practice for Independent Audit Program for Unmanned Aircraft Operators

SIGNIFICANCE AND USE
4.1 This practice establishes the minimum set of requirements for an independent audit program for unmanned aircraft system operators. The intended use is to provide minimum requirements for an initial assessment of operators bringing a new aircraft model or service to market, or for periodic review of an existing operator’s operations.  
4.2 Compliance to this practice would ensure that the audit program and those who execute it meet the consensus set of minimum requirements and qualifications.  
4.3 This practice does not mandate operator independent audits.  
4.4 Independent audits are to be conducted only at the request of the operator or the relevant CAA. This does not preclude an independent audit at the request of a court of law or arbitrator.
SCOPE
1.1 This practice establishes a minimum set of requirements for an Unmanned Aircraft Systems (UAS) Operator Independent Audit Program in compliance with Practice F3365.  
1.2 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility of the user of this standard to establish appropriate safety, health, and environmental practices and determine the applicability of regulatory limitations prior to use.  
1.3 This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.

General Information

Status
Historical
Publication Date
30-Apr-2019
Current Stage
Ref Project

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ASTM F3364-19 - Standard Practice for Independent Audit Program for Unmanned Aircraft Operators
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NOTICE: This standard has either been superseded and replaced by a new version or withdrawn.
Contact ASTM International (www.astm.org) for the latest information
Designation: F3364 − 19
Standard Practice for
Independent Audit Program for Unmanned Aircraft
1
Operators
This standard is issued under the fixed designation F3364; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope 3.1.3 noncompliant finding, n—a non-fulfillment of a re-
quirement that may affect the ability of the UAS Operator to
1.1 This practice establishes a minimum set of requirements
comply with the provisions for compliance of the relevant
for an Unmanned Aircraft Systems (UAS) Operator Indepen-
CAA.
dent Audit Program in compliance with Practice F3365.
1.2 This standard does not purport to address all of the 4. Significance and Use
safety concerns, if any, associated with its use. It is the
4.1 This practice establishes the minimum set of require-
responsibility of the user of this standard to establish appro-
ments for an independent audit program for unmanned aircraft
priate safety, health, and environmental practices and deter-
system operators. The intended use is to provide minimum
mine the applicability of regulatory limitations prior to use.
requirements for an initial assessment of operators bringing a
1.3 This international standard was developed in accor-
new aircraft model or service to market, or for periodic review
dance with internationally recognized principles on standard-
of an existing operator’s operations.
ization established in the Decision on Principles for the
4.2 Compliance to this practice would ensure that the audit
Development of International Standards, Guides and Recom-
program and those who execute it meet the consensus set of
mendations issued by the World Trade Organization Technical
minimum requirements and qualifications.
Barriers to Trade (TBT) Committee.
4.3 This practice does not mandate operator independent
2. Referenced Documents
audits.
2
2.1 ASTM Standard:
4.4 Independent audits are to be conducted only at the
F3365 Practice for Compliance Audits to ASTM Standards
request of the operator or the relevant CAA. This does not
on Unmanned Aircraft Systems
preclude an independent audit at the request of a court of law
or arbitrator.
3. Terminology
5. Audit Criteria
3.1 Definitions:
3.1.1 audit finding, n—a statement of audited entity condi-
5.1 Initial Assessment—When performing an initial assess-
tions at the time of the audit by evaluation against audit
ment audit of an unmanned aircraft system operator, the
criteria. Audit findings shall be based upon verifiable audit data
auditor(s) shall review compliance to the consensus standards
and may be either positive or negative with respect to audit
for the aircraft being produced.
criteria.
5.1.1 The auditing entity shall verify that the referenced
consensus standards are appropriate and accepted by the
3.1.2 independent audit, n—an audit of an unmanned air-
relevant CAA.
craft systems operator and its associate facilities by an external
5.1.2 At a minimum, the auditor(s) shall assess compliance
auditing entity to determine compliance with Civil Aviation
to the following processes as applicable to the category of
Authority (CAA) accepted consensus standards, and proce-
aircraft being produced:
dures established to meet those requirements.
5.1.2.1 UAS Design and Performance;
5.1.2.2 UAS Operating Instructions;
1
This practice is under the jurisdiction of ASTM Committee F38 on Unmanned
5.1.2.3 UAS Maintenance and Inspection Procedures;
Aircraft Systems and is the direct responsibility of Subcommittee F38.03 on
5.1.2.4 UAS Flight Training Supplement (as applicable);
Personnel Training, Qualification and Certification.
5.1.2.5 UAS Operator’s Quality Assurance System;
Current edition approved May 1, 2019. Published June 2019. DOI: 10.1520/
F3364–19.
5.1.2.6 UAS Operator’s Continued Operational Safety Pro-
2
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
gram; and
contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
5.1.2.7 Any specific requirements mandated by relevant
Standards volume information, refer to the standard’s Document Summary page on
the ASTM website. CAA.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
1

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F3364 − 19
5.1.3 Assessment of compliance shall be comprehensive 8.1.2.2 Audit team members and CAAs, as needed, to
and verifiable. facilitate administrative and logistical travel and audit prepa-
ration information.
NOTE 1—Assessment of compliance to applicable standards does not
8.1.3 The lead auditor and all team membe
...

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