ASTM F3364-23

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. This document has been purposefully designed within the broader context of the Committee F38 library. Although the original source materials for the content presented here were intended to function as standalone documents, the committee has consciously removed any redundant information in favor of adopting a referential "single-source-of-truth" approach. Consequently, when applying this standard, it is essential to consider and integrate all relevant Committee F38 standards to ensure its comprehensive and accurate implementation.  
1.2 When intending to utilize the information provided in this document as a Means of Compliance for operational or design approval, or both, it is crucial to consult with the respective oversight authority (for example, CAA) regarding its acceptable use and application. To find out which oversight authorities have accepted this standard (in whole or in part) as an acceptable Means of Compliance to their regulatory requirements (hereinafter "the Rules"), please refer to the Committee F38 webpage (www.ASTM.org/COMMITTEE/F38.htm).  
1.3 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.  
1.4 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: Published
• Publication Date: 31-Jul-2023
• ICS: 49.020 - Aircraft and space vehicles in general
• Technical Committee: F38 - Unmanned Aircraft Systems
• Drafting Committee: F38.03 - Personnel Training, Qualification and Certification

Standards Content (Sample)

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.
Designation: F3364 − 23
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 2. Referenced Documents
2
2.1 ASTM Standard:
1.1 This practice establishes a minimum set of requirements
E2159 Guide for Selection, Assignment, and Monitoring of
for an Unmanned Aircraft Systems (UAS) Operator Indepen-
Persons To Be Utilized as Assessors/Auditors or Technical
dent Audit Program in compliance with Practice F3365. This
Experts
document has been purposefully designed within the broader
F3060 Terminology for Aircraft
context of the Committee F38 library. Although the original
F3341 Terminology for Unmanned Aircraft Systems
source materials for the content presented here were intended
F3365 Practice for Compliance Audits to ASTM Standards
to function as standalone documents, the committee has
on Unmanned Aircraft Systems
consciously removed any redundant information in favor of
adopting a referential "single-source-of-truth" approach.
3. Terminology
Consequently, when applying this standard, it is essential to
3.1 Unique and Common Terminology—Terminology used
consider and integrate all relevant Committee F38 standards to
in multiple standards is defined in Terminology F3341, UAS
ensure its comprehensive and accurate implementation.
Terminology Standard, and Terminology F3060, Aircraft Ter-
1.2 When intending to utilize the information provided in
minology Standard. Terminology that is unique to this speci-
this document as a Means of Compliance for operational or
fication is defined in this section.
design approval, or both, it is crucial to consult with the
3.2 Definitions:
respective oversight authority (for example, CAA) regarding
3.2.1 audit finding, n—a statement of audited entity condi-
its acceptable use and application. To find out which oversight
tions at the time of the audit by evaluation against audit
authorities have accepted this standard (in whole or in part) as
criteria. Audit findings shall be based upon verifiable audit data
an acceptable Means of Compliance to their regulatory require-
and may be either positive or negative with respect to audit
ments (hereinafter "the Rules"), please refer to the Committee
criteria.
F38 webpage (www.ASTM.org/COMMITTEE/F38.htm).
3.2.2 independent audit, n—an audit of an unmanned air-
craft systems operator and its associate facilities by an external
1.3 This standard does not purport to address all of the
safety concerns, if any, associated with its use. It is the auditing entity to determine compliance with Civil Aviation
Authority (CAA) accepted consensus standards, and proce-
responsibility of the user of this standard to establish appro-
dures established to meet those requirements.
priate safety, health, and environmental practices and deter-
mine the applicability of regulatory limitations prior to use.
3.2.3 noncompliant finding, n—a non-fulfillment of a re-
quirement that may affect the ability of the UAS Operator to
1.4 This international standard was developed in accor-
comply with the provisions for compliance of the relevant
dance with internationally recognized principles on standard-
CAA.
ization established in the Decision on Principles for the
Development of International Standards, Guides and Recom-
4. Significance and Use
mendations issued by the World Trade Organization Technical
Barriers to Trade (TBT) Committee.
4.1 This practice establishes the minimum set of require-
ments for an independent audit program for unmanned aircraft
system operators. The intended use is to provide minimum
1
This practice is under the jurisdiction of ASTM Committee F38 on Unmanned
Aircraft Systems and is the direct responsibility of Subcommittee F38.03 on
2
Personnel Training, Qualification and Certification. For referenced ASTM standards, visit the ASTM website, www.astm.org, or
Current edition approved Aug. 1, 2023. Published August 2023. Originally contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM
approved in 2019. Last previous edition approved in 2019 as F3364 – 19. DOI: Standards volume information, refer to the standard’s Document Summary page on
10.1520/F3364–23. the ASTM website.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
1

---------------------- Page: 1 -------------
...

This document is not an ASTM standard and is intended only to provide the user of an ASTM standard an indication of what changes have been made to the previous version. Because
it may not be technically possible to adequately depict all changes accurately, ASTM recommends that users consult prior editions as appropriate. In all cases only the current version
of the standard as published by ASTM is to be considered the official document.
Designation: F3364 − 19 F3364 − 23
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
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. This document has been purposefully designed within the broader context of
the Committee F38 library. Although the original source materials for the content presented here were intended to function as
standalone documents, the committee has consciously removed any redundant information in favor of adopting a referential
"single-source-of-truth" approach. Consequently, when applying this standard, it is essential to consider and integrate all relevant
Committee F38 standards to ensure its comprehensive and accurate implementation.
1.2 When intending to utilize the information provided in this document as a Means of Compliance for operational or design
approval, or both, it is crucial to consult with the respective oversight authority (for example, CAA) regarding its acceptable use
and application. To find out which oversight authorities have accepted this standard (in whole or in part) as an acceptable Means
of Compliance to their regulatory requirements (hereinafter "the Rules"), please refer to the Committee F38 webpage
(www.ASTM.org/COMMITTEE/F38.htm).
1.3 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.
1.4 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.
2. Referenced Documents
2
2.1 ASTM Standard:
E2159 Guide for Selection, Assignment, and Monitoring of Persons To Be Utilized as Assessors/Auditors or Technical Experts
F3060 Terminology for Aircraft
F3341 Terminology for Unmanned Aircraft Systems
F3365 Practice for Compliance Audits to ASTM Standards on Unmanned Aircraft Systems
1
This practice is under the jurisdiction of ASTM Committee F38 on Unmanned Aircraft Systems and is the direct responsibility of Subcommittee F38.03 on Personnel
Training, Qualification and Certification.
Current edition approved May 1, 2019Aug. 1, 2023. Published June 2019August 2023. Originally approved in 2019. Last previous edition approved in 2019 as F3364 – 19.
DOI: 10.1520/F3364–19.10.1520/F3364–23.
2
For referenced ASTM standards, visit the ASTM website, www.astm.org, or contact ASTM Customer Service at [e-mail]. For Annual Book of ASTM Standards
volume information, refer to the standard’s Document Summary page on the ASTM website.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
1

---------------------- Page: 1 ----------------------
F3364 − 23
3. Terminology
3.1 Unique and Common Terminology—Terminology used in multiple standards is defined in Terminology F3341, UAS
Terminology Standard, and Terminology F3060, Aircraft Terminology Standard. Terminology that is unique to this specification
is defined in this section.
3.2 Definitions:
3.2.1 audit finding, n—a statement of audited entity conditions at the time of the audit by evaluation against audit criteria. Audit
findings shall be based upon verifiable audit data and may be either positive or negative with respect to audit criteria.
3.2.2 independent audit, n—an audit of an unmanned aircraft systems operator and its associate facilities by an external auditing
entity to determine compliance with Civil Aviation Authority (CAA) accepted consensus standards, and procedures established to
meet those requirements.
3.2.3 noncompliant finding, n—a non-fulfillment of a requirement that may affect the ability of the UAS Operator to comply with
the provisions for compliance of the relevant CAA.
4. Significance and Use
4.1 This p
...