ASTM F3365-23
(Practice)Standard Practice for Compliance Audits to ASTM Standards on Unmanned Aircraft Systems
Standard Practice for Compliance Audits to ASTM Standards on Unmanned Aircraft Systems
SIGNIFICANCE AND USE
4.1 The purpose of this standard practice is to provide the minimum requirements for the conduct of compliance audits.
4.2 The intended use of this practice is to provide a basis for an internal or external entity to develop an audit program. An audit program defines specific requirements for the execution of audits for a particular objective. An example of an audit program would be an external (third party) audit of UAS manufacturer’s quality assurance system.
4.3 Compliance to this practice would ensure that audit programs and those who develop and execute them are following a consensus set of minimum requirements.
4.4 This practice does not mandate either internal or external audits.
4.5 An auditing entity cannot request or approve an audit.
4.6 Other Audit Criteria—Other audit criteria may be included in the audit scope if specified in the audit plan. Examples include safety, technical, operational, and management requirements. Items that are outside the scope of auditable criteria may be submitted as observations for possible resolution. However, these are not binding and are not mandatory.
4.7 Additional Services—Additional services are outside the scope of an audit objective. Examples of such services are consultation to resolve negative or open findings or any other service where the auditing entity conducts an activity other than an audit for the audited entity.
4.8 Compliance Assurance—An audit is only an indicator of the compliance health of the facility or organization, or both, during only the period under review and therefore has limited compliance assurance and is not assumed to be exhaustive.
4.9 Level of Review is Variable—The audit scope may vary to meet different audit objectives. For example, the audit scope may include only selected audit criteria, selected period under review, or selected portions of a facility or organization.
SCOPE
1.1 This standard practice establishes the minimum set of requirements for auditing programs, methods, and systems, the responsibilities for all parties involved, and qualifications for entities conducting audits against ASTM standards on Unmanned Aircraft Systems. 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 practice provides requirements to enable consistent and structured examination of objective evidence for compliance that is beneficial for the UAS industry and its consumers. It is the intent of this practice to provide the necessary minimum requirements for organizations to develop audit programs and procedures.
1.4 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.
1.5 This international standard was developed in accordance with internationa...
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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: F3365 − 23
Standard Practice for
Compliance Audits to ASTM Standards on Unmanned
1
Aircraft Systems
This standard is issued under the fixed designation F3365; 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 1.5 This international standard was developed in accor-
dance with internationally recognized principles on standard-
1.1 This standard practice establishes the minimum set of
ization established in the Decision on Principles for the
requirements for auditing programs, methods, and systems, the
Development of International Standards, Guides and Recom-
responsibilities for all parties involved, and qualifications for
mendations issued by the World Trade Organization Technical
entities conducting audits against ASTM standards on Un-
Barriers to Trade (TBT) Committee.
manned Aircraft Systems. This document has been purpose-
fully designed within the broader context of the Committee
2. Referenced Documents
F38 library. Although the original source materials for the
2.1 ASTM Standards:
content presented here were intended to function as standalone
E2159 Guide for Selection, Assignment, and Monitoring of
documents, the committee has consciously removed any re-
Persons To Be Utilized as Assessors/Auditors or Technical
dundant information in favor of adopting a referential "single-
Experts
source-of-truth" approach. Consequently, when applying this
F3060 Terminology for Aircraft
standard, it is essential to consider and integrate all relevant
F3341 Terminology for Unmanned Aircraft Systems
Committee F38 standards to ensure its comprehensive and
accurate implementation.
3. Terminology
1.2 When intending to utilize the information provided in
3.1 Unique and Common Terminology—Terminology used
this document as a Means of Compliance for operational or
in multiple standards is defined in Terminology F3341, UAS
design approval, or both, it is crucial to consult with the
Terminology Standard and Terminology F3060, Aircraft Ter-
respective oversight authority (for example, CAA) regarding
minology Standard. Terminology that is unique to this speci-
its acceptable use and application. To find out which oversight
fication is defined in this section.
authorities have accepted this standard (in whole or in part) as
3.2 Definitions:
an acceptable Means of Compliance to their regulatory require-
3.2.1 action plan, n—an audited entity’s plan to address
ments (hereinafter "the Rules"), please refer to the Committee
audit findings that describes response actions, parties respon-
F38 webpage (www.ASTM.org/COMMITTEE/F38.htm).
sible for their execution, and expected completion dates.
1.3 This practice provides requirements to enable consistent
3.2.2 audit (compliance audit), n—a systematic,
and structured examination of objective evidence for compli-
documented, and objective review of an audited entity to
ance that is beneficial for the UAS industry and its consumers.
evaluate its compliance status relative to audit criteria.
It is the intent of this practice to provide the necessary
3.2.3 audit criteria, n—the set of requirements that are
minimum requirements for organizations to develop audit
applicable to the audited entity and specified in the audit scope.
programs and procedures.
Examples may include standards, regulations, and laws.
1.4 This standard does not purport to address all of the
3.2.4 audit data, n—information obtained during an audit to
safety concerns, if any, associated with its use. It is the
support audit findings.
responsibility of the user of this standard to establish appro-
priate safety, health, and environmental practices and deter-
3.2.5 audit finding, n—a statement of audited entity condi-
mine the applicability of regulatory limitations prior to use.
tions 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
1
This practice is under the jurisdiction of ASTM Committee F38 on Unmanned
criteria.
Aircraft Systems and is the direct responsibility of Subcommittee F38.03 on
Personnel Training, Qualification and Certification.
3.2.6 audit objective(s), n—broad statement(s) of what the
Current edition approved Aug. 1, 2023. Published August 2023. Originally
audit intends to accomplish.
approved in 2019. Last previous edition approved in 2019 as F3365 – 19. DOI:
10.1520/F3365–23. 3.2.7 audit plan, n—documentation tha
...
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: F3365 − 19 F3365 − 23
Standard Practice for
Compliance Audits to ASTM Standards on Unmanned
1
Aircraft Systems
This standard is issued under the fixed designation F3365; 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 standard practice establishes the minimum set of requirements for auditing programs, methods, and systems, the
responsibilities for all parties involved, and qualifications for entities conducting audits against ASTM standards on Unmanned
Aircraft Systems. 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 practice provides requirements to enable consistent and structured examination of objective evidence for compliance that
is beneficial for the UAS industry and its consumers. It is the intent of this practice to provide the necessary minimum requirements
for organizations to develop audit programs and procedures.
1.4 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.
1.5 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
2.1 ASTM Standards:
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
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 Feb. 1, 2019Aug. 1, 2023. Published March 2019August 2023. Originally approved in 2019. Last previous edition approved in 2019 as
F3365 – 19. DOI: 10.1520/F3365–19.10.1520/F3365–23.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
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F3365 − 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 action plan, n—an audited entity’s plan to address audit findings that describes response actions, parties responsible for their
execution, and expected completion dates.
3.2.2 audit (compliance audit), n—a systematic, documented, and objective review of an audited entity to evaluate its compliance
status relative to audit criteria.
3.2.3 audit criteria, n—the set of requirements that are applicable to the audited entity and specified in the audit scope. Examples
may include standards, regulations, and laws.
3.2.4 audit data, n—information obtained during an audit to support audit findings.
3.2.5 audit finding, n—a statement of audited en
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