ASTM F2839-11(2016)
(Practice)Standard Practice for Compliance Audits to ASTM Standards on Light Sport Aircraft
Standard Practice for Compliance Audits to ASTM Standards on Light Sport Aircraft
SIGNIFICANCE AND USE
3.1 The purpose of this standard practice is to provide the minimum requirements for the conduct of compliance audits.
3.2 The intended use of standard 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 LSA manufacturer’s quality assurance system.
3.3 Compliance to this standard would insure that audit programs and those who develop and execute them are following a consensus set of minimum requirements.
3.4 This standard does not mandate either internal or external audits.
3.5 An auditing entity cannot request or approve an audit.
3.6 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.
3.7 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.
3.8 Compliance Assurance—An audit is only an indicator of the compliance health of the facility and/or organization during only the period under review and therefore has limited compliance assurance and is not assumed to be exhaustive.
3.9 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 Light Sport Aircraft.
1.2 This standard provides requirements to enable consistent and structured examination of objective evidence for compliance that is beneficial for the LSA industry and its consumers. It is the intent of this standard to provide the necessary minimum requirements for organizations to develop audit programs and procedures.
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 and health practices and determine the applicability of regulatory limitations prior to use.
General Information
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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: F2839 − 11 (Reapproved 2016)
Standard Practice for
Compliance Audits to ASTM Standards on Light Sport
Aircraft
This standard is issued under the fixed designation F2839; 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 2.1.6 audit objective(s)—broad statement(s) of what the
audit intends to accomplish.
1.1 This standard practice establishes the minimum set of
requirements for auditing programs, methods, and systems, the 2.1.7 audit plan—documentation that describes the audit.
responsibilities for all parties involved, and qualifications for
2.1.8 audit program—an auditing entity’s overarching col-
entities conducting audits against ASTM standards on Light
lection of approaches, methods, systems, etc. toward the goal
Sport Aircraft.
of achieving an audit objective(s) and in compliance with this
1.2 This standard provides requirements to enable consis-
standard.
tent and structured examination of objective evidence for
2.1.9 audit protocol—a method designed to collect informa-
compliance that is beneficial for the LSA industry and its
tion to support the audit objective(s) based upon audit criteria.
consumers. It is the intent of this standard to provide the
2.1.10 audit purpose—reason for the audit.
necessary minimum requirements for organizations to develop
audit programs and procedures.
2.1.11 audit report—a written summary of audit findings
1.3 This standard does not purport to address all of the that is objective, clear, concise, constructive, and timely.
safety concerns, if any, associated with its use. It is the
2.1.12 audit scope—a description of what is to be audited.
responsibility of the user of this standard to establish appro-
The audit scope shall include a description of the period under
priate safety and health practices and determine the applica-
review, the audited entity, and the audit criteria.
bility of regulatory limitations prior to use.
2.1.13 audit team—one or more auditors responsible for
2. Terminology conducting an audit. The audit team may be supported by
technical experts and auditors-in-training.
2.1 Definitions:
2.1.1 action plan—an audited entity’s plan to address audit
2.1.14 audited entity—a facility, organization, or part
findings that describes response actions, parties responsible for thereof, that is the subject of an audit.
their execution, and expected completion dates.
2.1.15 auditing entity—the organization that provides the
2.1.2 audit (compliance audit)—a systematic, documented,
auditprogramandauthorizes,orinitiatestheauditprocess.The
and objective review of an audited entity to evaluate its
auditing entity may be internal or external to the audited entity.
compliance status relative to audit criteria.
2.1.16 auditor—a person qualified to conduct an audit.
2.1.3 audit criteria—the set of requirements that are appli-
2.1.17 independence—a condition characterized by organi-
cable to the audited entity and specified in the audit scope.
zational standing where an auditor is free to conduct an audit
Examples may include standards, regulations, and laws.
without being controlled or influenced by others.
2.1.4 audit data—information obtained during an audit to
2.1.18 lead auditor—an auditor designated to lead and
support audit findings.
manage the audit.
2.1.5 audit finding—a statement of audited entity conditions
at the time of the audit by evaluation against audit criteria. 2.1.19 objectivity—a condition characterized by the absence
Audit findings shall be based upon verifiable audit data and of bias, influences, and conflicts of interest that affect or have
may be either positive or negative with respect to audit criteria. the potential to compromise audit findings.
2.1.20 open issues—potential audit findings that cannot be
verified or resolved without additional information.
This practice is under the jurisdiction ofASTM Committee F37 on Light Sport
Aircraft and is the direct responsibility of Subcommittee F37.70 on Cross Cutting.
2.1.21 period under review—the time interval over which
Current edition approved Oct. 1, 2016. Published October 2016. Originally
conditions at the audited entity are evaluated against audit
approved in 2011. Last previous edition approved in 2011 as F2839 – 11. DOI:
10.1520/F2839-11R16. criteria.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
F2839 − 11 (2016)
2.1.22 records—documentation and other forms of recorded 4.5 The audit program shall define criteria for audit status
information. levels. Examples of audit status include pass/fail, open/closed,
or complete/incomplete.
2.1.23 working papers—records collected and developed by
an auditor through the use of audit protocols.
4.6 The audit program shall include auditor qualifications as
specified in Section 11.
3. Significance and Use
4.7 The audit program shall define guidelines and proce-
3.1 The purpose of this standard practice is to provide the
dures for identifying and reporting any compromise of auditor
minimum requirements for the conduct of compliance audits.
qualifications.
3.2 The intended use of standard is to provide a basis for an
internal or external entity to develop an audit program. An
5. Audit Process
audit program defines specific requirements for the execution
5.1 An audit shall at a minimum involve three activities.
of audits for a particular objective. An example of an audit
These are: preparation activities, execution activities, and
program would be an external (third party) audit of LSA
reporting activities.
manufacturer’s quality assurance system.
5.2 Preparation—Preparation activities occur before execu-
3.3 Compliance to this standard would insure that audit
tion and are intended to plan, organize, and communicate the
programs and those who develop and execute them are
execution and reporting activities for a specific audit. The
following a consensus set of minimum requirements.
result of the preparation activities is the audit plan (Section 6).
3.4 This standard does not mandate either internal or exter-
The audit plan shall be agreed upon between the auditor and
nal audits.
the audited entity in a timely manner prior to the execution of
3.5 An auditing entity cannot request or approve an audit.
an audit.
3.6 Other Audit Criteria—Other audit criteria may be in-
5.3 Execution—The audit plan is carried out between the
cluded in the audit scope if specified in the audit plan.
audit team and audited entity during this activity. These
Examples include safety, technical, operational, and manage-
activities may occur remotely and/or during an on-site visit, as
ment requirements. Items that are outside the scope of audit-
specified by the audit plan. Execution activities shall include
able criteria may be submitted as observations for possible
communication activities Section 7 and data gathering activi-
resolution. However these are not binding and are not manda-
ties Section 8.
tory.
5.4 Reporting—Reporting activities occur after audit execu-
3.7 Additional Services—Additional services are outside the
tion between the auditor and audited entity. Reporting deliver-
scope of an audit objective. Examples of such services are
ables and milestones occur following execution; however,
consultation to resolve negative or open findings or any other
preparatory work may occur at other times during the process.
service where the auditing entity conducts an activity other
Reporting shall include documentation activities specified in
than an audit for the audited entity.
Section 9.
3.8 Compliance Assurance—An audit is only an indicator of
6. Audit Plan
the compliance health of the facility and/or organization during
only the period under review and therefore has limited com-
6.1 An audit plan shall contain the following:
pliance assurance and is not assumed to be exhaustive.
6.1.1 The audit objective;
3.9 Level of Review is Variable—The audit scope may vary 6.1.2 Audit scope;
to meet different audit objectives. For example, the audit scope 6.1.3 Identities of the auditing entity, audited entity, and
may include only selected audit criteria, selected period under audit team;
review, or selected portions of a facility or organization.
6.1.4 Audit schedule;
6.1.5 Record management and confidentiality procedures;
4. Audit Program
and
4.1 The auditing entity shall develop and document an audit
6.1.6 Logistics.
program that conforms to this practice prior to carrying out an
6.2 Background Information—Background information
audit. The audit program and its documentation is internal to
should be used as appropriate to develop the audit plan or
the auditing entity.
refine an existing audit plan. Background information may
4.2 The audit program shall specify an audit purpose and
consist of records, process and site descriptions, operation and
audit objective(s).
maintenance manuals, compliance inspection reports, previous
4.3 The audit program shall specify the procedures and audit reports, notices of violations, and other relevant informa-
tion.
guidelines that will be used to conduct the audit process in
Section 5, including target timelines.As practical, the program
6.3 Schedule—A schedule of audit activities shall be devel-
should also provide drafts of audit-specific information such as
opedanddocumented.Thescheduleshallclearlydocumentthe
audit scope, audit plan, and audit reports.
expected timeline between the auditing and audited entity with
4.4 The audit program shall contain requirements for record respect to audit execution, reporting audit findings, and action
management as specified in Section 10. plans as applicable.
F2839 − 11 (2016)
6.4 On-site Logistics—If an on-site visit is planned, issues 9. Documentation
such as scheduling a site orientation meeting, identifying site
9.1 Audit protocols should be completed and documented,
contacts, scheduling the site visit dates, and resolution of
or explanations provided for open issues, in accordance with
lodging and transportation logistics should be addressed.
the audit plan.
9.2 Audit Report—Afinal audit report shall be issued by the
7. Communication
auditing entity to the audited entity that presents audit findings
7.1 Communication between the audited and auditing enti-
and status.
ties during an audit shall include an opening conference at the
9.2.1 A draft audit report should be developed for review
start of an audit and a closing conference at the end of an audit.
and comment.
Conferences at some interval during the audit may also be 9.2.2 Audit findings that are resolved within the period
included as applicable and specified in the audit plan.
under review shall be included as audit findings in the audit
report and may be noted as resolved.
NOTE 1—The opening and closing conferences are intended to facilitate
clear communication between the audit team and audited entity. These
9.2.3 Final audit findings shall be based upon the most
communicationsmayoccurinpersonorviaremotecommunicationmeans
recent verifiable audit data from the period under review that is
as detailed in the audit plan.
available to the audit team.
7.2 Opening Conference—This conference brings together 9.2.4 Any comments on audit findings, a draft audit report,
the audit team and appropriate members of the audited entity or the final audit report shall be made in a timely manner
staff to confirm the audit plan and other necessary details. The according to the timelines agreed upon in the audit plan.
Failure to provide comments within this timeline shall not
meeting should facilitate the subsequent gathering of informa-
tion by the audit team and encourage discussion of any prevent issuance of the final audit report.
questions or concerns. The audited entity should provide an
9.3 Action Plan—The audited entity shall develop a written
overviewofthefacilityoperationsfortheauditteamduringthe
action plan to follow-up on negative findings and open issues
opening conference.
presented in the audit report. This action plan shall be
submitted to the auditing entity.
7.3 Closing Conference—The closing conference summa-
9.3.1 For findings that require corrective action, a record of
rizes the overall results of the audit and provides an opportu-
the completion of the corrective action should be documented
nity for audited entity personnel to discuss and question draft
and submitted to the auditing entity.
audit findings. Reporting procedures should be discussed at the
9.3.2 The action plan shall be documented in a timely
closing conference including time frames, a process for resolv-
manner as specified in the audit plan.
ing challenged audit findings, and for closing or reporting any
9.3.3 The action plan shall include measures to prevent
open issues.
reoccurrence of the finding.
7.4 Team Meeting(s)—Meetings of the audit team should be
9.3.4 If the audited entity disagrees with a finding, this
conducted as necessary to share information and ensure timely
disagreement shall be documented and submitted to the audit-
and consistent completion of the audit. Draft audit findings and
ing entity.
audit plan issues should be discussed among audit team
9.3.5 Inallcases,theauditedentityisultimatelyresponsible
members prior to the closing conference.
for compliance to audit criteria requirements.
8. Protocols
10. Record Management
8.1 Audit data shall be gathered and evaluated by the audit 10.1 Records collected by audit protocols are considered
team to support audit findings consistent with the audit either audit data or working papers and shall be managed.
Records may be, but are not limited to, physical items or
objective. The audit team should utilize a combination of audit
protocols to ensure consistency in gathering audit data. Types documents, copies of such items or documents, and electronic
data of various forms.
of audit protocols include:
8.1.1 Physical Inspections—Physical inspections of the au-
10.2 The content of all records, whether audit data or
dited entity’s facilities, documentation, working practices,
workingpapers,shallbeconsideredconfidentialtotheentityto
quality systems, etc. This protocol primarily applies to on-site
whichthecontentordatabelongs,unlessotherwisespecifiedin
visits.
the audit plan.
8.1.2 Interviews—Interviews to obtain information on au-
10.3 Management of records shall include the following:
dited entity practices and procedure
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