ASTM F2839-11
(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
The purpose of this standard practice is to provide the minimum requirements for the conduct of compliance audits.
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.
Compliance to this standard would insure that audit programs and those who develop and execute them are following a consensus set of minimum requirements.
This standard does not mandate either internal or external audits.
An auditing entity cannot request or approve an audit.
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.
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.
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.
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.
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Designation: F2839 − 11
StandardPractice for
Compliance Audits to ASTM Standards on Light Sport
1
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
conducting an audit. The audit team may be supported by
2. Terminology
technical experts and auditors-in-training.
2.1 Definitions:
2.1.14 audited entity—a facility, organization, or part
2.1.1 action plan—an audited entity’s plan to address audit
thereof, that is the subject of an audit.
findings that describes response actions, parties responsible for
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
2.1.19 objectivity—a condition characterized by the absence
at the time of the audit by evaluation against audit criteria.
of bias, influences, and conflicts of interest that affect or have
Audit findings shall be based upon verifiable audit data and
the potential to compromise audit findings.
may be either positive or negative with respect to audit criteria.
2.1.20 open issues—potential audit findings that cannot be
verified or resolved without additional information.
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This practice is under the jurisdiction ofASTM Committee F37 on Light Sport
2.1.21 period under review—the time interval over which
Aircraft and is the direct responsibility of Subcommittee F37.70 on Cross Cutting.
conditions at the audited entity are evaluated against audit
Current edition approved June 1, 2011. Published July 2011. DOI: 10.1520/
F2839-11. criteria.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
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F2839 − 11
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 coll
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