ASTM F3365-19

Standard Practice for Compliance Audits to ASTM Standards on Unmanned Aircraft Systems

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 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.  
3.3 Compliance to this practice would ensure that audit programs and those who develop and execute them are following a consensus set of minimum requirements.  
3.4 This practice 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 or organization, or both, 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 Unmanned Aircraft Systems.  
1.2 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.  
1.3 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: Historical
• Publication Date: 31-Jan-2019
• 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)

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: F3365 − 19
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 2.1.4 audit data, n—information obtained during an audit to
support audit findings.
1.1 This standard practice establishes the minimum set of
requirements for auditing programs, methods, and systems, the
2.1.5 audit finding, n—a statement of audited entity condi-
responsibilities for all parties involved, and qualifications for
tions at the time of the audit by evaluation against audit
entities conducting audits against ASTM standards on Un-
criteria. Audit findings shall be based upon verifiable audit data
manned Aircraft Systems.
and may be either positive or negative with respect to audit
criteria.
1.2 This practice provides requirements to enable consistent
and structured examination of objective evidence for compli-
2.1.6 audit objective(s), n—broad statement(s) of what the
ance that is beneficial for the UAS industry and its consumers.
audit intends to accomplish.
It is the intent of this practice to provide the necessary
2.1.7 audit plan, n—documentation that describes the audit.
minimum requirements for organizations to develop audit
programs and procedures. 2.1.8 audit program, n—an auditing entity’s overarching
collection of approaches, methods, systems, etc. toward the
1.3 This standard does not purport to address all of the
goal of achieving an audit objective(s) and in compliance with
safety concerns, if any, associated with its use. It is the
this standard.
responsibility of the user of this standard to establish appro-
priate safety, health, and environmental practices and deter-
2.1.9 audit protocol, n—a method designed to collect infor-
mine the applicability of regulatory limitations prior to use.
mation to support the audit objective(s) based upon audit
1.4 This international standard was developed in accor-
criteria.
dance with internationally recognized principles on standard-
2.1.10 audit purpose, n—reason for the audit.
ization established in the Decision on Principles for the
Development of International Standards, Guides and Recom- 2.1.11 audit report, n—a written summary of audit findings
mendations issued by the World Trade Organization Technical that is objective, clear, concise, constructive, and timely.
Barriers to Trade (TBT) Committee.
2.1.12 audit scope, n—a description of what is to be audited.
The audit scope shall include a description of the period under
2. Terminology
review, the audited entity, and the audit criteria.
2.1 Definitions:
2.1.13 audit team, n—one or more auditors responsible for
2.1.1 action plan, n—an audited entity’s plan to address
conducting an audit. The audit team may be supported by
audit findings that describes response actions, parties respon-
technical experts and auditors-in-training.
sible for their execution, and expected completion dates.
2.1.14 audited entity, n—a facility, organization, or part
2.1.2 audit (compliance audit), n—a systematic,
thereof, that is the subject of an audit.
documented, and objective review of an audited entity to
evaluate its compliance status relative to audit criteria.
2.1.15 auditing entity, n—the organization that provides the
audit program and authorizes, or initiates the audit process. The
2.1.3 audit criteria, n—the set of requirements that are
auditing entity may be internal or external to the audited entity.
applicable to the audited entity and specified in the audit scope.
Examples may include standards, regulations, and laws.
2.1.16 auditor, n—a person qualified to conduct an audit.
2.1.17 independence, n—a condition characterized by orga-
nizational standing where an auditor is free to conduct an audit
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This practice is under the jurisdiction of ASTM Committee F38 on Unmanned
without being controlled or influenced by others.
Aircraft Systems and is the direct responsibility of Subcommittee F38.03 on
Personnel Training, Qualification and Certification.
2.1.18 lead auditor, n—an auditor designated to lead and
Current edition approved Feb. 1, 2019. Published March 2019. DOI: 10.1520/
F3365–19. manage the audit.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
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F3365 − 19
2.1.19 objectivity, n—a condition characterized by the ab- 4.2 The audit program shall specify an audit purpose and
sence of bias, influences, and conflicts of interest that affec
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