ASTM_F_3364_-_19.pdf

Designation:F336419Standard Practice forIndependent Audit Program for Unmanned AircraftOperators1This standard is issued under the fixed designation F3364;the number immediately following the designation indicates the year oforiginal adoption or,in the case of revision,the year of last revision.A number in parentheses indicates the year of last reapproval.Asuperscript epsilon()indicates an editorial change since the last revision or reapproval.1.Scope1.1 This practice establishes a minimum set of requirementsfor an Unmanned Aircraft Systems(UAS)Operator Indepen-dent Audit Program in compliance with Practice F3365.1.2 This standard does not purport to address all of thesafety concerns,if any,associated with its use.It is theresponsibility of the user of this standard to establish appro-priate safety,health,and environmental practices and deter-mine the applicability of regulatory limitations prior to use.1.3 This international standard was developed in accor-dance with internationally recognized principles on standard-ization established in the Decision on Principles for theDevelopment of International Standards,Guides and Recom-mendations issued by the World Trade Organization TechnicalBarriers to Trade(TBT)Committee.2.Referenced Documents2.1 ASTM Standard:2F3365 Practice for Compliance Audits to ASTM Standardson Unmanned Aircraft Systems3.Terminology3.1 Definitions:3.1.1 audit finding,na statement of audited entity condi-tions at the time of the audit by evaluation against auditcriteria.Audit findings shall be based upon verifiable audit dataand may be either positive or negative with respect to auditcriteria.3.1.2 independent audit,nan audit of an unmanned air-craft systems operator and its associate facilities by an externalauditing entity to determine compliance with Civil AviationAuthority(CAA)accepted consensus standards,and proce-dures established to meet those requirements.3.1.3 noncompliant finding,na non-fulfillment of a re-quirement that may affect the ability of the UAS Operator tocomply with the provisions for compliance of the relevantCAA.4.Significance and Use4.1 This practice establishes the minimum set of require-ments for an independent audit program for unmanned aircraftsystem operators.The intended use is to provide minimumrequirements for an initial assessment of operators bringing anew aircraft model or service to market,or for periodic reviewof an existing operators operations.4.2 Compliance to this practice would ensure that the auditprogram and those who execute it meet the consensus set ofminimum requirements and qualifications.4.3 This practice does not mandate operator independentaudits.4.4 Independent audits are to be conducted only at therequest of the operator or the relevant CAA.This does notpreclude an independent audit at the request of a court of lawor arbitrator.5.Audit Criteria5.1 Initial AssessmentWhen performing an initial assess-ment audit of an unmanned aircraft system operator,theauditor(s)shall review compliance to the consensus standardsfor the aircraft being produced.5.1.1 The auditing entity shall verify that the referencedconsensus standards are appropriate and accepted by therelevant CAA.5.1.2 At a minimum,the auditor(s)shall assess complianceto the following processes as applicable to the category ofaircraft being produced:5.1.2.1 UAS Design and Performance;5.1.2.2 UAS Operating Instructions;5.1.2.3 UAS Maintenance and Inspection Procedures;5.1.2.4 UAS Flight Training Supplement(as applicable);5.1.2.5 UAS Operators Quality Assurance System;5.1.2.6 UAS Operators Continued Operational Safety Pro-gram;and5.1.2.7 Any specific requirements mandated by relevantCAA.1This practice is under the jurisdiction of ASTM Committee F38 on UnmannedAircraft Systems and is the direct responsibility of Subcommittee F38.03 onPersonnel Training,Qualification and Certification.Current edition approved May 1,2019.Published June 2019.DOI:10.1520/F336419.2For referenced ASTM standards,visit the ASTM website,www.astm.org,orcontact ASTM Customer Service at serviceastm.org.For Annual Book of ASTMStandards volume information,refer to the standards Document Summary page onthe ASTM website.Copyright ASTM International,100 Barr Harbor Drive,PO Box C700,West Conshohocken,PA 19428-2959.United StatesThis international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for theDevelopment of International Standards,Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade(TBT)Committee.1 5.1.3 Assessment of compliance shall be comprehensiveand verifiable.NOTE1Assessment of compliance to applicable standards does notrequire a determination of technical or design merit to be made by theauditing entity.5.2 Periodic ReviewWhen conducting a periodic reviewaudit,the auditing entity may vary the audit scope to assesscompliance to the same standards as an initial assessment audita