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 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.
