Confidentiality & Conflict of Interest

Company Confidential

Registration Management Committee (RMC)

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Confidentiality & Conflict of Interest

San Diego, CAJanuary 20, 2011

R. Darrell TaylorRaytheon

Other Party (OP) Assessor WorkshopSan Diego, CA

January 20, 2010



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Confidentiality & Conflict of Interest

Why?• Industry practice

– Both Abs and CBs have “statements of confidentiality” on file for their auditors

• ISO19011, Ethical Conduct• Requested by suppliers• General Perception



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Confidentiality & Conflict of InterestRequirement• AS9104/2 section 10.

“Confidentiality and Conflicts of Interest”• AS9104/2 appendix I

Declaration Form



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Confidentiality & Conflict of Interest CONFIDENTIALITY AND CONFLICT OF INTEREST:10.1 General:10.1.1 All IAQG OPMT, SMS and CBMC members and OP assessors shall

complete a declaration form (see Appendix I), prior to membership or assignment. The SMS shall retain copies of all completed declaration forms.

10.1.2 The SMS shall review all completed declaration forms and provide notification to the submitter regarding approval, refusal, or applicable limitations.

10.1.3 These forms shall be provided to any assessed organization (e.g., AB, CB, AAB, TPAB, supplier), upon request.

10.2 Confidentiality:Data in the form of check sheets, approvals or other company specific information generated by this standard shall be handled as “confidential, proprietary and sensitive” between the parties generating, collecting, or using the data. Companies using this data shall keep its usage confidential both internally and externally, unless otherwise agreed in writing by the consenting parties. Data resident at the ABs, CBs, and IAQG member companies shall not be shared with IAQG member competitors. However, this data may be subject to assessment or review, at any time, by applicable ABs, SMS, government or regulatory bodies, and the IAQG OPMT.



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Confidentiality & Conflict of Interest CONFIDENTIALITY AND CONFLICT OF INTEREST:10.3 Conflicts of Interest:10.3.1 Conflicts of interest may include, but are not limited to the

following:- Employment of an IAQG member representative by an assessed organization.- A contractual relationship between the OP assessor’s company and the assessed AB or CB organization. - CB or AB management staff or auditor acting as SMS voting member.- Previous employment history of the IAQG member representative.- Participation on AB or CB Advisory Boards, when compensated.- OP assessor with SMS voting rights.- Past conflict or complaint(s).

10.3.2 Potential conflicts of interest shall be recorded on the declaration form (see Appendix I).



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Appendix I 9104-2

Industry Controlled Other Party (ICOP) Declaration Form for Other Party (OP) Assessors Conducting

9104 Oversight I (enter full name) An employee of (Full name and address of employer) declare not to be personally and financially committed with any outside organization involved in the Aerospace Industry Controlled Other Party scheme. In case of any contract or link with some of these organizations (National Accreditation Body, Certification Body, etc.) I declare hereunder all the ones where I am associated with and the tasks I am in charge of: Organisation name Country Tasks

I understand this information is to be used by the Sector Management Structure (SMS) to avoid any conflict of interest as described in Section 10 of 9104-2. In addition, I agree that any information in respect of specific Sector Management Structures (SMS), Certification Body Management Committees (CBMCs), National Accreditation Bodies (NABs), Certification Bodies (CB’s), Auditor Authentication Bodies (AABs), Training Provider Certification Bodies (TPABs) or its client’s, that is acquired as a member of the Other Party Management Team (OPMT) or as Other Party Assessor of national Certification Body Management Committees shall be kept confidential and not copied, distributed or published to anyone not a member of the IAQG Other Party Management Team or a Regulatory Agency, unless with written permission of the organisation concerned is obtained. The above agreement shall not apply if the information is either published, or otherwise legitimately in the public domain, or lawfully obtained from a party free to divulge it. The above declaration will remain confidential and for the use of ICOP SMS only. Signature: Date: Job Title: OP Assessor’s Company Representative I declare, to the best of my knowledge, that qualification records are on file and the above assessor conforms with the qualification requirements outlined in 9104, section 5.2. Signature: Name: Job Title: Date: This declaration form shall be submitted to the respective Sector Management Structure (SMS) Oversight Chair for retention and objective evidence of declaration.

Conflict of Conflict of InterestInterest

Confidentiality Confidentiality StatementStatement

OP AssessorOP Assessor

AAQG/RMCAAQG/RMC

Company Company RepresentativeRepresentative



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Confidentiality & Conflict of InterestImplementation:Appendix I form would be used by the Americas for 2011 Oversight

activities• Declarations forms (AS9104-2 appendix I) must be forwarded to the

SMS Oversight Chair prior to Assessment for all oversight assessors• Appendix I forms posted on RMC website• Americas SMS Oversight Chair

– Susie [email protected]



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OP Assessor Travel Profiles• IAQG will pay for airline and hotel expenses• OP Assessors are required to complete travel

profile• Request travel profile from Susie Neal or

Vince May • Send completed profiles to Susie Neal or

Vince May• Completed profiles will be sent to Travel

Company• OP Assessors will then book travel

Documents

Confidentiality & Conflict of Interest