Confidentiality &Conflict of Interest

Registration Management Committee (RMC)Other Party (OP) Assessor AS9104-2 - Oversight TrainingJanuary 25, 2007 – Dallas, Texas

Confidentiality &Conflict of InterestConfidentiality &Conflict of Interest

Richard VintonRichard Vinton

RaytheonRaytheon



Why?Why?• Industry practiceIndustry practice

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

• ISO19011, Ethical ConductISO19011, Ethical Conduct• Requested by suppliersRequested by suppliers• General PerceptionGeneral Perception



RequirementRequirement• AS9104-2 section 10. AS9104-2 section 10.

““Confidentiality and Conflicts of Interest”Confidentiality and Conflicts of Interest”• AS9104-2 appendix IAS9104-2 appendix I

Declaration FormDeclaration Form


Confidentiality &Conflict of InterestConfidentiality &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.


Confidentiality &Conflict of InterestConfidentiality &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).


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 Rep.Company Rep.



Implementation:Implementation:During the December RMC telecom, it was agreed that AS9104 appendices would be used by the Americas for 2007 Oversight activities• Declarations forms (AS9104-2 appendix I) must be

forwarded to the SMS Oversight Chair prior to Assessment

• Americas SMS Oversight Chair– Tim Lee

[email protected]

Documents

Confidentiality &Conflict of Interest