Confidentiality &Conflict of Interest Richard Vinton Raytheon
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
Confidentiality &Conflict of Interest Requirement • AS9104-2 section 10. “Confidentiality and Conflicts of Interest” • AS9104-2 appendix I Declaration Form
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.
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).
Conflict of Interest Confidentiality Statement OP Assessor AAQG/RMC Company Rep.
Confidentiality &Conflict of Interest 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@example.com