1. Confidentiality & Conflict of Interest
San Diego, California
January 19, 2012
Darrell Taylor Raytheon
Other Party (OP) Assessor Workshop
San Diego, CA
January 19, 2012

2. 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

3. Confidentiality & Conflict of Interest
Requirement
AS9104/2 section 10.
“Confidentiality and Conflicts of Interest”
AS9104/2 appendix I
Declaration Form

4. Confidentiality & Conflict of Interest
CONFIDENTIALITY AND CONFLICT OF INTEREST:
10.1 General:
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.
The SMS shall review all completed declaration forms and provide notification to the submitter regarding approval, refusal, or applicable limitations.
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.

5. Confidentiality & Conflict of Interest
CONFIDENTIALITY AND CONFLICT OF INTEREST:
Conflicts of Interest:
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).
Potential conflicts of interest shall be recorded on the
declaration form (see Appendix I).

6. Confidentiality Statement Company Representative
Conflict of Interest
Confidentiality Statement
OP Assessor
AAQG/RMC
Company Representative

7. Confidentiality & Conflict of Interest
Implementation:
Appendix I form would be used by the Americas for 2008 Oversight activities
Declarations forms (AS 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 Neal