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Company Confidential Registration Management Committee (RMC) Confidentiality & Conflict of Interest Palm Beach, Florida January 16, 2013 R. Darrell Taylor.

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Presentation on theme: "Company Confidential Registration Management Committee (RMC) Confidentiality & Conflict of Interest Palm Beach, Florida January 16, 2013 R. Darrell Taylor."— Presentation transcript:

1 Company Confidential Registration Management Committee (RMC) Confidentiality & Conflict of Interest Palm Beach, Florida January 16, 2013 R. Darrell Taylor Raytheon 1 Other Party (OP) Assessor Workshop West Palm Beach January 16, 2013

2 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) Introduction Due to the recent incorporation of the IAQG, the following set of slides have been required to be presented at the beginning of all IAQG, AAQG and RMC meetings. The principles apply to all of us as we conduct activity linked to these groups. 2

3 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) Anti-Trust Reminder Participants are not to discuss non-public, company- specific information relating to present or future competition in the marketplace Discussion of any of the following company-specific information is improper and is not permitted: –Prices (including any element of prices, such as credit terms, rebates or discounts) –Company-specific costs (discussion of comparative costs of technological alternatives is permitted) –Profits –Individual customers –Individual competitors –Business or strategic plans –Research & development Each participant is asked to speak-up immediately if these rules are not followed. 3

4 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) Conflict of Interest Reminder An interested individual must disclose the existence and nature of any potential conflict of interest to the Leadership Team –An interested individual is any member representative of the IAQG, working groups, or any subsidiary body who has a direct or indirect financial interest in a proposed transaction –Financial interest includes: »Ownership or investment interest in the entity in which the IAQG has a proposed transaction or arrangement »A compensation arrangement with the IAQG or with any entity with which the IAQG has a proposed transaction or arrangement »A potential ownership or investment interest in, or compensation arrangement with, any entity with which the IAQG has a proposed transaction or arrangement After disclosure of the potential conflict, the interested party will leave the concerned IAQG body 4

5 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) Export Compliance Reminder Members of the IAQG include numerous companies engaged in development of aerospace and defense technology –All members, and participants in IAQG working groups or any subsidiary body, must remain mindful of the laws and regulations regarding export/import of those technologies –Each member shall: »Comply will all relevant export, import, and sanction laws, regulations, orders, and authorizations »Items that are restricted by export/import regulations of any country will not be introduced or accessed »All members conduct business that assures that export restricted products and data are not shared »Each member is responsible for his/her compliance to their country’s export/import laws and regulations »Each member in possession of any export/import controlled technical data are responsible for safeguarding and protecting this technical data 5

6 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) Intellectual Property Reminder The IAQG is committed to maintaining a fair development process for materials within the Scope of the organization Member companies participate in working groups to create these materials IAQG Members are responsible for: –Ensuring the IAQG has the freedom to use the deliverables created in working groups –Ensuring intellectual property rights will be granted to the IAQG Each working group lead and sponsor is responsible for compliance to the IAQG Intellectual Protection Policy 6

7 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) Ethics Reminder The IAQG values their members, and each member and participant is entitled to be treated with courtesy and respect The IAQG respects the dignity and private life of each of its members and participants The IAQG looks for an atmosphere of good communication, involvement, and responsibility No form of discrimination or harassment will be tolerated Members and participants must abide by the law in all geographic locations where the IAQG carries activities No form of corrupt practices for the benefit of those in the public or private sector will be tolerated Business courtesies, such as gifts and hospitality, given or received from customers, suppliers and partners must not exceed a nominal value and may not influence, or give the appearance of influencing, a decision 7

8 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) 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 8

9 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) Confidentiality & Conflict of Interest Requirement AS9104/2 section 5 “Confidentiality and Conflicts of Interest” AS9104/2 Form A Declaration Form 9

10 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) FORM A OTHER PARTY (OP) ASSESSOR INDUSTRY CONTROLLED OTHER PARTY (ICOP) DECLARATION FORM

11 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) Confidentiality and Conflicts of Interest All IAQG OPMT, SMS, CBMC members, and OP assessors shall complete the appropriate declaration form (see Forms A and B) for confidentiality and conflicts of interest, prior to membership or assignment. The SMS shall retain copies of all completed forms. AS9104-2

12 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) Industry auditors, that have an employment relationship with a CB, can be neither OP assessors nor voting members of any IAQG OPMT, SMS, or CBMC committees These forms shall be provided to any assessed organisation (i.e., AB, CB, AAB, TPAB, certified organisation), upon request.

13 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) Certain data in the form of audit reports, nonconformities, checklists, or other company specific information, generated by the application of this standard, shall be handled as confidential (commonly referred to as proprietary or sensitive) between the parties generating, collecting, or using the data (see section 19).

14 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) OP assessors shall not disclose the assessed organisation’s performance data with the assessed organisation’s clients without written permission (e.g., AB performance to CB or CB performance to certified organisation).

15 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) Conflicts of interest that shall prevent participation as an OP assessor in an oversight assessment activity shall include: a. Employment or engagement by a CB in any role, including participation in a CB’s committee for safeguarding impartiality, for any oversight activity.

16 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) 16 b. Employment or engagement by an AB in any role, including participation in an AB’s committee for safeguarding impartiality, for any AB oversight activity. c. Employment or engagement by an AB (i.e., technical advisor), during an industry shared oversight assessment.

17 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) 17 d. Employment or engagement in any role by an AAB, where the oversight activity is scheduled for an AAB, TPAB, or witnessing an auditor authenticated by the associated AAB. e. Auditor authentication or certification by an AAB, where the oversight activity is scheduled for the AAB that has authenticated or certificated the assigned OP assessor.

18 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) 18 f. Employment or engagement in any role by a TPAB, where the oversight activity is scheduled for a TPAB, TP, or AAB. g. Employment or engagement in any role by a TP, where the oversight activity is scheduled for a TPAB or TP.

19 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) 19 h. A contractual relationship between the OP assessor’s company and the assessed CB organisation, where the OP assessor is directly involved in the relationship (e.g., direct interface with CB sales and audit personnel). NOTE: The employment or engagement activity must not have occurred within the last two years.

20 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) OP assessors shall declare any perceived potential or actual conflicts of interest, prior to acceptance of an oversight assignment. Potential conflicts of interest shall be recorded on the “Other Party (OP) Assessor Industry Controlled Other Party (ICOP) Declaration Form” (see Form A), as described in section 10.

21 Palm Beach, Florida January 16, 2014 Registration Management Committee (RMC) Confidentiality & Conflict of Interest Implementation: Declarations forms (AS Form A) must be forwarded to the SMS Oversight Chair prior to Assessment for all oversight assessors Oversight Subteam chair: –Robert Flaharty 21


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