Company Confidential Registration Management Committee Confidentiality & Conflict of Interest San Diego, CA January 17, 2013 R. Darrell Taylor Raytheon 1 Other Party (OP) Assessor Workshop San Diego, CA January 17, 2013

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee 2 Confidentiality 1. secret or private 2. showing that you are saying something that is secret or private 3. trusted with secret or private information Hospital/Medical Schools Banks Employer

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee 3 Conflict of Interest A situation that has the potential to undermine the impartiality of a person because of the possibility of a clash between the person's self-interest and professional interest or public interest. A situation in which a party's responsibility to a second-party limits its ability to discharge its responsibility to a third-party.

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee 4 Conflict of Interest 11/2012 Rice Stands to Profit From Keystone XL 11/2012 Judge Kicks Toronto Mayor Out of Office 10/ in Congress Sponsored Bills, Reaped Rewards 6/2012 Congress Riddled With Insider Trading

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee 5 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

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee 6 Confidentiality & Conflict of Interest Requirement AS9104/2 section 10. “Confidentiality and Conflicts of Interest” FORM A –OTHER PARTY (OP) ASSESSOR INDUSTRY CONTROLLED OTHER PARTY (ICOP) DECLARATION FORM

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee 7 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.

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee 8 Confidentiality & Conflict of Interest CONFIDENTIALITY AND CONFLICT OF INTEREST: 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.

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee 9 Confidentiality & Conflict of Interest 10.3 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).

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee FORM AFORM A OTHER PARTY (OP) ASSESSOR INDUSTRY CONTROLLED OTHER PARTY (ICOP) DECLARATION FORM

OP Assessor Workshop, San Diego, CA - 17 January 2013 Registration Management Committee 11 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 Form A posted on RMC website Americas SMS Oversight Chair Robert Flaharty ceID=273686&inputPage=showAll ceID=273686&inputPage=showAll "Flaharty, Robert E"