Conflict of Interest and Threats to Impartiality
Conflict of Interest and Threats to Impartiality
1.0 PURPOSE
This procedure describes the measures that TUV USA and its employees and agents undertake to manages conflict of interest to ensure the objectivity and impartiality of our management system certification activities
2.0 SCOPE
All personnel, involved TUV-USA management, subcontractors, and impartiality board members
3.0 REFERENCES
- ISO 17021 section 5.2
3.0 MANAGEMENT OF IMPARTIALITY
3.1
TUV USA has top management commitment to safeguard and protect impartiality in all of our management system certification activities. This commitment is posted publicly to let it be known that TUV USA understands the importance of impartiality in carrying out management system certification activities, and that we manage conflict of interest to ensure the objectivity of its management system certification activities.
4.0 RESPONSIBILITIES
The Vice President of Operations has overall responsibility for hiring, training, and developing certification personnel and in providing appropriate controls and inferences therein to the avoidance of conflict of interest and assuring impartiality Lead auditors are responsible for assuring that no potential for conflict exists upon the selection of audit team members for a supplier's certification program.
5.0 APPLICABLE DOCUMENTS
- Confidentiality agreement
- Contractor contracts
- Auditor assignment form
6.0 PROCEDURE
6.1 Identification of potential conflicts of interest
TUV USA and certification personnel are committed to the avoidance of potential situations regarding conflict of interest. This effort covers all potential sources of conflict of interests that are identified, whether they arise from within TUV USA or from the activities of other persons, bodies or organizations, such as our contractors.
Threats to impartiality can be based on ownership, governance, management, personnel, shared resources, finances, contracts, marketing and payment of a sales commission or other inducement for the referral of new clients.
Measures taken by TUV USA in preventing situations concerning conflict of interest include:
- Making all certification personnel aware of the potential of conflict of interest
- Executing avoidance measures in procedures, in training, and in operating functions
- Commitment published by TUV USA in its contract information
- Specific checks made by lead auditors in the audit team selection process
- Investigation into the details of any situation that may be perceived as a potential conflict
6.2 Elimination or minimizing potential threats
Each new client, as well as existing client at the time of recertification, completes an application form that includes references to their use of outside consulting. If this is marked, the review of the application determines what, if any, conflict might exist, and what actions are to be taken in the event potential conflicts exist.
Each TUV USA direct employee and all subcontractors utilized in the performance of audits sign a declaration for each audit, this form stating that there is no conflict of interests regarding the audits currently being performed, and that any potential concerns will be communicated to TUV USA. All employee and subcontractors sign a confidentiality agreement when first hired.
The President reviews the activities of the organization and verifies that no conflicts exist due to any business relationships. This review is documented during the annual management review.
The Impartiality Board shall include within its activities a review of conflict avoidance and the impartiality of TUV USA operations.
TUV USA shall take action to respond to any threats to its impartiality arising from the actions of other persons, bodies or organizations. Employees may be subject to disciplinary actions, up to and including termination. Freelancers are subject to actions up to and including cancellation of contracts and termination of all relationships with TUV USA.
Other persons, bodies, and organizations not previously covered may be subject to appropriate action, including legal action, in order to assure termination of any activity determined to compromise the integrity and impartiality of TUV USA’s certification program.
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