Management of Impartiality

Impartiality Policy

• We understand the importance of impartiality in carrying out our management system certification activities.
• We have identified and analysed the possibilities of conflicts of interest and threats to impartiality.
• We safeguard and manage all identified conflicts of interest.
• We ensure the objectivity of all management system certification activities.

Independent Oversight Committee

QRS has an independent committee that oversees that the rules and guidance of our impartiality process are implemented and adhered to. Each employee or associate has the responsibility to comply with the process and guidelines for impartiality.

Any instance where an employee, associate or customer feels there is a threat to our impartiality, they are welcome to contact our Chief Executive Officer, who has authority to initiate a full investigation into the enquiry.

Recognised Threats to Impartiality

• Self Interest —Threats that arise from a person or body acting in their own interest rather than in the interest of the client or certification process.
• Self Review —Threats that arise from a person or body reviewing work they themselves carried out or directly contributed to.
• Familiarity (or Trust) —Threats that arise from a person or body being too familiar with or trusting of another person instead of seeking proper audit evidence.
• Intimidation Threats —Threats that arise from a person or body having a perception of being coerced openly or secretively to influence the certification outcome.

Conflict of Interest

A conflict of interest is any circumstance where the interests of Quality Registrar Systems differ from those of an individual acting on its behalf — for example, an associate performing an assessment for a party with whom they have a close business or personal relationship. Such scenarios must be avoided to eliminate any influence on the assessor's judgement.

We recognise the following as conflicts of interest:

• Auditing a system you have carried out the implementation of.
• Auditing a system belonging to a family member or close friend.
• Accepting directly or indirectly any kind of personal advantage offered by an organisation to be audited.

Limitation on Outside Professional Activities

QRS encourages staff to engage in knowledge and technology transfer activities for continual professional development. However, such activities can create potential conflicts of interest, particularly where there is opportunity for personal gain on the part of the member of staff or any agents assisting in the transfer.

• Staff must not allow outside activities to detract from their obligations to QRS.
• A member of staff must not hold significant outside managerial responsibilities such as a directorship.
• Staff must not provide consultancy services to QRS clients.
• A member of the impartiality committee must avoid positions where private interests conflict with QRS.

Purpose of this Policy

• Heighten the awareness of members of staff about situations that may generate a conflict of interest.
• Provide the means for members of staff and QRS to manage potential and real conflicts of interest.
• Ensure that activities undertaken are in the best interest of the staff, QRS and accreditation as a whole.
• Ensure that advice to members of staff is independent of the advancement of personal interest.

Guideline for Policy Implementation

All members of staff must initially certify their compliance with this policy by signing a confidentiality agreement, and update their declaration if appropriate when circumstances change. In signing this agreement, each member of staff undertakes to disclose any existing or potential conflict of interest.

If a member of staff's circumstances change during the year, a revised attachment to the confidentiality agreement shall be completed as soon as possible. Appeals of decisions should be made to the General Manager in writing, who may refer the appeal to the impartiality committee.