OAIES Assessor Qualification and Independence Record Template
Template version: 1.0.0
Published: 2026-07-16
Status: Controlled record template
Purpose
Create an evidence-backed decision that an assessor is competent and independent for a specific OAIES pilot.
Why
A résumé or general conflict statement does not prove competence for the assigned scope or expose threats from control implementation, reporting lines, financial incentives, and prior access.
How
Complete before assignment and re-attest before output lock. Store sensitive personal details in restricted records and reference them by controlled ID.
Record Control
| Field | Value |
|---|---|
| Record ID/version | {RECORD_ID_VERSION} |
| Pilot/cohort ID | {PILOT_COHORT_ID} |
| Assessor alias/restricted identity ID | {ALIAS_IDENTITY_REFERENCE} |
| Proposed role | {LEAD_TECHNICAL_DOMAIN_QUALITY} |
| Scope/control families | {SCOPE} |
| Initial decision/date | {QUALIFIED_CONDITIONAL_REJECTED_DATE} |
| Re-attestation decision/date | {PASS_FAIL_DATE} |
| Decision owner | {INDEPENDENT_COORDINATOR} |
Competence Evidence
| Requirement | Evidence ID and verified fact | Current for scope? | Decision/rationale |
|---|---|---|---|
| Assessment experience | {COMPLETED_ENGAGEMENTS_ROLES_DATES} |
{YES_NO} |
{RATIONALE} |
| OAIES knowledge test | {VERSION_SCORE_DATE} |
{YES_NO} |
{RATIONALE} |
| Calibration | {CASE_SET_RESULT_CRITICAL_MISSES_RETEST} |
{YES_NO} |
{RATIONALE} |
| AI engineering | {YEARS_RECENT_WORK_SCOPE} |
{YES_NO} |
{RATIONALE} |
| Security/privacy/risk | {EVIDENCE_OR_TEAM_COVERAGE} |
{YES_NO} |
{RATIONALE} |
| Domain/legal overlay | {SPECIALIST_EVIDENCE} |
{YES_NO} |
{RATIONALE} |
| Recency | {MOST_RECENT_RELEVANT_DATE} |
{YES_NO} |
{RATIONALE} |
Independence Disclosure
Report relationships during the prior 24 months and expected engagement.
| Threat | Disclosure/evidence ID | Severity | Safeguard | Disposition |
|---|---|---|---|---|
| Employment/reporting line | {DETAIL_OR_NONE} |
{NONE_LOW_MATERIAL} |
{SAFEGUARD} |
{ACCEPT_EXCLUDE} |
| Ownership/investment/financial dependence | {DETAIL_OR_NONE} |
{LEVEL} |
{SAFEGUARD} |
{DISPOSITION} |
| Outcome-contingent compensation/sales target | {DETAIL_OR_NONE} |
{LEVEL} |
{SAFEGUARD} |
{DISPOSITION} |
| Design/implementation/operation/approval | {CONTROL_ROLE_DATES_OR_NONE} |
{LEVEL} |
{SAFEGUARD} |
{DISPOSITION} |
| Prior consulting/advice | {DETAIL_OR_NONE} |
{LEVEL} |
{SAFEGUARD} |
{DISPOSITION} |
| Personal/legal interest | {RESTRICTED_REFERENCE_OR_NONE} |
{LEVEL} |
{SAFEGUARD} |
{DISPOSITION} |
| Prior result/hypothesis access | {DETAIL_OR_NONE} |
{LEVEL} |
{SAFEGUARD} |
{DISPOSITION} |
| Gifts/sponsorship/other influence | {DETAIL_OR_NONE} |
{LEVEL} |
{SAFEGUARD} |
{DISPOSITION} |
Attestations
Assessor statement:
I have disclosed all known competence limitations and independence threats, will report changes immediately, will not communicate conclusions outside the approved blind channel, and understand that omission can invalidate the pilot.
| Signatory | Decision/attestation | Date/time UTC | Signature record |
|---|---|---|---|
| Assessor | {ATTEST_DECLINE} |
{TIMESTAMP} |
{SIGNATURE_ID} |
| Methodology coordinator | {QUALIFY_CONDITIONAL_REJECT} |
{TIMESTAMP} |
{SIGNATURE_ID} |
| Ethics/independence reviewer, when needed | {ACCEPT_EXCLUDE} |
{TIMESTAMP} |
{SIGNATURE_ID} |
| Assessor at output lock | {NO_CHANGE_CHANGE_DISCLOSED} |
{TIMESTAMP} |
{SIGNATURE_ID} |
Tradeoffs
| Decision | Benefit | Cost |
|---|---|---|
| Scope-specific qualification | Competence matches assignment | Repeated review per pilot |
| Restricted identity records | Protects personnel data | Public verification is limited |
| Final re-attestation | Detects engagement-period changes | Additional lock step |
Anti-patterns
- Treating certification or job title as sufficient competence.
- Accepting “no conflict” without enumerated threat categories.
- Mitigating direct control ownership with disclosure alone.
- Storing unnecessary personal details in a public evidence package.
Enterprise Considerations
Apply employment/privacy law, works-council requirements, data minimization, access restrictions, retention, and appeal processes. Statutory assessor or accreditation requirements override this minimum.
Checklist
- Every competence requirement cites verified evidence.
- Scope-specific gaps have effective team coverage.
- Every threat category is completed.
- Mandatory exclusions are applied.
- Initial and lock-time attestations are signed.
- Restricted personal information is separated from publishable evidence.
Authoritative References
Changelog
| Version | Date | Change |
|---|---|---|
| 1.0.0 | 2026-07-16 | Established scope-specific competence and independence record. |