BS EN 16775-2015 Expertise activities General requirements for expertise services《专业活动 专业服务的通用要求》.pdf

1、BSI Standards PublicationBS EN 16775:2015Expertise activities Generalrequirements for expertiseservicesBS EN 16775:2015 BRITISH STANDARDNational forewordThis British Standard is the UK implementation of EN 16775:2015.The UK participation in its preparation was entrusted to TechnicalCommittee SVS/0,

2、Customer service - Fundamental principles.A list of organizations represented on this committee can beobtained on request to its secretary.This publication does not purport to include all the necessaryprovisions of a contract. Users are responsible for its correctapplication. The British Standards I

3、nstitution 2015.Published by BSI Standards Limited 2015ISBN 978 0 580 86974 7ICS 03.080.99Compliance with a British Standard cannot confer immunity fromlegal obligations.This British Standard was published under the authority of theStandards Policy and Strategy Committee on 31 December 2015.Amendmen

4、ts/corrigenda issued since publicationDate T e x t a f f e c t e dBS EN 16775:2015EUROPEAN STANDARD NORME EUROPENNE EUROPISCHE NORM EN 16775 December 2015 ICS 03.080.99 English Version Expertise activities - General requirements for expertise services Services dexpertise - Exigences gnrales relative

5、s aux services dexpertise Sachverstndigenttigkeiten - Allgemeine Anforderungen an Sachverstndigenleistungen This European Standard was approved by CEN on 19 September 2015. CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this Europe

6、an Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical references concerning such national standards may be obtained on application to the CEN-CENELEC Management Centre or to any CEN member. This European Standard exists in three official versions

7、(English, French, German). A version in any other language made by translation under the responsibility of a CEN member into its own language and notified to the CEN-CENELEC Management Centre has the same status as the official versions. CEN members are the national standards bodies of Austria, Belg

8、ium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switze

9、rland, Turkey and United Kingdom. EUROPEAN COMMITTEE FOR STANDARDIZATION COMIT EUROPEN DE NORMALISATION EUROPISCHES KOMITEE FR NORMUNG CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels 2015 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN national

10、 Members. Ref. No. EN 16775:2015 EBS EN 16775:2015EN 16775:2015 (E) 2 Contents Page European foreword . 3 Introduction 4 1 Scope 5 2 Terms and definitions . 5 3 Code of Ethics 6 3.1 General 6 3.2 The Code . 6 4 Knowledge / Qualification . 7 4.1 General 7 4.2 Competence and qualification 7 4.3 Traini

11、ng and development 7 5 Expertise process 7 5.1 General 7 5.2 Initial assessment of the customer request . 7 5.3 Risk identification . 8 5.4 Agreement . 8 5.5 Expertise service . 8 5.5.1 General 8 5.5.2 Expert Service procedures . 8 5.5.3 Conducting the expertise Service 9 5.5.4 Deliverable 9 5.6 Doc

12、umentation . 9 Bibliography . 10 BS EN 16775:2015EN 16775:2015 (E) 3 European foreword This document (EN 16775:2015) has been prepared by Technical Committee CEN/TC 405 “Project Committee - Expertise services”, the secretariat of which is held by AFNOR. This European Standard shall be given the stat

13、us of a national standard, either by publication of an identical text or by endorsement, at the latest by June 2016, and conflicting national standards shall be withdrawn at the latest by June 2016. Attention is drawn to the possibility that some of the elements of this document may be the subject o

14、f patent rights. CEN and/or CENELEC shall not be held responsible for identifying any or all such patent rights. According to the CEN-CENELEC Internal Regulations, the national standards organizations of the following countries are bound to implement this European Standard: Austria, Belgium, Bulgari

15、a, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turke

16、y and the United Kingdom. BS EN 16775:2015EN 16775:2015 (E) 4 Introduction Expertise Services cover a wide range of services. Expertise Service Providers (ESP) are e.g. appointed for giving opinions, interpretations, recommendations addressing former and future events and/or circumstances. Services

17、can also include determination if requirements of standards or performance are met, conflict resolution and assessment and valuation of damages to both goods and services. Expert Service Providers advise, analyse and evaluate to allow decisions to be made properly. The quality of an expertise servic

18、e depends on professional competence, impartiality, objectivity, independence and integrity of the experts involved. This standard is aimed at pointing out the minimum requirements of those criteria having influence on every expertise service. It could be used by all sizes and disciplines of ESP and

19、 aims to improve transparency and understanding between clients and ESP. Successful implementation of the standard should also help to reduce barriers to cross-border expertise services. This standard recognizes that there are different systems of law and many jurisdictions in Europe, any of which m

20、ay impose different standards or requirements. BS EN 16775:2015EN 16775:2015 (E) 5 1 Scope This European Standard specifies the minimum requirements for expertise services carried out by individual persons and/or group of such expert individuals for a customer. The objective is to standardize expert

21、ise services thus enabling the delivery within a specified context of the most accurate and reliable answer to a raised query. Specific requirements of this European Standard do not apply to expertise services where obligatory contractual and / or a legal framework and regulations exist; for instanc

22、e in consulting, inspection and judicial litigation. 2 Terms and definitions For the purposes of this document, the following terms and definitions apply. 2.1 assignment project or work that involves the Expertise Service Providers (ESP) 2.2 competence ability to apply knowledge and skills to achiev

23、e intended results SOURCE: EN ISO/IEC 17024:2012, 3.6 2.3 conflict of interest situation in which, because of other activities or relationships, impartiality in performing expertise services is or could be compromised SOURCE: EN ISO 14065:2013, 3.4.5, modified “validation or verification activities”

24、 here replaced with “expertise services” 2.4 deliverables outcome, result or item to be produced to complete an expertise service Note 1 to entry: Typical deliverables are e.g. giving opinions (also first opinions), answering questions or presenting results after evaluations in oral or written exper

25、t reports. 2.5 documentation information and its supporting medium 2.6 expert person who, through professional qualification(s) with special skills, technical knowledge and practical experience in one or more field(s) of expertise, has competence to give an opinion in the fields about which he/she i

26、s consulted BS EN 16775:2015EN 16775:2015 (E) 6 2.7 expertise service provider ESP expert or several experts providing their clients with specialized services on the basis of appropriate knowledge and qualification 2.8 expertise activities aggregation of all kinds of work (e.g. preparation, assessme

27、nt, procedure, deliverables, etc.) performed by the ESP for conducting an expertise service 2.9 record documents stating results achieved or providing evidence of activities performed 3 Code of Ethics 3.1 General This clause is intended to serve as key principles to the everyday conduct of Expertise

28、 Service Providers. The ethical behaviour is fundamental to build the desired level of confidence in any neutrality provided expertise service. It commits the ESP to do nothing in the course of practicing as an ESP which compromises or impairs or is likely to compromise or impair the ESPs independen

29、ce, impartiality, objectivity and integrity. 3.2 The Code The ESP shall observe for example the following: The ESP should not accept assignments in any matter where there is an actual or potential conflict of interest without full disclosure to the parties and agreement of the client(s), where appro

30、priate. Should an actual or potential conflict occur after assignments have been accepted, the ESP shall immediately notify the client(s) and, in appropriate cases, ask for resigning its appointment. The ESP shall maintain confidentiality. The ESP shall adopt a proper and up-to-date standard of work

31、. The ESP shall not publicize its practices in any manner which may reasonably be inaccurate or misleading. BS EN 16775:2015EN 16775:2015 (E) 7 4 Knowledge / Qualification 4.1 General The ESP shall be qualified in its field of expertise. Personnel performing work shall be competent on the basis of e

32、ducation, training, skills and experience. Personnel performing work affecting the quality of the expertise services shall comply with the competence criteria. The ESP shall maintain records about its qualification. 4.2 Competence and qualification The ESP shall have - depending on the offered servi

33、ce - the necessary competence. Competence in Expertise Services can be demonstrated e.g. by professional experience, training, certification and recognitions of the ESP, scientific and technical papers published in the field of expertise, etc. The ESP should have the relevant communication skills fo

34、r example, language, technology, presentation and documentation of results. 4.3 Training and development ESP shall maintain its knowledge up to date and undertake appropriate continuing professional development and training. 5 Expertise process 5.1 General The process of ESP services can include the

35、 following steps described in Subclauses 5.2 to 5.6. 5.2 Initial assessment of the customer request Depending on the type of expertise service, and before the acceptance of the task, the ESP shall check: the type and kind of task; that the task is clearly defined and understood; that the task is inc

36、luded in its competence and in the field of expertise; the specific knowledge needed; the infrastructures, instruments and materials needed; the possibility to fulfil the schedule indicated by the client, the specific applicable regulations; the need to obtain specific resources or external professi

37、onal support; the information needed. the possibility to access the information needed; BS EN 16775:2015EN 16775:2015 (E) 8 the compliance to all the principles of the code of ethics of this standard; any other specific circumstances or requirements under which the expertise activities shall be deve

38、loped. 5.3 Risk identification Depending on the type of service required, a risk identification should be carried out by the ESP prior to the acceptance of the assignment. This analysis can include conflict of interest, legal risks, liability as well as accountability. Risks may appear in the field

39、of the expertise service itself with regard to timing, complexity, limitations The ESP shall consider the necessity of having an insurance for its services and to which extent. 5.4 Agreement The expertise service shall be bound by an agreement or appointment between the ESP and customer and can incl

40、ude: process description; deliverables; timing and costs; confidentiality; terms and conditions; professional standards; sub-contractor requirements; limitations of any type which can affect the expertise process. NOTE Any other requirement can be added in the agreement, depending on the clients req

41、uest. The client shall be informed of relevant difficulties encountered in fulfilling the tasks. 5.5 Expertise service 5.5.1 General Depending on the expert service required and agreed the ESP shall collect, analyse and evaluate the necessary data. The ESP assignment can make it necessary to communi

42、cate with the client and agree on methodologies and milestones. 5.5.2 Expert Service procedures The procedures of the ESP shall be in accordance with, among others: applicable regulatory and legal requirements; where applicable, information and feedback derived from previous experiences or similarly

43、 conducted expertise services; other requirements essential for the expertise service. BS EN 16775:2015EN 16775:2015 (E) 9 5.5.3 Conducting the expertise Service When conducting the Expertise Service, the ESP shall: use methods, procedures and processes which allow to develop the final Expertise Ser

44、vice; ensure that the different aspects of the task have been properly considered and completed according to the agreement or appointment. Monitoring shall be carried out by the ESP in particular to highlight the need for corrective actions or stop temporarily or definitively the expertise service i

45、f necessary. 5.5.4 Deliverable The expertise service deliverable shall at least include the following: general information relating to the expertise service (where applicable title, date of issue, identification of the client and of the ESP); the questions to answer, if applicable; the conclusion. W

46、here required for comprehension and traceability of the results, the expertise service deliverable shall include the following: the explanation of any element necessary to verify the relevance of the expertise service and of its conclusions, particularly in the case of conflicting positions; summary

47、 of the task and depth of the expertise service, of the latters execution conditions (data sources and investigations performed), of the resources used, of the inspections and verifications carried out and of the limits of validity (transparency of the approach). The expertise service deliverable sh

48、all be delivered in physical, electronic or oral ways. The ESP shall ensure compliance with the confidentiality rules linked to the expertise service, particularly when delivered electronically. 5.6 Documentation For traceability reasons the processes of the ESP service shall be documented and archi

49、ved properly. The documentation can be in any form and on any type of medium. Provisions for confidentiality, integrity, availability, accountability, authenticity and reliability of the documented data should be considered. BS EN 16775:2015EN 16775:2015 (E) 10 Bibliography 1 EN ISO 14065:2013, Greenhouse gases - Requirements for greenhouse gas validation and verification bodies for use in accreditation or other forms of recognition (ISO 14065:2013) 2 EN ISO/IEC 17024:2012, Conformi