DIN EN 16775-2016 Expertise activities - General requirements for expertise services German version EN 16775 2015《专业活动 专业服务的通用要求 德文版本EN 16775-2015》.pdf

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1、February 2016 English price group 8No part of this translation may be reproduced without prior permission ofDIN Deutsches Institut fr Normung e. V., Berlin. Beuth Verlag GmbH, 10772 Berlin, Germany,has the exclusive right of sale for German Standards (DIN-Normen).ICS 03.080.99!%LS5“2414818www.din.de

2、DIN EN 16775Expertise activities General requirements for expertise services;English version EN 16775:2015,English translation of DIN EN 16775:2016-02Sachverstndigenttigkeiten Allgemeine Anforderungen an Sachverstndigenleistungen;Englische Fassung EN 16775:2015,Englische bersetzung von DIN EN 16775:

3、2016-02Services dexpertise Exigences gnrales relatives aux services dexpertise;Version anglaise EN 16775:2015,Traduction anglaise de DIN EN 16775:2016-02www.beuth.deDocument comprises 12 pagesDTranslation by DIN-Sprachendienst.In case of doubt, the German-language original shall be considered author

4、itative.03.16 DIN EN 16775:2016-02 2 A comma is used as the decimal marker. National foreword This document (EN 16775:2015) has been prepared by Technical Committee CEN/TC 405 “Project Committee Expertise services” (Secretariat: AFNOR, France). The responsible German body involved in its preparation

5、 was DIN-Normenausschuss Dienstleistungen (DIN Standards Committee Services), Working Committee NA 159-01-18 AA Dienstleistungen im Gutachter- und Sachverstndigenwesen. EUROPEAN STANDARD NORME EUROPENNE EUROPISCHE NORM EN 16775 December 2015 ICS 03.080.99 English Version Expertise activities - Gener

6、al requirements for expertise services Services dexpertise - Exigences gnrales relatives 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

7、 CEN/CENELEC Internal Regulations which stipulate the conditions for giving this European 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

8、 Centre or to any CEN member. This European Standard exists in three official versions (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 a

9、s the official versions. CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Ne

10、therlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, 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

11、rights of exploitation in any form and by any means reserved worldwide for CEN national Members. Ref. No. EN 16775:2015 EEN 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 / Qualif

12、ication . 7 4.1 General 7 4.2 Competence and qualification 7 4.3 Training 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 .

13、 8 5.5.3 Conducting the expertise Service 9 5.5.4 Deliverable 9 5.6 Documentation . 9 Bibliography . 10 DIN EN 16775:2016-02 EN 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 secretari

14、at of which is held by AFNOR. This European Standard shall be given the status 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

15、 possibility that some of the elements of this document may be the subject of 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 countr

16、ies are bound to implement this European Standard: Austria, Belgium, 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, Pola

17、nd, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom. DIN EN 16775:2016-02 EN 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, re

18、commendations addressing former and future events and/or circumstances. Services 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 ev

19、aluate to allow decisions to be made properly. The quality of an expertise service 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

20、every expertise service. It could be used by all sizes and disciplines of ESP and 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 th

21、ere are different systems of law and many jurisdictions in Europe, any of which may impose different standards or requirements. DIN EN 16775:2016-02 EN 16775:2015 (E) 5 1 Scope This European Standard specifies the minimum requirements for expertise services carried out by individual persons and/or g

22、roup of such expert individuals for a customer. The objective is to standardize expertise 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 wher

23、e obligatory contractual and / or a legal framework and regulations exist; for instance 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

24、Service Providers (ESP) 2.2 competence ability to apply knowledge and skills to achieve 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 compromi

25、sed SOURCE: EN ISO 14065:2013, 3.4.5, modified “validation or verification activities” 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)

26、, answering questions or presenting results after evaluations in oral or written expert 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

27、(s) of expertise, has competence to give an opinion in the fields about which he/she is consulted DIN EN 16775:2016-02 EN 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 qualific

28、ation 2.8 expertise activities aggregation of all kinds of work (e.g. preparation, assessment, 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 Gene

29、ral This clause is intended to serve as key principles to the everyday conduct of Expertise 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 a

30、n ESP which compromises or impairs or is likely to compromise or impair the ESPs independence, 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

31、interest without full disclosure to the parties and agreement of the client(s), where appropriate. 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 s

32、hall maintain confidentiality. The ESP shall adopt a proper and up-to-date standard of work. The ESP shall not publicize its practices in any manner which may reasonably be inaccurate or misleading. DIN EN 16775:2016-02 EN 16775:2015 (E) 7 4 Knowledge / Qualification 4.1 General The ESP shall be qua

33、lified in its field of expertise. Personnel performing work shall be competent on the basis of education, 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 qua

34、lification. 4.2 Competence and qualification The ESP shall have - depending on the offered service - 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 pu

35、blished in the field of expertise, etc. The ESP should have the relevant communication skills for 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 devel

36、opment and training. 5 Expertise process 5.1 General The process of ESP services can include the 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:

37、the type and kind of task; that the task is clearly defined and understood; that the task is included 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,

38、 the specific applicable regulations; the need to obtain specific resources or external professional support; the information needed. the possibility to access the information needed; DIN EN 16775:2016-02 EN 16775:2015 (E) 8 the compliance to all the principles of the code of ethics of this standard

39、; any other specific circumstances or requirements under which the expertise activities shall be developed. 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 c

40、onflict of interest, legal risks, liability as well as accountability. Risks may appear in the field 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 expe

41、rtise service shall be bound by an agreement or appointment between the ESP and customer and can include: process description; deliverables; timing and costs; confidentiality; terms and conditions; professional standards; sub-contractor requirements; limitations of any type which can affect the expe

42、rtise process. NOTE Any other requirement can be added in the agreement, depending on the clients request. 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

43、collect, analyse and evaluate the necessary data. The ESP assignment can make it necessary to communicate 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 re

44、quirements; where applicable, information and feedback derived from previous experiences or similarly conducted expertise services; other requirements essential for the expertise service. DIN EN 16775:2016-02 EN 16775:2015 (E) 9 5.5.3 Conducting the expertise Service When conducting the Expertise Se

45、rvice, the ESP shall: use methods, procedures and processes which allow to develop the final Expertise Service; 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 particula

46、r to highlight the need for corrective actions or stop temporarily or definitively the expertise service if 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 issu

47、e, identification of the client and of the ESP); the questions to answer, if applicable; the conclusion. Where 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 o

48、f the expertise service and of its conclusions, particularly in the case of conflicting positions; summary 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 carr

49、ied out and of the limits of validity (transparency of the approach). The expertise service deliverable shall 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 a