Provision of services - Part 1: Service procurement - Guidance for the assessment of the capacity of service providers and evaluation of service proposals

This document provides guidance for the assessment of the capacity of service providers and the evaluation of service proposals in order to improve and facilitate the process of procuring services.
This document is applicable to:
a) Service buyers and service providers regardless of type, size or the nature of the services;
b) Service providers who may be inside or outside the service buyers' organization; and
c) Any interested parties who are directly or indirectly involved in or affected by a procurement process.
This document is not applicable to business-to-consumer (B2C) service contracts or for works contracts.
NOTE 1 "Works contracts" are contracts that have as their object the execution, or both the design and execution, of a work are not covered in this document. Contracts having as their object only the design of a work are covered.
NOTE 2 "Work" means the outcome of building or civil engineering works taken as a whole which is sufficient in itself to fulfil an economic or technical function.

Dienstleistungserbringung - Teil 1: Dienstleistungsbeschaffung - Leitlinien für die Bewertung der Kapazität von Dienstleistern und die Bewertung von Dienstleistungsangeboten

Dieses Dokument legt eine Leitlinie zur Bewertung der Kapazität von Dienstleistern und zur Beurteilung von Dienstleistungsangeboten fest, um den Prozess der Dienstleistungsbeschaffung zu verbessern und zu erleichtern.
Dieses Dokument gilt für:
a) Dienstleistungskäufer und Dienstleistern, ungeachtet der Art, des Umfangs oder der Beschaffenheit der Dienstleistungen;
b) Dienstleister, die innerhalb oder außerhalb des Unternehmens der Dienstleistungskäufer tätig sein dürfen; und
c) alle interessierten Parteien, die direkt oder indirekt an einem Beschaffungsprozess beteiligt oder von diesem betroffen sind.
Dieses Dokument gilt nicht für Dienstleistungsverträge zwischen Unternehmen und Verbrauchern (B2C) oder für Bauaufträge.
ANMERKUNG 1 "Bauaufträge" sind Verträge, die die Ausführung oder sowohl die Planung als auch die Ausführung eines Bauwerks zum Gegenstand haben und nicht in diesem Dokument behandelt werden. Verträge, die nur die Gestaltung eines Bauwerks zum Gegenstand haben, werden abgedeckt.
ANMERKUNG 2 "Bauarbeiten" bezeichnet das Ergebnis von Hoch- oder Tiefbauarbeiten insgesamt, das allein ausreicht, um eine wirtschaftliche oder technische Funktion zu erfüllen.

Prestation de services - Partie 1 : Achat de services - Recommandations pour l’évaluation de la capacité des prestataires de services et l’évaluation des propositions de services

Le présent document fournit des recommandations pour l’évaluation de la capacité des prestataires de services et l’évaluation des offres de services afin d’améliorer et de faciliter le processus d’achat de services.
Le présent document s’applique à :
a) tout acheteur de services et prestataire de services, quels que soient le type, la taille ou la nature des services ;
b) tout prestataire de services qui peut être interne ou extérieur à l’organisme des acheteurs de services ; et
c) toute partie intéressée qui est directement ou indirectement impliquée dans, ou affectée par, un processus d’achat.
Le présent document ne s’applique pas aux contrats de services entre entreprises et particuliers (B2C) ni aux marchés de travaux.
NOTE 1 Les « marchés de travaux » sont des contrats ayant pour objet soit l’exécution seule, soit à la fois la conception et l’exécution d’un ouvrage et ne sont pas couverts par le présent document. Les contrats ayant pour seul objet la conception d’un ouvrage sont couverts.
NOTE 2 Le terme « ouvrage » désigne le résultat d’un ensemble de travaux de construction ou de génie civil, suffisant en soi pour remplir une fonction économique ou technique.

Zagotavljanje storitev - 1. del: Storitve nabave - Navodilo za ocenjevanje sposobnosti ponudnikov storitev in vrednotenje storitvenih predlogov

General Information

Status
Published
Current Stage
6060 - Definitive text made available (DAV) - Publishing
Due Date
31-Mar-2021
Completion Date
31-Mar-2021

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SLOVENSKI STANDARD
SIST EN 17371-1:2021
01-junij-2021
Zagotavljanje storitev - 1. del: Storitve nabave - Navodilo za ocenjevanje
sposobnosti ponudnikov storitev in vrednotenje storitvenih predlogov

Provision of services - Part 1: Service procurement - Guidance for the assessment of the

capacity of service providers and evaluation of service proposals

Dienstleistungserbringung - Teil 1: Dienstleistungsbeschaffung - Leitlinien für die

Bewertung der Kapazität von Dienstleistern und die Bewertung von
Dienstleistungsangeboten
Processus dachat de prestations de services - Evaluation de la capacité des
fournisseurs de services
Ta slovenski standard je istoveten z: EN 17371-1:2021
ICS:
03.080.20 Storitve za podjetja Services for companies
03.100.10 Nabava. Dobava. Logistika Purchasing. Procurement.
Logistics
SIST EN 17371-1:2021 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN 17371-1:2021
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SIST EN 17371-1:2021
EN 17371-1
EUROPEAN STANDARD
NORME EUROPÉENNE
March 2021
EUROPÄISCHE NORM
ICS 03.080.20; 03.100.10
English Version
Provision of services - Part 1: Service procurement -
Guidance for the assessment of the capacity of service
providers and evaluation of service proposals

Prestation de services - Partie 1 : Achat de services - Dienstleistungserbringung - Teil 1:

Recommandations pour l'évaluation de la capacité des Dienstleistungsbeschaffung - Leitlinien für die

prestataires de services et l'évaluation des Bewertung der Kapazität von Dienstleistern und die

propositions de services Bewertung von Dienstleistungsangeboten
This European Standard was approved by CEN on 3 May 2020.

CEN members are bound to comply with the 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 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 as the official versions.

CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,

Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway,

Poland, Portugal, Republic of North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and

United Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels

© 2021 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN 17371-1:2021 E

worldwide for CEN national Members.
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SIST EN 17371-1:2021
EN 17371-1:2021 (E)
Contents Page

European foreword ....................................................................................................................................................... 4

Introduction .................................................................................................................................................................... 5

1 Scope .................................................................................................................................................................... 7

2 Normative references .................................................................................................................................... 7

3 Terms and definitions ................................................................................................................................... 7

4 Service procurement process ..................................................................................................................... 8

4.1 General ................................................................................................................................................................ 8

4.2 Drafting of the technical specification ..................................................................................................... 8

4.3 Methodology for gathering information ................................................................................................. 9

4.4 Selection of service providers ................................................................................................................. 10

4.4.1 Organization of tendering procedure for public procurement ................................................... 10

4.4.2 Organization of procurement process for private sector .............................................................. 10

4.4.3 Evaluation of proposals and award of the contract ......................................................................... 11

5 Criteria for assessing a service provider's capacities ..................................................................... 11

5.1 General ............................................................................................................................................................. 11

5.2 Legal capacity criteria ................................................................................................................................ 12

5.2.1 Purpose ............................................................................................................................................................ 12

5.2.2 Evidence .......................................................................................................................................................... 12

5.3 Economic and financial capacity criteria............................................................................................. 13

5.3.1 Purpose ............................................................................................................................................................ 13

5.3.2 Evidence .......................................................................................................................................................... 13

5.4 Human resources criteria ......................................................................................................................... 13

5.4.1 Purpose ............................................................................................................................................................ 13

5.4.2 Evidence .......................................................................................................................................................... 14

5.5 Materials, equipment and infrastructure criteria ............................................................................ 14

5.5.1 Purpose ............................................................................................................................................................ 14

5.5.2 Evidence .......................................................................................................................................................... 15

5.6 Reference-related criteria ........................................................................................................................ 15

5.6.1 Purpose ............................................................................................................................................................ 15

5.6.2 Evidence .......................................................................................................................................................... 15

5.7 Credential related criteria ........................................................................................................................ 15

6 Criteria for evaluating a service proposal ........................................................................................... 16

6.1 General ............................................................................................................................................................. 16

6.2 Best value ........................................................................................................................................................ 16

6.3 Selection of criteria: principles ............................................................................................................... 16

6.3.1 Selection and weighting of criteria ........................................................................................................ 16

6.3.2 Scoring of the proposals ............................................................................................................................ 16

6.4 Technical content ......................................................................................................................................... 17

6.4.1 Purpose ............................................................................................................................................................ 17

6.4.2 Evidence .......................................................................................................................................................... 17

6.5 Financial proposals ..................................................................................................................................... 18

6.5.1 General ............................................................................................................................................................. 18

6.5.2 Evidence .......................................................................................................................................................... 18

6.5.3 Abnormally low proposals ........................................................................................................................ 19

6.6 Other performance criteria ...................................................................................................................... 19

6.6.1 Public procurement..................................................................................................................................... 19

6.6.2 Private procurement................................................................................................................................... 20

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SIST EN 17371-1:2021
EN 17371-1:2021 (E)

Annex A (informative) Sourcing Process........................................................................................................... 21

Annex B (informative) Evaluation of Service Proposal ................................................................................ 23

B.1 General ............................................................................................................................................................. 23

B.2 Purpose ............................................................................................................................................................ 23

B.3 Ranking of tenders: different scenarios ............................................................................................... 23

B.4 Method of rating the financial criterion ............................................................................................... 24

B.4.1 General ............................................................................................................................................................. 24

B.4.2 Rating of the financial criterion according to the proportional model ..................................... 24

B.4.3 Rating of the financial criterion according to the linear model ................................................... 25

B.5 How to weight criteria ................................................................................................................................ 25

B.5.1 General ............................................................................................................................................................. 25

B.5.2 Case 1 ................................................................................................................................................................ 25

B.5.3 Case 2 ................................................................................................................................................................ 26

Annex C (informative) Sustainability and Accessibility Criteria .............................................................. 27

Annex D (informative) A–deviations .................................................................................................................. 29

Bibliography ................................................................................................................................................................. 32

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SIST EN 17371-1:2021
EN 17371-1:2021 (E)
European foreword

This document (EN 17371-1:2021) has been prepared by Technical Committee CEN/TC 447 “Horizontal

standards for the provision of services”, the secretariat of which is held by BSI.

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 September 2021, and conflicting national standards shall

be withdrawn at the latest by September 2021.

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. CEN shall not be held responsible for identifying any or all such patent rights.

This document has been prepared under a mandate given to CEN by the European Commission and the

European Free Trade Association.

According to the CEN-CENELEC Internal Regulations, the national standards organisations of the

following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria, Croatia,

Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland,

Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Republic of North

Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United

Kingdom.
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SIST EN 17371-1:2021
EN 17371-1:2021 (E)
Introduction

This document is part of a series of European Standards that address different phases in the provision of

services (see Figure 1): the service procurement phase (EN 17371-1), the service contracting phase

(EN 17371-2 ) and the service execution phase (EN 17371-3).

Each part of the series can be used individually or in combination with the other parts.

Figure 1 — Phases in the provision of services

The drafting of the series was initiated after CEN presented the findings of a study on the potential and a

possible impact of horizontal service standards on the EU single market for services. This study was as a

response to the standardization request M/517 from the European Commission for programming and

development of horizontal service standards. The objective of this standardization request was to

encourage the development of voluntary European Standards covering issues common to many service

sectors. Such standards should aim to facilitate compatibility between services providers and improve

information and the quality of services to the recipient.
This document provides recommendations focusing on the:

— service procurement process through to the selection of providers/service providers;

— criteria for assessing a service provider's capacities to deliver the service to be provided;

— criteria for evaluating a service proposal.

The goal is to build on existing best practice and avoid additional constraints, in particular on medium,

small and micro organizations, including by the provision of a framework and template. This document

reflects the most important trends within service procurement. It is aimed at, e.g:

— organizations purchasing services (also referred to as “service buyers” in this document);

— organizations providing services (also referred to as “providers” and “service providers” in this

document);
1) Under preparation. Stage at the time of publication: FprEN 17371-2.
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SIST EN 17371-1:2021
EN 17371-1:2021 (E)

— governmental departments (national or European) in their role as authorities defining the rules and

procedures governing public procurement;

— organizations advising customers how to select service providers (such as consultancies);

— organizations that manage systems for shortlisting or (pre)qualifying service providers for the

purpose of helping their customers select service providers that are capable of fulfilling their needs

and successfully leading their projects;

— organizations responsible for compiling official lists of approved providers, meaning those who are

authorized to bid on certain contracts;
— organizations responsible for sourcing service providers.

Whilst not the focus of the document, it is recognized that societal stakeholders including consumers,

labour and environmental NGOs have legitimate interests in service procurement, for example in areas

such as accessibility, privacy and sustainability. These interests have been taken into account in this

document.

The recommendations specified by this document are common to both private and public purchase,

wherever a recommendation applies only to one type of purchase it is identified. Taking into account the

European/national legislations on public procurement, some recommendations should be considered as

requirements by the public buyers.
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SIST EN 17371-1:2021
EN 17371-1:2021 (E)
1 Scope

This document provides guidance for the assessment of the capacity of service providers and the

evaluation of service proposals in order to improve and facilitate the process of procuring services.

This document is applicable to:

a) Service buyers and service providers regardless of type, size or the nature of the services;

b) Service providers who may be inside or outside the service buyers' organization; and

c) Any interested parties who are directly or indirectly involved in or affected by a procurement process.

This document is not applicable to business-to-consumer (B2C) service contracts or for works contracts.

NOTE 1 “Works contracts” are contracts that have as their object the execution, or both the design and execution,

of a work are not covered in this document. Contracts having as their object only the design of a work are covered.

NOTE 2 “Work” means the outcome of building or civil engineering works taken as a whole which is sufficient in

itself to fulfil an economic or technical function.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— IEC Electropedia: available at http://www.electropedia.org/
— ISO Online browsing platform: available at https://www.iso.org/obp
3.1
interested party

person or organization that can affect, be affected by, or perceive themselves to be affected by service

procurement
3.2
procurement

activity of acquiring services from providers which could be public procurement or any other form of

procurement
3.3
public procurement

any procurement regulated by public procurement rules (international, EU, national, regional)

3.4
service buyer
organization that buys services from a service provider

Note 1 to entry: In public procurement, the service buyer may also be known as the contracting authority/entity.

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SIST EN 17371-1:2021
EN 17371-1:2021 (E)
3.5
service procurement

activities enabling an organization to enter into a contract with one or more service providers

3.6
service provider

organization or part of an organization that offers, supplies and/or manages one or more services

Note 1 to entry: A service provider can be external or internal to the services buyer's organization.

3.7
subcontractor
organization contracted by the provider to perform a specific part of a contract
3.8
tenderer/bidder
organization that submits/has submitted a tender or an offer
4 Service procurement process
4.1 General

This clause describes the elements of the service procurement process prior to signing a contract.

Organizations may schedule these elements in any order. Some elements may not be applicable in

particular cases.

The service procurement process includes consideration of human resources, material, equipment and

infrastructure resources as relevant to the service to be provided.

These considerations should be embedded in a wider strategic approach (sometimes called sourcing)

that considers the whole cycle from initial planning and identification of needs until the end of service

contract (See Annex A).

The buyer shall determine whether public procurement legislation applies. If this is the case, the

normative clauses marked public procurement shall be applicable.
4.2 Drafting of the technical specification

In order to develop a good invitation to tender it is necessary to provide to potential bidders a clear

statement of what the buyer wishes to procure.

The buyer should determine the service and the service provider requirements including statutory and

regulatory requirements and requirements of the end user, for example:
— cost/price;
— on-time delivery;
— reporting;
— quality criteria;
— service provider sustainability (e.g. environmental, social aspects);
— accessibility;
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SIST EN 17371-1:2021
EN 17371-1:2021 (E)
— avoidance of discrimination;
— health and safety;
— security;
— reliability;
— responsiveness, competency;
— communication.
It may specify required minimum performance levels for each requirement.

A pre-requisite is that the buyer understands what services are currently being delivered and at what

cost. The buyer then needs to have a clear understanding of which services it wishes to procure and how

they are to be delivered. Only then may a clear statement be provided to bidders which will, in due course,

form a major part of the evaluation of tenders prior to the award of a contract.

The specification of service requirement is a vital component in a good procurement of services and will

form the basis of the services to be procured and their delivery.

The service buyer should also determine the relative importance of the requirements in order to

prioritize them. This makes the further steps of the process of service procurement more effective and

improves the service delivered.

Any conflicting requirements should be identified and resolved at the beginning of the process. A

comprehensive list of prioritized requirements on the service and service provider should be the result.

The buyer should consider any risks such as the use of outdated information (e.g. standards) and

opportunities (e.g. evaluation from former tenders).

In determining requirements related to end users, organizations should consider the extent to which the

service can be accessed, understood and used by the widest range of users, including persons with

disabilities.

In the European Union and its CEN member countries, there are statutory and/or regulatory

requirements related to accessibility that shall be reflected in requirements and specifications, where

relevant.
4.3 Methodology for gathering information

Methods of gathering information for the determination of the service provider requirements include:

— consulting internal interested parties, e.g. managers of the relevant functions;

— consulting external interested parties, e.g. end users, qualification and certification bodies, regulation

bodies, trade associations and trade unions;
— market research and analysis;

— reviewing available documented internal information, e.g. lessons learned and known experience

from previous projects, market research and analysis.
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SIST EN 17371-1:2021
EN 17371-1:2021 (E)
4.4 Selection of service providers
4.4.1 Organization of tendering procedure for public procurement
4.4.1.1 Market research and choice of the procurement procedure

Preliminary market consultation following a market analysis can be helpful before determining the

procurement procedure.

The choice of the most appropriate procedure is determined by different factors, e.g. the estimated

number of potential tenderers, the planning of the contracting authorities, the specific nature of the

service concerned.
One of the following procedures should be chosen:
a) Open procedure,
b) Restricted procedure,
c) Competitive procedure with negotiation,

d) Negotiated procedure without prior publication (when foreseen and duly justified),

e) Competitive dialogue, and
f) Innovation partnership.
4.4.1.2 Procurement documents
Procurement documents should include:
— the contract notice;

— the technical specification (including any additional documents, such as referenced standards);

— the proposed conditions of contract;
— templates and instructions for presentation by bidders and tenderers;
— invitation to tender (including applicable obligations).

The purpose of the technical specification is to lay down the characteristics of the service, with minimum

requirements for the service in question.

NOTE Contracting authorities can make known their intentions of planned procurements through the

publication of a prior information notice.
4.4.2 Organization of procurement process for private sector
4.4.2.1 Procurement process

In private procurement there are no statutory rules for choosing a procurement process but the following

guidelines are provided to help to make the procurement process successful.
A service buyer should:

— decide whether there is to be a formal tendering process or request for proposal;

— provide templates and instructions for presentations by bidders and tenderers;
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SIST EN 17371-1:2021
EN 17371-1:2021 (E)

— provide information on generally applicable obligations and additional documents, such as

referenced standards.
Once a bidder has been selected the service buyer and the bidder should:

— agree a service level agreement which will be the basis for the relationship between the buyer and

service deliverer during the duration of the contract;
— review process for service delivery during the contract;

— ensure that there is a simple, clear set of contract conditions (which include dispute resolution and

termination procedures).
4.4.2.2 Procurement documents
Organizations should produce:
— a technical specification;
— a proposed contract;
— templates and instructions for presentations by bidders;
— information on generally applicable obligations;
— additional documents, such as referenced standards.
4.4.3 Evaluation of proposals and award of the contract

Where multiple tenders are received these should be assessed according to how well they correspond to

the buyer's service requirements, the selection criteria and the cost of the proposed delivery of services.

Once this process has been completed contract negotiations may commence with the selected

provider(s).
NOTE In public procurement contract negotiations cannot always be allowed.
Once there is agreement the contract can be awarded.
5 Criteria for assessing a service provider's capacities
5.1 General

The purpose is to define the criteria that buyers can use to assess a provider's ability to provide a specified

service with a view to awarding contracts or implementing a specific system for prequalifying, qualifying

and shortlisting providers.
NOTE In public procurement this is referred to as eligibility.

The criteria should be directly linked to the subject-matter and proportionate to the value of the contract.

They can also be used by:

— organizations which provide a list of prequalified, qualified or shortlisted service providers;

— organizations responsible for defining official lists of approved economic operators;

— organizations developing reference documents for prequalifying, qualifying, shortlisting and

approving providers.
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SIST EN 17371-1:2021
EN 17371-1:2021 (E)
5.2 Legal capacity criteria
5.2.1 Purpose

The objective of legal capacity criteria is to ensure that a provider's organization is legally incorporated,

to assess its ability to enter into contracts and to evaluate its capacity to pursue the professional activity

necessary to carry out the specific service(s) being provided.
As such, buyers should determine whether the provider:

— is incorporated in the companies register and/or a trade or professional register in its country if

...

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