SIST EN 16114:2011

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.UnternehmensberatungsdienstleistungenServices de conseils en managementManagement consultancy services03.080.20Storitve za podjetjaServices for companiesICS:Ta slovenski standard je istoveten z:EN 16114:2011SIST EN 16114:2011en,de01-november-2011SIST EN 16114:2011SLOVENSKI
STANDARD



SIST EN 16114:2011



EUROPEAN STANDARD NORME EUROPÉENNE EUROPÄISCHE NORM
EN 16114
September 2011 ICS 03.080.20 English Version
Management consultancy services
Services de conseil en management
Unternehmensberatungsdienstleistungen This European Standard was approved by CEN on 13 August 2011.
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, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland and United Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION EUROPÄISCHES KOMITEE FÜR NORMUNG
Management Centre:
Avenue Marnix 17,
B-1000 Brussels © 2011 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN national Members. Ref. No. EN 16114:2011: ESIST EN 16114:2011



EN 16114:2011 (E) 2
Contents Page Foreword .4Introduction .51Scope .62Normative references .63Terms and definitions .74Principles .94.1General .94.2Policies . 104.2.1Regulatory framework . 104.2.2Communication . 114.2.3Ethics . 114.2.4Corporate Social Responsibility . 114.2.5Capability . 114.2.6Quality . 114.2.7Guarantees . 114.2.8Health and safety . 114.3Ongoing evaluation and improvement . 115Offering . 125.1General . 125.2Purpose . 125.3Input . 125.4Outcome . 135.5Contents . 135.5.1General . 135.5.2Context . 135.5.3Services and deliverables . 135.5.4Approach and work plan . 145.5.5Roles and responsibilities . 145.5.6Terms and conditions . 156Execution . 156.1General . 156.2Purpose . 156.3Input . 156.4Outcome . 156.5Contents . 166.5.1General . 166.5.2Refining the agreed work plan . 166.5.3Implementing the work plan . 166.5.4Assignment management and monitoring . 166.5.5Approvals and acceptance . 187Closure . 187.1General . 187.2Purpose . 187.3Input . 187.4Outcome . 187.5Content . 197.5.1Legal and contractual matters . 197.5.2Final evaluation and improvement. 19SIST EN 16114:2011



EN 16114:2011 (E) 3 7.5.3Administrative matters . 207.5.4Communication . 207.5.5Outstanding minor issues . 20Annex A (informative)
Examples of ethical guidelines for MCSPs . 21Annex B (informative)
Examples of values for MCSPs . 22Annex C (informative)
Examples of content of a corporate social responsibility statement . 23Annex D (informative)
Examples of evaluation criteria . 24Bibliography . 25 SIST EN 16114:2011



EN 16114:2011 (E) 4
Foreword This document (EN 16114:2011) has been prepared by Technical Committee CEN/TC 381 “Project Committee - Management consultancy services”, the secretariat of which is held by UNI. 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 March 2012, and conflicting national standards shall be withdrawn at the latest by March 2012. Attention is drawn to the 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 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, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland and the United Kingdom.
SIST EN 16114:2011



EN 16114:2011 (E) 5 Introduction The Treaty of Lisbon and the issue of the Services Directive 2006/123/EC show that Governments are determined to create a ‘borderless’ market for services. To support this strategy, CEN is establishing a set of ‘service standards’.
Management consultancy services make a substantial contribution to the European economy. To promote and develop a single market for management consultancy services, the industry and its stakeholders have created this service standard.
The aim of this standard is to improve transparency and understanding between clients and management consultancy service providers (hereinafter referred to as MCSPs). This should lead to better results from consultancy projects and reduce barriers to cross-border trade in management consultancy services.
Successful application of the standard should enable MCSPs to provide better value for clients and reduce risk in management consultancy assignments. By improving the quality, professionalism and interoperability of management consultancy, this standard is intended to enhance the effectiveness of the European management consulting industry and accelerate the development of the profession.
This standard is based on good practice from the management consultancy industry in Europe. It includes recommendations to improve the specification, execution, acceptance and closure of management consultancy services, based on research and the experience of a wide range of MCSPs and their clients.
This standard takes the form of an easy-to-understand guidance document, written from the perspective of the service provider. It applies to all MCSPs, whatever their size or specialism, but does not place requirements or obligations on individuals. Innovation and differentiation are important parts of an MCSP’s value proposition. The standard focuses only on the outputs and outcomes; MCSPs are free to use their own methods and approaches. In summary, the guiding principles of this Standard are that it: a) is written as guidance; b) does not require certification; c) focuses on MCSPs, not on clients; d) focuses on MCSPs, not individual internal resources; e) is applicable to all MCSPs; f) is based on outcomes;
g) protects innovation and differentiation; h) emphasises importance of understanding clients needs; i) is easy to understand. SIST EN 16114:2011



EN 16114:2011 (E) 6
1 Scope This European Standard gives guidelines for the effective delivery of management consultancy services. This European Standard is applicable to all MCSPs: public and private companies, government entities, not-for-profit organizations and internal consultancy units, regardless of their ownership, structure, size or specialism. This European Standard applies to any type of assignment for any type of client. It does not place any obligations on the client. This European Standard provides recommendations for carrying out management consultancy services, including:
 legal and ethical matters (see Clause 4);  management, communications and evaluation (see Clause 4);  client relationships (see Clause 4);  proposal and agreement (see Clause 5);  planning and execution (see Clause 6);  closure of the assignment (see Clause 7). This European Standard is independent from other normative or regulatory documents, such as:  provision of support to small businesses (see CEN/TS 99001);  quality management systems (see EN ISO 9001:2008);  public procurement (see Public Procurement Directive 2004/18/EC).
This European Standard does not impose upon or interfere with any contractual obligations or intellectual property rights. Also, it does not require or imply a need for third-party certification. It is not intended for certification, regulatory or contractual use, and it is not intended nor designed to be used as the basis for any personal or organizational qualification. Any offer to certify, or claims to be certified, to this European Standard would be a misrepresentation of the intent and purpose and a misuse of this European Standard. As this European Standard does not contain requirements, any such certification would not be a demonstration of conformity with this European Standard. It is not intended to provide a basis for legal actions, complaints, defences or other claims in any international, domestic or other proceeding, nor is it intended to be cited as evidence of the evolution of customary international law. 2 Normative references Not applicable. SIST EN 16114:2011



EN 16114:2011 (E) 7 3 Terms and definitions For the purposes of this document, the following terms and definitions apply. NOTE Defined terms are in bold. 3.1 agreement formal legally-binding outcome from the offering phase, defining the assignment, consisting of terms and conditions, the requirements and the purpose of the assignment 3.2 assignment service to be provided by the MCSP to the client as described in the agreement NOTE An assignment is typically performed as a project by the MCSP. 3.3 client organization or person that is the recipient of the management consultancy services supplied by the management consultancy service provider NOTE
The definition is adapted from the one of “customer” given in EN ISO 9000:2005, applied to this context. 3.4 closure last phase in the assignment
3.5 communication maintenance between the MCSP and the client of clear and systematic flow of information
3.6 corporate governance
system by which an organization makes and implements decisions in pursuit of its objectives
[ISO 26000:2010] 3.7 deliverable output tangible item produced by the MCSP as part of an assignment NOTE For example a report, a plan, a document. 3.8 enterprise entity engaged in an economic activity, irrespective of its legal form; this includes self-employed persons and family businesses engaged in craft or other activities, and partnerships or associations regularly engaged in an economic activity [Commission Recommendation C(2003) 1422] [CEN/TS 99001:2008] NOTE This includes public sector entities, NGOs, charities and local governments. SIST EN 16114:2011



EN 16114:2011 (E) 8
3.9 execution
performance of the management consultancy service 3.10 management consultancy service, MCS service set of multidisciplinary activities of intellectual work, within the field of management activities, which aim to create value or promote changes, by providing advice or solutions, by taking actions or by producing deliverables 3.11 management consultancy service provider, MCSP enterprise providing management consultancy services 3.12 offering
set of activities aimed at reaching an agreement to provide MCS, excluding supplier selection and pre-sale activities
NOTE See 5.1. 3.13 outcome result of a process or an action which refers to something valuable for the enterprise NOTE For example an improvement of profitability or value of an indicator. 3.14 organization
group of people and facilities with an arrangement of responsibilities, authorities and relationships [EN ISO 9000:2005] 3.15 process set of interrelated or interacting activities which transforms inputs into outputs [EN ISO 9000:2005] 3.16 project unique process, consisting of a set of coordinated and controlled activities with start and finish dates, undertaken to achieve an objective conforming to specific requirements, including the constraints of time, cost and resources NOTE An individual project can form part of a larger project structure. [EN ISO 9000:2005] 3.17 project governance framework by which a project is directed and controlled
NOTE 1 Project governance includes aspects such as defining the management structure; the policies, processes and methodologies to be used; limits of authority for decision making; stakeholder responsibilities and accountabilities; and interactions such as reporting and the escalation of issues or risks.
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EN 16114:2011 (E) 9 NOTE 2 The responsibility for maintaining the appropriate governance of a project is commonly assigned to a project “sponsor” or “leader” or a project steering committee. 3.18 project management direction of the project under the authority of project governance NOTE
It is the application of methods, tools, techniques and resources to the management of a project. Project management includes the integration of the various phases of the project life cycle. Project management is accomplished through processes. 3.19 requirement need or expectation that is stated, generally implied or obligatory NOTE “Generally implied” means that it is custom or common practice for the organization, its customers and other interested parties, that the need or expectation under consideration is implied. [EN ISO 9000:2005] 3.20 stakeholder individual and/or organization that is actively involved in the assignment or whose interest may be affected as a result of execution or completion of the assignment
4 Principles 4.1 General
This European Standard is structured to reflect the typical phases of a consultancy assignment. It also describes (see 4.2 and 4.3) a guiding policy framework, and includes guidelines for ongoing evaluation and improvement. Offering phase: The first phase of a consultancy assignment is Offering. The MCSP and the client reach a clear agreement on the service to be provided and commit to working together. Transparency is critical to avoid misunderstanding and minimise risk. Execution phase: Once agreement has been reached, the second phase of the assignment is Execution. The MCSP implements the service, following the agreed approach and plan. To achieve a mutually positive outcome, the MCSP and the client need to collaborate with confidence, fairness and mutual respect. Closure phase: The final phase is Closure. After completion of the deliverables and assessment of the outcomes, the assignment is completed by resolving any open items and meeting all contractual and legal obligations. It is critical that the MCSP gains acceptance from the client that the assignment is complete. Clauses 5, 6 and 7 give more details about each of these phases. See Figure 1. SIST EN 16114:2011



EN 16114:2011 (E) 10
Figure 1 — Approach 4.2 Policies NOTE The contents of policies described in the annexes are examples, not requirements. 4.2.1 Regulatory framework MCSPs should maintain an appropriate level of awareness of the relevant laws, policies, rules, regulations and standards that govern their services.
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EN 16114:2011 (E) 11 To ensure clarity these should be identified, if necessary, in the agreement. 4.2.2 Communication Clear understanding between the client and the MCSP is critical for the success of the assignment. Effective communication maximizes understanding, creates confidence and minimizes risks.
An effective communication strategy and policy should exist for the duration of the assignment. 4.2.3 Ethics 4.2.3.1 Code of conduct
A professional code of conduct and business ethics should be observed in order to guide the professional conduct of MCSPs. Annex A provides examples of ethical guidelines. 4.2.3.2 Values A statement of values should exist to guide the professional conduct of MCSPs. Annex B provides examples of values. 4.2.4 Corporate Social Responsibility A statement of corporate social responsibility should exist to guide the professional conduct of MCSPs. Annex C provides examples of what to include in a corporate social responsibility statement.
4.2.5 Capability The MSCPs should only accept those assignments that they are able to fulfil in a professional manner in accordance with this European Standard. If an MCSP has reason to believe that the agreed outcomes of the assignment will not be met within the terms of the agreement, the MCSP should, without delay, inform the client of its findings and renegotiate the agreement. 4.2.6 Quality The MCSPs should consider preparing a quality plan to anticipate, manage and quantify risks and issues. NOTE Published quality management standards such as the ISO 9000 series can be useful. 4.2.7 Guarantees MCSPs should negotiate and agree the conditions of any guarantee of the services to be provided. 4.2.8 Health and safety A statement of health and safety should exist to guide the professional conduct of MCSPs. 4.3 Ongoing evaluation and improvement The purpose of evaluation is for the MCSP to assess the assignment. The MCSP should establish a structured process for proactive evaluation. This allows the results of the assignment to be recorded and assessed. SIST EN 16114:2011



EN 16114:2011 (E) 12
Evaluation also allows the client and the MCSP to:  diagnose the effectiveness of the assignment;
 make recommendations for corrective action;  implement new processes and methods. Annex D provides examples of evaluation criteria. The effectiveness of evaluation should be assessed. An effective evaluation strategy and policy should exist for the duration of the relationship between the client and the MCSP. Even if no evaluation is included in the agreement, the MCSP should have a process to learn from the work it undertakes. If evaluation is required for contractual reasons to determine the fees paid, the MCSP and the client should agree the most appropriate method of evaluation. 5 Offering
5.1 General
There are several activities that take place before the execution of a consultancy assignment, including: 1) identification of pre-sale and client needs, to be performed by the client or the client’s agent, the MCSP or both of them jointly; 2) supplier selection, to be performed by the client, taking into account the technical/economic proposals submitted by the MCSP(s);
3) specifications definition, to be performed by the client, the MCSP or both of them; NOTE Offering includes analysis and conceptualization of the problem to solve, approach to services to be asked for and budget for these activities. 4) negotiation and agreement, to be performed by both the client and the MCSP. This clause relates only to activities 3 and 4, by providing a structure for the contents of an agreement. In this European Standard the word “Offering” is used to describe these parts of the process.
5.2 Purpose
The purpose of the offering phase is to reach an agreement between the MCSP and the client on the services to be provided.
5.3 Input There are many inputs to the offering phase, including the perceived needs, the expectations and desire of the client and the potential constraints and risks involved in the assignment, and any significant changes that are beyond the scope of the change control process (see 6.5.4.5).
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EN 16114:2011 (E) 13 5.4 Outcome The outcome is a legally binding agreement between the MCSP and the client. The outcome specifies the services and the deliverables to be provided and establishes rights and obligations for each of the parties. NOTE
Depending on the context, the agreement may refer to a “request for a proposal”, describing a set of requirements and specifications for services, deliverables and evaluation criteria. 5.5 Contents
5.5.1 General A proposal from the MCSP to the client should include:
 context;  services and deliverables;
 approach and work plan;
 roles and responsibilities;  terms and conditions.
The items in 5.5.2 to 5.5.6 are typical contents of an agreement between the MCSP and the client. However, if it is obvious to both parties that some of these contents are inappropriate, they should be excluded. The description of a specific item can be made by the MCSP or the client, if it is agreed by the other party. 5.5.2 Context NOTE The context should include background information on the assignment. 5.5.2.1 Background information, assumptions, scope and limits This section should contain relevant facts, for example an accurate description of the organization’s current situation, the client’s objectives, why the work needs to be done, the assumptions and their impact, the scope and the limits of the assignment. It is important to ensure that the client understands the need to share all relevant and significant information.
5.5.2.2 Constraints and risks
This section should specify the constraints and risks associated with the assignment, to the extent that they are known and identified. These risks should be monitored during the execution phase.
5.5.2.3 Stakeholders This section should specify the stakeholders.
5.5.3 Services and deliverables The agreement should contain a description of the services to be provided, the outcomes expected, and the deliverables or outputs of the assignment. The objectives should be specific, measurable and achievable, relevant and time-bound so that the results of the assignment can be evaluated. SIST EN 16114:2011



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5.5.4 Approach and work plan This section should describe a work plan for the operational planning of the services to be implemented. The following elements can be used as a checklist and be described in the work plan:
a) objectives, scope; b) change management; c) contents;
d) documentation;
e) data, information and technological resources;
f) organization;
g) MCSP’s human resources and their responsibilities;
h) client’s human resources and their responsibilities;
i) timetable;
j) project management methods (including acceptance stages, notification of delays, decision process, stages for assignment delivery, methodology, etc.);
k) communications (including channels, methods, etc.);
l) escalation procedures (in case of deviations from the agreement); m) quality programme; n) deliverables or outputs. 5.5.5 Roles and responsibilities
5.5.5.1 General This section should specify the roles, responsibilities and all the resources (including client personnel, data and documentation) involved in the assignment.
5.5.5.2 Assignment monitoring and control This section should specify the decision-making, direction and control processes for the assignment, including the designation of a project “sponsor” or project “leader” for the project governance role. These should be consistent with the client’s corporate governance. 5.5.5.3 Evaluation of the assignment This section should specify how the evaluation will be carried out, for example measurable
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