Study on Best Practices for ICT Procurement Based on Standards in Order to Promote Efficiency and Reduce Lock-In
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Study on best practices for ICT procurement based on standards in order to promote efficiency and reduce lock-in FINAL REPORT A study prepared for the European Commission DG Communications Networks, Content & Technology by: Digital Agenda for Europe This study was carried out for the European Commission by PwC EU services Giovanna Galasso, Senior Manager Federico Aresu, Senior Consultant Maria Luppi, Senior Consultant Clara Campisi, Consultant Giorgio Garbasso, Consultant Internal identification Contract number: 30-CE-0601961/00-29 SMART 2013/0048 ISBN 978-92-79-54925-0 doi:10.2759/701784 DISCLAIMER By the European Commission, Directorate-General of Communications Networks, Content & Technology. The information and views set out in this publication are those of the author(s) and do not necessarily reflect the official opinion of the Commission. The Commission does not guarantee the accuracy of the data included in this study. Neither the Commission nor any person acting on the Commission’s behalf may be held responsible for the use which may be made of the information contained therein. Copyright © 2016 – European Union. All rights reserved. Certain parts are licensed under conditions to the EU. 2 Contents 1. ABSTRACT 8 2. EXECUTIVE SUMMARY 9 3. INTRODUCTION 13 4. PROJECT RESULTS: AN OVERVIEW 16 4.1. AWARENESS CREATION AROUND “LOCK IN” AND DISSEMINATION OF THE GUIDE 17 4.1.1. The Guide: Using standards for ICT procurement 17 4.1.2. Joinup Community: Open Standards for ICT procurement 19 4.1.3. Launch & running of an effective communication campaign 20 4.1.1. Lessons learned 22 4.2. COMMUNITY BUILDING 24 4.2.1. Set-up and running of bi-annual workshops 24 4.2.2. Brainstorming events (webinars) and online engagement 28 4.2.3. Lessons learned 32 4.3. COLLECTION OF BEST PRACTICES 33 4.3.1. ICT Frameworks and Architectures 36 4.3.2. Guidelines and Knowledge on Standards 39 4.3.3. Standards Assessment 42 4.3.4. List of Recommended Standards 44 4.3.5. ICT Needs & Long Term Planning 46 4.3.6. Develop a Procurement Framework 47 4.3.7. Templates and Ready Texts 49 4.3.8. Others 51 4.3.9. Lessons learned 52 4.4. MONITORING OF TAKE-UP OF “OPEN” PROCUREMENT 54 4.4.1. TED Analysis 55 4.4.2. Survey Results’ analysis 174 5. CONCLUSIONS AND RECOMMENDATIONS FOR FOLLOW UP 191 6. ANNEXES 193 6.1. COLLECTED BEST PRACTICES 193 6.1.1. ICT Frameworks and Architectures 193 6.1.2. Guidelines and Knowledge on Standards 200 6.1.3. Standards Assessment 207 6.1.4. List of Recommended Standards 210 3 6.1.5. ICT Needs & Long Term Planning 215 6.1.6. Develop a Procurement Framework 217 6.1.7. Templates and ready texts 218 6.1.8. Other 224 6.2. TASK 4 MATERIALS (TED ANALYSIS & PROCUREMENT SURVEY) 226 6.2.1. List of CPV analysed 226 6.2.2. List of vendors 227 6.2.3. TED Variable analysis: focus on the analysed scope 228 6.2.4. List of vendors not included in the algorithm, as identified by the multilinguistic check (not exhaustive) 230 6.2.5. Overview of vendor presence and contra-legem tenders by country 231 6.2.6. Survey 232 6.3. WORKSHOP REPORTS 237 6.3.1. Workshop report 1 237 6.3.2. Workshop report 2 257 6.3.3. Workshop report 3 281 6.3.4. Workshop report 4 301 6.4. DATASETS 319 6.4.1. Dataset_TED_preliminary_analysis_final 319 6.4.2. Dataset_TED_vendor_search_final 319 7. References 320 4 List of Figures Figure 1: Project’s structure ............................................................................................ 16 Figure 2: Incidence of low competition awards in EU28 .................................................... 160 Figure 3: Number of contra-legem mentions, and incidence of contra-legem tenders on total tenders, by year .......................................................................................................... 162 Figure 4: Contra-legem mentions and tenders by country ................................................. 163 Figure 5: Incidence of contra-legem tenders on all tenders issued, by country. ................... 166 Figure 6 Percentage of contra-legem tenders by CPV ....................................................... 167 Figure 7: Top 20 brands by mention frequency in contra legemcontra-legem tenders ........... 167 Figure 8: Tender notices referring to specific trademarks per trademark and country ........... 168 Figure 9: Contra-legem tenders by Contracting Authority type .......................................... 169 Figure 10: Respondents distribution by country ............................................................... 175 Figure 11: Respondents by organisation type .................................................................. 175 Figure 12: Respondents by professional role ................................................................... 176 Figure 13: Distribution of ICT expenditure per goods and services and % of expenditure above EU thresholds. ............................................................................................................. 177 Figure 14: Countermeasures adoption against ICT lock-in ................................................. 180 Figure 15: Preferred procedures for ICT procurement ....................................................... 181 Figure 16: Main drivers for the "make-or-buy" decision .................................................... 182 Figure 17: Control measures on IT and legal capabilities of procurement teams .................. 183 Figure 18: Importance of different aims when planning an ICT purchase ............................ 184 Figure 19: Reference to ICT procurement standards in tender notices (%) .......................... 185 Figure 20: Successful initiatives against ICT lock-in in respondents' words .......................... 187 Figure 21: Awareness of CAMSS .................................................................................... 189 5 List of Tables and charts Table 1- Categories of stakeholders ......................................................................... 21 Table 2 - List of Workshops .................................................................................... 24 Table 3 - List of Webinars ...................................................................................... 29 Table 4 – List of Good Practices ............................................................................. 34 Table 5 Contract Award Notices (CANs) per year ..................................................... 158 Table 6 Participation to ICT public procurement ...................................................... 160 Table 7 Incidence of contra-legem tenders by CPV .................................................. 166 Chart 1 – Typologies of mapped stakeholders ........................................................... 21 Chart 2 – Participants per country ........................................................................... 26 Chart 3 – Types of Participants organisations ............................................................ 26 Chart 4 - Results of the Workshop evaluation questionnaires ...................................... 27 6 List of Acronyms Bundesverband Informationswirtschaft, Telekommunikation Und Neue BITKOM Medien E. V CA Contract Award CAMSS Common Assessment Method for Standards and Specifications CAN Contract Award Notice CPV Common Procurement Vocabulary EC European Commission EIF European Interoperability Framework EU European Union EUPL European Union Public Licence GITC Government Information Technology and Communications GPA Government Procurement Agreement ICT Information and communications technology ISA Interoperability Solutions for European Public Administrations MITA Malta Information Technology Agency MS Member State MSP Multi-Stakeholder Platform on ICT standardisation NIFO National Interoperability Framework Observatory OASC Open & Agile Smart Cities OFE Open Forum Europe PMO Project Management Office RP Rolling Plan on ICT standardisation SIRIP State Information Resources Interoperability Platform SNPB Swedish National Police Board TED Tenders Electronic Daily 7 1. ABSTRACT The “Study on best Practices for ICT procurement based on standards in order to promote efficiency and reduce lock-in”, carried out by PwC between January 2014 and January 2016, aims primarily at supporting the European Commission in building a community of people related to the field of public procurement of ICT systems and services, willing to share best practices on how to make better use of standards in public procurement in order to solve ICT lock-in. The project has been structured around four interrelated tasks, dedicated to raise awareness on the concept of “lock-in”, mainly through the enhancement and dissemination of the “Guide for the procurement of standards-based ICT” and the creation of an online community, to build an active network of stakeholders, to collect examples of good practice, and to monitor the take-up of “open” ICT procurement. 8 2. EXECUTIVE SUMMARY Scope of the Final Report This is the Final Report of the “Study on best Practices for ICT procurement based on standards in order to promote efficiency and reduce lock-in” carried out by PwC between January 2014 and January 2016. The Commission nor any person acting on the Commission’s behalf may be held responsible for the use of the information contained therein. The objective of this Study is to support the European Commission in building a community of people concerned with the public procurement of ICT systems and services. It also aims at sharing best practices on how to make better use of standards in public procurement