kSIST FprEN 17687:2022

Public procurement - Integrity and accountability - Requirements and guidance

This document specifies requirements and guidance for buyer organizations, with regards to integrity and accountability in public procurement activities from identification of needs throughout the delivering of goods, services or work contracts.
This document is applicable to use by:
a)   buyer organizations;
b)   contributors;
c)   decision makers.
This document can have an impact on:
-   individuals;
-   suppliers and individuals acting in support of or on behalf of suppliers, including subcontractors; the official bodies of the member states and of the European organizations which intervene, directly or indirectly, in the public procurement process;
-   organizations representing suppliers at the member state or European levels.
NOTE   Further guidance for the interpretation and application of the scope and requirements of this document is provided in Annex A.

Öffentliche Beschaffung - Integrität und Verantwortlichkeit - Anforderungen und Leitfaden

Dieses Dokument legt Anforderungen und Anleitungen für Beschaffungsorganisationen im Hinblick auf Integrität und Rechenschaftspflicht bei der öffentlichen Auftragsvergabe von der Bedarfsermittlung bis zur Lieferung von Waren, Dienstleistungen oder Arbeitsaufträgen fest.
Dieses Dokument ist für den Gebrauch vorgesehen durch:
a)   Beschaffungsorganisationen;
b)   Mitarbeiter;
c)   Entscheidungsträger.
Dieses Dokument kann einen Einfluss haben auf:
-   Einzelpersonen;
-   Lieferanten und Personen, die zur Unterstützung von oder im Namen von Lieferanten handeln, einschließlich Subunternehmern; die offiziellen Stellen der Mitgliedsstaaten und der europäischen Organisationen, die direkt oder indirekt in die öffentliche Auftragsvergabe eingebunden sind;
-   Organisationen, die Lieferanten auf der Ebene der Mitgliedsstaaten oder auf europäischer Ebene vertreten.
ANMERKUNG   Eine weitere Anleitung zur Interpretation und Umsetzung des Anwendungsbereichs und der Anforderungen dieses Dokuments ist in Anhang A enthalten.

Achats publics - Intégrité et responsabilité - Exigences et recommandations

Le présent document spécifie des exigences et des recommandations pour les organismes acheteurs, en ce qui concerne l’intégrité et la responsabilité dans les activités d'achats publics, depuis l’identification des besoins jusqu’à la délivrance des produits, des services ou des prestations de travaux.
Le présent document peut être utilisé par :
a)   les organismes acheteurs ;
b)   les contributeurs ;
c)   les décideurs.
Le présent document peut avoir un impact sur :
-   les personnes ;
-   les fournisseurs et les personnes agissant au service ou pour le compte des fournisseurs, y compris les sous-traitants ; les organismes officiels des États membres et des organisations européennes qui interviennent, directement ou indirectement, dans le processus d'achats publics ;
-   les organismes représentant les fournisseurs au niveau des États membres ou européen.
NOTE   L’Annexe A fournit des recommandations supplémentaires pour l’interprétation et l’application du domaine d’application et des exigences du présent document.

Javna naročila - Integriteta in odgovornost - Zahteve in navodilo

General Information

• Status: Not Published
• Public Enquiry End Date: 15-Sep-2021
• ICS: 03.100.10 - Purchasing. Procurement. Logistics
• Technical Committee: I13 - Imaginarni 13
• Current Stage: 5020 - Formal vote (FV) (Adopted Project)
• Start Date: 28-Apr-2022
• Due Date: 16-Jun-2022
• Ref Project: FprEN 17687 - Public procurement - Integrity and accountability - Requirements and guidance

Standards Content (sample)

SLOVENSKI STANDARD
oSIST prEN 17687:2021
01-september-2021
Javna naročila - Integriteta in odgovornost - Zahteve in navodilo
Public procurement - Integrity and accountability - Requirements and guidance

Öffentliche Beschaffung - Integrität und Verantwortlichkeit - Anforderungen und Leitfaden

Achats publics - Intégrité et responsabilité - Exigences et recommandations
Ta slovenski standard je istoveten z: prEN 17687
ICS:
03.100.10 Nabava. Dobava. Logistika Purchasing. Procurement.
Logistics
oSIST prEN 17687:2021 en,fr,de

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

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oSIST prEN 17687:2021
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oSIST prEN 17687:2021
DRAFT
EUROPEAN STANDARD
prEN 17687
NORME EUROPÉENNE
EUROPÄISCHE NORM
June 2021
ICS 03.100.10
English Version
Public procurement - Integrity and accountability -
Requirements and guidance

Achats publics - Intégrité et responsabilité - Exigences Öffentliche Beschaffung - Integrität und

et recommandations Verantwortlichkeit - Anforderungen und Leitfaden

This draft European Standard is submitted to CEN members for enquiry. It has been drawn up by the Technical Committee

CEN/TC 461.

If this draft becomes a European Standard, 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.

This draft European Standard was established by CEN 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.

Recipients of this draft are invited to submit, with their comments, notification of any relevant patent rights of which they are

aware and to provide supporting documentation.

Warning : This document is not a European Standard. It is distributed for review and comments. It is subject to change without

notice and shall not be referred to as a European Standard.
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. prEN 17687:2021 E

worldwide for CEN national Members.
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Contents Page

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

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

1 Scope .......................................................................................................................................................... 6

2 Normative references .......................................................................................................................... 6

3 Terms and definitions ......................................................................................................................... 6

3.1 Terms related to concepts ................................................................................................................. 6

3.2 Terms related to organizations ....................................................................................................... 8

3.3 Terms related to procurement ...................................................................................................... 10

3.4 Terms related to people ................................................................................................................... 10

3.5 Terms related to data, information and documents .............................................................. 11

4 Fundamental principles ................................................................................................................... 12

4.1 General.................................................................................................................................................... 12

4.2 Integrity .................................................................................................................................................. 12

4.3 Accountability ...................................................................................................................................... 12

4.4 Transparency ....................................................................................................................................... 13

5 Governance ........................................................................................................................................... 14

5.1 General.................................................................................................................................................... 14

5.2 Policies .................................................................................................................................................... 14

5.3 Ethical behaviour and social responsibility .............................................................................. 15

5.4 Leadership ............................................................................................................................................. 15

6 The public procurement process .................................................................................................. 16

6.1 Context of buyer organizations ...................................................................................................... 16

6.2 Managing risks to ensure the integrity and accountability in the procurement process

................................................................................................................................................................... 17

7 Stakeholder management ................................................................................................................ 17

7.1 General.................................................................................................................................................... 17

7.2 Internal interested parties .............................................................................................................. 18

7.3 Market engagement ........................................................................................................................... 18

7.4 Suppliers and supply chain ............................................................................................................. 19

7.5 Consumers and end-users ............................................................................................................... 20

8 People ...................................................................................................................................................... 20

8.1 Competence ........................................................................................................................................... 20

8.2 Training and development .............................................................................................................. 20

8.3 Work culture ......................................................................................................................................... 21

8.4 Incentives ............................................................................................................................................... 21

8.5 Control mechanisms and other tools to ensure compliance ............................................... 22

8.6 Code of conduct .................................................................................................................................... 22

9 Performance evaluation ................................................................................................................... 23

9.1 General.................................................................................................................................................... 23

9.2 Method and process for evaluation .............................................................................................. 23

9.3 Evidence-based data for measurement ...................................................................................... 24

10 Improvement ........................................................................................................................................ 24

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10.1 General ................................................................................................................................................... 24

10.2 Non-conformity and corrective actions ...................................................................................... 24

10.3 Improvement........................................................................................................................................ 24

Annex A (informative) Guidance on the use of this document .......................................................... 25

A.1 How to read Annex A ......................................................................................................................... 25

A.2 Scope ....................................................................................................................................................... 25

A.3 Governance ........................................................................................................................................... 26

A.4 The public procurement process .................................................................................................. 26

A.5 People ..................................................................................................................................................... 27

A.6 Improvement........................................................................................................................................ 28

Annex B (informative) Risk management during the procurement process ............................... 29

Bibliography ....................................................................................................................................................... 36

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European foreword

This document (prEN 17687:2021) has been prepared by Technical Committee CEN/TC 461 “Public

procurement”, the secretariat of which is held by SIS.
This document is currently submitted to the CEN Enquiry.
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Introduction

This document has been developed following the acceptance by CEN to deliver the European

Commission's Pilot Project on Increased use of standards in Public Procurement - Output 3 (Integrity and

Accountability Standard). The main objective with Output 3 is to deliver a European Standard focusing

on integrity and accountability in public procurement.

The United Nations, together with international organizations such as the OECD, the European Union,

International Financing Institutions and NGOs such as Transparency International, have played leading

roles in recognizing the importance of good governance and developing technical guidance to enhance

integrity in public procurement.

Failure to commit to the fundamental principles of integrity, accountability and transparency in public

procurement generates a negative impact on the efficiency and can lead to mismanagement, corruption,

lack of competence and lack of due diligence, which harms the public interest, undermines public trust

and has a negative impact on people’s lives. Still, corruption and fraud are regrettably common features

in public procurement globally. The EU regulatory framework on public procurement provides a strong

preventative mechanism for the occurrence of potential irregularities. The EU legal system is based on

the fundamental principles of equal treatment, non-discrimination, mutual recognition, proportionality

and transparency, with clear rules on how procurement processes should be conducted to comply with

these principles.

A new generation of EU directives was adopted in 2014 that further underline the need for increased

integrity and the inclusion of specific rules for situations of conflicts of interest and more stringent

requirements on the exclusion of suppliers. However, the main challenges are normally not weak or

absent regulatory or institutional frameworks at the member state level, but rather the implementation

and practice at the level of contracting authorities and entities.

Integrity needs to be addressed in its broadest sense; it is not just about being true to oneself but also

about being accountable to key stakeholders and operating in a transparent manner, such as how the

procurement function is organized and managed to secure internationally recognized frameworks for

integrity and accountability. Integrity and accountability are two aspects of the same subject and are

closely linked to each other.

This document aims to provide a sound framework for generally accepted principles of integrity and

accountability in public procurement. The purpose of the informative Annex A is to prevent

misinterpretation of the requirements in this document.
In this document, the following verbal forms are used:
a) “shall” indicates a requirement;
b) “should” indicates a recommendation;
c) “may” indicates a permission;
d) “can” indicates a possibility or a capability.

Information marked as “NOTE” is for guidance in clarifying the associated requirement. “Notes to entry”

used in Clause 3 provide additional information that supplements the terminological data and can contain

provisions relating to the use of a term.
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1 Scope

This document specifies requirements and guidance for buyer organizations, with regards to integrity

and accountability in public procurement activities from identification of needs throughout the delivering

of goods, services or work contracts.
This document is applicable to use by:
a) buyer organizations;
b) contributors;
c) decision makers.
This document can have an impact on:
— individuals;

— suppliers and individuals acting in support of or on behalf of suppliers, including subcontractors; the

official bodies of the member states and of the European organizations which intervene, directly or

indirectly, in the public procurement process;
— organizations representing suppliers at the member state or European levels.

NOTE Further guidance for the interpretation and application of the scope and requirements of this document

is provided in Annex A.
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 https://www.electropedia.org/
— ISO Online browsing platform: available at https://www.iso.org/obp
3.1 Terms related to concepts
3.1.1
accountability

state of being answerable for decisions and activities to the buyer organization's governing bodies, legal

authorities and, more broadly, its stakeholders
[SOURCE: EN ISO 26000:2020, 2.1]
3.1.2
integrity

consistent alignment of, and adherence to, agreed ethical values, principles and norms

[SOURCE: OECD Recommendation on Public Integrity, 2017]
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3.1.3
integrity pact

contract between a buyer organization and suppliers bidding for public contracts that they will abstain

from corrupt practices and will conduct a transparent procurement process

Note 1 to entry: An integrity pact may be monitored by an independent third party.

3.1.4
transparency
open, comprehensive and understandable presentation of information
[SOURCE: EN ISO 14040:2006, 3.7]
3.1.5
value for money

most advantageous combination of cost, quality and sustainability to meet customer requirements

3.1.6
international norms of behaviour

expectations of socially responsible organizational behaviour derived from customary international law,

generally accepted principles of international law, or intergovernmental agreements that are universally

or nearly universally recognized
Note 1 to entry: Intergovernmental agreements include treaties and conventions.

Note 2 to entry: Although customary international law, generally accepted principles of international law and

intergovernmental agreements are directed primarily at states, they express goals and principles to which all

organizations can aspire.
Note 3 to entry: International norms of behaviour evolve over time.
[SOURCE: EN ISO 26000:2020, 2.11]
3.1.7
competence
ability to apply knowledge and skills to achieve intended results
[SOURCE: EN ISO 9000:2015, 3.10.4, modified by removing Notes to entry]
3.1.8
effectiveness
extent to which planned activities are realized and planned results are achieved
[SOURCE: EN ISO 9000:2015, 3.7.11, modified by removing Note to entry]
3.1.9
risk
effect of uncertainty on objectives
[SOURCE: ISO 31000:2018, 3.1, modified by removing Notes to entry]
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3.2 Terms related to organizations
3.2.1
organization

person or group of people that has its own functions with responsibilities, authorities and relationships

to achieve its objectives

Note 1 to entry: The concept of organization includes, but is not limited to, sole-trader, company, corporation, firm,

enterprise, authority, partnership, association, charity or institution, or part or combination thereof, whether

incorporated or not, public or private.
[SOURCE: EN ISO 9000:2015, 3.2.1, modified by removing Note 2 to entry]
3.2.2
project
temporary endeavour to achieve one or more defined objectives
[SOURCE: ISO 21500:2021, 3.15]
3.2.3
governance

system by which the organization is directed, controlled and held accountable to achieve its core purpose

over the long term

Note 1 to entry: Governance is about the whole organization and encompasses everything that the organization is

and does.
[SOURCE: BS 13500:2013, 2.7, modified by deleting Notes 2 and 3 to entry]
3.2.4
top management

person or group of people who direct and control the organization at the highest level

[SOURCE: EN ISO 9000:2015, 3.1.1, modified by removing Notes to entry]
3.2.5
business model
organization's approach to operating in its environment
[SOURCE: ISO 30400:2016, 3.4]
3.2.6
buyer organization

organization defined as contracting authority or contracting entity by public procurement rules

[SOURCE: Directive 2014/24/EU of the European Parliament and of Council of 26 February 2014 on

public procurement]
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3.2.7
supplier
organization that provides products, services or works

Note 1 to entry: A supplier can be an economic operator, as defined by Directive 2014/24/EU of the European

Parliament and of Council of 26 February 2014 on public procurement.

[SOURCE: EN ISO 9000:2015, 3.2.5, modified by adding “works”, by removing example and existing Notes

to entry, and by adding a new Note 1 to entry]
3.2.8
works

outcome of building or civil engineering activities taken as a whole which is sufficient in itself to fulfil an

economic or technical function

[SOURCE: Directive 2014/24/EU of the European Parliament and of Council of 26 February 2014 on

public procurement]
3.2.9
interested party
stakeholder

person or organization that can affect, be affected by, or perceive itself to be affected by a decision or

activity

[SOURCE: EN ISO 9000:2015, 3.2.3, modified by removing example and Note to entry]

3.2.10
policy

intentions and direction of an organization as formally expressed by its top management

[SOURCE: EN ISO 9001:2015, 3.2.10]
3.2.11
ethical behaviour

behaviour that is in accordance with accepted principles of right or good conduct in the context of a

particular situation and is consistent with international norms of behaviour (3.1.6)

[SOURCE: EN ISO 26000:2020, 2.7]
3.2.12
social responsibility

responsibility of an organization for the impacts of its decisions and activities on society and the

environment, through transparent and ethical behaviour
[SOURCE: EN ISO 26000:2020, 2.18, modified by shortening to first sentence only]
3.2.13
key performance indicator
KPI

indicator of performance deemed by an organization to be significant and giving prominence and

attention to certain aspects
[SOURCE: EN ISO 14031:2013, 3.17]
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3.2.14
code of conduct
agreement on rules of behaviour for members of a group or organization
3.3 Terms related to procurement
3.3.1
procurement
activity of acquiring products, services or works from suppliers

Note 1 to entry: The procurement process considers the whole cycle from identification of needs through to the

end of a services contract or the end of the life of products.

[SOURCE ISO 20400:2017, 3.18, modified by adding “works”, modifying Note 1 to entry and deleting

Note 2 to entry]
3.3.2
public procurement
procurement by a buyer organization regulated by public procurement rules

Note 1 to entry: Rules can be international, national, regional or local, including from governing bodies such as the

EU.
3.3.3
supply chain

sequence of activities or parties that provides products or services to the organization, directly or

indirectly
[SOURCE: ISO/TS 26030:2019, 3.3, modified by deleting Note to entry]
3.3.4
contributor

person or organization directly or indirectly involved in the public procurement process in support of, or

on behalf of, a buyer organization
3.3.5
decision maker

individuals or official bodies responsible for making high level decisions for a buyer organization

3.4 Terms related to people
3.4.1
worker
person who performs work, whether an employee or someone who is self-employed
[SOURCE: EN ISO 26000:2020, 2.27]
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3.4.2
customer

person or organization that could or does receive a product or service that is intended for or required by

this person or organization

EXAMPLE Consumer, client, end-user, retailer, receiver of product or service from buyer organization,

beneficiary and purchaser.

Note 1 to entry: The term “customer” can sometimes cause controversy in public administration and even in public

international law, since it is related to the mercantile legislation. However, due to its wide adoption and usefulness

in the public procurement, the use of the term “customer” has been adopted in this document.

[SOURCE: EN ISO 9000:2015, 3.2.4, modified by replacing the Note to entry]
3.5 Terms related to data, information and documents
3.5.1
documented information

information required to be controlled and maintained by an organization and the medium on which it is

contained

Note 1 to entry: Documented information can be in any format and media and from any source.

[SOURCE: EN ISO 9000:2015, 3.8.6, modified by removing Notes 2 and 3 to entry]
3.5.2
contract
binding agreement
[SOURCE: EN ISO 9000:2015, 3.4.7]
3.5.3
evidence
data supporting the existence or verity of something
[SOURCE: EN ISO 9000:2015, 3.8.3, modified by removing “objective” from term]
3.5.4
feedback

the opinions, comments and expressions of interested parties on the activities, decisions and practices of

buyer organization
3.5.5
requirement
need or expectation that is stated, generally implied or obligatory

Note 1 to entry: Requirements can be generated by different interested parties or by the buyer organization itself

and can include legal, statutory and regulatory requirements.

[SOURCE: EN ISO 9000:2015, 3.6.4, modified by changing Note 4 to entry and removing other Notes to

entry]
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4 Fundamental principles
4.1 General

To ensure confidence and trust in public procurement, buyer organizations involved in procurement

processes shall demonstrate commitment to the fundamental principles of integrity, accountability and

transparency.
4.2 Integrity

To demonstrate integrity in public procurement activities the organization shall determine, implement

and maintain processes to ensure relevant interested parties that activities are conducted in an agreed

socially beneficial way throughout the whole life cycle of public procurement.

The buyer organization shall implement a mechanism to ensure integrity is upheld by relevant interested

parties in the supply chain. The organization shall ensure the mechanism includes as minimum,

commitments to:
a) fair and equitable treatment of all relevant interested parties;
b) abstaining from corrupt practices;
c) being transparent;
d) evaluation of all parties and third-party monitoring, where appropriate;

e) effective governance arrangements by which the supplier monitors and ensures adherence to

commitments made in the contract.

NOTE A widely known example of a mechanism for ensuring integrity is an integrity pact: a contract between

a buyer organization and a supplier that they will abstain from corrupt practices and will conduct a transparent

procurement process. To reinforce accountability and to increase legitimacy, an integrity pact may include a

separate contract with an independent third-party organization which monitors that all parties comply with their

commitments.
4.3 Accountability

4.3.1 The buyer organization shall demonstrate accountability to relevant interested parties for all

decisions and activities related to its public procurement activities, including the behaviours of its

contributors and decision-makers. The Buyer organization shall ensure it is open and responsive to

potential scrutiny, accepting responsibility for the malpractices and taking measures to remedy and (or)

prevent them.

4.3.2 The buyer organization shall take a whole life cycle perspective and be accountable for the impact

of its own activities and the products and services being provided or purchased. The buyer organization

shall consider impacts on the:
a) supply chain;
b) society;
c) economy;
d) environment.
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4.4 Transparency

4.4.1 The buyer organization shall demonstrate transparency regarding the purpose, nature and

location of its activities and the identity of any controlling interest in the activity of the organization. The

buyer organization shall act in a broadly transparent manner to avoid secrecy or ambiguity regarding the

decisions taken, and to increase competition and promote an open market.

4.4.2 The buyer organization shall be transparent in all aspects of the procurement process. The buyer

organization shall maintain and retain comprehensive, clear, and relevant documented information

related to:
a) its purpose and values;
b) its procurement policies;
c) evidence that the business model is consistent with long-term performance;
d) how decisions are made, implemented and reviewed;

e) known and likely impacts of its decisions and activities on relevant interested parties, society,

economy and the environment;

f) the definition of roles, responsibilities, accountabilities and authorities across different functions;

g) conflict of interest disclosure requirements;
h) integrity or transparency incident investigations;
i) transparency requirements for organizations in its supply chain;
j) procurement plans;

k) how regulatory or agreed requirements can be met and maintained within agreed terms;

l) criteria and processes used to identify, select and engage relevant interested parties;

m) contract awards and prices paid;
n) sources, amounts and application of funds;
o) complaints, including how these are handled and outcomes;
p) evidence of designing and operating to sustainable contracts;

q) commitment to or evidence of working with all interested parties in the supply chain, to improve

value for money over the complete lifecycle.

4.4.3 The buyer organization shall make available the criteria against which it evaluates its own

performance relating to social responsibility and its current and past performance on relevant significant

issues of social responsibility.
4.4.4 T
...