SIST EN 17687:2022
(Main)Public procurement - Integrity and accountability - Requirements and guidance
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
Ta dokument določa zahteve in smernice za organizacije kupcev v zvezi z integriteto in prevzemanjem odgovornosti pri dejavnostih javnega naročanja, kar zajema vse od opredelitve potreb do dostave blaga, storitev ali javnih naročil.
Ta dokument lahko uporabljajo:
a) organizacije kupcev;
b) donatorji;
c) sprejemalci odločitev.
Ta dokument lahko vpliva na:
– posameznike;
– dobavitelje in posameznike, ki podpirajo dobavitelje ali delujejo v njihovem imenu, tudi na podizvajalce;
– uradne organe držav članic in evropskih organizacij, ki neposredno ali posredno posegajo v postopke javnega naročanja;
– organizacije, ki zastopajo dobavitelje na ravni držav članic in evropski ravni.
OPOMBA: Dodatno navodilo za razlago in uporabo področja uporabe tega dokumenta ter zahtev, ki jih vsebuje, je na voljo v dodatku A.
General Information
Standards Content (Sample)
SLOVENSKI STANDARD
SIST EN 17687:2022
01-oktober-2022
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: EN 17687:2022
ICS:
03.100.02 Upravljanje in etika Governance and ethics
03.100.10 Nabava. Dobava. Logistika Purchasing. Procurement.
Logistics
SIST EN 17687:2022 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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SIST EN 17687:2022
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SIST EN 17687:2022
EN 17687
EUROPEAN STANDARD
NORME EUROPÉENNE
August 2022
EUROPÄISCHE NORM
ICS 03.100.02; 03.100.10; 13.020.20; 91.010.20
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 European Standard was approved by CEN on 17 July 2022.
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, Türkiye 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
© 2022 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN 17687:2022 E
worldwide for CEN national Members.
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SIST EN 17687:2022
EN 17687:2022 (E)
Contents Page
European foreword . 4
Introduction . 5
1 Scope . 7
2 Normative references . 7
3 Terms and definitions . 7
3.1 Terms related to concepts . 7
3.2 Terms related to organizations . 9
3.3 Terms related to procurement . 11
3.4 Term related to people . 12
3.5 Terms related to data, information and documents . 12
4 Fundamental principles . 13
4.1 General. 13
4.2 Integrity . 13
4.3 Accountability . 13
4.4 Transparency . 15
5 Governance . 15
5.1 General. 15
5.2 Policies . 16
5.3 Ethical behaviour and social responsibility . 16
5.4 Leadership . 17
6 The public procurement process . 17
6.1 Context of the buyer organization . 17
6.2 Managing risks to ensure integrity and accountability . 18
7 Stakeholder management . 19
7.1 General. 19
7.2 Internal interested parties . 19
7.3 Market engagement . 20
7.4 Suppliers and supply chain . 21
7.5 Consumers and end-users . 21
8 People . 22
8.1 Competence . 22
8.2 Training and development . 22
8.3 Work culture . 23
8.4 Incentives . 23
8.5 Control mechanisms and other tools to ensure compliance . 23
8.6 Code of conduct . 24
9 Performance evaluation . 25
9.1 General. 25
9.2 Method and process . 25
9.3 Evidence-based data for measurement . 25
10 Improvement . 26
10.1 General. 26
10.2 Non-conformity and corrective actions . 26
10.3 Improvement . 26
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Annex A (informative) Guidance on the use of this document . 27
Annex B (informative) Risk management during the public procurement process . 31
Bibliography . 40
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EN 17687:2022 (E)
European foreword
This document (EN 17687:2022) has been prepared by Technical Committee CEN/TC 461 “Public
procurement”, the secretariat of which is held by SIS.
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 February 2023, and conflicting national standards shall
be withdrawn at the latest by February 2023.
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.
Any feedback and questions on this document should be directed to the users’ national standards body.
A complete listing of these bodies can be found on the CEN website.
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 17687:2022
EN 17687:2022 (E)
Introduction
0.1 Background
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 can create room for corruption, undermine the effectiveness of public services and have a
negative impact on the cost-efficiency of public spending. As an indirect result, such deficiencies can
harm the public interest, undermine public trust and have a negative impact on citizens. Risks relating
to corruption and fraud are important aspects of public procurement globally. The EU regulatory
framework on public procurement and applicable national legislation provide a strong preventative
mechanism against 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 to conduct public procurement processes 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 refers to the consistent alignment of, and adherence to, agreed ethical values, principles and
norms. In other terms, 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 components of good public governance, including sound financial
management, 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.
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.
0.2 Structure of this document
Striving for integrity and accountability, which are objectives for any buyer organization, involves
managing various constraints in different proportions. In this document, this is reflected in the balance
between requirements and guidance.
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EN 17687:2022 (E)
In order to enable the buyer organization to address integrity and accountability in its public
procurement processes, this document is structured in the following way:
— Clause 1 to 3: the scope, normative references, which there are none, and terms and definitions
which apply to this document;
— Clause 4: the fundamental principles underlying this document: integrity, accountability and
transparency;
— Clause 5: governance within the buyer organization, including policies, behaviour and leadership;
— Clause 6: the public procurement process and the risks involved;
— Clause 7: stakeholder management, particularly in relation to market engagement, supply chain and
end-user levels;
— Clause 8: consideration of the human factors within the buyer organization, particularly the skills
and development of its workers, but also the mechanisms and measures taken by the buyer
organization to apply this document;
— Clause 9: evaluation of the performance of the public procurement process;
— Clause 10: continuous improvement of the public procurement process;
— Annex A: guidance for the interpretation of the requirements;
— Annex B: guidance on common risks in the public procurement process.
To simplify referencing in this document, every requirement and recommendation in Clauses 4 to 10
has been placed in a numbered subclause.
The following verbal forms are used in this document:
a) “shall” indicates a requirement;
b) “should” indicates a recommendation;
c) “may” indicates a permission;
d) “can” indicates a possibility or capability.
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EN 17687:2022 (E)
1 Scope
This document specifies requirements and guidance for buyer organizations, with regards to integrity
and accountability in public procurement processes from the 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 and their staff.
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:
— ISO Online browsing platform: available at https://www.iso.org/obp
— IEC Electropedia: available at https://www.electropedia.org/
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, modified ― The word “organization” has been replaced with “buyer
organization”.]
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 ― The notes to entry have been removed.]
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 ― Note 1 to entry has been removed.]
3.1.9
risk
effect of uncertainty on objectives
[SOURCE: ISO 31000:2018, 3.1, modified ― The notes to entry have been removed.]
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3.1.10
risk appetite
amount and type of risk that an organization is willing to pursue or retain
[SOURCE: ISO Guide 73:2009, 3.7.1.2.]
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 ― Note 2 to entry has been removed.]
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 ― Notes 2 and 3 to entry have been removed.]
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 ― The notes to entry have been removed.]
3.2.5
business model
organization's approach to operating in its environment
[SOURCE: ISO 30400:2016, 3.4.]
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3.2.6
buyer organization
organization defined as contracting authority or contracting entity by public procurement rules
Note 1 to entry: In the case of Public Administration, buyer organization can include all the administrative bodies
that take part in the whole life cycle of public procurement.
[SOURCE: Directive 2014/25/EU of the European Parliament and of Council of 26 February 2014 on
public procurement.]
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.
Note 2 to entry: A supplier can also be any other economic operator in the supply chain, for example a
subcontractor or second tier supplier.
[SOURCE: EN ISO 9000:2015, 3.2.5, modified ― The word “works” has been added to the definition, the
example and notes to entry have been removed and a new note 1 to entry has been added.]
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 ― The example and note 1 to entry have been removed.]
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
[SOURCE: EN ISO 26000:2020, 2.7.]
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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 ― The word “that” followed by a list in the definition have
been removed and the notes have been removed.]
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.]
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 ― The word “works” has been added to the definition, note 1
to entry has been changed and note 2 to entry has been removed.]
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 ― Note 1 to entry has been removed.]
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
Note 1 to entry: A contributor can be an internal party (for example a buyer, technician, Data Protection Officer,
company lawyer or director), an external party (for example a consultant, an auditor or architect) or a semi-
external party (for example a member of a ministerial cabinet or an agent preparing the decisions of decision-
making bodies).
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3.3.5
decision maker
individuals or official bodies responsible for making high level decisions for a buyer organization
Note 1 to entry: High level decisions can include approving the type of procedure for each contract, approving the
call for tender and formally awarding the contract.
3.4 Term 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.]
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 ― Notes 2 and 3 to entry have been removed.]
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 ― The word “objective” has been removed from the term.]
3.5.4
feedback
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 ― Note 4 to entry has been changed, and renamed to Note
to entry 1, and the other notes to entry have been removed.]
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4 Fundamental principles
4.1 General
To ensure confidence and trust in public procurement, buyer organizations involved in public
procurement processes shall demonstrate commitment to the fundamental principles of integrity,
accountability and transparency.
4.2 Integrity
4.2.1 To demonstrate integrity in public procurement processes the buyer 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.
4.2.2 The buyer organization shall ensure integrity is upheld by relevant interested parties in the
supply chain, for example by implementing a mechanism.
NOTE A widely known example of a mechanism for ensuring integrity is an integrity pact. To reinforce
accountability and to increase legitimacy, an integrity pact can include a separate contract with an independent
third-party organization which monitors that all parties comply with their commitments.
4.2.3 The buyer organization shall, as a minimum, ensure commitment to:
a) fair and equitable treatment of all relevant interested parties;
b) abstaining from corrupt practices;
c) being transparent, including any conflicts of interests;
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.
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 processes, including the behaviours of its
contributors and decision-makers.
4.3.2 The buyer organization shall ensure it is:
a) responsive to potential scrutiny;
b) accepting responsibility for the malpractices;
c) taking measures to remedy or prevent them, or both.
4.3.3 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.
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4.3.4 The buyer organization shall consider i
...
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
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