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 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.
Öffentliche Beschaffung - Integrität und Rechenschaftspflicht - Anforderungen und Leitfaden
Dieses Dokument legt Anforderungen und Anleitungen für Beschaffungsorganisationen im Hinblick auf Integrität und Rechenschaftspflicht bei öffentlichen Vergabeverfahren von der Bedarfsermittlung bis zur Lieferung von Waren, Dienstleistungen oder Arbeitsaufträgen fest.
Dieses Dokument ist für den Gebrauch vorgesehen durch:
a) Beschaffungsorganisationen;
b) Mitwirkende;
c) Entscheidungsträger und deren Personal.
Dieses Dokument kann einen Einfluss haben auf:
— Einzelpersonen;
— Lieferanten und Personen, die zur Unterstützung von oder im Namen von Lieferanten, einschließlich Subunternehmern, handeln; 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 ver-treten.
ANMERKUNG Eine weitere Anleitung zur Interpretation und Umsetzung des Anwendungsbereichs und der Anfor-derungen 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 processus 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 et leur personnel.
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
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
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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.
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
Annex A (informative) Guidance on the use of this document . 27
Annex B (informative) Risk management during the public procurement process . 31
Bibliography . 40
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.
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.
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: th
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