BS ISO 20400-2017 Sustainable procurement Guidance《可持续采购 指南》.pdf

1、BSI Standards PublicationWB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2013 15:06Sustainable procurement GuidanceBS ISO 20400:2017National forewordThis British Standard is the UK implementation of ISO 20400:2017. It supersedes BS 8903:2010, which is withdrawn.The UK participation in its preparation

2、was entrusted to Technical Committee SDS/1/3, Sustainable Procurement.A list of organizations represented on this committee can be obtained on request to its secretary.This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct appli

3、cation. The British Standards Institution 2017 Published by BSI Standards Limited 2017ISBN 978 0 580 85406 4ICS 13.020.20; 03.100.10Compliance with a British Standard cannot confer immunity from legal obligations. This British Standard was published under the authority of the Standards Policy and St

4、rategy Committee on 30 April 2017.Amendments/corrigenda issued since publicationDate Text affected BRITISH STANDARDBS ISO 20400:2017 ISO 2017Sustainable procurement GuidanceAchats responsables Lignes directricesINTERNATIONAL STANDARDISO20400First edition2017-04-15Reference numberISO 20400:2017(E)BS

5、ISO 20400:2017ISO 20400:2017(E)ii ISO 2017 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2017, Published in SwitzerlandAll rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, inc

6、luding photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below or ISOs member body in the country of the requester.ISO copyright officeCh. de Blandonnet 8 CP 401CH-1214 Vernier, Geneva, SwitzerlandTel

7、. +41 22 749 01 11Fax +41 22 749 09 47copyrightiso.orgwww.iso.orgBS ISO 20400:2017ISO 20400:2017(E)Foreword vIntroduction vi1 Scope . 12 Normative references 13 Terms and definitions . 14 Understanding the fundamentals . 74.1 Concept of sustainable procurement . 74.2 Principles of sustainable procur

8、ement 74.3 Core subjects of sustainable procurement 84.4 Drivers for sustainable procurement 84.5 Key considerations for sustainable procurement . 94.5.1 Managing risk (including opportunity) 94.5.2 Addressing adverse sustainability impacts through due diligence .104.5.3 Setting priorities for susta

9、inability issues 104.5.4 Exercising influence .114.5.5 Avoiding complicity 115 Integrating sustainability into the organizations procurement policy and strategy .115.1 Committing to sustainable procurement 115.2 Clarifying accountability 125.3 Aligning procurement with organizational objectives and

10、goals .135.4 Understanding procurement practices and supply chains 135.5 Managing implementation . 146 Organizing the procurement function towards sustainability 146.1 Governing procurement . 146.1.1 Governance 146.1.2 Procedures and systems . 146.2 Enabling people . 156.2.1 Organizational culture .

11、156.2.2 Performance management . 156.2.3 Learning through collaboration .156.2.4 Guidance. 156.3 Identifying and engaging stakeholders . 166.3.1 Identifying key stakeholders 166.3.2 Engaging the supply chains . 176.3.3 Engaging other stakeholders 186.4 Setting sustainable procurement priorities 186.

12、4.1 Applying risk management 186.4.2 Using different approaches to set priorities .196.5 Measuring and improving performance 216.5.1 Defining metrics and indicators 216.5.2 Reporting . 226.5.3 Benchmarking . 236.6 Establishing a grievance mechanism 237 Integrating sustainability into the procurement

13、 process.247.1 Building on the existing process . 247.2 Planning . 257.2.1 Integrating key elements of sustainable procurement 257.2.2 Assessing sustainability risks (including opportunities) 257.2.3 Analysing the costs267.2.4 Analysing organizational needs . 277.2.5 Analysing the market 277.2.6 Com

14、pleting the sourcing strategy 28 ISO 2017 All rights reserved iiiContents PageBS ISO 20400:2017ISO 20400:2017(E)7.3 Integrating sustainability requirements into the specifications .297.3.1 Defining sustainable procurement criteria 297.3.2 Choosing the types of requirements 307.3.3 Applying minimum a

15、nd optional requirements 307.3.4 Finding information to establish the requirements .317.3.5 Evaluating that sustainability requirements are met .317.4 Selecting suppliers 327.4.1 Assessing the capacity of suppliers 327.4.2 Prequalifying suppliers . 337.4.3 Managing tenders .347.4.4 Awarding the cont

16、ract 357.5 Managing the contract . 367.5.1 Managing the supplier relationship .367.5.2 Implementing the contract 377.5.3 Using a contract management plan 377.5.4 Managing performance and relationships 387.5.5 Encouraging supplier-customer joint initiatives 387.5.6 Managing supplier failure . 397.5.7

17、 Managing disposal and end of life 397.6 Reviewing and learning from the contract 39Annex A (informative) Sustainable procurement issues 41Annex B (informative) Overview of ISO 26000 .47Annex C (informative) Examples of a sustainability issue approach .49Bibliography .51iv ISO 2017 All rights reserv

18、edBS ISO 20400:2017ISO 20400:2017(E)ForewordISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body in

19、terested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechni

20、cal Commission (IEC) on all matters of electrotechnical standardization.The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the different types of ISO doc

21、uments should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsi

22、ble for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will be in the Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents).Any trade name used in this document is information given for

23、 the convenience of users and does not constitute an endorsement.For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the World Trade Organization (WTO) principles i

24、n the Technical Barriers to Trade (TBT) see the following URL: www.iso.org/iso/foreword.html.This document was prepared by Project Committee ISO/PC 277, Sustainable procurement.In the development of this document, ISO Guide 82 has been taken into account in addressing sustainability issues. ISO 2017

25、 All rights reserved vBS ISO 20400:2017ISO 20400:2017(E)IntroductionEvery organization has environmental, social and economic impacts.Procurement is a powerful instrument for organizations wishing to behave in a responsible way and contribute to sustainable development and to the achievement of the

26、United Nations Sustainable Development Goals. By integrating sustainability in procurement policies and practices, including supply chains, organizations can manage risks (including opportunities) for sustainable environmental, social and economic development.Sustainable procurement represents an op

27、portunity to provide more value to the organization by improving productivity, assessing value and performance, enabling communication between purchasers, suppliers and all stakeholders, and by encouraging innovation.This document assists organizations in meeting their sustainability responsibilitie

28、s by providing an understanding of: what sustainable procurement is; what the sustainability impacts and considerations are across the different aspects of procurement activity: policy; strategy; organization; process; how to implement sustainable procurement.Figure 1 presents the structure of this

29、document.This document is applicable to any organization, public or private, regardless of its size and location. It is intended to be understood by any stakeholder involved in, or impacted by, procurement decisions and processes. The implementation of this document takes into account the particular

30、 context and characteristics of each organization, scaling the application of the concepts to suit the size of the organization. The adoption of this document by large organizations promotes opportunities for small and medium-sized organizations in their supply chains.Clause 4 provides an overview o

31、f sustainable procurement. It describes the principles and core subjects of sustainable procurement and examines why organizations undertake sustainable procurement. Important consideration is given to managing risks (including opportunities), addressing adverse sustainability impacts through due di

32、ligence, setting priorities, exercising positive influence and avoiding complicity.Clause 5 provides guidance on how sustainability considerations are integrated at a strategic level within the procurement practices of an organization, to ensure that the intention, direction and key sustainability p

33、riorities of the organization are achieved. It is intended to assist top management in defining a sustainable procurement policy and strategy.Clause 6 describes the organizational conditions and management techniques needed to successfully implement and continually improve sustainable procurement. T

34、he organization ensures that such conditions and practices are in place in order to assist individuals with responsibility for the procurement of goods or services integrate sustainability considerations into the procurement process.Clause 7 addresses the procurement process and is intended for indi

35、viduals who are responsible for the actual procurement within their organization. It is also of interest to those in associated functions, as it describes how sustainability considerations are integrated into existing procurement processes.vi ISO 2017 All rights reservedBS ISO 20400:2017ISO 20400:20

36、17(E)Figure 1 Schematic view of the content of ISO 20400 ISO 2017 All rights reserved viiBS ISO 20400:2017This page deliberately left blankSustainable procurement Guidance1 ScopeThis document provides guidance to organizations, independent of their activity or size, on integrating sustainability wit

37、hin procurement, as described in ISO 26000. It is intended for stakeholders involved in, or impacted by, procurement decisions and processes.2 Normative referencesThere are no normative references in this document.3 Terms and definitionsFor the purposes of this document, the following terms and defi

38、nitions apply.ISO and IEC maintain terminological databases for use in standardization at the following addresses: ISO Online browsing platform: available at http:/www.iso.org/obp IEC Electropedia: available at http:/www.electropedia.org/3.1circular economyeconomy that is restorative and regenerativ

39、e by design, and which aims to keep products, components and materials at their highest utility and value at all times, distinguishing between technical and biological cycles SOURCE: Adapted from Ellen MacArthur Foundation243.2decent workwork performed in conditions of freedom, equity, security and

40、human dignitySOURCE: Adapted from ISO 26000:2010, 6.4.1.1, Box 83.3due diligenceprocess through which organizations (3.16) proactively identify, assess, prevent, mitigate and account for how they address their actual and potential adverse impacts as an integral part of decision-making and risk manag

41、ement (3.22)3.4environmental labelclaim which indicates the environmental aspects of goods (3.7) or services (3.23)Note 1 to entry: An environmental label or declaration may take the form of a statement, symbol or graphic on a product or package label, in product literature, in technical bulletins,

42、in advertising or in publicity, amongst other things.SOURCE: ISO 14020:2000, 2.1, modified The alternative term “environmental declaration” has been deleted, and the words “product or service” have been replaced by “goods or services” in the definitionINTERNATIONAL STANDARD ISO 20400:2017(E) ISO 201

43、7 All rights reserved 1BS ISO 20400:2017ISO 20400:2017(E)3.5ethical behaviourbehaviour 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 (3.9)SOURCE: ISO 26000:2010, 2.73.6fair oper

44、ating practicesoperating practices that concern ethical conduct in an organization (3.16) and with other organizations, such as suppliers (3.30), with which it has relationshipsNote 1 to entry: In a sustainable procurement (3.38) context, fair operating practices can potentially extend to include th

45、e relationships between organizations, their suppliers and organizations and others that interact with the suppliers. These include interactions with government agencies, partners, suppliers, sub-contractors, and communities, with the aim of promoting a healthy relationship between the companies tha

46、t buy goods (3.7) or services (3.23) and those providing them.SOURCE: Adapted from ISO 26000:2010, 6.63.7goodsitems or materials that, upon the placement of a purchase order, are being manufactured, processed, handled or transported within the supply chain (3.32) for usage or consumption by the orga

47、nization (3.16)SOURCE: ISO 28001:2007, 3.11, modified The word “purchaser” has been replaced by “organization”3.8indicatormeasurable representation of the condition or status of operations, management, or conditionsSOURCE: ISO 14031:2013, 3.153.9international norms of behaviourexpectations of social

48、ly responsible organizational behaviour derived from customary international law, generally accepted principles of international law, or intergovernmental agreements that are universally or nearly universally recognizedNote 1 to entry: Intergovernmental agreements include treaties and conventions.No

49、te 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 (3.16) can aspire.Note 3 to entry: International norms of behaviour evolve over time.SOURCE: ISO 26000:2010, 2.113.10key performance indicatorKPIindicator (3.8) of performance deemed by an organization (3.16) to be significant and giving prominence and attention to certain aspectsSOURCE: