ISO 20400：2017(E) Sustainable procurement — Guidance（永续采购标准）

©ISO2017Sustainableprocurement—GuidanceAchatsresponsables—LignesdirectricesINTERNATIONALSTANDARDISO20400Firstedition2017-04ReferencenumberISO20400:2017(E)ISO20400:2017(E)ii©ISO2017–AllrightsreservedCOPYRIGHTPROTECTEDDOCUMENT©ISO2017,PublishedinSwitzerlandAllrightsreserved.Unlessotherwisespecified,nopartofthispublicationmaybereproducedorutilizedotherwiseinanyformorbyanymeans,electronicormechanical,includingphotocopying,orpostingontheinternetoranintranet,withoutpriorwrittenpermission.PermissioncanberequestedfromeitherISOattheaddressbeloworISO’smemberbodyinthecountryoftherequester.ISOcopyrightofficeCh.deBlandonnet8•CP401CH-1214Vernier,Geneva,SwitzerlandTel.+41227490111Fax+41227490947copyright@iso.orgwww.iso.orgISO20400:2017(E)Foreword..........................................................................................................................................................................................................................................vIntroduction................................................................................................................................................................................................................................vi1Scope.................................................................................................................................................................................................................................12Normativereferences......................................................................................................................................................................................13 Terms and definitions.....................................................................................................................................................................................14Understandingthefundamentals.......................................................................................................................................................74.1Conceptofsustainableprocurement...................................................................................................................................74.2Principlesofsustainableprocurement..............................................................................................................................74.3Coresubjectsofsustainableprocurement......................................................................................................................84.4Driversforsustainableprocurement..................................................................................................................................84.5Keyconsiderationsforsustainableprocurement.....................................................................................................94.5.1Managingrisk(includingopportunity)........................................................................................................94.5.2Addressingadversesustainabilityimpactsthroughduediligence...................................104.5.3Settingprioritiesforsustainabilityissues..............................................................................................104.5.4Exercisinginfluence...................................................................................................................................................114.5.5Avoidingcomplicity....................................................................................................................................................115Integratingsustainabilityintotheorganization’sprocurementpolicyandstrategy...............115.1Committingtosustainableprocurement......................................................................................................................115.2Clarifyingaccountability..............................................................................................................................................................125.3Aligningprocurementwithorganizationalobjectivesandgoals.............................................................135.4Understandingprocurementpracticesandsupplychains............................................................................135.5Managingimplementation.........................................................................................................................................................146Organizingtheprocurementfunctiontowardssustainability..........................................................................146.1Governingprocurement...............................................................................................................................................................146.1.1Governance........................................................................................................................................................................146.1.2Proceduresandsystems.........................................................................................................................................146.2Enablingpeople...................................................................................................................................................................................156.2.1Organizationalculture.............................................................................................................................................156.2.2Performancemanagement...................................................................................................................................156.2.3Learningthroughcollaboration.......................................................................................................................156.2.4Guidance...............................................................................................................................................................................156.3Identifyingandengagingstakeholders...........................................................................................................................166.3.1Identifyingkeystakeholders..............................................................................................................................166.3.2Engagingthesupplychains.................................................................................................................................176.3.3Engagingotherstakeholders..............................................................................................................................186.4Settingsustainableprocurementpriorities................................................................................................................186.4.1Applyingriskmanagement..................................................................................................................................186.4.2Usingdifferentapproachestosetpriorities.........................................................................................196.5Measuringandimprovingperformance........................................................................................................................216.5.1Definingmetricsandindicators......................................................................................................................216.5.2Reporting.............................................................................................................................................................................226.5.3Benchmarking.................................................................................................................................................................236.6Establishingagrievancemechanism................................................................................................................................237Integratingsustainabilityintotheprocurementprocess.......................................................................................247.1Buildingontheexistingprocess...........................................................................................................................................247.2Planning.....................................................................................................................................................................................................257.2.1Integratingkeyelementsofsustainableprocurement................................................................257.2.2Assessingsustainabilityrisks(includingopportunities)..........................................................257.2.3Analysingthecosts......................................................................................................................................................267.2.4Analysingorganizationalneeds.......................................................................................................................277.2.5Analysingthemarket................................................................................................................................................277.2.6Completingthesourcingstrategy..................................................................................................................28©ISO2017–AllrightsreservediiiContentsPageISO20400:2017(E)7.3Integratingsustainabilityrequirementsintothespecifications...............................................................297.3.1Definingsustainableprocurementcriteria............................................................................................297.3.2Choosingthetypesofrequirements............................................................................................................307.3.3Applyingminimumandoptionalrequirements................................................................................307.3.4Findinginformationtoestablishtherequirements.......................................................................317.3.5Evaluatingthatsustainabilityrequirementsaremet...................................................................317.4Selectingsuppliers............................................................................................................................................................................327.4.1Assessingthecapacityofsuppliers..............................................................................................................327.4.2Prequalifyingsuppliers...........................................................................................................................................337.4.3Managingtenders.........................................................................................................................................................347.4.4Awardingthecontract..............................................................................................................................................357.5Managingthecontract...................................................................................................................................................................367.5.1Managingthesupplierrelationship.............................................................................................................367.5.2Implementingthecontract..................................................................................................................................377.5.3Usingacontractmanagementplan..............................................................................................................377.5.4Managingperformanceandrelationships..............................................................................................387.5.5Encouragingsupplier-customerjointinitiatives..............................................................................387.5.6Managingsupplierfailure.....................................................................................................................................397.5.7Managingdisposalandendoflife..................................................................................................................397.6Reviewingandlearningfromthecontract..................................................................................................................39AnnexA(informative)Sustainableprocurementissues..............................................................................................................41AnnexB(informative)OverviewofISO26000.......................................................................................................................................47AnnexC(informative)Examplesofasustainabilityissueapproach...............................................................................49Bibliography.............................................................................................................................................................................................................................51iv©ISO2017–AllrightsreservedISO20400:2017(E)ForewordISO(theInternationalOrganizationforStandardization)isaworldwidefederationofnationalstandardsbodies(ISOmemberbodies).TheworkofpreparingInternationalStandardsisnormallycarriedoutthroughISOtechnicalcommittees.Eachmemberbodyinterestedinasubjectforwhichatechnicalcommitteehasbeenestablishedhastherighttoberepresentedonthatcommittee.Internationalorganizations,governmentalandnon-governmental,inliaisonwithISO,alsotakepartinthework.ISOcollaboratescloselywiththeInternationalElectrotechnicalCommission(IEC)onallmattersofelectrotechnicalstandardization.TheproceduresusedtodevelopthisdocumentandthoseintendedforitsfurthermaintenancearedescribedintheISO/IECDirectives,Part1.InparticularthedifferentapprovalcriterianeededforthedifferenttypesofISOdocumentsshouldbenoted.ThisdocumentwasdraftedinaccordancewiththeeditorialrulesoftheISO/IECDirectives,Part2(seewww.iso.org/directives).Attentionisdrawntothepossibilitythatsomeoftheelementsofthisdocumentmaybethesubjectofpatentrights.ISOshallnotbeheldresponsibleforidentifyinganyorallsuchpatentrights.DetailsofanypatentrightsidentifiedduringthedevelopmentofthedocumentwillbeintheIntroductionand/orontheISOlistofpatentdeclarationsreceived(seewww.iso.org/patents).Anytradenameusedinthisdocumentisinformationgivenfortheconvenienceofusersanddoesnotconstituteanendorsement.Foranexplanationonthevoluntarynatureofstandards,themeaningofISOspecifictermsandexpressionsrelatedtoconformityassessment,aswellasinformationaboutISO’sadherencetotheWorldTradeOrganization(WTO)principlesintheTechnicalBarrierstoTrade(TBT)seethefollowingURL:www.iso.org/iso/foreword.html.ThisdocumentwaspreparedbyProjectCommitteeISO/PC277,Sustainableprocurement.Inthedevelopmentofthisdocument,ISOGuide82hasbeentakenintoaccountinaddressingsustainabilityissues.©ISO2017–AllrightsreservedvISO20400:2017(E)IntroductionEveryorganizationhasenvironmental,socialandeconomicimpacts.ProcurementisapowerfulinstrumentfororganizationswishingtobehaveinaresponsiblewayandcontributetosustainabledevelopmentandtotheachievementoftheUnitedNationsSustainableDevelopmentGoals.Byintegratingsustainabilityinprocurementpoliciesandpractices,includingsupplychains,organizationscanmanagerisks(includingopportunities)forsustainableenvironmental,socialandeconomicdevelopment.Sustainableprocurementrepresentsanopportunitytoprovidemorevaluetotheorganizationbyimprovingproductivity,assessingvalueandperformance,enablingcommunicationbetweenpurchasers,suppliersandallstakeholders,andbyencouraginginnovation.Thisdocumentassistsorganizationsinmeetingtheirsustainabilityresponsibilitiesbyprovidinganunderstandingof:—whatsustainableprocurementis;—whatthesustainabilityimpactsandconsiderationsareacrossthedifferentaspectsofprocurementactivity:—policy;—strategy;—organization;—process;—howtoimplementsustainableprocurement.Figure1presentsthestructureofthisdocument.Thisdocumentisapplicabletoanyorganization,publicorprivate,regardlessofitssizeandlocation.Itisintendedtobeunderstoodbyanystakeholderinvolvedin,orimpactedby,procurementdecisionsandprocesses.Theimplementationofthisdocumenttakesintoaccounttheparticularcontextandcharacteristicsofeachorganization,scalingtheapplicationoftheconceptstosuitthesizeoftheorganization.Theadoptionofthisdocumentbylargeorganizationspromotesopportunitiesforsmallandmedium-sizedorganizationsintheirsupplychains.Clause4providesanoverviewofsustainableprocurement.Itdescribestheprinciplesandcoresubjectsofsustainableprocurementandexamineswhyorganizationsundertakesustainableprocurement.Importantconsiderationisgiventomanagingrisks(includingopportunities),addressingadversesustainabilityimpactsthroughduediligence,settingpriorities,exercisingpositiveinfluenceandavoidingcomplicity.Clause5providesguidanceonhowsustainabilityconsiderationsareintegratedatastrategiclevelwithintheprocurementpracticesofanorganization,toensurethattheintention,directionandkeysustainabilityprioritiesoftheorganizationareachieved.Itisintendedtoassisttopmanagementindefiningasustainableprocurementpolicyandstrategy.Clause6describestheorganizationalconditionsandmanagementtechniquesneededtosuccessfullyimplementandcontinuallyimprovesustainableprocurement.Theorganizationensuresthatsuchconditionsandpracticesareinplaceinordertoassistindividualswithresponsibilityfortheprocurementofgoodsorservicesintegratesustainabilityconsiderationsintotheprocurementprocess.Clause7addressestheprocurementprocessandisintendedforindividualswhoareresponsiblefortheactualprocurementwithintheirorganization.Itisalsoofinteresttothoseinassociatedfunctions,asitdescribeshowsustainabilityconsiderationsareintegratedintoexistingprocurementprocesses.vi©ISO2017–AllrightsreservedISO20400:2017(E)Figure1—SchematicviewofthecontentofISO20400©ISO2017–AllrightsreservedviiSustainableprocurement—Guidance1ScopeThisdocumentprovidesguidancetoorganizations,independentoftheiractivityorsize,onintegratingsustainabilitywithinprocurement,asdescribedinISO26000.Itisintendedforstakeholdersinvolvedin,orimpactedby,procurementdecisionsandprocesses.2NormativereferencesTherearenonormativereferencesinthisdocument.3 Terms and definitionsForthepurposesofthisdocument,thefollowingtermsanddefinitionsapply.ISOandIECmaintainterminologicaldatabasesforuseinstandardizationatthefollowingaddresses:—ISOOnlinebrowsingplatform:availableathttp://www.iso.org/obp—IECElectropedia:availableathttp://www.electropedia.org/3.1circulareconomyeconomythatisrestorativeandregenerativebydesign,andwhichaimstokeepproducts,componentsandmaterialsattheirhighestutilityandvalueatalltimes,distinguishingbetweentechnicalandbiologicalcycles[SOURCE:AdaptedfromEllenMacArthurFoundation[24]]3.2decentworkworkperformedinconditionsoffreedom,equity,securityandhumandignity[SOURCE:AdaptedfromISO26000:2010,6.4.1.1,Box8]3.3duediligenceprocessthroughwhichorganizations(3.16)proactivelyidentify,assess,prevent,mitigateandaccountforhowtheyaddresstheiractualandpotentialadverseimpactsasanintegralpartofdecision-makingandriskmanagement(3.22)3.4environmentallabelclaimwhichindicatestheenvironmentalaspectsofgoods(3.7)orservices(3.23)Note1toentry:Anenvironmentallabelordeclarationmaytaketheformofastatement,symbolorgraphiconaproductorpackagelabel,inproductliterature,intechnicalbulletins,inadvertisingorinpublicity,amongstotherthings.[SOURCE:ISO14020:2000,2.1,modified—Thealternativeterm“environmentaldeclaration”hasbeendeleted,andthewords“productorservice”havebeenreplacedby“goodsorservices”inthedefinition]INTERNATIONALSTANDARDISO20400:2017(E)©ISO2017–Allrightsreserved1ISO20400:2017(E)3.5ethicalbehaviourbehaviourthatisinaccordancewithacceptedprinciplesofrightorgoodconductinthecontextofaparticularsituationandisconsistentwithinternationalnormsofbehaviour(3.9)[SOURCE:ISO26000:2010,2.7]3.