1、 CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels ETSI Secretariat 650, Route des Lucioles 06921 Sophia-Antipolis Cedex France TECHNICAL REPORT RAPPORT TECHNIQUE TECHNISCHER BERICHT CEN/CLC/ETSI TR 101 552 March 2014 IC
2、S 03.100.10, 13.180, 33.020, 35.020 English version Guidance for the application of conformity assessment to accessibility requirements for public procurement of ICT products and services in Europe This Technical Report was approved by CEN and CENELEC on 28February 2014 and by ETSI on 27 December 20
3、13. CEN and CENELEC members are the national standards bodies and national electrotechnical committees of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia,
4、Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom. 2014 CEN-CENELEC-ETSI All rights of exploitation in any form and by any means reserved worldwide for CEN, CENELEC and ETSI Members Ref. CEN/CLC/ETS
5、I/TR 101 552:2014 E CEN/CLC/ETSI/TR 101 552:2014 2 Contents Page Foreword 4 Introduction .5 1 Scope 6 2 Normative references 6 3 Terms and definitions .6 4 Key issues for conformity assessment in relation to procurement .8 4.1 The Standard EN 301 549 and related documents .8 4.2 Selection of type of
6、 evidence .8 4.3 Methods to follow-up the suppliers performance of contracts .9 5 Legal issues .9 5.1 General legal issues on public procurement 9 5.2 European legal issues on public procurement .9 5.3 European common framework for the marketing of products (CE Mark). 11 5.4 Accessibility in Europea
7、n public procurement . 13 5.5 National implementation of accessibility aspects of the European public procurement Directives . 15 6 Types of conformity assessment 16 6.1 Introduction to conformity assessment . 16 6.2 Overview of conformity assessment types 17 6.2.1 First party declaration 17 6.2.2 S
8、uppliers Declaration of Conformity . 17 6.2.3 Second party attestation 17 6.2.4 Third party certification 17 6.2.5 Accredited third party certification . 18 7 Aspects for selecting the type of evidence 18 7.1 Impact on users and employees . 18 7.2 Cost-efficiency 19 7.3 Need for interpretation . 20
9、7.4 Level of accessibility 20 7.5 Type of ICT products and services . 20 7.5.1 Off-the-shelf products 21 7.5.2 Customized products . 22 7.5.3 Integrated product or systems 22 7.5.4 Proprietary software . 22 7.5.5 Open-source software and open standards 22 7.5.6 Services . 23 7.5.7 Web sites . 23 7.5
10、.8 Distributed Application Platforms and Services . 24 7.5.9 Development of bespoke applications . 24 7.6 Maturity of the technology . 24 7.7 The use of declarations and certificates in e-procurement 25 7.8 Reuse of conformity assessment results 26 8 Guidance on selection of type of evidence 27 8.1
11、Pre-award conformity assessment . 27 8.1.1 Tick-box and description . 27 8.1.2 First party declaration 28 8.1.3 Suppliers Declaration of Conformity . 28 CEN/CLC/ETSI/TR 101 552:2014 3 8.1.4 Second party attestation . 29 8.1.5 Third party certification 29 8.1.6 Accredited third party certification 29
12、 8.1.7 Certificates as an administrative burden 30 8.2 Post-award conformity assessment 30 8.2.1 Conformity assessment after delivery 30 8.2.2 Conformity assessment in development contracts . 31 8.2.3 Conformity assessment during use and operation . 31 9 Follow-up methods for long-term contracts . 3
13、1 9.1 Follow-up as part of a conformity assessment scheme . 32 9.2 Follow-up as contract management 32 9.3 Follow-up of supplier capacity and ability 32 9.4 Conformity to the standard EN 301 549 33 9.5 Conformity to award criteria. 33 9.6 Contractual supplier processes for ensuring service quality 3
14、3 9.7 Organizational issues . 33 10 Use of accessibility label systems 33 Annex A Standards for conformity assessment . 35 A.1 Vocabulary, principles and common elements of conformity assessment 35 A.2 Code of good practice for conformity assessment . 35 A.3 Drafting normative documents for use in c
15、onformity assessment 35 A.4 Testing and calibration . 35 A.5 Inspection . 35 A.6 Suppliers Declaration of Conformity (SDoC). 36 A.7 Product certification 36 A.8 Management system certification 36 A.9 Certification of persons 36 A.10 Marks of conformity 37 A.11 Accreditation 37 A.12 Mutual Recognitio
16、n Arrangements (MRAs) 37 A.13 Peer assessment . 37 Annex B Generic Templates for Declaring and Certifying Conformity . 38 B.1 First party declaration of conformity . 38 B.2 Suppliers Declaration of Conformity 39 B.3 Second party attestation of conformity 41 B.4 Third party certification of conformit
17、y 43 B.5 Accredited third party certification of conformity . 45 Annex C Templates for Declaring and Certifying Conformity with EN 301 549 . 48 C.1 First party declaration of conformity with EN 301 549 48 C.2 Suppliers Declaration of Conformity with EN 301 549 . 50 C.3 Second party attestation of co
18、nformity with EN 301 549 52 C.4 Third party certification of conformity with EN 301 549 54 C.5 Accredited third party certification of conformity with EN 301 549 . 56 Annex D Abbreviations and Acronyms 59 Bibliography 60 CEN/CLC/ETSI/TR 101 552:2014 4 Foreword This Technical Report (CEN/CLC/ETSI/TR
19、101 552:2014) is part of the European Standardization Organizations (ESOs) coordinated response to Mandate M/376, “Standardization Mandate to CEN, CENELEC and ETSI in support of European accessibility requirements for public procurement of products and services in the ICT domain“ 33. It has been pre
20、pared by the CEN/CENELEC Project Team (PT) under the CEN/CENELC/ETSI Joint Working Group (JWG) on eAccessibility, the secretariat of which is held by AENOR. CEN/CLC/ETSI/TR 101 552:2014 5 Introduction One of the key activities in the public procurement process is to assure that the product or servic
21、e offered by the tenderer actually has the characteristics and qualities specified in the technical specifications and award criteria. Conformity assessment, as defined in the ISO/IEC 17000 series of standards (see Annex A.1), is an agreed framework for carrying out such assurance. This Technical Re
22、port (TR) provides guidance to procuring bodies on which conformity assessment systems or schemes to refer to in their procurement. “The purpose of this TR is to provide all reference documents needed to assess conformity, whether as a self declaration or a certification (referenced documentation fo
23、llowing ISO/IEC 17000 series) needed to have the various schemes operational if procuring bodies would like to require a self declaration or a certificate.“ (See Mandate M/376 33.) The TR includes generic (see Annex B) and EN 301 549 specific (see Annex C) templates for declaring or certifying confo
24、rmity as well as advice on the conformity assessment methods that can be referred to in procurements. The TR addresses conformity assessment both pre-award (mainly by the supplier during production) and post-award (according to provisions in the contract). One of the bases for this TR is the report
25、produced under phase I of the Mandate M/376: CEN/BT WG 185 / CLC/BT WG 101-5 Report on “Conformity assessment systems and schemes for accessibility requirements“ (see 2). Another basis is a report on verification of environmental requirements in public procurement, produced in 2006 by the Swedish En
26、vironmental Research Institute (see 32). CEN/CLC/ETSI/TR 101 552:2014 6 1 Scope This Technical Report (TR) incorporates all information and documentation needed in the frame of the procurement process in order to allow conveying the assessment of accessibility via conformity with the functional acce
27、ssibility requirements contained in EN 301 549 (see clause 2, i), regardless of whether self-declaration, second party attestation or third party certification is requested, and with award criteria: the criteria, by which the award of a contract is judged. In addition, this Technical Report provides
28、 procuring bodies with guidance on conformity assessment mechanisms for accessibility as part of contract management in the post-award stage. It is also useful in the pre-procurement research phase as well as during the contract negotiations. Finally it may be consulted by bidders preparing an offer
29、. 2 Normative references The following referenced documents are indispensable for the application of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. ETSI EN 301 549, Accessi
30、bility requirements suitable for public procurement of ICT products and services in Europe ETSI/TR 101 550, Documents relevant to EN 301 549 “Accessibility requirements suitable for public procurement of ICT products and services in Europe” ETSI/TR 101 551, Guidelines on the use of accessibility awa
31、rd criteria for publicly procured ICT products and services in Europe EN ISO/IEC 17000:2004, Conformity assessment - Vocabulary and general principles (ISO/IEC 17000:2004) 3 Terms and definitions For the purposes of this document, the following terms and definitions apply. 3.1 accessibility extent t
32、o which products, systems, services, environments and facilities can be used by people from a population with the widest range of characteristics and capabilities to achieve a specified goal in a specified context of use Note 1 to entry: Context of use includes direct use or use supported by assisti
33、ve technologies. EN ISO 26800:2011, 3.1 (see 5) 3.2 accessible design design focused on principles of extending standard design to persons with some type of performance limitation to maximize the number of potential customers who can readily use a product, building or service, which may be achieved
34、by: designing products, services and environments that are readily usable by most users without any modification; making products or services adaptable to different users (adapting user interfaces); and CEN/CLC/ETSI/TR 101 552:2014 7 having standardized interfaces to be compatible with special produ
35、cts for persons with disabilities Note 1 to entry: Terms such as design for all, barrier-free design, inclusive design and transgenerational design are used similarly but in different contexts. Note 2 to entry: Accessible design is a subset of universal design, where products and environments are us
36、able by all persons, to the greatest extent possible, without the need for adaptation or specialized design. ISO/IEC Guide 71:2001, 3.2; CEN/CENELEC Guide 6:2002, 3.2 (see 26 and 1) 3.3 assistive technology (AT) hardware or software added to, or incorporated within, a system that increases accessibi
37、lity for an individual Note 1 to entry: Examples are Braille display, screen reader, screen magnification software and eye tracking devices EN ISO 9241-171:2008, 3.5 (see 6) 3.4 award criteria the criteria by which the award of a contract is judged 3.5 conformity assessment demonstration that specif
38、ied requirements relating to a product, process, system, person or body are fulfilled. EN ISO/IEC 17000:2004 (see Annex A.1) 3.6 contracting authority the state, regional or local authorities, bodies governed by public law, or associations of such bodies 3.7 impairment problem in body function or st
39、ructure such as a significant deviation or loss which can be temporary due, for example, to injury, or permanent, slight or severe and can fluctuate over time, in particular, deterioration due to ageing. Note 1 to entry: Body function can be a physiological or psychological function of a body system
40、; body structure refers to an anatomic part of the body such as organs, limbs and their components (as defined by the World Health Organization (WHO) in ICIDH-2 of July 1999). (see 23) Note 2 to entry: This definition differs from that in ISO 9999:2002 and, slightly, from ICIDH-2/ICF: May 2001, WHO.
41、 (see 24) ISO/IEC Guide 71:2001, 3.4; CEN/CENELEC Guide 6:2002, 3.4 (see 26 and 1) 3.8 public contract contract for pecuniary interest concluded in writing between one or more economic operators and one or more contracting authorities 3.9 selection criteria the criteria by which the eligibility or a
42、bility of a contractor is judged 3.10 user person who interacts with the product, service or environment CEN/CLC/ETSI/TR 101 552:2014 8 Note 1 to entry: Adapted from ISO 9241-11:1998. ISO/IEC Guide 71:2001, 3.6; CEN/CENELEC Guide 6:2002, 3.6 (see 26 and 1) 4 Key issues for conformity assessment in r
43、elation to procurement 4.1 The Standard EN 301 549 and related documents The European Norm (EN) 301 549 (see clause 2, i) specifies in Clause 5 to 13 the functional accessibility requirements applicable to ICT products and services together with a full description of the test procedures and evaluati
44、on methodology for each requirement in Annex C in a form that is suitable for use in public procurement. The EN does not prioritise functional accessibility requirements. Possible prioritization is left to the user of the EN. EN 301 549 is to be used as the basis for the procurement toolkit which wi
45、ll primarily be useful for procuring bodies to identify the accessibility requirements for their purchases, and also for manufacturers to employ it within their design, build and quality control procedures. It will be also useful for manufacturers of assistive technology and for interested users wit
46、h disabilities who are relying on accessible ICT products and services. EN 301 549 reflects in Clause 4 the accessibility needs of the users and shows what accessibility features are expected in publicly bought ICT. It also contains all of the necessary functional accessibility requirements, providi
47、ng a reference document so that if procedures are followed by different actors, the results of testing are similar and the interpretation of those results is clear and transparent, regardless of whether self-declaration, second party attestation or third party certification is requested. The test de
48、scriptions and evaluation methodology included in Annex C of EN 301 549 are elaborated to a level of detail fully compliant with ISO/IEC 17007:2009 (see Annex A.3) so that conformance testing can give conclusive results. The Technical Report (TR) 101 550 (see clause 2, ii) lists the documents used i
49、n the creation of EN 301 549 and provides a source reference for any other documents needed to implement the test procedures specified in that document. The TR 101 550 also provides additional explanation to assist users of EN 301 549 with clarifications and supporting information about measurement methods, particularly where no globally agreed tests presently exist. Where there are any test gaps, these are identified and test descriptions and evaluation methodologies are developed. In those exceptional cases where it is not possible to do
