ETSI TR 101 552 V1.0.0 (2014-03)

TECHNICAL REPORT
CEN/CLC/ETSI TR 101 552

RAPPORT TECHNIQUE

TECHNISCHER BERICHT
March 2014
ICS 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 28 February 2014 and by ETSI on 27 December 2013.

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, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia,
Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom.










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© 2014 CEN-CENELEC-ETSI All rights of exploitation in any form and by any means     Ref. CEN/CLC/ETSI/TR 101 552:2014 E
reserved worldwide for CEN, CENELEC and ETSI
Members

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CEN/CLC/ETSI/TR 101 552:2014
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 evidence .8
4.3 Methods to follow-up the supplier’s 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 European 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 Supplier’s 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
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
7.5.8 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 Pre-award conformity assessment . 27
8.1.1 Tick-box and description . 27
8.1.2 First party declaration . 28
8.1.3 Supplier’s Declaration of Conformity . 28
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8.1.4 Second party attestation . 29
8.1.5 Third party certification . 29
8.1.6 Accredited third party certification . 29
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 . 31
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 . 33
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 conformity assessment. 35
A.4 Testing and calibration . 35
A.5 Inspection . 35
A.6 Supplier’s 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 Recognition 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 Supplier’s Declaration of Conformity . 39
B.3 Second party attestation of conformity . 41
B.4 Third party certification of conformity . 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 Supplier’s Declaration of Conformity with EN 301 549 . 50
C.3 Second party attestation of conformity 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

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Foreword
This Technical Report (CEN/CLC/ETSI/TR 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 prepared 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.
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Introduction
One of the key activities in the public procurement process is to assure that the product or service 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 Report (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 following 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 conformity 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 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 Environmental Research Institute (see [32]).
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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 accessibility 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 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.
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, Accessibility 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 award 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 to 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 assistive 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 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
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• having standardized interfaces to be compatible with special products 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 usable 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 accessibility 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 specified 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 structure 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; 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.
(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 ability of a contractor is judged
3.10
user
person who interacts with the product, service or environment
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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 relation 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 evaluation 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 will 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 with 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,
providing 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 descriptions 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 in 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 so, recommendations
are given on how the gaps should be filled.
The Technical Report (TR) 101 551 (see clause 2, iii) provides procuring bodies with guidance on the award
criteria relevant to each area of user needs to be addressed in the procurement of accessible ICT products
and services.
4.2 Selection of type of evidence
One of the key activities in the procurement process is to assure that the product or service offered by the
tenderer actually has the characteristics and qualities specified in the technical specifications and award
criteria. There are two main reasons for assuring compliance: ensuring value for money and equal treatment
of bidders. If the procuring body does not control compliance, it runs the risk of paying for something that does
not have the intended functionality. Secondly, false statements of a tender may be accepted, giving honest
bidders a competitive disadvantage. Not controlling the compliance violates the principle of equal treatment of
bidders, laid down in the Treaty of the Functioning of the European Union (TFEU).
The Court of Justice of the European Union has laid down that award criteria must be verifiable. In decision C-
448/01 "Wienstrom" the Court says: "Therefore, an award criterion which is not accompanied by requirements
which permit the information provided by the tenderers to be effectively verified is contrary to the principles of
Community law in the field of public procurement." (see [4]).
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Hence, the purpose of requiring the bidder to submit evidence of compliance to the technical specifications
and the award criteria laid down in the call for tender is to enable the procuring body to make sure that the
criteria are fulfilled.
Statements and documents giving evidence may be more or less detailed and credible. The procuring body is
faced with the task to decide which kind of evidence, with which degree of credibility, to require. This selection
must be based on a number of factors, such as the impact on the user in case of non-compliance, cost and
time of the conformity assessment imposed on the bidder, appropriateness with respect to the development
and manufacturing process of the subject-matter of the procurement etc. Since some of these factors can be
conflicting, the selection is sometimes an issue of finding a sufficiently good type of evidence.
Clause 7 of this TR discusses different factors to be taken into account when deciding which conformity
assessment system to be required from the bidder.
Clause 8 provides guidance on selection of a conformity assessment system or scheme.
4.3 Methods to follow-up the supplier’s performance of contracts
ICT is often subject to changes during its use. Software and hardware may need updating and upgrading
because of new or modified business or user needs at the customer side, or because the supplier, within the
framework of a maintenance contract, wants to introduce new technology resulting in easier or less frequent
maintenance. Changes of this kind may affect the accessibility of ICT products and services. The procuring
body needs to follow up the consequences of such changes. Long-term contracts normally contain clauses on
how changes should be initiated, decided and implemented.
When an organization has awarded a service contract, it must follow up whether the service is being delivered
to the level of accessibility specified in the contract, to the agreed quality and price.
In the context of procurement, follow-up of the supplier’s performance of the contract is often part of contract
management.
An important reason for following up, however outside the scope of this TR, is to collect information and
feedback for use in the next procurement of the product or service in question.
Clause 9 of this TR discusses how to ensure maintenance of the contracted specification of accessibility
during operation and use.
5 Legal issues
5.1 General legal issues on public procurement
Public Procurement (also called Government Procurement or Public Tendering) is the procurement of goods
and services on behalf of public authorities by executive agencies such as national, regional and local public
bodies, including central government, local authorities, fire and police authorities, defence, health services,
joint consortia of public bodies, and public and private utilities. Government procurement is the subject of the
"Agreement on Government Procurement" (1996) [34], a multilateral international treaty under the auspices of
the World Trade Organization (WTO).
5.2 European legal issues on public procurement
Public procurement in the European Union is the process for awarding contracts for the purchase of goods
and services by the public authorities of the European Union and its Member States. It has been the subject of
European regulation since decades because of its importance in the European single market.
In 2004, European procurement legislation was consolidated following the principles of simplification and
modernisation.
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The Directive 2004/17/EC "coordinating the procurement procedures of entities operating in the water, energy,
...