Initiate Certification Structure (36)
Description:
This building block is relevant only if a state will use vendor certification independent of a procurement process, which is typical of open market service provision. Certification means independent validation of vendor systems and services. During the certification process, an independent certification body—either a state body or third party—checks the vendor system and service performance against specification documents. The certification process can begin with a state body and then be transferred to a third party later. A state can also join an existing certification body if one exists.
The implementing RUC agency, potentially advised by a state procurement officer, develops a certification structure, validates it with state executives, and begins setting it up.
Details:
The certification structure and the way that certified bodies begin to offer services in a state must follow the state’s procurement rules. If certification for provision in an open market is not currently part of state procurement options, the rules may need to be changed. Further, if the state procures certification services, the state may have to do so according to state procurement rules.
Primary Use:
Enable certification if the state chooses some form of market procurement.
Best Practices/Lessons Learned:
- Setting up a certification body takes time. After specification documents are ready, months of additional preparation may be needed to establish a certification body.
- It is possible for the state to do an initial certification while the process is set up, and then transfer the process to a private body later. Certification setup can also occur while a small system is already operational.
- Certification must be done based on specification and standards. Existing bodies may already certify compliance with existing standards. A new process will need to certify compliance with new specifications, either by an existing or a new body.
- While the state may perform initial certifications for long-term operation, the state may want a third party to execute certifications.
- The state may subsidize the cost of certification for vendors at the start of certification because vendors may not see the potential to profit in the near term if they are forced to cover the full cost. The private sector should assume certification costs in large markets.
State Government Context and Assumptions:
The implementing RUC agency, potentially advised by a state procurement officer, performs this activity, based on the market structure selected (see Determine Use of Account Manager and Vendor Procurement Strategy building block).