Towards Interoperability in e. Tendering: The case of the Virtual Company Dossier Ansgar Mondorf University of Koblenz Universtitätsstrasse 1 56070 Koblenz, Germany phone: +49 261 287 -2556 mail: mondorf@uni-koblenz. de
Agenda Objectives Major challenges Maturity Model: Vision of the VCD Explanation of Stages Enlargement Summary and Discussion 2 ANSGAR MONDORF
Objectives of the Virtual Company Dossier Qualified information package about business entity consisting of several evidences such as certificates and attestations Utilise company information already registered somewhere Interoperable document solution supporting the mutual recognition of certificates and attestations Enable submission of the information package electronically to any European public sector awarding entity in Europe Common understanding of company formal data ANSGAR MONDORF
Maturity Model: Vision of the VCD 4 ANSGAR MONDORF
Stage 0 Outcome Approach Benefit Drawback National indices Linkage between national criteria of selection and exclusion and qualification documents Transparency on national requirements Low implementation effort Basic requirement for any other solution No crossborder interoperability 5 ANSGAR MONDORF
Intended contents of the VCD according to the Directive 2004/18/EC (Articles 45 -49) Personal situation of the candidate – - absence of conviction e. g. Criminal records, judicial records, absence of the participation in a criminal organisations, corruption, fraud, money laundering - non-bankruptcy and financial status statement about non-bankruptcy e. g. certificate of registration, certificate or - compliance with fiscal and social obligations of clearance, tax clearance certificate e. g. latest extract of account, certificate Suitability to pursue a professional activity e. g. certificate of registration from the commercial/professional register, declaration of equivalence Economic and financial standing of a tendering company e. g. annual accounts, statement of global turnover, statements from banks to check the creditworthiness Technical and professional ability of candidates e. g. certificates of satisfactory execution of past works, statements about the professional qualification and about technical equipment (contents vary depending on the requirements) Compliance to quality assurance standards and environmental standards e. g. ISO certificates, Quality assurances, Certificates that prove the compliance with environmental guidelines 6 ANSGAR MONDORF
Stage 1 Outcome Approach Benefit Drawback Basic semantic interoperability model on high level (organisational) Information System that provides shared understanding and glossary Semantic rules that describe relationship between certificates and attestations Organisational solution Cross-border mapping of national indices Support of existing formats Transparency on cross border tendering requirements Support for mutual recognition of qualification documents Low implementation efforts when Stage 0 defined Contents of qualification documents still have to be translated and processed manually 7 ANSGAR MONDORF
What has to be evidenced? Which attestation is suitable to evidence? specify 1 : n Evidenz Which service provides this means? (m: n) m: n 8 provided by evidenced by Common Mapping Strategy 1 n: fullfills Attestat Exclusion and Selection Criteria 8 ANSGAR MONDORF Service
Evidence – Criteria – Attestion (Italy) Evidence with regard to the personal situation of the candidate or tenderer: • absence of conviction Criminal Records Anti-mafia declaration Criteria with regard to absence of conviction has been convicted by final judgment: • of the participation in a criminal organization • of corruption • of fraud • which has the force of res judicata 9 ANSGAR MONDORF
Evidence – Criteria – Attestion (Norway) Evidence with regard to the personal situation of the candidate or tenderer: • absence of conviction Self Declaration Statement from Governmental institution about non-existance Criteria with regard to absence of conviction has been convicted by final judgment: • of the participation in a criminal organization • of corruption • of fraud • which has the force of res judicata 10 ANSGAR MONDORF
Stage 2 Outcome Approach Benefit Drawback Advanced semantic interoperability model on low level (data) Technical solution Mappings between contents of certificates Hybrid VCD format Transparency and Common Understanding of VCD Contents Processing of VCD contents VCD is only valid for a certain period of time Requires several implementation efforts and coordination and collaboration with several stakeholders 11 ANSGAR MONDORF
Scenario Description (e. Tendering) Virtual Company Dossier 12 ANSGAR MONDORF
Stage 4: Long-term solution Federated Network Outcome Approach Benefit Drawback Dynamic interoperabil ity model Complete Electronic Solution & Structure Tracking of VCD contents Access to Contents from Push to Pull Transparency on the status of contents Maintenance and Management of VCD Reduction of burdens and transaction costs for all stakeholders Implementation of new services Requires additional implementation efforts with regard to: Electronic Certificates Authorisation, Access policies and Rights Secure communication Data management 13 ANSGAR MONDORF
Consortium Enlargement New pilots for stage 1: - Major focus is on quantity - Expansion of Information system is affordable in terms of resources and implementation efforts New pilots for stage 2: - Major focus is on quality - Requires more efforts with regard to resources and implementation Interested countries should participate at the WP 2 procurer questionnaire and initiate discussions with WP 2 about potential enlargement 14 ANSGAR MONDORF
Summary VCD is about defining common semantics for the exchange of certificates and attestations across borders There a lot of challenges and several barriers that have to be removed (long-term process) VCD Vision suggests a system with different stages of maturity to enable quick adoption by MS Main layer for mapping and comparision on high level is stage 1 - Focus of enlargement is on quantity VCD builds upon stage 1 and therewith provides higher maturity and lower level semantics - Focus of enlargement is on quality 15 ANSGAR MONDORF
End Thank you for your attention! Questions Maria Wimmer Contact information Head of Research Group e. Government Institute for Information Systems Research Department of Computer Science University of Koblenz Universtitätsstrasse 1 56070 Koblenz, Germany phone: +49 261 287 -2646 mail: wimmer@uni-koblenz. de 16 ANSGAR MONDORF Ansgar Mondorf Research Group e. Government Institute for Information Systems Research Department of Computer Science University of Koblenz Universtitätsstrasse 1 56070 Koblenz, Germany phone: +49 261 287 -2556 mail: mondorf@uni-koblenz. de
Major Challenges for the application of a VCD on pan-European level Organisational complexity: - The large amount and diversity of certificates, attestations, public sector awarding entities and market players. Technical / semantic complexity: - Several interoperability issues including standardisation, agreed semantics, ease of deployment and the cross-border use of e. Signatures. Legal issues: - Validity of certificates and attestations - Other issues like cross-border information and data protection and the need for harmonisation of initiatives even on a national level. Language barriers: - Certificates should be translated into the target language and proof of authenticity should be guaranteed. Financial consequences: - The potential need for infrastructure changes may raise the expenditures for public sector awarding entities. Political consideration: 17 - The Procurement competences of Member States are mostly allocated on a decentralised level thus a centralised infrastructure may not be wanted and cannot be applied. ANSGAR MONDORF
Summary & Outlook May July Concept for Analysis September TOOL Development & Analysis November Requirements Org/Sem/Tech Analysis & Consolidation of Results 18 ANSGAR MONDORF January
Pilot development 19 ANSGAR MONDORF
Methodology to develop VCD 20 ANSGAR MONDORF
VCD Workplan for the first period 2. 1. 1. Questionnaire to gather business and legal requirements for the VCD adressed to several stakeholders such as procurers, tenderers, certifiers etc. 2. 1. 2. Status analysis: Current procedures, legal necessities and technical developments of individual Member State countries 2. 1 Stakeholder Analysis 2. 1. 2. 2 Data analysis 2. 1. 3. Status analysis: Relevant results of initiatives and other projects at international scale 2. 1. 4. Synthesis and comparison of the individual approaches and selection of appropriate certificates to be included 2. 1. 5. Investigation and assessment of the expenditures and economics of a VCD 2. 1. 6. Specification of functional and non-functional requirements for the VCD 2. 1. 2. 3 Process analysis 2. 1. 2. 4 Legal analysis 2. 1. 2. 5 Technical infrastructure Analysis 2. 1. 2. 6 Development of Internal Deliverable 21 ANSGAR MONDORF
PROJECT Composition 5 building blocks for pan-European Public Procurement E-Signature. Virtual Company Dossier E-Catalog E-Ordering E-Invoicing 22 ANSGAR MONDORF
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