Issue 1.0 - August 27, 2007
1.1 Referenced Specifications
1.2 Conformance Requirements Documents
1.3 Preparing for NSI Core Retailer Web-Based Applications Certification or Verification
2. Certification or Verification Against the NSI Core Retailer Web-Based Applications Best Practice
2.1 Registering your Web-Based Application or Website within the Web-Based Certification/Verification System
2.2 Producing a Conformance Statement
2.3 Validation Process
2.3.1 Downloading the Validation Toolkit and Questionnaire
2.3.2 Performing the Validation
2.3.3 Submitting the Validation Report
2.4 Completion of Certification/Verification
3. Renewals Process
4. Certified/Verified Entity Modifications and Updates
This document is a supplement to the Guide to the NSI Certification and Verification Program and is intended to be used in conjunction with that document. This supplement is for organizations who want to certify a web-based application or verify a website in the North American Association of State and Provincial Lotteries (NASPL) Standards Initiative Core Retailer Web-Based Applications Certification/Verification Program.
This Guide Supplement will guide you through all the Core Retailer Web-Based Applications specific steps required for certification or verification. Steps that are common to all NASPL Standards Initiative (NSI) certification/verification programs are described in the Guide to the NSI Certification and Verification Program.
Note: In the event of any conflicts, this guide defers to the NSI Certification/Verification Policy and Policy Supplements, the applicable NASPL Trademark License Agreement, and the NSI Certification/Verification Agreement.
The specifications currently referenced for NSI Core Retailer Web-Based Applications certification/verification are:
These are referenced by the NSI Core Retailer Web-Based Applications Conformance Requirements documents and are located at http://www.opengroup.org/naspl/published.
The current NSI Conformance Requirements document against which a vendor may certify a Core Retailer Web-Based Application is:
The current NSI Conformance Requirements documents against which a lottery may verify a Core Retailer Web-Based Application is:
Certification/verification will involve validating that your organization has correctly and completely implemented the Best Practice within your organization. The first step towards certification or verification against the Core Retailer Web-Based Applications Best Practice is to deploy the Best Practice within your organization. This involves making the changes necessary to your organization's technologies to ensure that they are in conformance with the requirements defined in the Best Practice.
To achieve certification or verification, your organization must complete both the Organization-level steps described in the Guide to the NSI Certification and Verification Program as well as the Core Retailer Web-Based Applications specific steps described below.
The Organization-level steps are registering your organization within the web-based certification/verification system and completing the applicable Trademark License Agreement. These steps need to be performed only once per organization.
Prior to registering your web-based application or website, please ensure that:
The first step for Core Retailer Web-Based Applications certification or verification is to register your web-based application or website. The subsequent steps for NSI Core Retailer Web-Based Applications certification or verification are:
To register a web-based application to be certified or a website to be verified, go to http://www.opengroup.org/naspl/conformance, enter the secure web server, and "Login" to the NSI certification or verification website using your username and password. Note: If you see a login link immediately upon accessing the system, then you are already on the secure server and may proceed directly with the login. The next step is to click on Organization Home to go to your organization's home page and select "New business practice or technology registration" (in the middle of the page).
When you register your web-based application or website, you are required to select the NSI Conformance Requirements document against which you wish to certify or verify, provide information on your web-based application or website, and have the ability to send notes to the Certification and Verification Authority. Within the system, you must specify the following:
In addition, you will need to specify the certification/verification contacts specific to certification/verification of the web-based application or website you are registering:
If your organization is a lottery, and a vendor or other third-party organization will be performing the verification for your website, it is acceptable to specify a member of the vendor organization as your Alternate Technical Contact, to enable this person to progress the verification process on your behalf and receive messages from the Certification and Verification Authority regarding the registration. This person will only have access to those verification records for registrations to which he/she is assigned.
Once you have completed all fields, select the "Submit for registration" button. You will then be presented with the NSI Certification/Verification Agreement, which you must accept in order to proceed with this registration. The final step in the registration phase is providing payment information, as detailed in Section 2.1.1, Payment, below.
You are then returned to your organization's home page, from which you can select the "Next" link for the registration being submitted. Through use of the "Next" link, the system will guide you through the steps that you need to follow to certify a web-based application or verify a website.
Details concerning payment procedures common to all NSI certifications/verifications can be found in Section 4.1.1, "Payment" , in the Guide to the NSI Certification and Verification Program.
A Conformance Statement describes your web-based application or website and how it meets the conformance requirements. Your Conformance Statement will be linked into the Register entry for the web-based application once it is certified or the website once it is verified . A sample Conformance Statement Questionnaire is available for each Conformance Requirements document at http://www.opengroup.org/naspl/conformance/docs/csqs.html.
The currently available Conformance Statement Questionnaires are listed below. There is one corresponding to each Conformance Requirements document:
You must complete the relevant questionnaire to create a Conformance Statement for your web-based application or website. See Sections 2.3 and 3.3 of the general NSI Certification/Verification Policy document for further information on the purpose of the Conformance Statement.
Within the web-based certification/verification system, you have the ability to create a new Conformance Statement, edit a Conformance Statement Questionnaire that is in the process of being completed, and finally, when ready, submit the completed Conformance Statement to the Certification and Verification Authority. This is done by going to your organization home page, selecting the "Next" step button for your registration, clicking the "Conformance Statement" link and then selecting the "Create/edit/submit Conformance Statement" button. Please see Appendix A, "Using the Editing Tool", in the Guide to the NSI Certification and Verification Program for information on using the editing tool to create, edit, and submit your Conformance Statement.
If your organization is a lottery, it is acceptable for a vendor or other third-party organization to complete the Conformance Statement on your behalf. In this case, the vendor organization is to be specified in the Submitter Information section, as indicated below.
The Conformance Statement Questionnaires have common front matter that asks for information about your organization, the web-based application to be certified or the website to be verified, and rationale for any requirements of the Best Practice that your organization did not implement.
The Conformance Statement Questionnaires also contain questions specific to the set of conformance requirements against which your web-based application is to be certified or your website is to be verified. These questions are intended to characterize how your web-based application or website meets the conformance requirements.
During the validation process, the Certification and Verification Authority will work with you in progressing your registration through the process. At any point in time, you will be able to see the status and progress of the validation process in the web-based certification/verification system by selecting the "Next" step button for your registration from your organization's home page.
In cases where your organization has responsibility for progressing the validation process, notification will be sent to your Primary Technical Contact and Alternate Technical Contact regarding what is required of your organization.
In preparation for the validation process, you should download and carefully read the NSI Core Retailer Web-Based Applications Validation Specification. This document provides details concerning the use of the Validation Toolkit, performance of the validation process, completion of the Validation Questionnaire, and the contents of the Validation Report, including the format for the Validation Results.
In order to facilitate the performance of the validation process, the Certification and Verification Authority is providing access to a Validation Toolkit. You will be provided with an appropriate link on the system for downloading the toolkit and the accompanying questionnaire.
The Validation Specification provides information on utilizing the Validation Toolkit to capture information about the website where your technology is hosted and on using this information to complete the Validation Questionnaire. The Validation Specification also contains information on the documentation you will need to submit to the Certification and Verification Authority after you have performed the validation, including the format for such documentation.
After performing the validation process, you should return to the system. From your organization home page, you may select the "Next" steps button for the entity being certified or verified, where you will have the ability to upload your Validation Report.
Once your submission, including the validation process, is complete and the applicable NASPL Trademark License Agreement is in place, you will be notified of successful certification or verification within 10 business days. If for any reason the submission was not complete, you will be notified so that any corrections can be made and resubmitted. This step, which is common to all NSI Certification and Verification Programs, is described in detail in the Guide to the NSI Certification and Verification Program.
You should note that certification/verification is valid for a defined period as stated in Section 9.1, "Duration of Certification/Verification", of the general NSI Certification/Verification Policy document. At the end of that period, if you wish your web-based application to remain certified or your website to remain verified you will need to renew your certification or verification as defined in Section 3, Renewals Process, below.
When your web-based application is certified or your website is verified, it remains so for a defined period, after which it must be renewed or the entity will no longer continue to be certified/verified. At any time, you may use the web-based certification/verification system to obtain the renewal date for each of your certified or verified business practices or technologies.
Renewal implies that your web-based application or website continues to conform for the duration of the renewal period.
Around three months prior to the expiration of your web-based application's certification or your website's verification, your Primary and Alternate Technical Contacts will be notified that renewal is due. They must respond to the Certification and Verification Authority within 30 calendar days indicating whether or not your organization would like to renew certification/verification; otherwise, your certification or verification will expire on the renewal date. Renewal may be subject to a re-validation of your web-based application or website and must be completed prior to your renewal date.
Renewal is performed using the web-based certification/verification system. You may access the renewals page from your organization's home page in the system. When you select the certified web-based application or verified website to be renewed, you will be presented with a web renewal form to complete.
Please see Section 9, "Renewal", of the general NSI Certification/Verification Policy document for further information on the requirements and process for renewal.
Any modifications to your Certified/Verified Entity must be made in accordance with the requirements defined in the Certification/Verification Policy. You should read the requirements in the policy documents thoroughly since they describe multiple scenarios related to technology changes. In some cases, the modification or update necessitates a new certification or verification, whereas in other cases, you can update your existing certification or verification.
Updates to your web-based application's certification or your website's verification are performed using the web-based certification/verification system. You may access the updates page from your organization's home page in the system. When you select the certified web-based application or verified website to be updated, you will be presented with a web form to be used to indicate to the Certification and Verification Authority the type of change.
The types of changes that may be made to a web-based application certified or a website verified against the Core Retailer Web-Based Applications Best Practice are defined in Section 5, "Certification/Verification Requirements for Modifications of a Certified/Verified Entity", of the NSI Policy Supplement for Core Retailer Web-Based Applications Certification/Verification.
If the "Certification/Verification Requirement" identified in the policy document is either "Certification/Verification Information update" or "Conformance Statement update", you must complete the web form to provide information on the requested change and provide the Certification and Verification Authority with any required information or documentation. Upon review and acceptance of such information or documentation and receipt of payment for amending your registration, the Certification and Verification Authority will update your certification/verification information.
If the "Certification/Verification Requirement" is "New Certification/Verification", then this change is considered a new web-based application or website and is subject to a new certification or verification. In this case, your organization should register this web-based application for certification or website for verification using the "new business practice or technology registration" link accessible from your organization's home page.
Any other change must be communicated to the Certification and Verification Authority within 30 calendar days of such change. The Certification and Verification Authority will then determine what the associated validation and certification/verification requirements are for such change.
©The Open Group 2001-2007
Updated on August 27, 2007