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NSI Guide Supplement for Management of Instant Tickets Certification/Verification

NSI Guide Supplement for Management of Instant Tickets Certification/Verification

Issue 1.0.1 - January 25, 2010


Table of Contents

1. Introduction

1.1 Referenced Specifications

1.2  Conformance Requirements Documents

1.3  Preparing for NSI Management of Instant Tickets Certification or Verification

2.  Certification or Verification Against the NSI Management of Instant Tickets Best Practice

2.1 Registering your Business Practice within the Web-Based Certification/Verification System

2.1.1 Payment

2.2 Producing a Conformance Statement

2.3 Validation Report

2.3.1 Bar Code on Instant Tickets and Instant Ticket Packs for Lotteries

2.3.2 Bar Code on Instant Tickets and Instant Ticket Packs for Instant Ticket Manufacturers

2.3.3 MIT XML Based Messaging for Lotteries

2.3.4 MIT XML Based Messaging for Lottery Vendors

2.3.5 MIT XML Based Messaging for Retailers

2.4 Completion of Certification/Verification

3. Renewals Process

4. Certified/Verified Entity Modifications and Updates


1. Introduction

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 or verify a business practice in the North American Association of State and Provincial Lotteries (NASPL) Standards Initiative Management of Instant Tickets Certification/Verification Program.

This Guide Supplement will guide you through all the Management of Instant Tickets 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.

1.1 Referenced Specifications

The specifications currently referenced for NSI Management of Instant Tickets certification/verification are:

  • Management of Instant Tickets Best Practice, Version 1.1, Document Number BP0801, August 2008, and any Corrigenda issued against such Best Practice, supplemented by any Interpretations applicable to this particular version and revision of the Best Practice.
  • Bar Codes for Instant Tickets in the Lottery Industry, Version 2, Document Number TS0601, February 2006, and any Corrigenda issued against such Technical Standard, supplemented by any Interpretations applicable to this particular version and revision of the Technical Standard.

These are referenced by the NSI Management of Instant Tickets Conformance Requirements documents and are located at http://www.opengroup.org/naspl/published.

1.2 Conformance Requirements Documents

The current NSI Conformance Requirements documents against which lotteries may verify business practices are:

Note that MIT XML Based Messaging for Lotteries requires the Lottery to have obtained two prerequisite verifications to ensure the lottery systems are in place to support the management of instant ticket inventory via XML based messages. These pre-requisite verifications are i) Bar Code on Instant Tickets and Instant Ticket Packs for Lotteries (to ensure that the Lottery has the proper GS1 related product identification with compliant barcodes to facilitate automated handling of Instant Tickets and Packs by the retailer) and ii) Lottery Retailer-Focused Website (to ensure the web-based infrastructure used to communicate information to retailers is in place).

The current NSI Conformance Requirements documents against which lottery vendors, manufacturers, or retailers may certify business practices are:

1.3 Preparing for Management of Instant Tickets Certification or Verification

Certification/verification will involve validating that your organization has correctly and completely implemented the Best Practice and/or Technical Standard within your organization. The first step towards certification or verification against the Management of Instant Tickets Best Practice is to deploy the Best Practice and/or Technical Standard within your organization. This involves making the changes necessary to your organization's business processes and systems to ensure that they are in conformance with the requirements defined in the Best Practice and/or Technical Standard.

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 Management of Instant Tickets 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.


2. Certification or Verification Against the NSI Management of Instant Tickets Best Practice

Prior to registering your business practice, please ensure that:

  • Your organization registration has been activated within the web-based certification/verification system, as per Section 3.1, "Registering your Organization within the Web-Based Certification/Verification System", of the Guide to the NSI Certification and Verification Program

  • You are either a Key Contact or Technical Contact for your organization, and thus have permission to register your business practice.

The first step for Management of Instant Tickets certification or verification is to register your business practice. This is done by completing the registration form for your business practice, specifying the contacts for this registration, accepting the terms of the Certification/Verification Agreement, and making payment. The subsequent steps for NSI Management of Instant Tickets certification or verification are:

  • Producing a Conformance Statement

  • Producing and submitting elements of the Validation Report

  • Completion of Certification/Verification

2.1 Registering your Business Practice within the Web-Based Certification/Verification System

To register a business practice to be certified or verified, go to http://www.opengroup.org/naspl/conformance, enter the secure web server, and "Login" to the NSI certification or verification web site 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 business practice, you are required to select the NSI Conformance Requirements document against which you wish to certify or verify, provide information on your business practice, and have the ability to send notes to the Certification and Verification Authority. Within the system, you must specify the following:

  • Conformance Requirements document - the Conformance Requirements document against which you want to certify or verify your business practice against. You must select the applicable Conformance Requirements document.

  • Identifier - a short identifier to uniquely describe and identify your implementation of the Conformance Requirements. This identifier will be used on the certification/verification register to identify your business practice.

  • For Bar Code on Instant Tickets and Instant Ticket Packs for Lotteries verification:
    • Does your Lottery issue coupons - select Yes or No to indicate whether or not your Lottery issues coupons

  • Confidentiality - allows you to indicate whether you would like this certification or verification to remain confidential for a period of time, as defined in both the NSI Certification/Verification Agreement and the general NSI Certification/Verification Policy document.

  • General Notes - this is an area for you to provide any notes to the Certification and Verification Authority about this registration. Anything included in this area will be confidential between you and the Certification and Verification Authority.

In addition, you will need to specify the certification/verification contacts specific to certification/verification of the business practice you are registering:

  • Primary Technical Contact - the primary contact for all notices, status updates, and issues related to certification/verification for this business practice. The Primary Technical Contact and the Alternate Technical Contact, if specified, along with the organization-level Key Contacts, are the only users who will have the ability to manage the progress of this certification/verification through the system. The Primary Technical Contact is the person primarily responsible for submission of all certification/verification information to the Certification and Verification Authority and is the primary point of contact in your organization for the validation process.

  • Alternate Technical Contact (optional) - the back-up for the Primary Technical Contact. Will receive the same information on the certification/verification progress as the Primary Technical Contact and also has the same abilities within the system to progress the certification/verification registration through the certification/verification process.

  • Finance Contact (optional) - the contact for any payment and/or invoicing issues related to this registration; if not specified, will default to the organization Finance Contact.

  • Marketing Contact (optional) - the contact for any marketing-related certification/verification issues for this registration; if not specified, will default to the organization Marketing Contact, if one was specified.

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 certification or verification home page, from which you can select the "Next" link for the business practice being submitted. Through use of the "Next" link, the system will guide you through the steps that you need to follow to certify or verify a business practice .

2.1.1 Payment

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.

2.2 Producing a Conformance Statement

A Conformance Statement describes your business practice and how it meets the conformance requirements. Your Conformance Statement will be linked into the Register entry for the business practice once it is certified or verified. A 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:

  • Bar Code on Instant Tickets and Instant Ticket Packs for Lotteries, Version 1.0
  • Bar Code on Instant Tickets and Instant Ticket Packs for Instant Ticket Manufacturers, Version 1.0

You must complete the relevant questionnaire to create a Conformance Statement for your business practice. 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 business practice, 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.

The Conformance Statement Questionnaires have common front matter that asks for information about your organization and the business practice to be certified or verified.

  • Submitter Information - Your organization's name and your name as author of the Conformance Statement. Your organization's name, as registerd in the system, will automatically be entered in the Conformance Statement by the system.

  • Business Practice Information - The identifier will be automatically entered based on what you specified on the registration form.

    For Bar Code on Instant Tickets and Instant Ticket Packs (both for Lotteries and Instant Ticket Manufacturers), please specify the applicable date. To avoid ambiguity, please spell out the name of the month and provide the full four digits for the year. For example, "January 1, 2010".

The Conformance Statement Questionnaires also require rationale for any requirements of the Best Practice that your organization did not implement and contain questions specific to the set of conformance requirements against which your business practice is to be certified or verified. These questions are intended to characterize how your business practice meets the conformance requirements.

  • For Bar Code on Instant Tickets and Instant Ticket Packs for Lotteries verification:

    • Best Practice Implementation - In this section you should list any requirements identified as "Should" in the Best Practice that your Organization does not support; for each such requirement you need to provide a rationale for the absence of support.
    • Characterization of the Lottery's Bar Code Implementation - the response to whether or not your Lottery issues coupons will be filled in automatically by the system based on your response on the registration form. If Yes, you must also answer the questions below, providing the date for when all coupons began using the applicable bar code and indicating if there are any "Should" requirements relating to coupons that your Lottery does not support.
  • For MIT XML Based Messaging for Lotteries verification:

    • Best Practice Implementation - In this section you should list any requirements identified as "Should" in the Best Practice that your Organization does not support; for each such requirement you need to provide a rationale for the absence of support.
    • Characterization of yours MIT XML Based Messaging Implementation - please select the optional elements your systems support and indicate whether or not they support the enhanced messages.
  • For MIT XML Based Messaging for Lottery Vendors certification:

    • Best Practice Implementation - In this section you should list any requirements identified as "Should" in the Best Practice that your Organization does not support; for each such requirement you need to provide a rationale for the absence of support.
    • Characterization of your MIT XML Based Messaging Implementation - please select the optional elements your systems support and indicate whether or not they support the enhanced messages.
  • For MIT XML Based Messaging for Retailers certification:
    • Characterization of your MIT XML Based Messaging Implementation - if you have implemented any core messages, please indicate which ones your systems support, along with any optional elements supported. Also indicate whether or not your systems support any enhanced messages or detailed sales reporting.

 2.3 Validation Report

Organizations are responsible for performing any necessary validation steps and then submitting a completed checklist and associated files to the Certification and Verification Authority
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. This view will allow you to see what you have already uploaded and what elements of the validation report are outstanding. The Certification and Verification Authority will review your submission once you have uploaded files that compose the Validation Report.

Each Conformance Checklist is an on-line form. It is completed using the same tool as was used for the Conformance Statement. 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 Checklist.

The sections below identify the requirements applicable for each set of Conformance Requirements.

2.3.1 Bar Code on Instant Tickets and Instant Ticket Packs for Lotteries

  • Conformance Checklist
    The first section asks you to assert that your Lottery's Instant Ticket Printing Specifications include requirements to address the mandatory requirements in the Management of Instant Tickets Best Practice. The second and third sections ask you to assert that your Lottery provides a U.P.C. Price Sales Catalog conforming to the best practice requirements and issues the appropriate updates to the catalog in accordance with the best practice.

  • Printing Capability Specifications
    The files or file extracts showing your Lottery's requirements pertaining to the size, placement, and type of U.P.C./EAN/GTIN/Databar barcode. Typically this will be an extract from the Instant Ticket working paper baselines used for Instant Ticket Game design. The upload must be in the format of a ZIP file, which contains one or more of the relevant files or file extracts.

  • Coupon Printing Specifications (required only if your Lottery issues coupons)
    The files or file extracts from coupon printing that pertain to the size, type, and placement of bar codes on coupons. The upload must be in the format of a ZIP file, which contains one or more of the relevant files or file extracts.

  • U.P.C. Price Sales Catalog
    An XML file containing the complete U.P.C. price sales catalog.

  • U.P.C. Price Sales Catalog - Update 1 and Update 2
    Each update is an XML file containing an update to the U.P.C. price sales catalog that covers adding new products to the catalog.
For each of the file uploads, select the "Choose File" button to search for the relevant file and select it. Once selected, the name of the file will appear to the right of the "Choose File" button, at which point, you will select the associated "Submit ..." button to upload that file to the certification/verification system. Note that you must repeat this set of steps for each of the file uploads. After submitting a file, you will see a page confirming that the file was successfully uploaded and you will need to select either the "Back" button or "Next" button to return to the Next Steps page to select and upload another file.

Once you have completed the Conformance Checklist and uploaded all files that compose the Validation Report, the Certification and Verification Authority will need to review and approve your submission.

2.3.2 Bar Code on Instant Tickets and Instant Ticket Packs for Instant Ticket Manufacturers

  • Conformance Checklist
    This checklist asks you to make assertions regarding the capabilities of your organization's printing process.

  • Printing Capability Specifications
    The files or file extracts showing your organization's specifications on printing capability that pertain to the size, placement, and type of U.P.C./EAN/GTIN/Databar barcode, including extracts from the specifications for coupon printing if applicable. The upload must be in the format of a ZIP file, which contains one or more of the relevant files or file extracts.
    To upload the file, select the "Browse" button to search for the relevant file and select it. Once selected, the name of the file will appear to the text box, at which point, you will select the "Submit Printing Capability Specifications" button to upload that file to the certification/verification system. After submitting the file, you will see a page confirming that the file was successfully uploaded and you will need to select either the "Back" button or "Next" button to return to the Next Steps page.
Once you have completed the Conformance Checklist and uploaded the Printing Capability Specifications, the Certification and Verification Authority will need to review and approve your submission.

2.3.3 MIT XML Based Messaging for Lotteries

  • Conformance Checklist
    The first three questions ask you to assert that your Lottery's XML messaging system implements the required core electronic message and elements as defined in the Management of Instant Tickets Best Practice and that you have confirmed the correct handling of these messages by performing the validation steps described in the XML Message Criteria for Lotteries document. The remaining questions ask you to assert that you have also tested and confirmed correct handling of all of the optional elements and enhanced messages that your XML messaging system supports, as per your claim on your Conformance Statement. If your messaging system does not support any optional elements or enhanced messages (and thus you did not perform any testing in this area), then you would still answer Yes to the checklist questions as they are simply asking if you tested everything you have claimed to support.

  • XML Message Samples
    The XML Message Sample files are XML files containing the messages generated by your system during execution of the validation steps defined in the XML Message Criteria for Lotteries. The upload must contain all of the XML messages resultant from executing the validation steps for the core messages and include any optional elements your system supports, along with those resulting from execution of the enhanced messages that your system supports. The upload must be in the format of a ZIP file, which contains one or more of the relevant XML files.
    To upload the file, select the "Browse" button to search for the relevant file and select it. Once selected, the name of the file will appear to the text box, at which point, you will select the "Submit XML Message Samples" button to upload that file to the certification/verification system. After submitting the file, you will see a page confirming that the file was successfully uploaded and you will need to select either the "Back" button or "Next" button to return to the Next Steps page.
Once you have completed the Conformance Checklist and uploaded the XML Message Samples, the Certification and Verification Authority will need to review and approve your submission.

2.3.4 MIT XML Based Messaging for Lottery Vendors

  • Conformance Checklist
    The first section ask you to assert that your XML messaging system implements the required core electronic message and elements as defined in the Management of Instant Tickets Best Practice and that you have confirmed the correct handling of these messages by performing the validation steps described in the XML Message Criteria for Lottery Vendors document. It also asks you to assert that you have also tested and confirmed correct handling of all of the optional elements and enhanced messages that your XML messaging system supports, as per your claim on your Conformance Statement. If your messaging system does not support any optional elements or enhanced messages (and thus you did not perform any testing in this area), then you would still answer Yes to the checklist questions as they are simply asking if you tested everything you have claimed to support.

    The second and third sections ask you to assert that your Lottery provides a U.P.C. Price Sales Catalog conforming to the best practice requirements and issues the appropriate updates to the catalog in accordance with the best practice.

  • XML Message Samples
    The XML Message Sample files are XML files containing the messages generated by your system during execution of the validation steps defined in the XML Message Criteria for Lottery Vendors. The upload must contain all of the XML messages resultant from executing the validation steps for the core messages and include any optional elements your system supports, along with those resulting from execution of the enhanced messages that your system supports. The upload must be in the format of a ZIP file, which contains one or more of the relevant XML files.

  • U.P.C. Price Sales Catalog
    An XML file containing the complete U.P.C. price sales catalog.

  • U.P.C. Price Sales Catalog - Update 1 and Update 2
    Each update is an XML file containing an update to the U.P.C. price sales catalog that covers adding new products to the catalog.
For each of the file uploads, select the "Choose File" button to search for the relevant file and select it. Once selected, the name of the file will appear to the right of the "Choose File" button, at which point, you will select the associated "Submit ..." button to upload that file to the certification/verification system. Note that you must repeat this set of steps for each of the file uploads. After submitting a file, you will see a page confirming that the file was successfully uploaded and you will need to select either the "Back" button or "Next" button to return to the Next Steps page to select and upload another file.

Once you have completed the Conformance Checklist and uploaded all files that compose the Validation Report, the Certification and Verification Authority will need to review and approve your submission.

2.3.5 MIT XML Based Messaging for Retailers

  • Conformance Checklist
    The first section asks you to assert that your Lottery's Instant Ticket Printing Specifications include requirements to address the mandatory requirements in the Management of Instant Tickets Best Practice. The second and third sections ask you to assert that your Lottery provides a U.P.C. Price Sales Catalog conforming to the best practice requirements and issues the appropriate updates to the catalog in accordance with the best practice.

  • Sales Report
    YYY. The upload must be in the format of a ZIP file, which contains one or more of the relevant files or file extracts.

  • XML Message Samples
    XXX. The upload must be in the format of a ZIP file, which contains one or more of the relevant files or file extracts.
For each of the file uploads, select the "Choose File" button to search for the relevant file and select it. Once selected, the name of the file will appear to the right of the "Choose File" button, at which point, you will select the associated "Submit ..." button to upload that file to the certification/verification system. Note that you must repeat this set of steps for each of the file uploads. After submitting a file, you will see a page confirming that the file was successfully uploaded and you will need to select either the "Back" button or "Next" button to return to the Next Steps page to select and upload another file.

Once you have completed the Conformance Checklist and uploaded all files that compose the Validation Report, the Certification and Verification Authority will need to review and approve your submission.

2.4 Completion of Certification/Verification

Once your submission 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 Section 4.2 of 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 business practice to remain certified or verified you will need to renew your certification or verification as defined in Section 3, Renewals Process, below.


3. Renewals Process

When your business practice is certified or verified, it remains so for a defined period, after which it must be renewed or the business practice 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 business practice continues to conform for the duration of the renewal period.

Around three months prior to the expiration of your business practice's certification/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 business practice 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 or verified business practice to be renewed, you will be presented with a web renewal form to complete.

Please see Section 5, "Renewal" of the NSI Policy Supplement for Management of Instant Tickets Certification/Verification and Section 9, "Renewal", of the general NSI Certification/Verification Policy document for further information on the requirements and process for renewal.


4. Certified/Verified Entity Modifications and Updates

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 business practice 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 business practice's certification or 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 or verified business practice 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 business practice certified or verified against the Management of Instant Tickets Best Practice are defined in Section 4, "Certification/Verification Requirements for Modifications of a Certified/Verified Entity", of the NSI Policy Supplement for Management of Instant Tickets 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 business practice and is subject to a new certification or verification. In this case, your organization should register this business practice for certification or 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 2001-2010
Updated on January 25, 2010

For other help on registering your business practice or product please also see The Frequently Asked Questions File. You may also contact the NSI Certification and Verification Portal Certification and Verification Authority


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