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Guide Supplement for XML Retail Accounting Reports Certification/Verification

NSI Guide Supplement for XML Retail Accounting Reports Certification/Verification

Issue 1.0 - May 7, 2007


Table of Contents

1. Introduction

1.1 Referenced Specifications

1.2  Conformance Requirements Documents

1.3  Preparing for NSI XML Retail Accounting Reports Certification or Verification

2. Certification or Verification Against the NSI XML Retail Accounting Reports Technical Standard

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

2.1.1 Payment

2.2 Producing a Conformance Statement

2.3 Validation Process

2.3.1 Validation Process for XML Retail Accounting Report Consuming Application Certification

2.3.1.1  Downloading the Validation Toolkit and Validation Data

2.3.1.2  Performing the Validation

2.3.1.3  Submitting the Validation Report

2.3.2 Validation Process for XML Retail Accounting Report Producing Application Certification/Verification

2.3.2.1 Performing the Validation

2.3.2.2 Submitting the Validation Report

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 technology in the North American Association of State and Provincial Lotteries (NASPL) Standards Initiative Certification and Verification Program for XML Retail Accounting Reports.

This Guide Supplement will guide you through all the XML Retail Accounting Reports specific steps required for certification or verification. Steps that are common to all NASPL Standards Initiative (NSI) certification/verification programs are provided 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 XML Retail Accounting Reports certification/verification are:

  • XML Retail Accounting Reports in the Lottery Industry, Version 1.0, Document Number TS0402, June 2005, and any Corrigenda issued against such Technical Standard.

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

1.2 The NSI XML Retail Accounting Reports Conformance Requirements Documents

The current NSI Conformance Requirements documents against which XML Retail Accounting Reports technologies can be certified are:

The current NSI Conformance Requirements documents against which XML Retail Accounting Reports technologies can be verified are:

1.3 Preparing for XML Retail Accounting Reports Certification or Verification

Certification/verification will involve validating that your organization has correctly and completely implemented the Technical Standard within your organization. The first step towards certification or verification against the XML Retail Accounting Reports Technical Standard is to deploy the Technical Standard 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 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 XML Retail Accounting Reports 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 XML Retail Accounting Reports Technical Standard

Prior to registering your technology, 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 technology.

The first step for XML Retail Accounting Reports certification or verification is to register your technology. The subsequent steps for NSI XML Retail Accounting Reports certification or verification are:

  • Producing a Conformance Statement

  • For XML Retail Accounting Report Consuming Application certification:

    • Downloading the Validation Toolkit and Validation Data

    • Performing the Validation

    • Submitting the Validation Report

  • For XML Retail Accounting Report Producing Application certification or verification:

    • Performing the Validation

    • Submitting the Validation Report

  • Completion of Certification/Verification

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

To register a technology 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, as appropriate, 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 technology, you are required to select the NSI Conformance Requirements document against which you wish to certify or verify, provide information on your technology, 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 technology. You must select the applicable Conformance Requirements document.

  • Technology Name - a product or other public name that is unique to the technology being certified or verified

  • Technology Version - a release and/or version number that is unique to the component or combination of components being certified or verified

  • 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 technology you are registering:

  • Primary Technical Contact - the primary contact for all notices, status updates, and issues related to certification/verification for this technology. The Primary Technical Contact and the Alternate Technical Contact, if specified, along with the 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 certification/verification; if not specified, will default to the organization Finance Contact

  • Marketing Contact (optional) - the contact for any marketing-related certification/verification issues for this technology; 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 technology 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 technology 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 technology.

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

This step must be completed before the Certification and Verification Authority can begin the validation process for your technology.

A Conformance Statement describes your technology and how it meets the conformance requirements. Your Conformance Statement will be linked into the Register entry for the technology 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:

  • XML Retail Accounting Report Consuming Application

  • XML Retail Accounting Report Producing Application

You must complete the relevant questionnaire to create a Conformance Statement for your technology. 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 technology, 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, which asks for the following information about your organization, the technology to be certified or verified, and rationales for any requirements of the Technical Standard that your organization did not implement.

  • Submitter Information - Your organization's name and your name as author of the Conformance Statement. The organization name that you registered will automatically be entered in the Conformance Statement Questionnaire by the system.

  • Certified/Verified Entity information - This includes a unique identifier for the technology implementation and an itemization of the constituent components of that implementation.

The Conformance Statement Questionnaires also contain questions specific to the set of conformance requirements against which your technology is to be certified or verified. These questions are intended to characterize how your technology meets the conformance requirements.

  • For XML Retail Accounting Report Consuming Application certification:

    • Implementation of Optional Data Items - This section lists a series of optional data items and asks you to indicate whether they are supported, consolidated into a single data item, or ignored or discarded. There is also an additional question concerning support for a single line item that aggregates non-processed optiona data items.

    • Validation Environment information - This includes a unique identifier and version number for the Validation Harness along with details on the platform on which conformance was demonstrated.

    • Operational Environment information - If applicable, this specifies the environment in which you guarantee the conformance of the technology being certified.

  • For XML Retail Accounting Report Producing Application certification/verification:

    • Implementation of Optional Data Items - This section lists a series of optional data items and asks you to indicate whether they are supported.

    • Validation Environment information - This includes a unique identifier and version number for the Validation Harness along with details on the platform on which conformance was demonstrated.

    • Operational Environment information - If applicable, this specifies the environment in which you guarantee the conformance of the technology being certified or verified.

 2.3 Validation Process

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.

2.3.1 Validation Process for XML Retail Accounting Report Consuming Application Certification

In preparation for the validation process, you should download and carefully read the NSI XML Retail Accounting Reports Validation Specification. This document provides details concerning the use of the Validation Toolkit, the design and implementation of the Validation Harness, performance of the validation process, and the contents of the Validation Report, including the format for the Validation Results.

2.3.1.1 Downloading the Validation Toolkit and Validation Data

In order to facilitate the construction of the Validation Harness and the performance of the validation process, the Certification and Verification Authority is providing access to a Validation Toolkit, as well as a unique set of Validation Data that has been generated based on the contents of the Conformance Statement you have submitted. You will be notified by email when the Validation Data and Validation Toolkit are available for download and provided with an appropriate link on the system for accessing the files to be downloaded. Please note that, before downloading the toolkit, you will be required to agree to a set of Terms and Conditions governing the use of this toolkit.

2.3.1.2 Performing the Validation

The Validation Specification provides information on setting up your validation environment and creating the Validation Harness that will be used to perform the validation of your XML Retail Accounting Report Consuming Application, using the Validation Toolkit and Validation Data downloaded from the system. 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.

2.3.1.3 Submitting the Validation Report

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 and documentation for your Validation Harness.

2.3.2 Validation Process for XML Retail Accounting Report Producing Application Certification/Verification

In preparation for the validation process, you should download and carefully read the NSI XML Retail Accounting Reports Validation Specification. This document provides details concerning the generation of the Validation Data, the design and implementation of the Validation Harness, performance of the validation process, and the contents of the Validation Report, including the format for the Validation Results.

2.3.2.1 Performing the Validation

The Validation Specification provides information on setting up your validation environment, creating the Validation Harness and generating the Validation Data that will be used to perform the validation of your XML Retail Accounting Report Producing Application. Parameters for generating this data will be provided to you by the Certification and Verification Authority based on your submitted Conformance Statement 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.

2.3.2.2 Submitting the Validation Report

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 and documentation for your Validation Harness.

2.4 Completion of Certification/Verification

Once your submission, including the validation process, is complete and a 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 technology 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 technology is certified or verified, it remains so for a defined period, after which it must be renewed or the technology 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 technology continues to conform for the duration of the renewal period.

Around three months prior to the expiration of your technology's certification or 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 is subject to a re-validation of your technology 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 technology 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.


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 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 technology'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 technology 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 technology certified or verified against the XML Retail Accounting Reports Technical Standard are defined in Section 5, "Certification/Verification Requirements for Modifications of a Certified/Verified Entity", of the NSI Policy Supplement for XML Retail Accounting Reports 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 technology and is subject to a new certification or verification. In this case, your organization should register this technology 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 2001-2007
Updated on May 7, 2007

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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