1. E-certification Update Train-the-Trainer Workshop September 17-18, 2001 Schools & Libraries Division, USAC

2. September 17-18, 2001 2 The information on this slide is believed to be true and accurate as of September 4, 2001. E-cert will Enhance Online Filing uFor Year 4, SLD received 32,121 470Cs and 32,803 471 paper certifications. uThese take time and money to process. uWith E-cert, applicant is sure cert is recorded in the system.

3. Schools & Libraries Division, USAC September 17-18, 2001 3 The information on this slide is believed to be true and accurate as of September 4, 2001. Basic Principles uSelf-certification is a cornerstone of program integrity; E-cert builds on that. uE-cert is consistent with Government Paperwork Elimination Act, the E-Sign Act, and state enactment of the Uniform Electronic Transactions Act. uE-cert will require User ID and PIN.

4. Schools & Libraries Division, USAC September 17-18, 2001 4 The information on this slide is believed to be true and accurate as of September 4, 2001. Basic Approach uApplicants will use PINs assigned to individuals who have hand-signed funded 471s or 486s that have been data entered. uThey will be used to sign forms. uCan be used to sign forms for multiple entities

5. Schools & Libraries Division, USAC September 17-18, 2001 5 The information on this slide is believed to be true and accurate as of September 4, 2001. How an Applicant Obtains a PIN uApply online on a secure web site starting from the SLD web site. uProvide name, date of birth, an e-mail address, a Form 471 or 486 # that person signed and an FRN from that form, and choose a User ID. uAffirm compliance with PIN usage requirements.

6. Schools & Libraries Division, USAC September 17-18, 2001 6 The information on this slide is believed to be true and accurate as of September 4, 2001. How an Applicant Obtains a PIN (contd) uIn doing so, applicant agrees using PIN is equivalent to handwritten signature, will keep PIN confidential, and will notify SLD if the PIN is lost or compromised. uSelect a mailing address from SLD database of eligible entities. uPIN is mailed to that address in a secure mailer.

7. Schools & Libraries Division, USAC September 17-18, 2001 7 The information on this slide is believed to be true and accurate as of September 4, 2001. Using a PIN uWhile filing a form online, when the applicant reaches the certification page, he or she will complete the certifications and type in name, title, and phone number, then choose to continue to a paper or electronic certification. uIf electronic, after checking information and printing the form, will see the certification page, and be asked to enter a User ID and PIN.

8. Schools & Libraries Division, USAC September 17-18, 2001 8 The information on this slide is believed to be true and accurate as of September 4, 2001. Using a PIN (contd) uThe individual using the PIN will also affirm: n that he or she represents the Block 1 entity and is authorized to make the certifications, and n that he or she understands that use of the PIN is equivalent to a handwritten signature and that, should the certifications prove to be untrue, he or she will be held to the same enforcement standards as someone who signs on paper.

9. Schools & Libraries Division, USAC September 17-18, 2001 9 The information on this slide is believed to be true and accurate as of September 4, 2001. Using a PIN (contd) uThe system will check for a match between User ID and PIN. uIf so, the application record will be updated to indicate a status of Certified, and a confirmation message will be displayed. uThe applicant will be encouraged to print the screen and file with the rest of the application.

10. Schools & Libraries Division, USAC September 17-18, 2001 10 The information on this slide is believed to be true and accurate as of September 4, 2001. Using a PIN (contd) uUser ID, PIN, and pertinent data from the form are captured, saving a "picture" of the data about which the applicant is certifying. uNo part of the application should be sent to SLD. uItem 21 attachments for Form 471 will still need to be submitted on paper to Kansas.

11. Schools & Libraries Division, USAC September 17-18, 2001 11 The information on this slide is believed to be true and accurate as of September 4, 2001. Other PIN Functionalities Applicants will be able to: uGet a reprint of the PIN, uHave a new PIN generated if the original is compromised, uHave the User ID e-mailed again, and uDisable the PIN temporarily.

12. Schools & Libraries Division, USAC September 17-18, 2001 12 The information on this slide is believed to be true and accurate as of September 4, 2001. Order of Forms Online and with E-cert Capability u470 -- Services Requested u471 -- Services Ordered u486 -- Services Confirmed u500 -- Service Change u472 (BEAR) -- Applicant Invoice

13. Schools & Libraries Division, USAC September 17-18, 2001 13 The information on this slide is believed to be true and accurate as of September 4, 2001. Integrity of E-Cert Process uE-cert plan was developed by USACs subcontractor, NCS Pearson, which also developed and administers the Student Authentication Network for use with the Free Application for Federal Student Aid (FAFSA) and other Student Financial Aid programs.

14. Schools & Libraries Division, USAC September 17-18, 2001 14 The information on this slide is believed to be true and accurate as of September 4, 2001. Integrity of E-Cert Process uWeb security will be based on: n Firewalls capable of intrusion detection and active blocking n Regularly scheduled vulnerability scans, reporting, and updates of security holes n Certificate authorities (Secure Sockets Layer or SSL) n Server event log mining n Encryption of PINs, which can only be decrypted with a password located in code in combination with an encrypted site key located in a database