Contributions Implementation Working Group Contributions Testing Certification and

Contributions Implementation Working Group Contributions Testing, Certification and Induction Contributions Conformance Testing Guide Presented by Australian Taxation Office 28 February 2014

Contributions testing, certification and induction 1. SYSTEM DEVELOPMENT AND TESTING § 2. 3 RD PARTY CERTIFICATION TESTING § 3. Exchange of messages in production between induction cohort participants SUPERSTREAM NETWORK § Super Stream End to end, partner based testing of solutions INDUCTION § 5. Role/solution based testing against a standard test harness PEER TO PEER PRE-INDUCTION TESTING § 4. Multiple entities, multiple possible solutions Completion of induction and certified operation in the Super. Stream Network 2

Contributions certification overview 1 2 3 Third party certification Induction certification Superstream network Entry requirement: a) Software package or service designed for Super. Stream standard b) Registration with 3 rd party certification service Entry requirement: a) 3 rd party certification b) Peer to peer and solution partner pre-production testing Entry requirement: Induction certification completed Method: 3 rd party certification testing Outcome: a) Solution type and implementation is 3 rd party certified b) Certified as compliant with specific version of Super. Stream standard. Method: Induction process message exchange in production Outcome: Able to transact in Super. Stream network. Outcome: a) Cross-certification with peers in production. b) Certified as compliant with specific version of Super. Stream standard. 2 a 2 b Product register FVS Entry requirement: a) Software package or service solution designed for Super. Stream standard b) Induction certification completed Entry requirement: a) Superannuation fund b) Induction certification completed Method: Product owner update Outcome: Register records induction certified status. Super Stream Method: Trustee notification to ATO Outcome: FVS records induction certified status. 3

Contributions Conformance Testing Guide 1 PURPOSE 2 BACKGROUND 3 CONFORMANCE TESTING 3. 1 3. 2 CONTRIBUTIONS CERTIFICATION EXPECTATION 3. 3 CONTRIBUTONS CERTIFICATION SUMMARY 3. 4 CONTRIBUTIONS TESTING REQUIREMENT 3. 5 4 CONTRIBUTIONS MESSAGING TEST SCENARIOS CONTRIBUTONS TEST CASES END TO END TEST SCENARIOS 4. 1 END TO END TEST CASE CATALOGUE 4. 2 MEMBER REGISTRATION REQUEST (MRR) AND RESPONSE (MROR) 4. 3 MEMBER CONTRIBUTIONS TRANSACTION REQUEST (CTR) AND RESPONSE (CTER) 4. 4 COMBINED MEMBER REGISTRATION REQUEST (MRR) AND MEMBER CONTRIBUTIONS TRANSACTION REQUEST (CTR) MESSAGES 5 APPENDIX A - SOLUTION SCENARIOS 5. 1 5. 2 EMPLOYER WITH STANDALONE SOLUTION INCLUDING MESSAGING TO RECEIVING GATEWAY TO FUND 5. 3 EMPLOYER WITH OWN PAYROLL SYSTEM 5. 4 EMPLOYER WITH COMMERCIAL PAYROLL SOFTWARE 5. 5 EMPLOYER USING PAYROLL BUREAU 5. 6 FUND WITH OWN REGISTRY SYSTEM 5. 7 FUND WITH COMMERCIAL REGISTRY SYSTEM 5. 8 5 EMPLOYER BRIDGING SOLUTIONS SMSF WITH SMSF SERVICE PROVIDER APPENDIX B – ERROR MESSAGES Super Stream 4

Contributions testing, certification and induction 1. SYSTEM DEVELOPMENT AND TESTING § Super Stream Multiple entities, multiple possible solutions 5

Contributions solution scenarios – Example The employer uses commercial payroll software to extract the payroll data, an external service provider is used to transform the data and deliver the XBRL message to a contracted gateway service provider who passes the eb. MS message to the fund’s gateway service provider. Employer Domain Fund Domain Employer Fund 6 1 7 11 Gateway 10 2 3 Registry system Payroll software 8 Service provider Payroll Bureau 4 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Super Stream Payroll data transformation XBRL packaging 13 eb. MS wrapping Message transmission Message receipt and delivery SMSF Message unpacking and processing 6

Contributions testing, certification and induction 1. SYSTEM DEVELOPMENT AND TESTING § Multiple entities, multiple possible solutions 1. Employer bridging solutions a) Bridging solution - Employer direct to fund interface (no eb. MS messaging) b) Bridging solution with pass through - Employer direct to fund interface (some eb. MS messaging) 2. Employer with standalone solution including messaging to receiving gateway to fund a) Payroll (extract, construct XBRL, add eb. MS wrapper) to (receiving) gateway to fund 3. Employer with own payroll system a) Payroll (extract, construct XBRL) to gateway (add eb. MS wrapper) to gateway to fund b) Payroll (extract) to service provider (construct XBRL) to gateway (eb. MS) to gateway to fund c) Payroll (extract) to clearing house (process, construct XBRL) to gateway (eb. MS) to gateway to fund 4. Employer with commercial payroll software 1. Payroll software (extract, construct XBRL) to gateway (add eb. MS wrapper) to gateway to fund 2. Payroll software (extract) to service provider (construct XBRL) to gateway (eb. MS) to gateway to fund 3. Payroll software (extract) to clearing house (process, construct XBRL) to gateway (eb. MS) to gateway to fund 5. Employer using payroll bureau a) Payroll bureau (extract, construct XBRL) to gateway (eb. MS) to gateway to fund b) Payroll bureau (extract) to service provider (construct XBRL) to gateway (eb. MS) to gateway to fund c) Payroll bureau (extract) to clearing house (process, construct XBRL) to gateway (eb. MS) to gateway to fund Super Stream 7

Contributions testing, certification and induction 1. SYSTEM DEVELOPMENT AND TESTING § Multiple entities, multiple possible solutions 6. Fund with own registry system a) Gateway to fund (deconstruct XBRL, extract data, process to registry ) b) Gateway to service provider (deconstruct XBRL, extract data) to fund (process to registry) c) Gateway to fund administrator (deconstruct XBRL, extract data, process to registry) 7. Fund with commercial registry system a) Gateway to fund (deconstruct XBRL, extract data, process to registry ) b) Gateway to service provider (deconstruct XBRL, extract data) to fund (process to registry) c) Gateway to fund administrator (deconstruct XBRL, extract data, process to registry) 8. SMSF with SMSF service provider a) Gateway to SMSF service provider (deconstruct XBRL, extract data) to fund (notify SMSF) Super Stream 8

2 a. Employer with standalone solution - Payroll (extract, construct XBRL, add eb. MS wrapper) to (receiving) gateway to fund Fund Domain Employer Fund 6 1 7 11 Gateway 10 Certification required 2 3 Payroll software Integrated XBRL Registry system Integrated eb. MS 8 Service provider Payroll Bureau 4 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Super Stream Payroll data transformation XBRL packaging 13 eb. MS wrapping Message transmission Message receipt and delivery SMSF Message unpacking and processing 9

Contributions solution scenarios – 3 rd party certification scenarios Scenario 3 b. The employer uses own payroll software to extract the payroll data, an external service provider is used to transform the data and deliver the XBRL message to a contracted gateway service provider who passes the eb. MS message to the fund’s gateway service provider. Employer Domain Fund Domain Employer 1 Fund Certification required Certification 6 required 7 11 Gateway 10 2 Payroll software Ce rti fic Registry system ati 8 on r eq u ire 3 Payroll Bureau Service provider d 4 9 Service provider Fund Administ rator Clearing house 12 Super Stream Payroll data transformation XBRL packaging 13 SMSF Service Provider 5 Payroll data extraction Certification required eb. MS wrapping Message transmission Message receipt and delivery SMSF Message unpacking and processing 10

Contributions testing, certification and induction 3 RD PARTY CERTIFICATION TESTING INDUCTION TESTING Super Stream 11

Contributions testing, certification and induction 3 RD PARTY CERTIFICATION TESTING INDUCTION TESTING Super Stream 12

Contributions testing, certification and induction 3 RD PARTY CERTIFICATION TESTING INDUCTION TESTING Super Stream 13

Contributions solution scenarios – Testing scenarios The employer uses commercial payroll software to extract the payroll data, an external service provider is used to transform the data and deliver the XBRL message to a contracted gateway service provider who passes the eb. MS message to the fund’s gateway service provider. Employer Domain Fund Domain Testing required Employer 6 1 Fund 7 Tes ting Gateway req uir 11 ed re qu ire ng in g Registry system req Te st 8 Te sti 2 Payroll software uir e d 10 d 3 Service provider Payroll Bureau 4 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Super Stream Payroll data transformation XBRL packaging 13 eb. MS wrapping Message transmission Message receipt and delivery SMSF Message unpacking and processing 14

Contributions certification overview 1 2 3 Third party certification Induction certification Superstream network Entry requirement: a) Software package or service designed for Super. Stream standard b) Registration with 3 rd party certification service Entry requirement: a) 3 rd party certification b) Peer to peer and solution partner pre-production testing Entry requirement: Induction certification completed Method: 3 rd party certification testing Outcome: a) Solution type and implementation is 3 rd party certified b) Certified as compliant with specific version of Super. Stream standard. Method: Induction process message exchange in production Outcome: Able to transact in Super. Stream network. Outcome: a) Cross-certification with peers in production. b) Certified as compliant with specific version of Super. Stream standard. 2 a 2 b Product register FVS Entry requirement: a) Software package or service solution designed for Super. Stream standard b) Induction certification completed Entry requirement: a) Superannuation fund b) Induction certification completed Method: Product owner update Outcome: Register records induction certified status. Super Stream Method: Trustee notification to ATO Outcome: FVS records induction certified status. 15

Contributions testing, certification and induction TEST CASE SUMMARY - Registrations § § No contribution transaction error response (CTER) messages will be involved in the initial induction process. No member registration outcome (MROR) (success) responses or member registration outcome (MROR) error responses will be involved in the initial induction process. Super Stream 16

Contributions testing, certification and induction TEST CASE SUMMARY - Contributions Super Stream 17

Contributions testing, certification and induction TEST CASE SUMMARY – Registrations and Contributions Combined Super Stream 18

Contributions testing, certification and induction TEST CASE SUMMARY - Registrations § § No contribution transaction error response (CTER) messages will be involved in the initial induction process. No member registration outcome (MROR) (success) responses or member registration outcome (MROR) error responses will be involved in the initial induction process. Super Stream 19

Contributions testing, certification and induction TEST CASE SUMMARY – Contributions and Combined Super Stream 20

Questions? Super Stream 21