GUIDE EXTERNAL FEBRUARY 2014 UNCLASSIFIED FORMAT AUDIENCE DATE CLASSIFICATION SUPERSTREAM Contributions Conformance Testing Guide A guide to the contributions conformance testing process for employers, funds and solution providers VERSION 0.78 DRAFT UNCLASSIFIED For further information or questions, email [email protected] SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE VERSION CONTROL Version Release date Description of changes V0.75 24.02.2014 Initial draft for internal review V0.78 26.02.2014 Changes from internal review SUPERSTREAM CONTRIBUTIONS PAGE 2 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE ENDORSEMENT APPROVAL Philip Hind Super Stream Data Standards & E-commerce sub-program (Super Reform Program) – ATO (National Program Manager) SUPERSTREAM CONTRIBUTIONS PAGE 3 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE TABLE OF CONTENTS 1 PURPOSE ........................................................................................................................ 6 2 BACKGROUND ................................................................................................................ 6 2.1 2.2 2.3 2.4 3 AUDIENCE ................................................................................................................................................ 6 DOCUMENT CONTENT .............................................................................................................................. 6 TERMINOLOGY ......................................................................................................................................... 7 OTHER RELATED DOCUMENTS ................................................................................................................ 7 CONFORMANCE TESTING ............................................................................................. 8 3.1 CONTRIBUTIONS MESSAGING TEST SCENARIOS ........................................................................................ 8 3.1.1 Employers, funds, gateways and other solution partners ................................................................... 8 3.1.2 Solution type overview and example ................................................................................................... 9 3.1.3 Employer solution scenarios ............................................................................................................. 10 3.1.4 Fund solution scenarios .................................................................................................................... 11 3.2 CONTRIBUTIONS CERTIFICATION EXPECTATION ..................................................................................... 12 3.2.1 Certification and testing requirements matrix .................................................................................. 13 3.2.2 Third Party Certification expectation ............................................................................................... 14 3.2.3 Induction Certification expectation .................................................................................................. 14 3.2.4 Certification and testing scenarios overview.................................................................................... 15 3.3 CONTRIBUTONS CERTIFICATION SUMMARY ........................................................................................... 17 3.4 CONTRIBUTIONS TESTING REQUIREMENT ............................................................................................... 19 3.4.1 Peer to peer and partner testing checklist ........................................................................................ 19 3.5 CONTRIBUTONS TEST CASES .................................................................................................................. 20 3.5.1 Employer registration transaction request testing ........................................................................... 20 3.5.2 Employer contribution transaction request testing .......................................................................... 20 3.5.3 Fund registration transaction request testing .................................................................................. 21 3.5.4 Fund contribution transaction request testing ................................................................................. 21 3.5.5 Employer combined registration and contribution request testing .................................................. 22 3.5.6 Fund combined registration and contribution request testing ......................................................... 22 4 END TO END TEST SCENARIOS ................................................................................. 23 4.1 END TO END TEST CASE CATALOGUE ...................................................................................................... 23 4.2 MEMBER REGISTRATION REQUEST (MRR) AND RESPONSE (MROR) ..................................................... 24 4.2.1 Positive test cases (Single business document)................................................................................. 24 4.2.2 Negative test cases ............................................................................................................................ 25 4.3 MEMBER CONTRIBUTIONS TRANSACTION REQUEST (CTR) AND RESPONSE (CTER).............................. 26 4.3.1 Positive test cases (Single business document)................................................................................. 26 4.3.2 Negative test cases ............................................................................................................................ 27 4.4 COMBINED MEMBER REGISTRATION REQUEST (MRR) AND MEMBER CONTRIBUTIONS TRANSACTION REQUEST (CTR) MESSAGES ................................................................................................................................. 28 4.4.1 Positive test cases (Single business document)................................................................................. 28 4.4.2 Negative test cases (Single business document) ............................................................................... 29 5 APPENDIX A - SOLUTION SCENARIOS ...................................................................... 30 5.1 EMPLOYER BRIDGING SOLUTIONS .......................................................................................................... 30 5.1.1 (1a) Bridging solution - Employer direct to fund interface (no ebMS messaging) .......................... 30 5.1.2 (1b) Bridging solution with pass through - Employer direct to fund interface (some ebMS messaging) ..................................................................................................................................................... 31 5.2 EMPLOYER WITH STANDALONE SOLUTION INCLUDING MESSAGING TO RECEIVING GATEWAY TO FUND 32 5.2.1 (2a) Payroll (extract, construct XBRL, add ebMS wrapper) to (receiving) gateway to fund........... 32 5.3 EMPLOYER WITH OWN PAYROLL SYSTEM .............................................................................................. 33 5.3.1 (3a) Payroll (extract, construct XBRL) to gateway (add ebMS wrapper) to gateway to fund ......... 33 5.3.2 (3b) Payroll (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund 34 SUPERSTREAM CONTRIBUTIONS PAGE 4 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.3.3 (3c) Payroll (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund 35 5.4 EMPLOYER WITH COMMERCIAL PAYROLL SOFTWARE ............................................................................ 36 5.4.1 (4a) Payroll software (extract, construct XBRL) to gateway (add ebMS wrapper) to gateway to fund 36 5.4.2 (4b) Payroll software (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund 37 5.4.3 (4c) Payroll software (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund .............................................................................................................................................. 38 5.5 EMPLOYER USING PAYROLL BUREAU ..................................................................................................... 39 5.5.1 (5a) Payroll bureau (extract, construct XBRL) to gateway (ebMS) to gateway to gateway to fund 39 5.5.2 (5b) Payroll bureau (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund 40 5.5.3 (5c) Payroll bureau (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund .............................................................................................................................................. 41 5.6 FUND WITH OWN REGISTRY SYSTEM ...................................................................................................... 42 5.6.1 (6a) Gateway to fund registry (deconstruct XBRL, extract data, process to registry) ..................... 42 5.6.2 (6b) Gateway to service provider (deconstruct XBRL, extract data) to fund (process to registry).. 43 5.6.3 (6c) Gateway to fund administrator (deconstruct XBRL, extract data, process to registry)............ 44 5.7 FUND WITH COMMERCIAL REGISTRY SYSTEM ........................................................................................ 45 5.7.1 (7a) Gateway to fund registry (deconstruct XBRL, extract data, process to registry) ..................... 45 5.7.2 (7b) Gateway to service provider (deconstruct XBRL, extract data) to fund (process to registry).. 46 5.7.3 (7c) Gateway to fund administrator (deconstruct XBRL, extract data, process to registry)............ 47 5.8 SMSF WITH SMSF SERVICE PROVIDER...................................................................................................... 48 5.8.1 (8a) Gateway to SMSF service provider (deconstruct XBRL, extract data, notify SMSF)............... 48 6 APPENDIX B - ERROR MESSAGES ............................................................................ 49 SUPERSTREAM CONTRIBUTIONS PAGE 5 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 1 PURPOSE The purpose of this document is to provide guidance for employers, funds, software developers and solution providers when undertaking conformance testing against the SuperStream contributions standard. From July 1 2014 the set of contributions transactions being implemented include: 2 o Member registration request (MRR) o Member registration outcome response (MROR) o Member contributions transaction request (CTR) o Member contributions error response (CTER) BACKGROUND From 1 July 2014 employers, funds, software developers and solution providers are required to communicate contribution messages and employer registration messages in accordance with the super Stream Standard. 2.1 AUDIENCE The audience for this document is any employer, fund, software developer and solution providers that will be developing or extending their software to make it compliant with the Superannuation Data and Payment Standard 2012 (The ‘Standard’). This document has been written for an audience expected to be familiar with the following: • XBRL – www.xbrl.org 2.2 • ebMS3.0/AS4 - www.oasis-open.org/standards • SuperStream program – www.ato.gov.au/datastandards • SBR Program – www.sbr.gov.au. DOCUMENT CONTENT The document provides sample test cases for execution by Software Developers as part of a self-certification process up to and including interoperability testing. This document contains a list of test cases to assist in validating the following: • AS4 ebMS message conformance and testing supporting Superstream business to business exchange of data • The application code complies with the business rules defined in the corresponding Message Implementation Guide (MIG) for the transaction. SUPERSTREAM CONTRIBUTIONS PAGE 6 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 2.3 • The application code generates an XBRL report instance that complies with the XBRL Definitional and Report Taxonomies and associated Schematron rules. • The application code would test the business logic, sequencing and exception handling. TERMINOLOGY For definition of the terminology and acronyms used within this document, please refer to the glossary on the SBR website. The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED", "MAY", and "OPTIONAL" in this document are to be interpreted as described in RFC2119 http://www.ietf.org/rfc/rfc2119.txt. The use of the word "MANDATORY" is to be read as must. 2.4 OTHER RELATED DOCUMENTS This document is to be used in conjunction with these related documents: • Contributions MIG - Data and Payment Standard - Contributions Message Implementation Guide and supporting XBRL reporting taxonomy [insert hyperlink] to implement each transaction that will be supported by the application. • Message Orchestration & Profiles - Data and Payment Standard - Message Orchestration & Profiles SUPERSTREAM CONTRIBUTIONS PAGE 7 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 3 CONFORMANCE TESTING This section gives an overview of contribution messaging solution scenarios, certification requirements for messaging solutions and a testing conformance suite that is mapped to the solution and certification scenarios. 3.1 CONTRIBUTIONS MESSAGING TEST SCENARIOS At the business level, a member registration transaction request and a member contributions transaction request are end to end transactions between an employer and a fund. The actual implementation solution for these transactions may involve a number of partner entities including payroll software providers, clearing houses, messaging gateways and other superannuation solution providers. This section identifies and categorises the overall scenarios that may apply to testing of each particular employer to fund messaging solution. 3.1.1 Employers, funds, gateways and other solution partners A number of partner entities including payroll software providers, clearing houses, messaging gateways and other superannuation solution providers, along with the employer, the fund and gateways, in any particular solution. The table below lists the main identified solution partners and provides a description of the likely role and function of each. Entity/component/role 1. Employer 2. Payroll software 3. Payroll bureau 4. Employer service provider 5. Clearing house 6. Employer gateway 7. Fund gateway 8. Fund service provider 9. Fund Administrator 10. Registry system 11. Fund 12. SMSF service provider 13. SMSF Description An employer who is required to make contributions and report superannuation payments according to the SuperStream standards. A software system that calculates and records, wages and other employee benefits for an employer. A service provider that arranges the calculation and payment of salary, wages and other employee benefits on behalf of an employer. A service provider that transforms contributions information into XBRL documents to send to a fund and unpacks response message received on behalf of an employer. A service provider arranges the payment of salary, wages and/or other employee benefits on behalf of an employer. The access an employer uses to send messages within the SuperStream network The access point a fund uses to send messages within the SuperStream network A service provider that unpacks contributions information from XBRL documents received and creates responses message on behalf of fund. A service provider that manages superannuation registry information on behalf of a fund. A software system used by a superannuation fund to member record contributions and calculate benefits for superannuation fund members. A superannuation fund is a complying super fund, public sector super scheme (regulated or exempt public sector super scheme), complying approved deposit fund or a retirement savings account A service provider that acts as the messaging access point in the SuperStream network on behalf of an SMSF Self-managed super fund. SUPERSTREAM CONTRIBUTIONS PAGE 8 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 3.1.2 Solution type overview and example The diagram below provides an example of an employer solution scenario and the interactions between the various entities involved in the passing of contributions transactions between the employer and funds. In this 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 ebMS message to the fund’s gateway service provider. Depending on the fund’s implementation, the message might be processed by commercial registry software, a service provider or a fund administrator and in the case of an SMSF, by a SMSF service provider. 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 ebMS message to the fund’s gateway service provider. Employer Domain Fund Domain Employer Fund 6 1 7 11 Gateway 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 Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery SUPERSTREAM CONTRIBUTIONS 13 SMSF Message unpacking and processing PAGE 9 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 3.1.3 Employer solution scenarios The main identified solution scenarios are listed below and each is illustrated in detail with explanation and a diagram, based on the format of the example above, in Appendix A. 1. Employer bridging solutions a. Bridging solution - Employer direct to fund interface (no ebMS messaging) b. Bridging solution with pass through - Employer direct to fund interface (some ebMS messaging) 2. Employer with standalone solution including messaging to receiving gateway to fund a. Payroll (extract, construct XBRL, add ebMS wrapper) to (receiving) gateway to fund 3. Employer with own payroll system a. Payroll (extract, construct XBRL) to gateway (add ebMS wrapper) to gateway to fund b. Payroll (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund c. Payroll (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund 4. Employer with commercial payroll software a. Payroll software (extract, construct XBRL) to gateway (add ebMS wrapper) to gateway to fund b. Payroll software (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund c. Payroll software (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund 5. Employer using payroll bureau a. Payroll bureau (extract, construct XBRL) to gateway (ebMS) to gateway to gateway to fund b. Payroll bureau (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund c. Payroll bureau (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund SUPERSTREAM CONTRIBUTIONS PAGE 10 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 3.1.4 Fund solution scenarios 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) SUPERSTREAM CONTRIBUTIONS PAGE 11 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 3.2 CONTRIBUTIONS CERTIFICATION EXPECTATION The start-up pathway for contributions messaging solutions consists of two parts, a 3rd party certification process and an induction (cross-certification) process. Third Party certification A trustee may engage an independent third party to conduct certification of their data standards solution. This would be undertaken against an industry standard conformance suite and evidence of certification issued by the third party. A certification process supported by a collaborative (3rd party) test facility is a core part of the start-up pathway for contributions messaging solutions. Each ‘solution’ will need to have completed third party certification prior to acceptance into the induction process. Induction certification (Cross-certification, peer to peer) A trustee can certify that they can send and receive messages in the standard (schedule 4(a) or 4(b)) by undertaking appropriate test and/or production transactions with a third party. The induction process conducted by exchanging messages in the production environment will facilitate the cross-certification of messaging solutions by the induction cohort participants. This document supports a the processes for certification of products and implementation of the Standard by publishing a test and conformance suite for contributions, including a standard set of test cases, which will form the basis for 3rd party certification and induction certification. An overview of the certification and induction processes is shown in the diagram below. SUPERSTREAM CONTRIBUTIONS PAGE 12 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE Contributions certification overview 1 2 3 Third party certification Induction certification Superstream network Entry requirement: a) Software package or service designed for SuperStream standard b) Registration with 3rd party certification service Entry requirement: a) 3rd party certification b) Peer to peer and solution partner pre-production testing Entry requirement: Induction certification completed Method: 3rd party certification testing Method: Induction process message exchange in production Outcome: a) Solution type and implementation is 3rd party certified b) Certified as compliant with specific version of SuperStream standard. Outcome: a) Cross-certification with peers in production. b) Certified as compliant with specific version of SuperStream standard. 2a Outcome: Able to transact in SuperStream network. 2b Product register FVS Entry requirement: a) Software package or service solution designed for SuperStream standard b) Induction certification completed Entry requirement: a) Superannuation fund b) Induction certification completed Method: Trustee notification to ATO Method: Product owner update Outcome: FVS records induction certified status. Outcome: Register records induction certified status. 3.2.1 Certification and testing requirements matrix The table below summarises the certification and testing requirements for each the entities potentially involved in contributions messaging solutions. Contributions certification and testing requirements matrix rd Payroll solutions Clearing houses Gateways Funds Fund service providers Fund administrators Fund registry solutions SMSF service providers 3 part certification P2P and partner pre-induction testing Induction certification (P2P cross-certification) Yes Yes No Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes SUPERSTREAM CONTRIBUTIONS PAGE 13 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 3.2.2 Third Party Certification expectation Third Party certification is expected for entities utilising a SuperStream conforming payload (i.e. XBRL) or message protocol (ebMS) before entry into induction testing and includes: a. Payroll solutions b. Clearing house c. (Not required for Gateways) d. Funds e. Fund service providers f. Fund Administrators g. Fund registry solutions h. SMSF service providers 3.2.3 Induction Certification expectation Induction certification (peer to peer cross-certification) is expected for entities utilising a SuperStream conforming payload (i.e. XBRL) or message protocol (ebMS), and includes a. Payroll solutions b. Clearing house c. Gateways d. Funds e. Fund service providers f. Fund Administrators g. Fund registry solutions h. SMSF service providers SUPERSTREAM CONTRIBUTIONS PAGE 14 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 3.2.4 Certification and testing scenarios overview Gateways 1. Gateway solutions to obtain induction certification only Employer side solutions 1. Payroll solutions to obtain certification 2. Clearing house solutions to obtain certification 3. Payrolls using clearing house (for transformation) to obtain certification a. Business logic differs by payroll provider, so each combination needs certification but only needs to be done once (with primary clearing house partner) 4. Payrolls using service provider (for transformation) to obtain certification a. Business logic differs by payroll provider, so each combination needs certification but only needs to be done once (with primary service provider) Fund side solutions 1. Registry solutions to obtain certification 2. Fund administrator solutions to obtain certification 3. Service provider solutions to obtain certification 4. SMSF service providers to obtain certification An example of the 3rd party certification requirements for one of the solution scenarios is shown below. Each of the identified solution scenarios is discussed in detail in Appendix A. Contributions solution scenarios – 3rd party certification scenarios Scenario 4b. 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 ebMS message to the fund’s gateway service provider. Employer Domain Fund Domain Employer 6 1 Fund Certification required Certification required 7 11 Gateway Gateway Certification required 2 3 10 Registry system Payroll software 8 Service provider Payroll Bureau Certification 4 required 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Certification required Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 15 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE An example of the peer to peer pre-induction testing requirements for one of the solution scenarios is shown below. Each of the identified solution scenarios is discussed in detail in Appendix A. 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 ebMS message to the fund’s gateway service provider. Employer Domain Fund Domain Testing required Employer 6 1 Fund 7 11 Gateway 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 Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery SUPERSTREAM CONTRIBUTIONS 13 SMSF Message unpacking and processing PAGE 16 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 3.3 CONTRIBUTONS CERTIFICATION SUMMARY The table below summarises the certification steps expected for each of the solution scenarios identified in sections 3.13 and 3.14. Scenario Certification steps Employers 1. Employer bridging solutions a .Bridging solution - Employer direct to fund interface (no ebMS messaging) b. Bridging solution with pass through Employer direct to fund interface (no ebMS messaging) 3 party certification expected Induction certification expected (Statement of compliance required.) (Statement of compliance required.) Service provider XBRL Not required rd Service provider XBRL Gateway ebMS 2. Employer with standalone solution including messaging to receiving gateway to fund a. Payroll (extract, construct XBRL, add Employer payroll extract Employer payroll extract ebMS wrapper) to (receiving) gateway to Employer XBRL Employer XBRL fund Employer ebMS Employer ebMS 3. Employer with own payroll system a. Payroll (extract, construct XBRL) to gateway (add ebMS wrapper) to gateway to fund b. Payroll (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund c. Payroll (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund Employer payroll extract Employer XBRL Employer payroll extract and Service provider XBRL combined solution Employer payroll extract and Clearing house XBRL combined solution Employer payroll extract Employer XBRL Gateway ebMS Employer payroll extract Service provider XBRL Gateway ebMS Employer payroll extract Clearing house XBRL Gateway ebMS 4. Employer with commercial payroll software a. Payroll software (extract, construct Commercial payroll extract XBRL) to gateway (add ebMS wrapper) Commercial payroll XBRL to gateway to fund b. Payroll software (extract) to service Commercial payroll extract provider (construct XBRL) to gateway Service provider XBRL (ebMS) to gateway to fund c. Payroll software (extract) to clearing Commercial payroll extract house (process, construct XBRL) to Clearing house XBRL gateway (ebMS) to gateway to fund Commercial payroll extract Commercial payroll XBRL Gateway ebMS Commercial payroll extract Service provider XBRL Gateway ebMS Commercial payroll extract Clearing house XBRL Gateway ebMS 5. Employer using payroll bureau a. Payroll bureau (extract, construct XBRL) to gateway (ebMS) to gateway to gateway to fund b. Payroll bureau (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund c. Payroll bureau (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund Payroll bureau extract Payroll bureau XBRL Gateway ebMS Payroll bureau extract Service provider XBRL Gateway ebMS Payroll bureau extract Clearing house XBRL Gateway ebMS Funds 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) Payroll bureau extract Payroll bureau XBRL Payroll bureau extract Service provider XBRL Payroll bureau extract Clearing house XBRL Gateway XBRL process Gateway process to registry Service provider XBRL process Fund process to registry SUPERSTREAM CONTRIBUTIONS Gateway ebMS Gateway XBRL process Gateway process to registry Gateway ebMS Service provider XBRL process Fund process to registry PAGE 17 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE c. Gateway to fund administrator (deconstruct XBRL, extract data, process to registry) Fund admin XBRL process Fund admin process to registry Gateway ebMS Fund admin XBRL process Fund admin process to registry 7. Fund with commercial registry system a. Gateway to fund (deconstruct XBRL, extract data, process to registry ) Gateway XBRL process Gateway process to registry b. Gateway to service provider (deconstruct XBRL, extract data) to fund Service provider XBRL process (process to registry) Commercial registry process c. Gateway to fund administrator (deconstruct XBRL, extract data, process Fund admin XBRL process to registry) Commercial registry process Gateway ebMS Gateway XBRL process Gateway process to registry Gateway ebMS Service provider XBRL process Commercial registry process Gateway ebMS Fund admin XBRL process Commercial registry process 8. SMSF with SMSF service provider a. Gateway to SMSF service provider (deconstruct XBRL, extract data) to fund (notify SMSF) SMSF provider XBRL process SUPERSTREAM CONTRIBUTIONS SMSF provider XBRL process PAGE 18 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 3.4 CONTRIBUTIONS TESTING REQUIREMENT The certification processes and pre-induction testing required for contributions messaging solutions must test the following: Employer testing scenarios a. Payroll data extraction b. XBRL message construction c. ebMS message transmission d. ebMS (response) message receipt e. XBRL message deconstruction f. Error message processed Fund testing scenarios a. ebMS message receipt b. XBRL message deconstruction c. Contributions data processing to registry d. Response message created e. XBRL message construction f. ebMS message transmission 3.4.1 Peer to peer and partner testing checklist Business tests – end to end 1. Positive tests and responses 2. Negative tests and responses 3. End to end processing success 4. Accuracy of data extraction, processing and recording 5. Payment reconciliation Messaging tests 1. Presence of fields a. Mandatory fields present b. Conditional and dependent fields present if required 2. Values a. Values according to taxonomy b. Cross field validations c. Other business rules – employer d. Other business rules – fund 3. XBRL a. Message correctly formed b. Message internally consistent – context and data 4. XML (responses) a. Message correctly formed b. Message internally consistent – parameters and eventitems 5. ebMS a. Header and wrapper correct b. Transmission and receipt successful c. Response messages correctly packaged d. Response message transmission and receipt successful SUPERSTREAM CONTRIBUTIONS PAGE 19 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 3.5 CONTRIBUTONS TEST CASES During the initial induction process, member registration request (MRR) and contribution transaction request (CTR) messages will be involved. After the initial induction process, subsequent induction testing processes will involve all of MRR, MROR, CTR and CTER messages. 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. The certification process for registration and contributions messaging solutions must test the following: 3.5.1 Employer registration transaction request testing This involves sending member registration request messages. Registration response messages will be received. Registration error responses will also be received. No MROR for initial induction process: Test number Description MRR.01 MRR, Single business document, Single member, TFN provided, MROR response MRR.02 MRR, Single business document, Multiple members, TFN provided, MROR response MRR.03 MRR, Single business document, Single member, TFN not provided, MROR response MRR.04 MRR, Single business document, Multiple members, TFN not provided, MROR response Not for initial induction process: Test number MROR.E01 MROR.E02 MROR.E03 3.5.2 Description MRR, Single member, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied. MRR, Multiple members, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied (partial severity) MRR, Multiple members, Multiple responses, SUPER.GEN.GEN.4 Mandatory data element not supplied (progressive severity) Employer contribution transaction request testing This involves sending member contribution transaction request messages. Contributions error response messages will be received. Test number Description CTR.01 Single business document, Single member, TFN provided CTR.02 Single business document, Multiple members, TFN provided CTR.03 Single business document, Single member, TFN not provided CTR.04 Single business document, Multiple members, TFN not provided SUPERSTREAM CONTRIBUTIONS PAGE 20 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE Not for initial induction process: Test number Single member, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied. Multiple members, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied (partial severity) Multiple members, Multiple responses, SUPER.GEN.GEN.4 Mandatory data element not supplied (progressive severity) CTER.E01 CTER.E02 CTER.E03 3.5.3 Description Fund registration transaction request testing This involves receiving member registration request messages. Registration response messages will be sent. Registration error responses will also be sent. No MROR for initial induction process: Test number Description MRR.01 MRR, Single business document, Single member, TFN provided, MROR response MRR.02 MRR, Single business document, Multiple members, TFN provided, MROR response MRR.03 MRR, Single business document, Single member, TFN not provided, MROR response MRR.04 MRR, Single business document, Multiple members, TFN not provided, MROR response Not for initial induction process: Test number MRR, Single member, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied. MRR, Multiple members, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied (partial severity) MRR, Multiple members, Multiple responses, SUPER.GEN.GEN.4 Mandatory data element not supplied (progressive severity) MROR.E01 MROR.E02 MROR.E03 3.5.4 Description Fund contribution transaction request testing This involves receiving member contribution transaction request messages. Contributions error response messages will be sent. Test number Description CTR.01 Single business document, Single member, TFN provided CTR.02 Single business document, Multiple members, TFN provided CTR.03 Single business document, Single member, TFN not provided CTR.04 Single business document, Multiple members, TFN not provided CTR.05 Multiple business documents, Multiple funds, Multiple members, TFN provided, Single fund gateway (pass through) Not for initial induction process: Test number CTER.E01 CTER.E02 CTER.E03 . Description Single member, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied. Multiple members, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied (partial severity) Multiple members, Multiple responses, SUPER.GEN.GEN.4 Mandatory data element not supplied (progressive severity) SUPERSTREAM CONTRIBUTIONS PAGE 21 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 3.5.5 Employer combined registration and contribution request testing This involves receiving combined member registration and member contributions request messages. Registration response messages will be sent. Registration error responses will also be sent. Contributions error response messages will be sent. Test number Description MRCTR.01 Single business document, Single member, TFN provided MRCTR.02 Single business document, Multiple members, TFN provided MRCTR.03 Single business document, Single member, TFN not provided MRCTR.04 Single business document, Multiple members, TFN not provided MRCTR.05 Multiple business documents, Multiple funds, Multiple members, TFN provided, Single fund gateway (pass through) Test number Description MRCTR.E01 MRCTR.E02 MRCTR.E03 3.5.6 Single member, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied. Multiple members, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied (partial severity) Multiple members, Multiple responses, SUPER.GEN.GEN.4 Mandatory data element not supplied (progressive severity) Fund combined registration and contribution request testing This involves receiving combined member registration and member contributions request messages. Registration response messages will be sent. Registration error responses will also be sent. Contributions error response messages will be sent. No MROR for initial induction process: Test number Description MRCTR.01 Single business document, Single member, TFN provided MRCTR.02 Single business document, Multiple members, TFN provided MRCTR.03 Single business document, Single member, TFN not provided MRCTR.04 Single business document, Multiple members, TFN not provided Not for initial induction process: Test number MRCTR.E01 MRCTR.E02 MRCTR.E03 Description Single member, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied. Multiple members, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied (partial severity) Multiple members, Multiple responses, SUPER.GEN.GEN.4 Mandatory data element not supplied (progressive severity) SUPERSTREAM CONTRIBUTIONS PAGE 22 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 4 END TO END TEST SCENARIOS The following tables provide an overview of the end to end testing sequences for MRR, MROR, CTR and CTER messages. 4.1 END TO END TEST CASE CATALOGUE Test number Description Registration MRR.01 MRR, Single business document, Single member, TFN provided, MROR response MRR.02 MRR, Single business document, Multiple members, TFN provided, MROR response MRR.03 MRR, Single business document, Single member, TFN not provided, MROR response MRR.04 MRR, Single business document, Multiple members, TFN not provided, MROR response Registration - errors MRR, Single member, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied. MRR, Multiple members, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied (partial severity) MRR, Multiple members, Multiple responses, SUPER.GEN.GEN.4 Mandatory data element not supplied (progressive severity) MROR.E01 MROR.E02 MROR.E03 Contributions CTR.01 Single business document, Single member, TFN provided CTR.02 Single business document, Multiple members, TFN provided CTR.03 Single business document, Single member, TFN not provided CTR.04 Single business document, Multiple members, TFN not provided CTR.05 Multiple business documents, Multiple funds, Multiple members, TFN provided, Single fund gateway (pass through) Contributions - errors CTER.E01 CTER.E02 CTER.E03 . Single member, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied. Multiple members, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied (partial severity) Multiple members, Multiple responses, SUPER.GEN.GEN.4 Mandatory data element not supplied (progressive severity) Combined registrations and contributions MRCTR.01 Single business document, Single member, TFN provided MRCTR.02 Single business document, Multiple members, TFN provided MRCTR.03 Single business document, Single member, TFN not provided MRCTR.04 Single business document, Multiple members, TFN not provided MRCTR.05 Multiple business documents, Multiple funds, Multiple members, TFN provided, Single fund gateway (pass through) Combined registrations and contributions - errors MRCTR.E01 MRCTR.E02 MRCTR.E03 Single member, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied. Multiple members, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied (partial severity) Multiple members, Multiple responses, SUPER.GEN.GEN.4 Mandatory data element not supplied (progressive severity) SUPERSTREAM CONTRIBUTIONS PAGE 23 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 4.2 MEMBER REGISTRATION REQUEST (MRR) AND RESPONSE (MROR) 4.2.1 Positive test cases (Single business document) MRR.01 Single business document, Single member, TFN provided, MROR response Employer MRR.01.EMP.01 Fund Employer Send MRR MRR.01.FND.01 MRR.01.FND.02 MRR.01.EMP.02 MRR.02 Employer Receive MROR Single business document, Multiple members, TFN provided, MROR response Employer MRR.02.EMP.01 Fund Employer Send MRR MRR.02.FND.01 MRR.02.FND.02 MRR.01.EMP.02 MRR.03 Fund Receive MRR Fund Send MROR Employer Receive MROR Single business document, Single member, TFN not provided, MROR response Employer MRR.03.EMP.01 Fund Employer Send MRR MRR.03.FND.01 MRR.03.FND.02 MRR.03.EMP.02 MRR.04 Fund Receive MRR Fund Send MROR Fund Receive MRR Fund Send MROR Employer Receive MROR Single business document, Multiple members, TFN not provided, MROR response Employer MRR.04.EMP.01 Fund Employer Send MRR MRR.01.FND.01 MRR.03.FND.02 MRR.04.EMP.02 Fund Receive MRR Fund Send MROR Employer Receive MROR SUPERSTREAM CONTRIBUTIONS PAGE 24 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 4.2.2 Negative test cases MRR.E01 Single member, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied. Employer Fund MRR.E01.EMP.01 Employer Send MRR MRR.E01.FND.01 Fund Receive MRR MRR.E01.FND.02 Fund Send MROR MRR.E01.EMP.02 Employer Receive MROR MRR.E02 Multiple members, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied (partial severity) Employer Fund MRR.E02.EMP.01 Employer Send MRR MRR.E02.FND.01 Fund Receive MRR MRR.E02.FND.02 Fund Send MROR MRR.E02.EMP.02 Employer Receive MROR MRR.E01 Multiple members, Multiple responses, SUPER.GEN.GEN.4 Mandatory data element not supplied (progressive severity) Employer Fund MRR.E03.EMP.01 Employer Send MRR MRR.E03.FND.01 Fund Receive MRR MRR.E03.FND.02 Fund Send MROR MRR.E03.EMP.02 Employer Receive MROR The three variations above of response message severity (error, partial, progressive) should also be tested for the error messages highlighted below. Contributions messages to be exercised highlighted in yellow Error Code Severity Short Description SUPER.GEN.GEN.3 Error SUPER.GEN.GEN.4 SUPER.GEN.GEN.6 SUPER.GEN.GEN.14 SUPER.GEN.GEN.21 SUPER.GEN.CNTRBTN.4 Error Error Error Error Error SUPER.GEN.CNTRBTN.5 SUPER.GEN.CNTRBTN.6 Error Error SUPER.GEN.CNTRBTN.8 Error Employer supplied Member ID used in Entity ID is not unique. Mandatory data element not supplied. Missing context declaration. Unknown Customer Reference Number. Member not found with supplied information Contributions cannot be accepted from this Contribution Provider Member TFN required for this Contribution. Payment is less than what has been specified with Contribution Transaction Request Eligibility issue preventing the contribution being processed. Contact Superannuation entity for details SUPERSTREAM CONTRIBUTIONS PAGE 25 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 4.3 4.3.1 MEMBER CONTRIBUTIONS TRANSACTION REQUEST (CTR) AND RESPONSE (CTER) Positive test cases (Single business document) CTR.01 Single business document, Single member, TFN provided Employer CTR.01.EMP.01 Fund Employer Send CTR CTR.01.FND.01 CTR.02 Single business document, Multiple members, TFN provided Employer CTR.02.EMP.01 Fund Employer Send CTR CTR.02.FND.01 CTR.03 Fund Receive CTR Single business document, Single member, TFN not provided Employer CTR.03.EMP.01 Fund Employer Send CTR CTR.03.FND.01 CTR.04 Fund Receive CTR Fund Receive CTR Single business document, Multiple members, TFN not provided Employer CTR.04.EMP.01 Fund Employer Send CTR CTR.04.FND.01 Fund Receive CTR CTR.05 Multiple business documents, Multiple funds, Multiple members, TFN provided, Single fund gateway (pass through) Employer Fund CTR.05.EMP.01 Employer Send CTR CTR.05.FND.01 Fund Receive CTR CTR.05.FND.02 Fund pass through CTR SUPERSTREAM CONTRIBUTIONS PAGE 26 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 4.3.2 Negative test cases CTR.E01 Single member, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied Employer Fund CTR.E01.EMP.01 Employer Send CTR CTR.E01.FND.01 Fund Receive CTR CTR.E01.FND.02 Fund Send CTER CTR.E01.EMP.02 Employer Receive CTER CTR.E02 Multiple members, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied (partial severity) Employer Fund CTR.E02.EMP.01 Employer Send CTR CTR.E02.FND.01 Fund Receive CTR CTR.E02.FND.02 Fund Send CTER CTR.E02.EMP.02 Employer Receive CTER CTR.E03 Multiple members, Multiple responses, SUPER.GEN.GEN.4 Mandatory data element not supplied (progressive severity) Employer Fund CTR.E03.EMP.01 Employer Send CTR CTR.E02.FND.01 Fund Receive CTR CTR.E02.FND.02 Fund Send CTER CTR.E03.EMP.02 Employer Receive CTER SUPERSTREAM CONTRIBUTIONS PAGE 27 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 4.4 4.4.1 COMBINED MEMBER REGISTRATION REQUEST (MRR) AND MEMBER CONTRIBUTIONS TRANSACTION REQUEST (CTR) MESSAGES Positive test cases (Single business document) MRCTR.01 Single business document, Single member, TFN provided Employer Fund MRCTR.01.EMP.01 Employer Send MRR, CTR MRCTR.01.FND.01 MRCTR.01.FND.02 MRCTR.01.EMP.02 MRCTR.02 Employer Receive MROR Single business document, Multiple members, TFN provided Employer Fund MRCTR.02.EMP.01 Employer Send MRR, CTR MRCTR.02.FND.01 MRCTR.02.FND.02 MRCTR.02.EMP.02 MRCTR.03 Fund Receive MRR, CTR Fund Send MROR Employer Receive MROR Single business document, Single member, TFN not provided Employer Fund MRCTR.03.EMP.01 Employer Send MRR, CTR MRCTR.03.FND.01 MRCTR.03.FND.02 MRCTR.03.EMP.02 MRCTR.04 Fund Receive MRR, CTR Fund Send MROR Fund Receive MRR, CTR Fund Send MROR Employer Receive MROR Single business document, Multiple members, TFN not provided Employer MRCTR.04.EMP.01 Fund Employer Send MRR, CTR MRCTR.04.FND.01 MRCTR.04.FND.02 MRCTR.04.EMP.02 Fund Receive MRR, CTR Fund Send MROR Employer Receive MROR MRCTR.05 Multiple business documents, Multiple funds, Multiple members, TFN provided, Single fund gateway (pass through) Employer Fund MRCTR.05.EMP.01 MRCTR.05.EMP.02 Employer Send MRR, CTR MRCTR.05.FND.01 MRCTR.05.FND.02 Fund Receive MRR, CTR Fund Send MROR MRCTR.05.FND.03 Fund pass through CTR Employer Receive MROR SUPERSTREAM CONTRIBUTIONS PAGE 28 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 4.4.2 Negative test cases (Single business document) MRCTR.E01 Single member, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied Employer Fund MRCTR.E01.EMP.E01 Employer send MRR, CTR MRCTR.E01.FND.E01 MRCTR.E01.FND.E02 MRCTR.E01.EMP.E02 Fund Receive MRR, CTR Fund Send MROR, CTER Employer receive MROR, CTER MRCTR.02 Single member, Single response, SUPER.GEN.GEN.4 Mandatory data element not supplied (partial severity) Employer Fund MRCTR.E02.EMP.E01 Employer Send MRR, CTR MRCTR.E02.FND.E01 MRCTR.E02.FND.E02 MRCTR.E02.EMP.E02 Fund Receive MRR, CTR Fund Send MROR, CTER Employer receive MROR, CTER MRCTR.03 Single member, Multiple responses, SUPER.GEN.GEN.4 Mandatory data element not supplied (progressive severity) Employer Fund MRCTR.E03.EMP.E01 Employer Send MRR, CTR MRCTR.E03.FND.E01 MRCTR.E03.FND.E02 MRCTR.E03.EMP.E02 Fund Receive MRR, CTR Fund Send MROR, CTER Employer receive MROR, CTER SUPERSTREAM CONTRIBUTIONS PAGE 29 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5 APPENDIX A - SOLUTION SCENARIOS This section illustrates each of the solution scenarios listed in section 3.1.3. 5.1 EMPLOYER BRIDGING SOLUTIONS 5.1.1 (1a) Bridging solution - Employer direct to fund interface (no ebMS messaging) The employer uses their own or commercial payroll software to extract the payroll data. The payroll data is then transferred directly to the fund using, for example, a fund portal. 1a. Bridging solution - Employer direct to fund interface (no ebMS messaging) Fund portal Employer Domain Fund Domain Employer Fund 6 1 7 11 Gateway Gateway Statement of compliance required 2 3 10 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 Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery SUPERSTREAM CONTRIBUTIONS 13 SMSF Message unpacking and processing PAGE 30 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.1.2 (1b) Bridging solution with pass through - Employer direct to fund interface (some ebMS messaging) The employer uses their own or commercial payroll software to extract the payroll data. The payroll data is then transferred directly to the fund using, for example, a fund portal. 1b. Bridging solution with pass through - Employer direct to fund interface (some ebMS messaging) Pass through Employer Domain Fund Domain Employer 6 1 Fund Certification required 7 11 Gateway Gateway Statement of compliance required 2 3 10 Registry system Payroll software 8 Service provider Payroll Bureau Certification 4 required 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Fund portal Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery SUPERSTREAM CONTRIBUTIONS 13 SMSF Message unpacking and processing PAGE 31 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.2 EMPLOYER WITH STANDALONE SOLUTION INCLUDING MESSAGING TO RECEIVING GATEWAY TO FUND 5.2.1 (2a) Payroll (extract, construct XBRL, add ebMS wrapper) to (receiving) gateway to fund The employer uses their own or commercial payroll software to extract the payroll data, an integrated internal process is used to transform the data into XBRL and internal integrated ebMS messaging capability is used to pass the ebMS message to the fund’s gateway service Difficult in the short term - would require interoperability testing with gateway community) 2a. Employer with standalone solution - Payroll (extract, construct XBRL, add ebMS wrapper) to (receiving) gateway to fund Fund Domain Employer Domain Employer Fund 6 1 7 11 Gateway Gateway 10 Certification required 2 3 Payroll software Integrated XBRL Registry system Integrated ebMS 8 Service provider Payroll Bureau 4 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 32 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.3 EMPLOYER WITH OWN PAYROLL SYSTEM 5.3.1 (3a) Payroll (extract, construct XBRL) to gateway (add ebMS wrapper) to gateway to fund The employer uses their own payroll software to extract the payroll data, an integrated internal process is used to transform the data and deliver the XBRL message to a contracted gateway service provider who passes the ebMS message to the fund’s gateway service 3a. Employer with own payroll - Payroll (extract, construct XBRL) to gateway (add ebMS wrapper) to gateway to fund Employer Domain Fund Domain Employer 6 1 Fund Certification required 7 11 Gateway Gateway Certification required 2 3 Payroll software 10 Registry system Integrated XBRL 8 Service provider Payroll Bureau 4 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 33 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.3.2 (3b) Payroll (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund The employer uses their 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 ebMS message to the fund’s gateway service. 3b. Employer with own payroll - Payroll (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund Employer Domain Fund Domain Employer 6 1 Fund Certification required 7 11 Gateway 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 Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery SUPERSTREAM CONTRIBUTIONS 13 SMSF Message unpacking and processing PAGE 34 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.3.3 (3c) Payroll (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund The employer uses their own payroll software to extract the payroll data, a clearing house service is used to transform the data, (and probably make payment), and deliver the XBRL message to a contracted gateway service provider who passes the ebMS message to the fund’s gateway service. 3c. Employer with own payroll - Payroll (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund Employer Domain Fund Domain Employer 6 1 Fund Certification required 7 11 Gateway 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 Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 35 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.4 EMPLOYER WITH COMMERCIAL PAYROLL SOFTWARE 5.4.1 (4a) Payroll software (extract, construct XBRL) to gateway (add ebMS wrapper) to gateway to fund The employer uses commercial payroll software to extract the payroll data, an integrated internal process is used to transform the data and deliver the XBRL message to a contracted gateway service provider who passes the ebMS message to the fund’s gateway service 4a. Employer with commercial payroll software - Payroll (extract, construct XBRL) to gateway (add ebMS wrapper) to gateway to fund Employer Domain Fund Domain Employer 6 1 Fund Certification required 7 11 Gateway Gateway Certification required 2 3 Payroll software 10 Registry system Integrated XBRL 8 Service provider Payroll Bureau 4 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 36 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.4.2 (4b) Payroll software (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund 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 ebMS message to the fund’s gateway service provider. 4b. Employer with commercial payroll software - Payroll (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund Employer Domain Fund Domain Employer 6 1 Fund Certification required 7 11 Gateway Gateway Certification required 2 3 10 Registry system Payroll software 8 Service provider Payroll Bureau Certification 4 required 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 37 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.4.3 (4c) Payroll software (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund The employer uses their own payroll software to extract the payroll data, a clearing house service is used to transform the data, (and probably make payment), and deliver the XBRL message to a contracted gateway service provider who passes the ebMS message to the fund’s gateway service. 4c. Employer with commercial payroll software - Payroll (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund Employer Domain Fund Domain Employer 6 1 Fund Certification required 7 11 Gateway Gateway Certification required 2 3 10 Registry system Payroll software 8 Service provider Payroll Bureau 4 9 Service provider Fund Administ rator Certification required Clearing house 12 SMSF Service Provider 5 Payroll data extraction Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 38 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.5 EMPLOYER USING PAYROLL BUREAU 5.5.1 (5a) Payroll bureau (extract, construct XBRL) to gateway (ebMS) to gateway to gateway to fund The employer uses a payroll bureau to extract the payroll data, an integrated internal process is used to transform the data and deliver the XBRL message to a contracted gateway service provider who passes the ebMS message to the fund’s gateway service 5a. Employer using payroll bureau - Payroll (extract, construct XBRL) to gateway (add ebMS wrapper) to gateway to fund Employer Domain Fund Domain Employer 6 1 Fund Certification required 7 11 Gateway Gateway 10 2 3 Payroll software Registry system Integrated XBRL 8 Service provider Payroll Bureau 4 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery SUPERSTREAM CONTRIBUTIONS 13 SMSF Message unpacking and processing PAGE 39 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.5.2 (5b) Payroll bureau (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund The employer uses a payroll bureau 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 ebMS message to the fund’s gateway service provider. 5b. Employer using payroll bureau - Payroll (extract) to service provider (construct XBRL) to gateway (ebMS) to gateway to fund Employer Domain Fund Domain Employer 6 1 Fund Certification required 7 11 Gateway Gateway 10 Registry system Payroll software 2 8 Certification required 3 Service provider Payroll Bureau Certification required 4 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 40 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.5.3 (5c) Payroll bureau (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund The employer uses a payroll bureau 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 ebMS message to the fund’s gateway service. 5c. Employer using payroll bureau - Payroll (extract) to clearing house (process, construct XBRL) to gateway (ebMS) to gateway to fund Employer Domain Fund Domain Employer 6 1 Fund Certification required 7 11 Gateway Gateway 10 Registry system Payroll software 2 8 Certification required 3 Service provider Payroll Bureau 4 9 Service provider Fund Administ rator Certification required Clearing house 12 SMSF Service Provider 5 Payroll data extraction Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 41 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.6 FUND WITH OWN REGISTRY SYSTEM 5.6.1 (6a) Gateway to fund registry (deconstruct XBRL, extract data, process to registry) The fund gateway passes the message to the fund registry system which deconstructs the XBRL message, extracts the data and processes it to the fund registry system. 6a. Fund with own registry system - Gateway to fund (deconstruct XBRL, extract data, process to registry) Employer Domain Fund Domain Employer 6 1 7 Fund Certification required 11 Gateway 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 Certification required Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 42 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.6.2 (6b) Gateway to service provider (deconstruct XBRL, extract data) to fund (process to registry) The fund gateway passes the message to a service provider who deconstructs the XBRL message, extracts the data and passes it to the fund registry system. 6b. Fund with own registry system - Gateway to service provider (deconstruct XBRL, extract data) to fund (process to registry)) Employer Domain Fund Domain Employer 6 1 7 Fund Certification required 11 Gateway 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 Certification required Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 43 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.6.3 (6c) Gateway to fund administrator (deconstruct XBRL, extract data, process to registry) The fund gateway passes the message to a Fund administrator who deconstructs the XBRL message, extracts the data and processes it to the fund registry system. 6c. Fund with own registry system - Gateway to fund administrator (deconstruct XBRL, extract data, process to registry) Employer Domain Fund Domain Employer 6 1 7 Fund Certification required 11 Gateway Gateway 10 2 3 Registry system Payroll software 8 Service provider Payroll Bureau Certification required 4 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Certification required Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 44 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.7 FUND WITH COMMERCIAL REGISTRY SYSTEM 5.7.1 (7a) Gateway to fund registry (deconstruct XBRL, extract data, process to registry) The fund gateway passes the message to the fund’s commercial registry system which deconstructs the XBRL message, extracts the data and processes it to the registry system. 7a. Fund with commercial registry system - Gateway to fund (deconstruct XBRL, extract data, process to registry) Employer Domain Fund Domain Employer 6 1 7 Fund Certification required 11 Gateway 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 Certification required Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 45 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.7.2 (7b) Gateway to service provider (deconstruct XBRL, extract data) to fund (process to registry) The fund gateway passes the message to a service provider who deconstructs the XBRL message, extracts the data and passes it to the fund’s commercial registry system. 7b. Fund with commercial registry system - Gateway to service provider (deconstruct XBRL, extract data) to fund (process to registry)) Employer Domain Fund Domain Employer 6 1 7 Fund Certification required 11 Gateway Gateway 10 2 3 Payroll software Certification 8 required Registry system Service provider Payroll Bureau 4 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Certification required Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 46 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.7.3 (7c) Gateway to fund administrator (deconstruct XBRL, extract data, process to registry) The fund gateway passes the message to a Fund administrator who deconstructs the XBRL message, extracts the data and processes it to the fund’s commercial registry system. 7c. Fund with commercial registry system - Gateway to fund administrator (deconstruct XBRL, extract data, process to registry) Employer Domain Fund Domain Employer 6 1 7 Fund Certification required 11 Gateway Gateway 10 2 3 Registry system Payroll software 8 Service provider Payroll Bureau Certification required 4 9 Service provider Fund Administ rator Clearing house 12 SMSF Service Provider 5 Payroll data extraction Certification required Payroll data transformation XBRL packaging ebMS wrapping Message transmission Message receipt and delivery SUPERSTREAM CONTRIBUTIONS 13 SMSF Message unpacking and processing PAGE 47 OF 50 SUPERSTREAM CONTRIBUTIONS CONFORMANCE TESTING GUIDE 5.8 SMSF WITH SMSF SERVICE PROVIDER 5.8.1 (8a) Gateway to SMSF service provider (deconstruct XBRL, extract data, notify SMSF) The fund gateway passes the message to the SMSF service provider who deconstructs the XBRL message, extracts the data and notifies the information to the SMSF. 8a. SMSF with SMSF service provider - Gateway to SMSF service provider (deconstruct XBRL, extract data, notify SMSF) Employer Domain Fund Domain Employer 6 1 7 Fund Certification required 11 Gateway 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 Payroll data transformation XBRL packaging Certification required ebMS wrapping Message transmission Message receipt and delivery 13 SMSF Message unpacking and processing SUPERSTREAM CONTRIBUTIONS PAGE 48 OF 50
© Copyright 2024 ExpyDoc
