Test Strategy, Approach and guidance S20c and USM Business-to-Government (B2G) & Small Business Superannuation Clearing House Test Strategy, Approach and guidance An overview of the testing approach for APRA-regulated funds and their intermediaries to support the implementation of s.20c Notices, USM Statements, and ATO Small Business Superannuation Clearing House changes in 2017/2018. Australian Taxation Office | September 2017

Testing Objectives and Principles This test strategy and approach relates to s.20c Notices and associated USM Statements (B2G), as well as contributions and member registration transactions with the ATO Small Business Superannuation Clearing House (SBSCH). The ATO will provide an External Vendor Testing Environment (EVTE) to the superannuation industry that allows Gateways, Intermediaries and Funds to undertake interoperability and ATO to Fund or Peer to Peer testing prior to the release. There are three phases of testing that will be commence from October 2017 and continue into 2018: Integration Testing between APRA funds and their solutions providers Interoperability Testing between the gateway operators and ATO and, Peer-to-Peer Testing between funds and the ATO. Principles The artefacts to support S20C and SHSCH testing includes the conformance test guide and sample message instances. These can be found on our Let's Talk webpage. Funds will be required to submit a production readiness checklist to the ATO once they’ve completed their S20C and SBSCH testing with the ATO. UNCLASSIFIED |s20C, USM & SBSCH Test Strategy & Approach

B2G – Testing Timeline 2017 AUG SEP OCT NOV DEC JAN FEB MAR APR Test Planning Integration Test Interoperability Testing Gateways Peer 2 Peer / ATO to Fund Testing Production Readiness Checklist B2G Production Cutover s.20c, USM & SBSCH Prerequisite for Peer to Peer Testing s.20c, USM & SBSCH Managed by ATO s.20c, USM & SBSCH As relevant Gateway has completed interoperability testing. Funds will be scheduled based on registry system approach and readiness information provided to the ATO s.20c & USM SBSCH Template for production readiness checklist s.20c & USM SBSCH Business Deployment Verification s.20c & USM Production code drop and cutover SBSCH DHS SBSCH Decommissioned UNCLASSIFIED |s20C, USM & SBSCH Test Strategy & Approach

B2G – Overview of Test Phases GENERAL: Please confirm Fund ABN and USI details prior to scheduled Peer-2-Peer / ATO to Fund testing Funds must be satisfied they have successfully performed sufficient testing before providing their production readiness checklists to the ATO. INTEGRATION TESTING The full extent of integration testing will need to be agreed between each fund and their solution provider/s. See Section 4.4 of the Rollover Conformance Testing Guide for S20C test cases that should form the integration testing between funds and their solution providers. 2. INTEROPERABILITY TESTING Interoperability testing is between Gateways and the ATO and involves testing connectivity, transport and message layer tests. Processing and technical validity of messages is not part of this phase. Gateway/ATO interoperability will be confirmed as described in Section 4.6 of the Rollover Conformance Testing Guide for S20C and Section 4 of the Conformance Testing Guide for SBSCH Interoperability testing with Gateways will be coordinated by the Onboarding team within the ATO for both B2G and SBSCH 3. PEER TO PEER TESTING (ATO to Fund) Peer-to-Peer testing with the ATO will confirm that Funds are able to send, receive and process messages to and from the ATO. Section 4.7 of Rollover Conformance Testing Guide describes S20C test scenarios, and Section 4 of the Contributions Conformance Testing Guide describes SBSCH test scenarios the ATO plans on executing with participating funds. Peer-2-Peer or fund testing for S20C and SBSCH will be scheduled and coordinated by the ATO based on Fund readiness dates and Fund Registry Systems (we require testing to be completed with at least 1 Fund for each different Registry System). UNCLASSIFIED |s20C, USM & SBSCH Test Strategy & Approach

B2G – P2P Test approach and processes Test Scenarios and Data to use during both S20C and SBSCH Peer-to-Peer testing/ATO to fund testing can be found on the Let's Talk webpage under Documents. It is requested that Funds ensure that the S20C and SBSCH test data is configured in their test environments and personnel are ready to commence Peer-to-Peer testing with the ATO in line with published schedules. The ATO has set up the EVTE based on information supplied by Funds at the time the readiness notification dates information was provided. The ATO will schedule Funds for testing based on the readiness notification dates provided and also based on the type of Registry System in use. The testing process to and from the ATO will be managed with the SuperStreamDelivery@ato.gov.au email address. B2G – S.20C & USM SBSCH 1 ATO issues s.20c notices (IRR) from EVTE and the Fund responds with the (IRER) ATO SBSCH issues contributions transaction request (CTR) and member registration request (MRR) from EVTE and the fund returns with the error (CTER) and member registration outcome report (MROR) 2 Fund initiates the sending of a USM statement (RTR) and ATO returns the correct outcome response (RTOR) The ATO will confirm when tests have been completed via an email containing Conversation_ID’s of all test transactions 3 ATO will confirm when tests have been completed via email with Conversation_IDs of all test transactions Upon completion of the processing of the test messages, funds are required to reply to the email which advised the Conversation_ID’s, to notify the ATO of test outcomes and that response messages have been received. 4 Upon completion of the processing of the test messages, Funds are requested to reply to the Conversation_IDs email with test outcomes and to provide confirmation response messages have been received. Funds are required to track their own testing progress and must satisfy themselves that successful and sufficient testing has been completed. UNCLASSIFIED |s20C, USM & SBSCH Test Strategy & Approach

Test Scenarios & Execution Summary Section 20C & USM Test No. Description Scenarios Member/s Expected Result 1. ATO → Fund (S20C) S20C message with multiple members, TFN, no TFN, valid members, error members, RecordCount populated S20C9.1 10, 11, 12, 13, 14 Fund receives S20C notice 2. Fund → ATO (S20CER) S20C processed and error response returned - member doesn't exist, claim pending, ContextID populated S20CER10.1 Fund sends S20CER for members 12 and 13: Member 12 - SUPER.GEN.GEN.22 – no longer a member Member 13 - SUPER.GEN.RLVR.7 – pending claim 3. Fund → ATO (USM) Valid multiple member USM rollover, TFN, no TFN, valid members, RecordCount populated USM11.1 10, 11, 14 Fund sends USM for members 10, 11 and 14. 4. ATO → FUND (USMOR) USM rollover processed successfully USM12.1 Fund receives Outcome Response (USMOR) Member 10,11, 14 SUPER.GEN.RLVR.2 – Rollover process successful UNCLASSIFIED |s20C, USM & SBSCH Test Strategy & Approach

Test Scenarios & Execution Summary SBSCH – MRR & CTR Test No. Description Scenarios Member/s Expected Result 1. ATO → Fund (MRR) Five separate documents: 6. Member with TFN, update 2. Member no TFN, update 7. New Member, already exists 8. New Member, TFN present 9. New Member, no TFN 1.1 MRR 1.2 MRR 1.3 MRR 1.5 MRR 1.6 MRR 6 2 7 8 9 Fund receives 5 separate MRR documents Fund → ATO (MROR) Responses: 6. Member updated 2. Member updated 7. Member already exists 8. Member added 9. Member added Responses to Fund sends 5 separate MRORs to ATO. 2. ATO → Fund (CTR) Single document, multiple employers: employer with ABN, employer with WPN, multiple members, members with TFN, members with Member no TFN, update details 2.CTR Fund receives CTR (CTER) Error response, Response to: 2 CTR Fund sends CTER to ATO: Member 4 - SUPER.GEN.GEN.21 – Member not found UNCLASSIFIED |s20C, USM & SBSCH Test Strategy & Approach

Requesting and responding to tests Requesting tests Once your integration testing is complete with your Gateway and your test environment is configured with the supplied member data, tests can be requested from SuperStreamDelivery@ato.gov.au An email template is available on Let’s Talk under “Testing Template” for both S20C and SBSCH, or you can request tests by providing: Testers contact details – Name, email and contact number/s Fund Name ABN USI Please include testing Fund Name and USI in the email Subject The ATO will send the requested test messages; and your original email will be replied to with message details including ConversationIDs. You should expect to receive the email by the following working day. Responding to Tests The expected outcome from the tests is either an error response or outcome response messages. Please reply in the test email thread once the response messages have been sent back to the ATO. The ATO will confirm the receipt of the messages into EVTE the following day and will respond with the outcome in the same email thread. Tracking Testing Funds should track and monitor their testing progress and are responsible for ensuring their solutions function correctly. The ATO will track, monitor and report the status from an industry-wide perspective. UNCLASSIFIED |s20C, USM & SBSCH Test Strategy & Approach

Artefacts to Support S20C and SBSCH Testing S20C/USM Test Data Rollover Message Implementation Guide v2.0 RolloverV2 Conformance Testing Guide SBSCH Test Data SBSCH Contributions Conformance Guide UNCLASSIFIED |s20C, USM & SBSCH Test Strategy & Approach

Questions/Feedback: superstreamstandards@ato. gov Questions/Feedback: superstreamstandards@ato.gov.au Testing Requests and Support: superstreamdelivery@ato.gov.au Further information: http://softwaredevelopers.ato.gov.au/SuperStreamStandard https://lets-talk.ato.gov.au/SSRI UNCLASSIFIED |s20C, USM & SBSCH Test Strategy & Approach