Industry Engagement Forum 29 August 2017 Workshop Summary

Purpose of discussion Forum participants were challenged in groups to consider from the perspectives of Employer, Fund, ATO, and Intermediary (may include administrators, gateways or digital service providers): functions, roles or services that exist in a BAU environment who is responsible for providing those functions and services expectations or principles about those functions or services information or additional support needed. UNCLASSIFIED – Industry Engagement Forum 29 August 2017 Workshop Summary

Outcome from the discussions – Employer Lens Functions, roles or services that exist in a BAU environment Functions, role and services relate to payroll, reporting contributions and employee details and operating within the Single Touch Payroll environment Responsibility for providing those functions and services Even though the Employer is ultimately responsible, they are dependent on the employee providing the correct information In BAU there is scope of incremental improvements to reduce the likelihood of poor data quality, improving pre-population and system employee data updates over time is part of the solution Communication programme aimed at employees rather than employers in regards to not providing accurate data might be part of the solution Expectations or principles for functions and services Automated and a free service for small employers Clearing house ongoing and stable UNCLASSIFIED – Industry Engagement Forum 29 August 2017 Workshop Summary

Outcome from the discussions – Employer Lens Additional support needed Communication about benefits for the employer as well as the employee Better understanding of impacts of not providing accurate data When an employee leaves employer, employer needs to ensure all information regarding the employee’s cessation has been communicated to the fund (needed for insurance) When there is a new employee and the commencement of verification of member data- e.g. TFN, DOB check- choice of fund. This needs to be communicated to the fund An employer wants to know that the data they send is compliant Early notice from ATO re non-payment (due to visibility by ATO) Choice of payroll system which needs to include which ones are compliant (possibly a list online) Employer wants all optional information they provide to go via gateway to fund - e.g. to prevent reverse work flow if the fund doesn’t get it and goes back to the employer UNCLASSIFIED – Industry Engagement Forum 29 August 2017 Workshop Summary

Outcome from the discussions – Fund Lens Functions, roles or services that exist in a BAU environment Improved reliability of ATO services and real time member onboarding with full data validation Complete electronic coverage of rollovers and contributions Seamless data transfer between all industry parties leading to engaged members using the services and improving their experience Initiate consolidations in best interest of members (current focus of APRA) Continue SuperStream Technical Committee SSTC/SuperStream Continuous Improvement Working Group functions ensuring issues and irritants are addressed in a timely manner forms basis of change management to the standard UNCLASSIFIED – Industry Engagement Forum 29 August 2017 Workshop Summary

Outcome from the discussions – Fund Lens Responsibility for providing those functions and services ATO (some enabling services), intermediaries (payroll providers, clearing house, software providers) Funds responsible for engagement pieces Administrators/regulators - reusing data between regulators and other government bodies Industry accountable for continued reporting to APRA & whole of government compliance Funds to provide education and communication to their members and monitor SLAs Expectations or principles for functions and services Consultation, transparency, timely information (automated where it makes sense) and consistency in delivery Monitoring and reporting on industry performance and other support services software systems or issues Consistency in handling exceptions treatment and timing Certainty about availability of support services from the ATO UNCLASSIFIED – Industry Engagement Forum 29 August 2017 Workshop Summary

Outcome from the discussions – Fund Lens Additional support needed Longer ATO roadmap and report card Consistent messaging about where to send enquires CRT, relationship navigation Support for straight through processing- live chat, help desk, and instant help, a one stop shop, or index page to help navigate the right content at the right time and archive old information Up-to-date services and updates page so it’s clear when content has been added Visibility of CRT workloads when SLA’s not being met, funds to be informed Gateway/ATO - Support around IBM environment Improving data and contributions compliance Outcome response messaging - SuperStream feedback mechanism, sending enquiries back to funds UNCLASSIFIED – Industry Engagement Forum 29 August 2017 Workshop Summary

Outcome from the discussions – ATO Lens Functions, roles or services that exist in a BAU environment Special purpose forums including change management which should include key regulators APRA, Treasury, ASIC, etc. and broader audience coverage of industry, may include DTA or DVA (or any other Government departments that maybe looking at electronic reporting A smooth transition to BAU with any subsequent changes required less demanding compared to the initial introduction of the project Responsibility for providing those functions and services ATO is the champion with collaboration and co design from industry SuperStream is the model for future digital services and financial transactions across government. UNCLASSIFIED – Industry Engagement Forum 29 August 2017 Workshop Summary

Outcome from the discussions – ATO Lens Expectations or principles for functions and services Alignment across ATO & other regulators engagement models at the highest level and then followed by special purpose forums Need for commitment by ATO to not make structural changes unless strong business justification Change Management is a policy and framework that is second nature within all government departments. Additional support needed Implementation of death benefits release authorities and MIG3 SMSF’s Rollovers/Contributions are implemented and SMSF web validation is resolved ATO online/My Gov is led by a specific team with a holistic view of all changes that may impact and seeks members feedback to make further improvements. UNCLASSIFIED – Industry Engagement Forum 29 August 2017 Workshop Summary

Outcome from the discussions – Intermediary Lens Functions, roles or services that exist in a BAU environment Ongoing communication/education including through transition from project teams to operational teams Reducing and monitoring operating costs Governance and change management to assist with new USI’s or support changes Forum to raise and escalate issues similar to account manager, OBT or SIPO Responsibility for providing those functions and services ATO responsible for providing reliable services (99% availability) Industry discrepancy board that preforms a role similar to SSTC (bring groups together) UNCLASSIFIED – Industry Engagement Forum 29 August 2017 Workshop Summary

Outcome from the discussions – Intermediary Lens Expectations or principles for functions and services Moving with best practices, highly available and stable framework Mechanisms for ongoing maintenance and monitoring/ report of successes and benefits All gateways need to de-identify and report on what is happening in BAU issues management, including triage and allocation management Additional support needed Continuous improvement group to take the top 5 issues to industry/ discuss benefits across all sectors Information sharing mechanism so industry contacts can assist with issues- each fund to nominate a contact (FVS contact) that can be called upon to help distribute communications within industry. UNCLASSIFIED – Industry Engagement Forum 29 August 2017 Workshop Summary