ROLLOVER CONFORMANCE TESTING GUIDE · 2.4 fund validation service (fvs) ... unclassified rollover conformance testing guide unclassified ato- ato- unclassified rollover conformance

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ROLLOVER CONFORMANCE TESTING GUIDE What you need to know to implement the Data and Payment Standards (the Standard)

Version 1.4

UNCLASSIFIED For further information or questions, email [email protected]

UNCLASSIFIED ROLLOVER CONFORMANCE TESTING GUIDE

UNCLASSIFIED 1.4 PAGE 2 OF 36

ENDORSEMENT/VERSION CONTROL

CURRENT VERSION NUMBER v1.4 DATE 16/08/2013

VERSION CONTROL

Version Revision date Summary of changes

0.1 (draft) 18/03/2013 Original draft for comment

0.2 20/05/2013 Incorporated internal business/technical feedback

1.0 18/6/2013 Incorporated feedback at close of consultation

1.1 28/6/2013 Incorporated links to sample instances

1.2 05/07/2013 Incorporated feedback from Philip Hind

1.3 15/07/2013 Updated formatting of document

1.4 16/08/2013 Updates to test case numbering and description.



TABLE OF CONTENTS 1. INTRODUCTION.................................................................................................................. 4

1.1 Purpose .......................................................................................................................... 4 1.2 Audience......................................................................................................................... 4 1.3 Document content........................................................................................................... 4 1.4 Terminology.................................................................................................................... 5 1.5 Other Related Documents .............................................................................................. 5

2. TEST CONFORMANCE PRINCIPLES................................................................................. 5 2.1 General........................................................................................................................... 5 2.2 Test data......................................................................................................................... 6 2.3 Induction process reporting (Nerve centre process)........................................................ 6 2.4 Fund Validation Service (FVS)........................................................................................ 6

3 MESSAGE LEVEL CONFORMANCE AND INTEROPERABILITY ......................................... 7 3.1 Conformance test case summary ................................................................................... 7 3.2 Interoperability test case summary.................................................................................. 7

3.2.1 Functional requirements............................................................................................ 8 3.2.2 Test cases................................................................................................................. 8 3.2.3 Message exchange ..................................................................................................10

3.2.4 Test sequence (not including initiate rollover transaction sequence)...........................11 4. TAXONOMY LEVEL CONFORMANCE................................................................................15

4.1 Test cases summary......................................................................................................15 4.2 Negative test cases .......................................................................................................15 4.3 Test case credentials.....................................................................................................15

4.3.1 Test case matrix (not including initiate rollover transaction sequence)......................16 4.3.2 Negative test case matrix (not including initiate rollover transaction sequence)........16 4.3.3 Test case matrix (including initiate rollover transaction sequence) ...........................17 4.3.4 Negative test case matrix (including initiate rollover transaction sequence)..............19 4.3.5 Message exchange – initiate rollover transaction .....................................................20 4.3.6 Test sequence (Including Initiate Rollover Transaction Sequence)...........................21

4.4 Test case execution.....................................................................................................22 4.5 Additional instructions ..................................................................................................22

4.5.1 Testing environment...............................................................................................22 4.6 About test cases ...........................................................................................................22 4.7 Taxonomy detailed use cases........................................................................................23

4.7.1 Positive taxonomy detailed use cases .....................................................................23 4.7.2 Negative taxonomy detailed use cases ....................................................................25

Attachment A: Test assessment criteria ...................................................................................35 Attachment B: Statement of self-certification ............................................................................36



1. INTRODUCTION

1.1 PURPOSE

The purpose of this document is to provide testing guidance for software developers when undertaking conformance testing against the SuperStream rollover standard. Testing will mirror functional release schedule: � From 1 July 2013 set of transactions include:

– Rollover transactions – Rollover outcome response transactions

� From 5 October 2013 set of transactions will also include: – Initiate Rollover transactions

� ATO initiated - Electronic Portability Form � Fund initiated

1.2 AUDIENCE

The audience for this document is any software developer 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 � ebMS3.0/AS4 - www.oasis-open.org/standards � SuperStream program – www.ato.gov.au/datastandards � SBR Program – www.sbr.gov.au.

1.3 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. � 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. The conformance suite has been designed to get as full a test coverage as possible with a minimum number of test cases. Therefore there will be some risk of missing a crucial test if not all tests are executed.

1.4 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.

1.5 OTHER RELATED DOCUMENTS

This document is to be used in conjunction with these related documents: � Rollover MIG - Data and Payment Standard - Rollover 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

2. TEST CONFORMANCE PRINCIPLES The test conformance process encompasses the following key principles:

2.1 GENERAL

General principles are as follows:

� Scope of the test conformance suite covers both pre-induction (induction lead-in) and the induction process. The test scope for SuperStream encompasses business-to-business AS4 ebMS message exchange and payload (XBRL) testing. The testing also makes reference to the ATO enabling services, which are as follows: – STIC – SBR within the ATO own this service which is referenced as part of the data

standard – FVS – SBR within the ATO own this service which is referenced as part of the data

standard



� Test use cases are initiated from fund registry systems, therefore processes will vary to capture the required set of data to support a rollover transaction. The attached taxonomy (business) use cases will provide a generic set of steps to support these activities. It is the responsibility of the fund to capture data in their specific process.

� In the induction-in process, to streamline testing the following rules apply to registry system testing: – If multiple funds use a common registry system, a single pass through for a chosen fund

would constitute a pass for all other funds associated with the registry system. This normally would be completed in a single band prior to your transition in date.

– In a more complex environment, that contains multiple registry systems with various funds, a single fund within each registry system should be tested as best practice. Any residual risk would be handled once in production. This normally may be completed in multiple bands prior to your transition in date.

� NB: A single unique superannuation identifier (USI) (product) for each fund is the minimum requirement for testing. Cohort members are not expected to test all products within their systems.

2.2 TEST DATA

SBR test data will be utilised to complete business-to-business testing. For example SuperTICK test TFNs and ABNs will be used by industry to create test transactions that will enable seamless execution within the test environment. Attachment A contains sample instances containing the data that should be used to initiate rollovers from registry systems.

2.3 INDUCTION PROCESS REPORTING (NERVE CENTRE PROCESS)

Test results will be reported to the ATO against the use case scenarios outlined in this document. The ATO will capture the results using standard ATO deployment processes/systems – it is the responsibility of the funds/agent to report this information as per the induction process (see transition-in induction process guide for more information). This will assist the participants to gain a holistic view of testing activities, isolate any issues, and ensure that testing has been completed successfully. Some of the atomic test execution points may not be measurable in terms of success criteria. If that is the case they will be grouped up to a higher level activity that is measurable. For example, from an ebMS/AS4 perspective a message may have been compressed, sent and an acknowledgement receive. If successful the test success criterion will cover all three components of the test case steps and would be recorded as all components successful.

2.4 FUND VALIDATION SERVICE (FVS)

Test participants will use the FVS interim spreadsheet as a source of record within the testing environment. It is up to each cohort to co-ordinate a test version of the FVS to support testing.



3 MESSAGE LEVEL CONFORMANCE AND INTEROPERABILITY The test conformance suite covers both pre-induction (induction lead-in) and induction processes. In pre-induction it is expected that all tests would be preformed to ensure self-certification has been achieved which will ensure that system build and deployment activities are complete. However, as part of the induction process only a subset (see tests marked ‘yes’ required for induction) will be required to verified to support the successful induction of a fund/agent.

3.1 CONFORMANCE TEST CASE SUMMARY

As part of the induction process 1.2 complete induction preparation , it is the responsibility of software developers to ensure that ebMS/AS4 message conformance testing has been completed. This process is required to mitigate any divergence from the Standard enabling a more effective error remediation process. Once self certification is complete, a subset of tests identified below1 are required to be completed and verified as part of the induction process – with the focus of certification on the interoperability test use cases which ensure funds/agent can successfully exercise the complete scope of the data standard across their cohort group.

3.2 INTEROPERABILITY TEST CASE SUMMARY

The purpose of this index is to assist software developers in terms of the types of test, test cases and associated user profiles for interoperability testing. The tables below provide a summary of the test cases and conformance criteria which will test the interoperability within a rollover transaction sequence (including validation services where applicable). The test suite will be driven by one party, called the “message creator” the other party just responding to messages received called the “message receiver”. The entire set of test cases has been included and is recommended to be utilised within the self certification process. However, as part of the induction-in processes it is noted in ‘Attachment A – Test assessment criteria’ only a sub-set of test cases is required to be exercised as part of the induction-in process. Note: Validation services are not mandatory as part of the interoperability testing. They have been included as they may be part of the message construction back end processes.

1 See column ‘Required for induction?’ to identify test cases that are only required for induction process



3.2.1 Functional requirements

Functional Req Id

Name Precondition Post condition

FUNC01 Verify signed message Signed message with one payload

Signed message must be resolved and signature verified

FUNC02 Message compressed

Message and payload conforms to standard for compression

Compressed message delivered

FUNC03 Message decompressed

Message and payload in appropriate format and compressed

Compressed message decompressed

FUNC04 MIME encoded message

Message and payload conforms to MIME Structure

Message and payload MIME structured with multi-parts

FUNC05 Fund Validation Service successfully invoked

Fund Validation Service available Fund Validated

FUNC06 STIC validation service invoked

STIC Validation Service

Available Member Validated

3.2.2 Test cases

Test Case Id Profile Test case purpose Required for

induction? Functional Req Ref

RLVR-ATO-TC.001.01

Either ‘High-end’ or ‘Large Profile

Non-authenticated exchange of message with payload

No

N/A

RLVR -ATO- TC.002.01


Secure exchange of message with payload in SOAP body

Yes

FUNC01



Test Case Id

Profile Test case purpose Required for induction?

Functional Req Ref



Secure exchange of message with payload as SOAP attachment

Yes FUNC01, FUNC5, FUNC6



Secure exchange of message with payload as SOAP attachment (compressed)

Yes FUNC01, FUNC5, FUNC6



Secure exchange of message with payload as SOAP attachment (un-compressed)

Yes FUNC01, FUNC02, FUNC03, FUNC04



sd Message Exchange

STIC

Test invokation of MemberRol lover

FVS Back-end System XBRL Processor MessageProduccer/Receiver

Transferring MSH Receiving MSH

Rollover Transaction Request(INTER-SQN-RLVRREQ-01.01)

Optional (Validate Member)(INTER-SQN-STIC-01.01-04.1)

Optional Validate Fund(INTER-SQN-FVS-05.01)

Val id TFN and ABN()Payload(INTER-SQN-MSGP-06.01-07.01)

Message and Payload(INTER-SQN-MSGHS-08.01-08.07)

Col laboration Message(INTER-SQN-MSGHS-09.01-10.01)

Reply Message(INTER-SQN-RLVRTRES-11.01-INTER-SQN-MSGH-12.01)

Message and payload(INTER-SQN-MSGH-13.01)

Payload(INTER-SQN-MSGH-14.01)

Success/Fai lure(INTER-SQN-MSGH-14.01)

3.2.3 Message exchange

The testing steps of the aforementioned test cases are described in the following sequence diagram:



3.2.4 Test sequence (not including initiate rollove r transaction sequence)

Test sequence Id Profile Service Test Case Name

ABNs Credentials Test case purpose

INTER-SQN-RLVRTREQ.001.01

N/A Backend systems

Rollover Transaction request

TBA N/A Backend system executes Rollover Transaction Request

INTER-SQN-STIC.002.01

N/A stic.list.request

STIC – matched TFN

TBA TFN: TBA Fund requests TFN Validation for a member and receives a “matched” result. (Status code TBA)



STIC – unmatched TFN

TBA TFN: TBA

Fund requests TFN validation for an individual and receives an “unmatched” result (Status code TBA).



VFMI – unmatched incorrect TFN

TBA TFN: TBA

Fund requests validation for a member with incorrect TFN and receives an “unmatched” result (Status code TBA).

INTER-SQN-FVS.05.01

N/A FVS Spreadsheet

FVS – Validate fund TBA TFN: TBA

Transferring fund validates requesting fund details (member initiated)

INTER-SQN-MSGP.06.01

N/A N/A

XBRL – Create business document

N/A N/A XBRL processor creates message with validated TFN and Fund details from backend systems



Test sequence Id Profile Service Test Case Name ABNs Credentials Test case purpose

INTER-SQN-MSGP.07.01

N/A N/A ebMS – MSG Producer N/A N/A

Message producers packages XBRL into ebMS package

INTER-SQN-MSGHS.08.01


N/A Sending MSH – Authenticate N/A TBA

MSH sender successfully authenticates using an agreed approach between parties



N/A

Sending MSH – Send msg (small uncompressed)

N/A TBA MSH sender sends uncompressed ebMS package to MSH receiver successfully



N/A

Sending MSH – Send msg (large compressed)

N/A TBA MSH sender sends large compressed ebMS package to MSH receiver successfully



N/A

Sending MSH – Send single msg soap body

N/A TBA MSH sender sends single message to MSH receiver



N/A

Sending MSH – Send multipart MIME encoded msg

N/A TBA MSH sender sends multi-part MIME encoded message to MSH receiver




INTER-SQN-MSGHR.08.06


N/A

Receiving MSH – ebMS package received

N/A TBA

MSH Receiver successfully receives message processes and sends message acknowledgement Note: 08.1 – 08.6 message acknowledgement is sent in receipt of message

INTER-SQN-MSGR.09.01


N/A XBRL – Receive msg and process

N/A TBA

MSH Receiver successfully receives message and passes to XBRL processor. Processor validates XBRL against schematron

INTER-SQN-MSGH.10.01

N/A N/A

Rollover Transaction Request complete

N/A TBA XBRL validation outcome captured, and processed (eventXML), initiate Rollover Transaction Outcome Response

INTER-SQN- RLVRTRES.11.01

N/A N/A

Initiate Rollover Transaction Outcome response

N/A TBA Initiate rollover transaction response



N/A

Reply message from message Receiver sent to Transferring MSH

N/A TBA Collaboration response message sent





N/A N/A

Message receiver reply message (msg and payload)

N/A N/A Message receiver interprets msg and payload from collaboration response message


N/A N/A

XBRL processor receives outcome payload message

N/A N/A Outcome response message reported to back-end system


N/A N/A

Response reported to back-end system

N/A N/A Outcome response message reported to back-end system



4. TAXONOMY LEVEL CONFORMANCE

4.1 TEST CASES SUMMARY

The purpose of this index is to assist software developers in terms of the types of test, test cases and associated business profiles. The intention of the tests is to focus on the “business payload” conformance scoped to the rollover transaction sequence. All payload processing occurs in the interoperability test case sequence diagram in step INTER-SQN-MSGR.09.01 The tables below summarise the scenarios, test cases and conformance criteria which will test the transaction MIG.

4.2 NEGATIVE TEST CASES

Test cases marked with an asterisk “*” have been included for the purposes of negative testing and are to give examples of error messages resulting from the use of invalid credentials, invalid data or invalid XBRL. Details of the error message triggers are contained within the test case matrix and the test cases themselves. These negative conformance tests are recommended and MAY be completed - when triggering the failure condition does not require you to change your codebase. These tests are designed to encompass common validation errors; however your software may be designed to deal with these types of validation errors prior to submission of a message and therefore may not be necessary to test against these scenarios.

4.3 TEST CASE CREDENTIALS

Both user and device types of credentials have been provided for test cases where it is considered that software developers may wish to test the scenario against both types of credential(s). It is not required that you do so, but these are provided to add an extra layer of testing if required.



4.3.1 Test case matrix (not including initiate roll over transaction sequence)

Test Case Id Test Case Name Required for Induction? Test case purpose

CONF-ATO-RLVXBRL-01.01

Valid member rollover processed (validate all figures based on rollover transaction)

Yes Single member rollover validated and processed


Multiple Valid member rollovers processed

(validate all figures based on rollover transaction)

Yes Multiple member rollovers validated and processed


Valid member rollover with no TFN processed Yes

Single member rollover validated (using MemberID) and processed

4.3.2 Negative test case matrix (not including init iate rollover transaction sequence)


*CONF-ATO-NRLVXBRL-01.01

Invalid XBRL document no context No Test XBRL against schematron and reporting appropriate error


Invalid XBRL document multiple contexts defined (cardinality) No

Test XBRL against schematron and reporting appropriate error





Invalid XBRL document incorrect entity identifier scheme No



Invalid XBRL document duplicate memberID No



Invalid XBRL document mandatory values missing Yes



Business error: member doesn’t exist Yes

Registry system reports error through event XML structure


Business error: Roll over message but no money paid. No


4.3.3 Test case matrix (including initiate rollover transaction sequence)



Initiate member rollover - fund (success if member rollover transaction received)

No Single initiate member rollover validated and processed





Initiate Multiple member rollover - fund

(success if member rollover transaction received)

No Multiple initiate member rollovers validated and processed


Initiate member rollover – ATO (Electronic portability) (success if member rollover transaction received)

No Single ATO initiated member rollover validated and processed


Initiate Multiple member rollover – ATO (Electronic portability)

(success if member rollover transaction received)

No Multiple ATO initiated member rollovers validated and processed



4.3.4 Negative test case matrix (including initiate rollover transaction sequence)


*CONF-ATO-RLVXBRL-01.01

Initiate Rollover Outcome error response No

Single member rollover validated and processed



sd Message Exchange - Initiate

STICFVS Back-end System XBRL Processor MessageProduccer/Receiver

Transferring MSH Receiving MSHATO/Fund

Initiate Rollover TransactionRequest(INTER-SQN-INITRLVR-01.01)

Optional (Validate Member)(INTER-SQN-STIC-01.01-04.1)

Optional Validate Fund(INTER-SQN-FVS-05.01)

Valid TFN and ABN()

Payload(INTER-SQN-MSGP-06.01-07.01)

Message and Payload(INTER-SQN-MSGHS-08.01-08.07)

Collaboration Message(INTER-SQN-MSGHS-09.01-10.01)

Reply Message(INTER-SQN-RLVRTRES-11.01-INTER-SQN-MSGH-12.01)

Message and payload(INTER-SQN-MSGH-13.01)

Payload(INTER-SQN-INITRLVRES-001.02)

Success/Failure(INTER-SQN-MSGH-14.01)

4.3.5 Message exchange – initiate rollover transact ion

The testing steps of the aforementioned test cases (RLVR-ATO-TC.001.01 – RLVR-ATO-TC.003.03) are described in the following sequence diagram:



4.3.6 Test sequence (Including Initiate Rollover Tr ansaction Sequence)

Test sequence steps defined below are the only unique steps outside of the base test sequence steps defined in section 3.2.4 TEST SEQUENCE (NOT INCLUDING INITIATE ROLLOVER TRANSACTION SEQUENCE).

Test sequence Id Profile Service Test Case Name

ABNs Credentials Test case purpose

INTER-SQN-INITRLVR.001.01

N/A Backend systems

Initiate Rollover Transaction

TBA N/A Backend system initiates Rollover Transaction

INTER-SQN-INITRLVRRES.001.02

N/A Backend systems

Initiate Rollover Error Response

TBA N/A Error response reported on initiation



4.4 TEST CASE EXECUTION

The scope of this self-certification test is limited to the following: � compliance to the defined standards, format and data validation with respect to

the taxonomy. � compliance to the report business logic, sequencing and exception handling. Accordingly, the test cases outlined in this document do not include any reference to end user actions via software product user interface nor do they address other aspects such as performance and scalability. It is expected that software developers will be required to adapt their software in order to satisfy themselves that their software has complied with this report.

Each test case defines the required test data for the business profile, credential to be used, context for the sample instance files, the test execution steps, and the conformance criteria. It is anticipated that as part of the self certification process, software developers will complete all steps in the test case and maintain records as evidence that the specified conformance criteria have been met.

4.5 ADDITIONAL INSTRUCTIONS

4.5.1 Testing environment

The ATO does not provide a test environment for SuperStream business-to-business transactions.2 Testing services and environments are expected to be made available via: � internal testing capabilities of APRA funds, administrators, gateway providers

and software developers � point-to-point testing arrangements between test clusters (self-organising) � inter-operability testing environments provided by commercial entities (the ATO

will maintain a publicly available register of these as they become available).

4.6 ABOUT TEST CASES

The test cases should be executed in the specific step sequence to achieve the expected responses. Test data will be supplied to enable funds to construct the appropriate messages. Additionally, sample message instances will be provided which will show what the expected responses should be.

2 However the SBR testing environment hosted by the ATO can be used for web service testing of SuperStream validation services (built and hosted according to SBR conventions).



Responses will be handled using fund standard business processes however, when processing negative test cases the error report back will mirror the sample error examples attached to ensure error management processes have been exercised.

4.7 TAXONOMY DETAILED USE CASES

As mentioned previously in the principles section in this document the scope of the rollover transaction (XBRL) use cases is generic across registry systems. Since the process to exercise rollover transactions is varied it is proposed that the following use cases would signify the base process to trigger processing of a rollover, excluding gateways as the perform ebMS message testing only. The attached XBRL instance documents can be used within the testing environments to enable full conformance testing including ATO enabling services (SuperTICK and FVS).

4.7.1 Positive taxonomy detailed use cases

Ref Test case description Use case outcome

CONF-ATO-

RLVXBRL-

01.01

Valid member rollover processed (validate all figures based on rollover transaction) See instance document: Edit-Rollover_Transaction_Request1_TFN_Known_SampleInstance.xml

Single member rollover validated and processed

Step 1 Select receiving fund (based on peer you are testing with) Step 2 Select member’s new product (receiving fund)

Step 3

Select member to rollover (Member details included) Member detail is included in attachment: Rollover sample instance single member TFN known 20 130620.doc

Step 4 Package instance into ebMS message and send to receiving test partner

Step 5 Validate and process (schematron rules will pass) – example document will validate with no errors

Step 6 Receiver sends success with eventXML information message



Ref Test case description Test case outcome


Multiple Valid member rollovers processed

See instance document:

Edit-Rollover_Transaction_Request_SampleInstance.xml

Note: repeat this use case with an XBRL instance that contains multiple XBRL documents, you will have to modify the instance provided to enable this. Additionally, testing of multiple business documents is only required whilst processing rollovers-in and not on rollovers-out

Multiple member rollovers validated and processed


Step 3

Select members to rollover (Member details included) Multiple member details are included in attachment: Rollover sample instance multiple members 20130620. doc

Step 4 Package instance into ebMS message and send to receiving test partner







Valid member rollover with no TFN processed

See instance document:

Edit-Rollover_Transaction_Request2_TFN_NotKnown_SampleInstance.xml

Single member rollover validated (using MemberID) and processed

Step 1 Package member into ebMS message and send to receiving test partner Step 2 Select member’s new product (receiving fund)

Step 4

Select members to rollover (Member details included) Multiple member details are included in attachment: Rollover sample instance single member TFN not know n 20130620.doc



4.7.2 Negative taxonomy detailed use cases



Invalid XBRL document no context



Invalid XBRL document multiple contexts defined (cardinality)



Invalid XBRL document incorrect entity identifier scheme



Invalid XBRL document duplicate memberID









Invalid XBRL document mandatory values missing



Step 3

Create message and bundle negative instances: Rollover sample instance single member SuperGenGen1 .doc Rollover sample instance multiple members SuperGenG en3.doc Rollover sample instance single member SuperGenGen4 .doc Rollover sample instance single member SuperGenGen6 .doc Rollover sample instance single member SuperGenGen8 .doc Note: Each instance will be a separate interaction, they have been bundled up to remove redundancy

Step 4 Package negative instance (one for each case outlined above) into ebMS message and send to receiving test partner

Step 5 Validate and process (schematron rules will fail) – example document will create error based on each scenario outlined above

Step 6 Receiver sends error with eventXML information message

Ref Use case description Use case outcome *CONF-ATO-NRLVXBRL-05.01

Business error: Member doesn’t exist.



Step 3

Create message and bundle negative instances: Rollover sample instance single member not exist TF N not known 20130620.doc

Step 4 Package negative instance (one for each case outlined above) into ebMS message and send to receiving test partner

Step 5 Validate and process (schematron rules will pass) – registry processes will fail due to non existence of member Note: XBRL and schematron rules will validate.

Step 6 Receiver sends error with eventXML information message



# Reference Test Case

Required for Induction? Significance Conformance Criteria

1 Ebms AS4 messaging

1.1RLVR-ATO-TC.001.01

Non-authenticated exchange of message with payload including ACK

No Critical

-ebMS Message Created (To and From are end-points mapped from FVS) -ebMS Message contains packaged XBRL payload in either message body or as attachment -ebMS Message Delivered to Message Sender (MSH) -ebMS Message Received by Message Received (MSH) measured by ebMS ACK message

1.2RLVR -ATO- TC.002.01

Secure exchange of message with payload in SOAP body including ACK (Verify signed message)

Yes Critical

-ebMS Message Created -ebMS Message contains packaged XBRL payload in body -Secure connection established via digital certificate Sender - Create a digest value for message (See message orchestration and profiles for specifics) - Encrypt the digest using the private key - Exchange the message along with the encrypted digest value Receiver - Create a digest value with with the message again using the same algorithm - Encrypt the digest value using the public key - Validate to make sure the digest value using the public key matches the senders key -ebMS Message Delived to Message Sender (MSH) -ebMS Message Received by Message Received (MSH) measured by ebMS ACK message



1.3RLVR -ATO- TC.003.01

Secure exchange of message with payload as SOAP attachment including ACK (Verify signed message)

Yes High

-ebMS Message Created -ebMS Message contains packaged XBRL payload as attachment -Secure connection established via digital certificate Sender - Create a digest value for message (See message orchestration and profiles for specifics) - Encrypt the digest using the private key - Exchange the message along with the encrypted digest value Receiver - Create a digest value with with the message again using the same algorithm - Encrypt the digest value using the public key - Validate to make sure the digest value using the public key matches the senders key -ebMS Message Delived to Message Sender (MSH) -ebMS Message Received by Message Received (MSH) measured by ebMS ACK message



1.4RLVR -ATO- TC.003.02

Secure exchange of message with payload compressed including ACK (Message compressed)

Yes High

-ebMS Message Created -ebMS Message contains packaged XBRL payload as attachment -Compress message -Secure connection established via digital certificate Sender - Create a digest value for message (See message orchestration and profiles for specifics) - Encrypt the digest using the private key - Exchange the message along with the encrypted digest value Receiver - Create a digest value with with the message again using the same algorithm - Encrypt the digest value using the public key - Validate to make sure the digest value using the public key matches the senders key -ebMS Message Delived to Message Sender (MSH) -ebMS Message Received by Message Received (MSH) measured by ebMS ACK message



1.5


Secure exchange of message with payload compressed including ACK (Message de-compressed)

Yes High

-ebMS Message Created -ebMS Message contains packaged XBRL payload as attachment -Secure connection established via digital certificate Sender - Create a digest value for message (See message orchestration and profiles for specifics) - Encrypt the digest using the private key - Exchange the message along with the encrypted digest value Receiver - de-compress message - Create a digest value with the message again using the same algorithm - Encrypt the digest value using the public key - Validate to make sure the digest value using the public key matches the senders key -ebMS Message Delivered to Message Sender (MSH) -ebMS Message Received by Message Received (MSH) measured by ebMS ACK message

2 XBRL Proessing

2.1 CONF-ATO-RLVXBRL-01.01

Valid single member processed

Yes Critical

- Single member rollover processed within XBRL (validated against scematron): - Valid TFN - Valid transferring fund - Valid receiving fund - Valid USI or ABN




Multiple valid member processed (Single business document)

Yes Critical

- Multiple member rollover processed within XBRL (validated against scematron) including valid data fields for each member: - Valid TFN - Valid transferring fund - Valid receiving fund - Valid USI or ABN


Multiple valid member processed (Multiple business documents) Multiple documents in, single document out if required

Yes Critical

- Multiple member rollover processed within XBRL (validated against scematron) including valid data fields for each member: - Valid TFN - Valid transferring fund - Valid receiving fund - Valid USI or ABN


Valid single member processed no TFN

Yes Critical

- Single member rollover processed within XBRL (validated against scematron): - MemberID supplied no TFN - Valid transferring fund - Valid receiving fund - Valid USI or ABN


Multiple valid member processed no TFN

Yes Critical

- Multiple member rollover processed within XBRL (validated against scematron) including valid data fields for each member: - MemberID supplied no TFN - Valid transferring fund - Valid receiving fund - Valid USI or ABN



2.6 *CONF-ATO-NRLVXBRL-01.01


No Medium - No context supplied in XBRL document - Error reported in eventXML (SUPER.GEN.GEN.6 missing context declaration) - Error message received and displayed


Invalid XBRL document multiple tuples defined (cardinality)

No Medium

- Multiple contexts supplied in XBRL document - Error reported in eventXML (SUPER.GEN.GEN.8 tuple has too many contexts for a context declaration) - Error message received and displayed


Invalid XBRL document incorrect entity identifier scheme

No Medium

- Entity identifier scheme not supplied in XBRL document - Error reported in eventXML (SUPER.GEN.GEN.1 TFN quoted indicator does not match Entity ID scheme is not unique) - Error message received and displayed




Invalid XBRL document duplicate memberID

No Medium

- Multiple member id's in XBRL document - Error reported in eventXML (SUPER.GEN.GEN.3 Member ID used in Entity ID is not unique - Error message receivied and displayed

3 *CONF-ATO-NRLVXBRL-05.01

Invalid XBRL document mandatory values missing

Yes Medium

- Mandatory value not supplied XBRL document - Error reported in eventXML (SUPER.GEN.GEN.4 Mandatory data element not supplied) - Error message receivied and displayed


Business error: member doesn’t exist

Yes Medium

- Member id supplied in XBRL document - Error reported in eventXML (business error as member doesn't exist in registry system) - Error message receivied and displayed

3

Enabling Services



3.1INTER-SQN-STIC.002.01

Invoke STIC service matched

No Medium - See STIC Conformance test suite for success criteria

3.2INTER-SQN-STIC.003.01

Invoke STIC service unmatched


3.3CONF-ATO-RLVXBRL-01.01

Invoke STIC service corrected TFN




ATTACHMENT A: TEST ASSESSMENT CRITERIA The intension of the criteria defined is to provide a mechanism to assist with scoring funds/intermediaries whilst in the induction-in process to demonstrate competencies for each component of the data standard. For completeness the entire set of test cases listed below is recommended for use in the self-certification process, however in the induction-in process only a sub-set of use cases is required. When scoring each test case against the conformance criteria (Conformance Criteria column listed below), it is considered a ‘Pass’ if all elements described below have been successfully executed and the expected outcome has been achieved. If any of the elements do not deliver the expected outcome then the test case is considered to be a ‘fail’.

3.4INTER-SQN-FVS.05.01 Lookup FVS to obtain end-point (USI)

No Critical - Successful message endpoint lookup (USI)

3.5INTER-SQN-FVS.05.01 Lookup FVS to obtain end-point (ABN)

No Critical - Successful message endpoint lookup (ABN)



ATTACHMENT B: STATEMENT OF SELF-CERTIFICATION Statement of self-certification: I certify that the entity described in Table A has: 1. Successfully completed the conformance testing program as specified in Rollovers – Conformance Testing Guide’ v 1.4. 2. Kept a record of all test results for audit purposes. 3. Applied the testing program to all related entities and USIs noted in Table B 4. Noted any exceptions in test coverage or meeting of test conformance criteria in Table B. Table A: Entity name: ABN: Name of authorising officer: Position of authorising officer: Signature of authorising officer:

Date of certification: Table B: Extensions or exceptions Notes Messaging and taxonomy coverage (other entities covered by this statement of certification)

Product or USI-level coverage (product or USIs covered by this statement of certification)

Product or USI-level coverage (product or USIs NOT covered by this statement of certification)

Conformance criteria exceptions