Data STANDARDS AND e-commerce - FUNDS
b2b rOLLOVER v2PRODUCTION READINESS NOTIFICATON –
CHECKLIST / b2b readiness notification / OCT 2016 / UNCLASSIFIED
format / DOCUMENT / ISSUE Date / Classification

The purpose of this document is for Funds/Trustees to notify and provide the ATO with assurance that their systems and business processes to support B2B Rollovers (ie Fund to Fund Rollovers V2) have been established, tested and areconfirmed as ready for production cutover**

This form may be completed by a person/entity with formal authority to act on behalf of the superannuation fund eg authorised administrator/intermediary. The obligation to implement SuperStream remains with the funds/Trustee.

The production readiness notification process for B2B commences from 15 September 2016. Thisform together with updates to the fund’s record on the Fund Validation Service (FVS)is required at least 14 days prior to your scheduled production cutover date which is scheduled to commence from 17 October 2016.

Note: A different and separate notification checklist will be required for G2B (ATO to Fund Rollovers V2) testing and production readiness. That process will commence from15 October 2016.

INSTRUCTIONS:

  1. Please review and complete the checklist below, noting the specific fund(s) and USI(s) the form is being submitted for. The number of USIs you choose to test will depend on the different registry system/s being utilised by the fund.
  2. Ensure the relevant person within Fund/Trustee who has responsibility and accountability to implement B2B Rollovers V2 has approved your responses - include their nameat Q4.
  3. Please attach a copy of your test results or a test summary to demonstrate completion of successful testing for the scenarios listed at Q2.
  4. Once you have completed and provided a response for each question please save a copy of the completed checklist for your records and send a copy to .

fund name(s) / usi(s) ready for PRODUCTION CUTOVER
Person COMPLETING THE FORM:
position: / CONTACT NUMBER:
Activity / Completed - Y/N
  1. B2B Integration testing has been completed as per the Rollovers V2 Testing and Production Cutover Guide
Integration testing describes testing the exchange of messages and/or payloads between funds and their solution provider(s).
The type of integration testing required will depend on the type of message exchange solution implemented between the fund and solution provider(s).
Activity / Completed - Y/N
  1. Peer to Peer testing has been completed with:
    (name of your test partner 1)______
( name of your test partner 2)______
(add details of any other test partners if applicable)______
Please attachdocumentary evidence** egtest results/summarythat demonstratessuccessful completion of testing of the following scenarios:
a)Fund to Fund sending and receiving an IRR (Initiate Rollover Request)
b)Fund to Fund sending and receiving IRER (Initiate Rollover Error Response)
c)Fund to Fund sending and receiving RTR (Rollover Transaction Request)
d)Fund to Fund sending and receiving RTOR(Rollover Transaction Outcome Response)
e)Version 1 and 2 scenarios
B2B peer to peer testing is undertaken between funds. TheConformance Testing Guide provides the list of test scenarios that should be used as the basis for testing.
  1. Business readiness check
Confirmation that necessary business processes, production environments and personnel arein place to support Rollovers V2 implementation including (where applicable**) revision to :
  • Operating and support processes and procedures
  • Operational and support personnel training or guidance
  • Outsourced partnering arrangements for data processing and/or money handling

  1. Confirmation and approval of responses**
Where applicable, approval has been received from the Fund/Trustee (OR)
Where the administrator is completing this form and it is part of their agreed business process to act on behalf of the Trustee, they can sign this form but should ensure the trustee is copied into their response back to the ATO.
  1. Certification details on FVS have been updated
On successful completion of B2B tests, the record on the FVS has been updated with revised certification details to show that your fund/USIs are able to receive industry rollovers v2
Further details about how to update the FVS can be found in theFVS user guide:

**EXPLANTAORY NOTES:

When to submit this form / This form should only be completed and submitted AFTER systems and business processes to support B2B Rollovers have been established, tested and are confirmed as ready for production cutover
Documentary evidence - Test summary (Q2) / Documentary evidence of successful completion of testing can be a completed test results summary, email or checklist that shows that the necessary testing has been completed successfully
Established business processes and procedures (Q3) / In most cases, for B2B V2 implementation there may be no or minor updates to business processes or procedures. Confirming Y to this question suggests that the fund/Trustee is comfortable that their business procedures are up to date to support Rollover interactions
Confirmation of responses (Q4) / Administrators acting on behalf of a Trustee and completing this form as part of their agreed business practice– do not need to seek additional approval of their responses but should cc the Trustee on the responses/checklist that is sent to the ATO on their behalf.

For further information please refer to the Rollovers V2 Testing and Production Cutover or Conformance testing guides.
Queries about this form or process can be emailed: