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  • 18 September 2018

    The SuperStream Reference Group meeting was held on Tuesday 18 September 2018 via telepresence.

    A summary of topics discussed is provided below.

    Welcome

    • Jason Lucchese opened the meeting and thanked members for their attendance. He confirmed James O'Halloran was an apology.
    • The previous minutes from the 2 July 2018 meeting were accepted.
    • All action items were noted as completed.

    SuperStream payments using the New Payments Platform (NPP)

    • Ty Winmill presented an item on the impacts and direction for consulting with New Payment Platform Australia (NPPA). Members were asked to provide their views on what position industry is taking to manage and prepare for NPP enabled SuperStream payments.
    • It was noted the ATO has entered into a non-disclosure agreement with the NPPA to further understand the technical considerations and impacts of NPP with the SuperStream Data Standards.
    • Members discussed a number of technical and processing issues with regard to messaging between individuals, business and banking transactions, including issues with the PRN reconciliation process and the role of the OSKO product services available.
    • ATO acknowledged as the custodians of the data standard, there is an obligation to consider the extent and impact of NPP in the SuperStream space. Given the investment from the banking sector into using NPP there is a risk of a divergence with NPP and SuperStream and the need for the ATO, in partnership with industry, to ensure the integrity of the data standard.
    • Members confirmed their position with the view of having one single standard to comply with and gave their support for the ATO to continue engaging with the NPPA and would also look to support the ATO in a round table with NPPA.
    • Further consideration to be given with regard to making a representation to Australian Payments Clearing Authority (APCA) for guidance prior to the next SSRG meeting.

    ATO's Digital Delivery

    • Claire Miller provided members with an update on the ATO’s Digital Identity program. This initiative is part of a broader whole-of-Government GovPass program (approved 2018 Budget initiative). The ATO is working with Digital Transformation Agency, Department of Human Services & Home Affairs on this program. The ATO’s initial focus is on the delivery of:    
      • myGov ID solution whereby identity is established once and enables reuse of that credential to access Government online services
      • Relationship Authorisation Manager (RAM) product enables authorisations across Government services with an initial focus on business authorisation.
      • These solutions combined, enable the replacement for AUSkey into the future. The ATO is managing the AUSkey transition ahead of the AUSkey certificates expirations in March 2020.
      • Members raised concerns that the effort required to retire AUSkey and migrate employers and other stakeholders to myGov id is being under-estimated.
      • A working group has been established with representatives from across the ATO partner groups and industry to determine the new device credential and completion of a high level design with both client and service components.
    • Mick Rowell outlined the work being done to transition the ATO to cloud services. Key messages included:    
      • The Australian Government Information Management Office has delivered the Government Cloud policy.
      • There are a number of benefits of using a cloud environment such as better scalability, availability and resilience, a more modern and up to date infrastructure underpinning our services ensuring the right level of performance.
      • ATO is working through leveraging off existing SBR2 capability by establishing the PROD 2 gateway and working with on the transition of all Digital Service Providers (DSP’s) to the PROD 2 gateway. The aspirational date to complete the transition for all DSP’s to the PROD2 service is by the end of 2018.
      • The ATO confirmed the ability to cut over the environment; however it’s being done in a managed and targeted way to transition services and ensure large volume transactions are processed correctly. It was noted the ATO continues to operate via the same external gateway.
      • Further to the work already underway, the challenge will be with managing the ‘in flight’ transactions. The ATO is working to identify the service level and the best way for industry to transition to each of the services. The ATO will be in contact with DSP’s over the coming weeks to have one on one discussion to ensure the best solutions are put in place.
      • APRA have issued a new draft standard around cloud computing which includes an element on information risks more generally.
      • The ATO has consulted with APRA and confirmed that as the solution sits behind the ATO’s firewall, these particular guidelines don’t apply to the ATO’s services in this instance. APRA confirmed the outsourcing standard doesn’t apply to the services provided by the ATO as the ATO provides its own services and that the guidance issued is risk management controls to ensure trustees understand the services being provided and the risks associated.
      • The ATO will to write to trustees advising of the change to the ATO’s operating environment. In terms of the assurance the ATO was subject to a number of government policy mandates, standards and reviews to ensure the environment is managed in accordance to specification.
    • The GNGB also confirmed they are looking into what assurance they can provide funds and employers regarding the security measures to increase confidence for cloud based services.
    • Mick Rowell provided members with an overview of the ATO’s Digital Service Modernisation program of work. Key messages included:    
      • There is a lot of work happening with SBR2 to gold to enhance the platform in response to a growth in message and transaction volumes being received.
      • The key focus going forward is looking toward the future digital service capability and new technology options to support the ATO’s systems going forward but also ensure backwards capability is maintained against the standards that are currently in place. A lot of this work will impact across SuperStream services as well as PLS and STP services.
      • This work will see a shift to near real time event based processing and progressively simplify event based interactions for clients, DSP’s and the ATO. The process for prioritising the shift from paper to digital events will be done as a segmented approach and assessment of services more holistically, with consideration given to the volumes and age of forms.
      • The ATO will engage with industry through a formal process in looking at what a new future platform might look like.
    • Martin Mane provided an overview of the Operational Framework noting the transition timeline has not yet been confirmed. Key messages included:    
      • The Operational Framework across most market segments has progressed well with PLS developers. However, due to the complex nature of Superannuation and the number of different parties involved, workshops have been held in recent months to refine the requirements.
      • Next steps will be to undertake one-on-one conversations with stakeholders to better understand their IT systems and organisational structures and the linkages between multiple interactions.
    • Members noted the importance of the compliance and governance aspects of the Operational Framework and offered any assistance to ensure the critical success of the framework.
    • Jason Lucchese advised members the ATO issued a letter to trustees in August 2018 to acknowledge the transitional arrangements currently in place.

    Reporting to Government Transformation

    • Annette Thurbon provided an update on the MAAS and MATS implementation. Key messages included:    
      • As of 18 September 38 funds have on boarded to MAAS which translates to approximately 3 million member records, with an approximate file size of 10,000. Weekly updates are being provided and through the TSWG shared learnings from the onboarding experience.
      • From now until end of October will be the peak onboarding timeframe with funds onboarding daily. If funds are having difficulty implementing their solutions they are required to contact the ATO to negotiate an alternative date.
      • A letter will issue to trustees around MAAS implementation conformance, the online portal and reporting obligations.
      • At this stage there are approximately 12 funds identified as potential candidates of the online portal solution and who will require a deferral and extension of time to implement MAAS until December 2018 when delivery of the portal solution commences. Conversations are occurring with these funds to understand what capability they have in place and how they can meet their MAAS/MATS reporting obligations.
      • There have been further improvements made to ATO systems which has seen an increase in processing capacity and provides an increased level of confidence in the ability to manage increased traffic with the upcoming peak processing. The ATO is in the process of testing some changes to SBR 2 to support a larger file size and will keep members informed of the progress.
      • Industry raised concerns about the 10,000 file size limitation for MATS. The ATO is aiming to have capability for increased capacity to support a larger file size implemented by the end of September 2018.
    • Jason Lucchese noted overall onboarding of the MAAS service has been successful to date; however there is further work to be done regarding the compliance framework once we transition to BAU.
    • Testing of the MATS service continues as implementation is still in its early days with only one fund that has completed their production cutover to MATS.
    • Tracie Crowden provided members with an overview of the online portal solution work underway to provide an alternate reporting solution for MAAS and MATS. Key messages included:    
      • The design is being refined through conversations with a cross section of industry representatives including members of defined benefit funds and the trustees and administrators who will require an alternate solution.
      • Initially the solution will be a minimal viable product allowing transaction types to use the Downsizer MATS design.
      • The next iteration is expected early 2019 which will be the enduring solution. Once the solution is fully implemented it will be the full MAAS/MATs compliment allowing the input of information but retract information that has been reported. It will also allow industry to see what has been reported to the ATO and trouble shoot any discrepancies.
      • The solution will allow for a one off transaction to be uploaded not a bulk file upload. The information will only be displayed at the member level won’t allow for a reconciliation process for all transactions.
      • The portal solution will allow the ATO to close out the legacy systems for example MCS and TBAR lodgments through the BDE channel by 2021.
      • Next steps include finalising the design in partnership with industry and what the online screens will look like and the phases for when it will be delivered. This will likely be done via a CRT alert and information published to ato.gov.au.
    • Members raised the issue that this could potentially create data quality issues with the limited file upload functionality and capability. The ATO has considered a bulk file upload in the design and acknowledge that further exploration for a full data load will be required, however at this stage this isn’t a viable solution and not in scope of the current program of work.
    • Members noted that for SMSF’s there are no current plans to fully transition to the SuperStream solution, however it would be industry’s preference for SMSF reporting through MAAS/MATS and SBR 2 digital services wherever possible, rather than the portal solution.

    Extension of SuperStream Rollovers to SMSF and the opportunities it presents

    • Tracie Crowden provided members with an update on the SMSF rollovers into SuperStream and the broader opportunities that this change presents. Key messages included:    
      • There has been strong advocacy and support from industry for the ATO to consider leveraging off MIGv3 to introduce release authorities and address the issues and irritants that have been generated from MIGv2.
      • The challenge for the ATO is the ability to add discretionary components into the existing and full program of work. The ATO will continue to work through its governing committees on the prioritisation process looking to have this work included and understand what the impacts will be if it can’t be included in MIGv3.
      • Timing needs to be considered with working toward the MIGv3 implementation date of November 2019 and the need to work in parallel with the design efforts.
      • The ATO will look to confirm its position to include the discretionary items with industry as soon as possible.
    • Members noted there is a case that would warrant shifting the November 2019 delivery date out to allow for the inclusion of any additional items if confirmed as in scope and asked that the ATO consider this as it would allow industry time to ensure all necessary changes are in place. The ATO would need to take this approach back to Treasury given the legislative requirements but will consider this as part of the planning.

    GNGB program of work

    • Sarah O'Brien provided members with an update on the GNGB program of work noting a key focus on the information security requirements and updating the requirements to align with the operational framework requirements and the Australian Signals Directive requirements to take into account the APRA discussion paper.
    • This work is to position the gateway to meet the requirements for a gateway to undertake a security audit in a 12 month period and provide the evidence to both the GNGB and the ATO rather than having to go through two processes.
    • Some refinement it still required around the transition arrangements.
    • Sarah noted the overall process has been a positive one and the participation from those involved working through the detail to get to a position that is workable and covers off the risks. This work was ratified by the Board on 17 September 2018.
    • Further work is required with follow-up workshops expected in November 2018.
    • The Board have been progressing work on broader information security and cyber-risk considerations and reached the conclusion that the GNGB need look at how the network is protected as a whole. A board committee has been established to focus on these issues. One of the assessments will be to understand the value case of this work.
    • Changes to GNGB Board committee members and the transition of funding from the ATO establishment grant were noted.

    General Business

    • Jason Lucchese noted the Industry Business Continuity Simulation event that is scheduled to take place on 5 December. This simulation event will be similar to the Operation Melbourne simulation held in 2017. It is an end to end event inviting participants and observers across industry.
    • The scope of the event is to test all aspects of the value chain in response to an incident. There are a number of learnings and recommendations from last year’s event that will be taken into consideration.
    • Work is continuing for ATO Online display with recent workshops held to share with industry a number of screen designs and the ATO’s approach to the online display of member information. There will also be a large communication and engagement piece of work to support the ATO Online display. A timeline showcasing what will be delivered and when will be provided to industry.
    • Tabled papers were taken as read.

    Other Business

    • A number of agenda items were suggested for the next SSRG meeting scheduled, including:    
      • an opportunity to review the future of SSRG meetings
      • visibility on what the ATO’s views are on employee commencement and;
      • further discussion on the ATO’s approach for progressing the engagement with NPPA and APCA.
    • Jason Lucchese thanked members for their attendance and contributions.

    Action item update

    Action Item

    18.09.2018-1

    Due date

    12 November 2018

    Responsibility

    ATO

    ATO to draft letter, in collaboration with SSRG industry representatives to NPPA and APCA to further discussions on the impacts of NPP to SuperStream. APRA to consider forwarding to RBA.

     

    Action Item

    19.09.2018-2

    Due date

    5 October 2018

    Responsibility

    ATO

    The ATO to provide members with the Digital Identify high level design.

     

    Action Item

    19.09.2018-3

    Due date

    28 November 2018

    Responsibility

    ATO

    The ATO to look at options to provide a file up-load capability and provide an update at the next SSRG meeting.

    Attendees

    Organisation and role

    Members

    General Manager - Link Group

    Graham Sammells

    Associate Director, Workplace Relations - ACCI

    Dick Grozier

    Director, Global Transaction Services - Westpac

    Emma Dobson

    Head of Customer Service - SunSuper

    Trevor Govender

    Group General Manager, Corporate Development - IOOF

    Julie Orr

    Manager, Member Reporting - CSC

    Philip George

    Superannuation Specialist, Industry & Technical Services - APRA

    Sacha Vidler

    Executive Officer - Gateway Network Governance Body

    Sarah O’Brien

    Executive Officer - ASFA

    Hans van Daatselaar

    Principal Business Analyst - Class

    Mike Denniss

    Executive Manager, Policy and Research - AIST

    David Haynes

    Deputy Commissioner, Enterprise Capabilities - ATO

    Matt Hay

    Assistant Commissioner, SuperStream Delivery - ATO

    Jason Lucchese

    Additional attendees

    Assistant Commissioner, Digital Wholesale Services - ATO

    Michael Rowell

    Director, Digital Partnership Office - ATO

    Martin Mane

    Director, Digital Delivery - ATO

    Claire Miller

    Director, Readiness Implementation - ATO

    Annette Thurbon

    Director, Reporting to Government Design - ATO

    Tracie Crowden

    Director, Data Standards and Service Unit - ATO

    Ty Winmill

    Director, SuperStream Governance - ATO

    Sheridan Harvey

    Apologies

    Organisation

    Members

    Deputy Commissioner, Superannuation – ATO

    James O'Halloran

     

      Last modified: 14 May 2019QC 55493