GUIDANCE
EXTERNAL
4 AUGUST 2014
UNCLASSIFIED
FORMAT
AUDIENCE
DATE
CLASSIFICATION
VERSION 2.0
ERROR HANDLING GUIDANCE
PURPOSE
The purpose of this document is to provide additional guidance on the implementation of error
and outcome responses under the SuperStream Data Standard (the Standard).
SCOPE
This guidance note applies to registered superannuation entities and employers performing:
 member registration and contributions interactions as specified in the Superannuation
Data and Payment Standard Schedule 4(a) document Data and Payment Standards –
Contributions Message Implementation Guide, and
 rollover interactions as specified in the Superannuation Data and Payment Standard
Schedule 4(b) document Data and Payment Standards – Rollover Message
Implementation Guide.
Except where specifically stated, guidance in this document applies equally to member
registration and contribution, as well as rollover, interactions.
BACKGROUND
The data standard includes an Event XML schema that is carried in response messages to the
sender of an original request message. This schema includes an element called
Location.Path.Text which requires the use of an XPath expression to locate an Event (for
example, an error).
This original approach was limited and did not perform well when data was transformed from
XBRL. It also required the party sending a request message to store the actual XBRL business
document used for that message, so that it could use the XPath expression in the response to
locate the error in its source XBRL.
An alternative approach has been co-designed with the industry, in particular the SuperStream
Standard Technical Committee, to overcome these limitations.
This guidance note must be read in conjunction with the Superannuation Data and Payment
Standard Schedule 6 document Data and Payment Standards – Error Code Management.
RELATIONSHIP OF XBRL REQUESTS AND EVENT XML RESPONSES
To simplify the identification of errors and correlation with their source, all parties must apply
the following rules.
 Each Event XML document included in a response message must relate to a single
XBRL request document.
o This means that it is not permissible to provide an Event XML document in a
response message that includes responses for members from more than one
XBRL business document.
 The value for Location.Instance.Identifier must be the same value as the PartID of the
original XBRL business document.
 Within the Event XML, all EventItems must contain the same value for
Location.Instance.Identifier.
CONTEXTUALISING ERRORS
In order to allow errors to pass easily through data format translations, and to avoid the need
for the sender to retain the original XBRL that was sent, a standard set of parameters
(reflecting XBRL context information from the original request) will be reported in the event XML
structure enabling contextualisation of errors, rather than using an XPath expression in the
Location.Path.Text element.
The Location.Path.Text element remains an optional part of the Event XML, however it should
not be relied upon by sender or receiver as the primary method for locating errors.
DEFINED EVENT XML PARAMETERS
The set of parameters that should be provided in each response message is described in
Attachment 1 (for member registration and contribution interactions) and Attachment 2 (for
rollover interactions).
The parameter sets reflect the minimum information needed to facilitate location of errors and
correlation with their source. Suggested additional parameter names to ensure consistency
across the industry may be added in the future, however this document does not include such
suggestions.
Additional parameters may be added by the party sending the response message as needed to
help convey information intended to assist in treating outcome responses. If a party receives a
response message that contains an Event XML document with additional parameters that it did
not expect or does not require, those additional parameters should be ignored and the
response message processed.
In the special case where a party receives a request message and detects that a context with
1:1 cardinality is missing, no parameter information should be supplied in the error response
(as the necessary information will not exist in the request message). In this case the entire
request message should be treated as being in Error.
2
CORRELATING ERRORS WITH THEIR SOURCE
The parameters provided in the EventItem are intended to enable a party to correlate the
EventItem with the source request message. The use of parameters, rather than identifiers that
are inherent to the XBRL business document, is intended to enable the correlation to occur
irrespective of whether the data has been transformed.
The following approach should be used to perform the correlation.
Identify the relevant XBRL business document


The ebMS3 message that carried the relevant XBRL business document is identified by
ConversationID: the response message must share the same ConversationID as the
original request message.
The particular XBRL business document within the ebMS3 message is identified by the
PartID, which is provided in the value of the Location.Instance.Identifier in the
EventItem.
Locate the EventItem



The relevant context (for example, member details) may be identified by the value of the
ReportPartyType (for single cardinality contexts), or by also using the dimensional
parameters (for multiple cardinality contexts), which may be included in the Event XML.
o Reference to the contextID parameter may be needed to distinguish between
contexts that share identical contextual information (for example, the same
member included twice in the original request)1.
If there is no ReportPartyTypeDimension parameter then the EventItem is not
associated with a particular context type.
o This approach should also be used to designate an EventItem related to the
entire message.
Other parameters may be relevant for specific events (for example, {elementname} to
advise the missing element name).
RECOMMENDED GUIDANCE
Funds should consider the guidance in this note and determine how best to apply it.
Employers and their service providers should consider the guidance in this note and determine
how to utilise the contextualised information received in the Event XML documents contained in
response messages.
1
This approach will generally not assist where data has been transformed from XBRL, as a contextID is
only relevant within an XBRL business document. Parties that need to perform the correlation where their
data has been transformed will need to determine the method for resolving duplicates that best suits their
particular scenario.
3
ATTACHMENT 1 – PARAMETERS FOR MEMBER REGISTRATION AND
CONTRIBUTIONS RESPONSES
The following tables outline the minimum parameter set to be provided against each context in the original request for the member registration
outcome response and the contribution transaction error response. Where there is no identified context there is no minimum set of parameters.
All senders of Event XML documents must use the values as listed exactly (case-sensitive, no spaces) when generating parameters for
EventItems. This will allow recipients to use the parameters to automatically link the response to items within the original message they have sent.
MEMBER REGISTRATION OUTCOME RESPONSE
Parameter
ReportPartyTypeDimension
Description
Explicit member
dimension (Required
value listed in italics)
Message
Sender
Message
Receiver
Employer
SuperFund
Member
Mandatory
Mandatory
Mandatory
Mandatory
[Value=Message
Sender]
[Value=Message
Receiver]
[Value=Employer]
[Value=Super
FundMember]
ContextID
Unique context ID
Optional
Optional
Mandatory
Mandatory
Identifier
Unique entity identifier
(for example, ABN)
Optional
Optional
Mandatory
Mandatory
Scheme
Entity identifier
scheme
Optional
Optional
Mandatory
Mandatory
EmployersABNDimension
Employer ABN
N/A
N/A
N/A
Mandatory
SuperFundABNDimension
Fund ABN
N/A
N/A
N/A
Mandatory
SuperannuationFundUniqueSupe
rannuationIdentifierDimension
Fund USI
N/A
N/A
N/A
Conditional2
2
Must be provided if the USI was provided in the corresponding context in the original request message.
4
CONTRIBUTION TRANSACTION ERROR RESPONSE
Parameter
ReportPartyTypeDimension
Description
Explicit member
dimension (Required
value listed in italics)
Message
Sender
Message
Receiver
Payer
Payee
Employer
SuperFund
Member
Mandatory
Mandatory
Mandatory
Mandatory
Mandatory
Mandatory
[Value=Messa
geSender]
[Value=Messa
geReceiver]
[Value=Pay
er]
[Value=Pay
ee]
[Value=Em
ployer]
[Value=Super
FundMember]
ContextID
Unique context ID
Optional
Optional
Optional
Optional
Mandatory
Mandatory
Identifier
Unique entity identifier
(for example, ABN)
Optional
Optional
Optional
Optional
Mandatory
Mandatory
Scheme
Entity identifier
scheme
Optional
Optional
Optional
Optional
Mandatory
Mandatory
EmployersABNDimension
Employer ABN
N/A
N/A
N/A
N/A
N/A
Mandatory
SuperFundABNDimension
Fund ABN
N/A
N/A
N/A
N/A
N/A
Mandatory
SuperannuationFundUniqueSupe
rannuationIdentifierDimension
Fund USI
N/A
N/A
N/A
N/A
N/A
Conditional3
3
Must be provided if the USI was provided in the corresponding context in the original request message.
5
ATTACHMENT 2 – PARAMETERS FOR ROLLOVER RESPONSES
The following tables outline the minimum parameter set to be provided against each context in the original request for the initiate rollover error
response and the rollover transaction outcome response. Where there is no identified context there is no minimum set of parameters.
All senders of Event XML documents must use the values as listed exactly (case-sensitive, no spaces) when generating parameters for
EventItems. This will allow recipients to use the parameters to automatically link the response to items within the original message they have sent.
INITIATE ROLLOVER ERROR RESPONSE
Parameter
ReportPartyTypeDimension
Description
Explicit member
dimension (Required
value listed in italics)
Message
Sender
Message
Receiver
SuperFund
Member
Mandatory
Mandatory
Mandatory
[Value=Message
Sender]
[Value=Message
Receiver]
[Value=Super
FundMember]
ContextID
Unique context ID
Optional
Optional
Optional4
Identifier
Unique entity identifier
(for example, ABN)
Optional
Optional
Mandatory
Scheme
Entity identifier
scheme
Optional
Optional
Mandatory
TransferringSuperFundAllocatedMemberID
Dimension
Transferring fund
member ID
N/A
N/A
Mandatory
TransferringSuperFundABNDimension
Transferring fund ABN
N/A
N/A
Mandatory
TransferringSuperannuationFundUniqueSu
perannuationIdentifierDimension
Transferring fund USI
N/A
N/A
Conditional5
ReceivingSuperFundABNDimension
Receiving fund ABN
N/A
N/A
Mandatory
ReceivingSuperannuationFundUniqueSupe
rannuationIdentifierDimension
Receiving fund USI
N/A
N/A
Conditional6
4
To remain aligned with original Rollovers implementation
Must be provided if the USI was provided in the corresponding context in the original request message.
6 Must be provided if the USI was provided in the corresponding context in the original request message.
5
6
ROLLOVER TRANSACTION OUTCOME RESPONSE
Parameter
ReportPartyTypeDimension
Description
Explicit member
dimension (Required
value listed in italics)
Message
Sender
Message
Receiver
SuperFund
Member
Rollover
Payment
Mandatory
Mandatory
Mandatory
Mandatory
[Value=Message
Sender]
[Value=Message
Receiver]
[Value=Super
FundMember]
[Value=Transferring
Fund]
ContextID
Unique context ID
Optional
Optional
Optional7
Optional
Identifier
Unique entity identifier
(for example, TFN)
Optional
Optional
Mandatory
Optional
Scheme
Entity identifier
scheme
Optional
Optional
Mandatory
Optional
TransferringSuperFundAllocatedMemberID
Dimension
Transferring fund
member ID
N/A
N/A
Mandatory
N/A
TransferringSuperFundABNDimension
Transferring fund ABN
N/A
N/A
Mandatory
N/A
TransferringSuperannuationFundUniqueSu
perannuationIdentifierDimension
Transferring fund USI
N/A
N/A
Conditional8
N/A
ReceivingSuperFundABNDimension
Receiving fund ABN
N/A
N/A
Mandatory
Optional
ReceivingSuperannuationFundUniqueSupe
rannuationIdentifierDimension
Receiving fund USI
N/A
N/A
Conditional9
Optional
7
To remain aligned with original Rollovers implementation
Must be provided if the USI was provided in the corresponding context in the original request message.
9 Must be provided if the USI was provided in the corresponding context in the original request message.
8
7
ATTACHMENT 3 – EXAMPLE EVENT XML DOCUMENT FOR CONTRIBUTIONS
TRANSACTION ERROR RESPONSE
<?xml version="1.0" encoding="UTF-8"?>
<tns:Event xmlns:tns="http://sbr.gov.au/comn/event.02.data">
<tns:MaximumSeverity.Code>Error</tns:MaximumSeverity.Code>
<tns:EventItems>
<tns:EventItem>
<tns:Error.Code>SUPER.GEN.GEN.4</tns:Error.Code>
<tns:Severity.Code>Error</tns:Severity.Code>
<tns:Short.Description>Mandatory Data Element Not Supplied</tns:Short.Description>
<tns:Detailed.Description>{elementname} is mandatory and MUST be provided.</tns:Detailed.Description>
<tns:Parameters>
<tns:Parameter>
<tns:Parameter.Identifier>ContextID</tns:Parameter.Identifier>
<tns:Parameter.Text>CNTRCVR01</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>Identifier</tns:Parameter.Identifier>
<tns:Parameter.Text>123456789</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>Scheme</tns:Parameter.Identifier>
<tns:Parameter.Text>http://www.sbr.gov.au/id</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>ReportPartyTypeDimension</tns:Parameter.Identifier>
<tns:Parameter.Text> SuperFundMember</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>EmployersABNDimension</tns:Parameter.Identifier>
<tns:Parameter.Text>85946723123</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>SuperFundABNDimension</tns:Parameter.Identifier>
<tns:Parameter.Text>11100472571</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>SuperannuationFundUniqueSuperannuationIdentifierDimension</tns:Parameter.Identifier>
<tns:Parameter.Text>11100472571001</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>elementname</tns:Parameter.Identifier>
<tns:Parameter.Text>PersonDemographicDetails.Sex.Code</tns:Parameter.Text>
</tns:Parameter>
</tns:Parameters>
<tns:Locations>
<tns:Location>
<tns:Location.Instance.Identifier>68304e14-81bd-4a32-9195-1a4b8cd22046</tns:Location.Instance.Identifier>
</tns:Location>
</tns:Locations>
</tns:EventItem>
8
</tns:EventItems>
</tns:Event>
9
ATTACHMENT 4 – EXAMPLE EVENT XML DOCUMENT FOR ROLLOVER
TRANSACTION OUTCOME RESPONSE
<?xml version="1.0" encoding="UTF-8"?>
<tns:Event xmlns:tns="http://sbr.gov.au/comn/event.02.data">
<tns:MaximumSeverity.Code>Error</tns:MaximumSeverity.Code>
<tns:EventItems>
<tns:EventItem>
<tns:Error.Code>SUPER.GEN.GEN.4</tns:Error.Code>
<tns:Severity.Code>Error</tns:Severity.Code>
<tns:Short.Description>Mandatory Data Element Not Supplied</tns:Short.Description>
<tns:Detailed.Description>{elementname} is mandatory and MUST be provided.</tns:Detailed.Description>
<tns:Parameters>
<tns:Parameter>
<tns:Parameter.Identifier>ContextID</tns:Parameter.Identifier>
<tns:Parameter.Text>MBRROLLVR01</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>Identifier</tns:Parameter.Identifier>
<tns:Parameter.Text>123456789</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>Scheme</tns:Parameter.Identifier>
<tns:Parameter.Text>http://www.sbr.gov.au/id</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>ReportPartyTypeDimension</tns:Parameter.Identifier>
<tns:Parameter.Text> SuperFundMember</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>TransferringSuperFundAllocatedMemberIDDimension</tns:Parameter.Identifier>
<tns:Parameter.Text>123123123</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>TransferringSuperFundABNDimension</tns:Parameter.Identifier>
<tns:Parameter.Text>11100472571</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>TransferringSuperannuationFundUniqueSuperannuationIdentifierDimension</tns:Parameter.Identifier>
<tns:Parameter.Text>11100472571001</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>ReceivingSuperFundABNDimension</tns:Parameter.Identifier>
<tns:Parameter.Text>76003920474</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>ReceivingSuperannuationFundUniqueSuperannuationIdentifierDimension</tns:Parameter.Identifier>
<tns:Parameter.Text>76003920474001</tns:Parameter.Text>
</tns:Parameter>
<tns:Parameter>
<tns:Parameter.Identifier>elementname</tns:Parameter.Identifier>
<tns:Parameter.Text>PersonDemographicDetails.Sex.Code</tns:Parameter.Text>
10
</tns:Parameter>
</tns:Parameters>
<tns:Locations>
<tns:Location>
<tns:Location.Instance.Identifier>68304e14-81bd-4a32-9195-1a4b8cd22046</tns:Location.Instance.Identifier>
</tns:Location>
</tns:Locations>
</tns:EventItem>
</tns:EventItems>
</tns:Event>
11