Sgcalculator Business Requirement Specification V1.0.0

SG Calculator

Business Requirement Spec Report

Prepared by : Alison Graham CP2: SWS team

Version: 1.2.1

Status: final

Date: 2008 年 9 月 3 日

Contact: Alison Graham x68280 Document Control

Author Alison Graham

Contributors Gill Toomey, Julie Gardner, Jonathan Price

File Name 088df77d287e1617a4e8254f4ddec1ce.doc

D:\Docs\2018-04- Path 25\088df77d287e1617a4e8254f4ddec1ce.doc

Created 2008 年 9 月 3 日

Last Edited 10 May 2000

Number of Pages 52

Related Documents

Product Definition Report v1 by Alison Graham: J:\~SG Calculator\Docs\SGcalcPDR

Technical Specification Report V1 by Scott Langman : J:\~SG Calculator\Docs\SGcalcTSR

User Requirements Report v1 by Alison Graham: J:\~SG Calculator\Docs\SGcalcURR

Revision Control

Revision Date Version Revision Description 17/2/2000 1.1.0 changes in layout and small errors found in review 1 14/4/2000 1.1.1 Conversion of technical specs to business specs, general editing and proofing 10/5/2000 1.2.1 Screen information updated, wizards updated 12/5/2000 1.2.3a Formatting changes 14/06/2000 1.2.4 Pic Changes Detailed Business Rules for Processes and FunctionsIntroduction

Table of Contents CHAPTER 1 - INTRODUCTION...... 2

1.1 STRUCTURE AND PURPOSE...... 2 1.2 AUDIENCE OF THIS DOCUMENT...... 2 1.3 DEVELOPMENT TEAM...... 2 1.4 KEY STAKEHOLDERS...... 2 1.5 DEFINITIONS, ACRONYMS, ABBREVIATIONS...... 2 1.6 APPROVAL OF THIS DOCUMENT...... 3 CHAPTER 2 - PROJECT OVERVIEW...... 4

2.1 CHAPTER OVERVIEW...... 4 2.2 BACKGROUND...... 4 2.3 SYSTEM OVERVIEW...... 4 2.4 LEGISLATION REQUIREMENTS...... 5 2.5 ADMINISTRATIVE REQUIREMENTS...... 5 2.6 USER REQUIREMENTS...... 5 2.7 BUSINESS TRIGGERS...... 5 CHAPTER 3 - SUMMARY OF PROCESSES AND FUNCTIONS...... 6

3.1 LIST OF PROCESSES...... 6 CHAPTER 4 - DETAILED BUSINESS RULES FOR PROCESSES AND FUNCTIONS...... 7

4.1 CHAPTER OVERVIEW...... 7 4.2 GENERIC RULES APPLYING TO ALL FIELDS...... 7 4.3 INDIVIDUAL FIELD SPECIFIC BUSINESS RULES...... 7 4.4 CREATE RECORD...... 9 4.5 UPDATE RECORD...... 14 4.6 SAVE RECORD...... 14 4.7 DELETE RECORD...... 15 4.8 FIND FUNCTION...... 16 4.9 IMPORT...... 16 4.10 REPORT FUNCTION...... 17 4.11 EXPORT...... 18 4.12 ARCHIVE...... 18 4.13 OPEN...... 19 4.14 PRODUCE SGSTATEMENT...... 20 4.15 PRODUCE SGAUDIT FORM...... 21 4.16 PRODUCE EMPLOYEE LIST...... 23 4.17 PRODUCE EXEMPT EMPLOYEE LIST...... 23 4.18 PRODUCE UNDERPAYMENT ADVICE...... 24 4.19 UPDATE REFERENCE DATA (MEB) PROCESS...... 24 CHAPTER 5 - INDIVIDUAL FIELD BUSINESS RULES...... 25

5.1 CHAPTER OVERVIEW...... 25 5.2 ‘VALID VALUES’ CODES USED IN TABLES...... 25 5.3 ‘FIELD TYPE’ CODES USED IN TABLES...... 25 5.4 FIELD VALIDATION TABLES...... 26 CHAPTER 6 - USER INTERFACE REQUIREMENTS...... 33

6.1 WINDOW NAVIGATION...... 33 6.2 USER INTERFACE DESIGN...... 34 CHAPTER 7 - IMPORT WIZARD...... 44

7.1 WIZARD NAVIGATION...... 44 7.2 WIZARD SCREENS...... 44 CHAPTER 8 - ISSUES...... 48

8.1 CHAPTER OVERVIEW...... 48 8.2 ISSUES RAISED DURING PREPARATION OF THIS DOCUMENT...... 48 Detailed Business Rules for Processes and FunctionsProject Overview

Chapter 1 - Introduction

1.1 STRUCTURE AND PURPOSE This document is designed to provide:  the business requirements and rules for SG Calculator.  user interface design for SG Calculator.

This specification describes the Superannuation Guarantee Calculator (SG Calculator) program. It covers the collection of employer and employee information required for calculating compliance with Superannuation Guarantee obligations. This program reflects the paper-based processes already in place, providing an electronic format to capture the same data.

1.2 AUDIENCE OF THIS DOCUMENT This document is aimed at the people who will be required to sign off this document:

Anthony Trump CP2 Team Leader Scott Langman CP2 Developer Bob Kermode CP2 Tester Bruce Haine SP2 TQS – Tax Technical Clearance Douglas Thwaites SP1 PIC – Public & Industry Communication Barry Plummer CP4 Compliance Gill Toomey CP2 Business Analyst Software Developers

1.3 DEVELOPMENT TEAM The following people are directly involved in the development of the SG Calculator: PERSON ROLE Anthony Trump Team Leader Alison Graham Business Analyst / User Education Scott Langman Developer Bob Kermode Tester

1.4 KEY STAKEHOLDERS The following people/areas have been identified as key stakeholders for SG Calculator: Peter Jones CP3 Segment Strategist Anne-Marie Mendis CP3 Assistant to the Segment Strategist David Diment CP3 Core Process Owner Marcus Markovic CP2 Assistant Commissioner – Surcharge Cindy Briscoe CP2 Core Process Owner Anthony Trump CP2 Team Leader Bruce Haine SP2 TQS – Tax Technical Clearance Douglas Thwaites SP1 PIC – Public & Industry Communication Employers - External users of the program

1.5 ACRONYMS, ABBREVIATIONS The following abbreviations are relevant to understanding the content of this document: Detailed Business Rules for Processes and FunctionsIntroduction

ATO - Australian Taxation Office AWOTE - Average Weekly Ordinary Time Earnings CPs - SPR Core Processes ESD - SPR Electronic Service Delivery Team FSR - Functional Specification Report JAD - Joint Application Development NCS - NCS Australasia Pty Ltd NI - Nominal Interest PDR - Project Definition Report RASP - Registered Accounting Software Project SDR - Structural Design Report SG - Superannuation Guarantee SPR - Superannuation Business Line SSDM - Small System Delivery Methodology SWS - Superannuation Web Services Team TER - Test Evaluation Report URR - User Requirements Report

1.6 APPROVAL OF THIS DOCUMENT Approval by the following people must be gained before the project described in this document can be implemented:

Approved by: ...... Anthony Trump CP2

Approved by: ...... Scott Langman CP2

Approved by: ...... Bob Kermode CP2

Approved by: ...... Gill Toomey CP2

Approved by: ...... Bruce Haine SP2

Approved by: ...... Douglas Thwaites SP1 Detailed Business Rules for Processes and FunctionsProject Overview

Chapter 2 - Project Overview

2.1 CHAPTER OVERVIEW This chapter outlines the background of the project, an overview of the system, and legislation, administration and user requirements.

2.2 BACKGROUND SG98 is a survey/audit software program developed and owned by NCS and is used as part of compliance measuring of Superannuation Guarantee (SG).

Chris Casey [CP3 Process Owner] and Peter Jones [CP3 Employer/ Employee Segment Strategist] proposed a replacement software program that would allow for multiple years and platforms. Known as “SG Calculator”, this program was to be used for SG99.

The SG Calculator program began development to generate appropriate data. However, problems were encountered because the ATO did not have an appropriate system in place to analyse the information that was sent by the employers involved in SG99. A decision was made to continue with NCS as developers for SG99.

Rather than discard the work already done, the SG Calculator was refocused to help increase employer compliance by providing a user-friendly, easy-to-use program to calculate and report any SG underpayments or shortfalls for any particular year and to also meet the requirements of CP4 Audit staff to assist in compliance. The reports (printed or on disk) fulfil the requirements of SG Audit and SG Statement. SG Calculator is now promoted as an alternative method to the paper forms and Excel spreadsheets currently used for SG Audits and SG Statements.

This next phase of the SG Calculator project has been initiated by Anne-Marie Mendis [CP3 Employer/Employee Segment Strategist Assistant] and Peter Jones, with a view to improving the existing beta version of SG Calculator by incorporating a data import facility and additional calculation of exempt employees.

The full SG Calculator functional specification will be made available to payroll software developers, through RASP, to allow them to integrate the same functionality into their payroll packages.

2.3 SYSTEM OVERVIEW The SG Calculator program will provide small to medium employers with a program to help in their compliance with self-assessment of Superannuation Guarantee.

The data required by the SG Calculator has been obtained from the requirements of the SG Statement and SG Audit forms. This data will be either manually entered or imported for ease of use in using the SG Calculator.

The SG Calculator will provide a database to maintain records for historical purposes and to enable employers the ability to produce an SG Audit form if requested by the ATO, produce the SG Statement, and calculate the SG charge when there has been an underpayment of Superannuation Guarantee contributions. Detailed Business Rules for Processes and FunctionsIntroduction

In helping with compliance there is a need to produce various reports for a particular year, from a straight employee listing, to a listing of amounts underpaid for each employee. The SG Calculator program will produce a range of reports including an employee list, exempt employee list, an underpayment advice, SG Statement and SG Audit reports.

The user will be able to print or export to diskette for lodgment the SG Audit and the SG Statement. In the case of diskette lodgment the user will need to print a declaration form for signing and accompaniment with diskette to the ATO.

2.4 LEGISLATION REQUIREMENTS All information from the employer is in accordance with the Superannuation Guarantee (Administration) Act 1992 and the Superannuation Guarantee (Administration) Regulations [Gazetted 28 April 1993].

2.5 ADMINISTRATIVE REQUIREMENTS The SG Calculator is being designed to be used in the following areas:  Burnie Call Centre SPR Outbound Compliance Project as a resource to be offered to employers.  Field audits as a resource for auditors.  Desk audits as a resource for employers in completing audit and for ATO employees in checking paper form submissions.  CP3 service teams (help line, etc) as a resource to be offered to employers that meet a criteria to be set out.  Web services: as a downloadable program for employers with a registration process attached to record who has downloaded the program.  Possible use as a tool for SG2000 and other compliance measure projects.

2.6 USER REQUIREMENTS The program should:  Be easy to install and use, with sufficient information and assistance messages.  Have logical input forms and information groupings that reflect user workflow patterns.

As the program is being developed in Visual Basic (VB) v6 the program is for PC users only. For this program users will need to have:  Windows 32 bit platform (Win95, Win98, and Win NT v4.0; not certified for Win 2000)  Printer  Floppy Drive  CDRom – is highly recommended  Internet access – recommended for download of program and updates

More information on requirements will be in the Technical Specification.

2.7 BUSINESS TRIGGERS  Audit  Compliance checking Detailed Business Rules for Processes and FunctionsProject Overview

Chapter 3 - Summary of Processes and Functions

3.1 LIST OF PROCESSES A summary of the processes and functions of the SG Calculator are listed below. The processes and functions are described in details in the next chapter.

PROCESS PROCESS RECORD TYPE PAGE ID REF 4.4 Create Record Employer (includes Tax Agent and 9 Superannuation Fund records) Employee, Employment 4.5 Update Record Employer, 14 Employee, Employment 4.6 Save Record Employer, 14 Employee, Employment 4.7 Delete Record Superannuation Fund, 15 Employee, Employment 4.8 Find Function Employee 16 Employment 4.9 Import Employee 16 4.10 Report Function Employees, 17 Employment 4.11 Export Reports 17 4.12 Archive SG Calculator database 18 4.13 Open SG Calculator database 19 4.14 Produce SG Statement All 19 4.15 Produce SG Audit form All 21 4.16 Produce Employee list Employee, 23 Employment 4.17 Produce Exempt Employee list Employee, 23 Employment 4.18 Produce Underpayment advice Employee, 24 Employment 4.19 Update Reference Data 24 (Maximum Earnings Base) Process Detailed Business Rules for Processes and FunctionsIntroduction

Chapter 4 - Detailed Business Rules for Processes and Functions

4.1 CHAPTER OVERVIEW This chapter outlines the business rules for each process and function of the SG calculator.

4.2 GENERIC RULES APPLYING TO ALL FIELDS

4.2.1 Field Format

Each field has format rules applicable as per the valid value table 5.2 on page 28. These include both valid values and ranges along with the specific layout of the field. If the field format is incorrect, an error message is displayed and the user is returned to the field in order to input a correct value.

4.2.2 Mandatory fields

Fields can be a variety of types. One of the valid types is ‘Mandatory’, and if an invalid entry is made, an error message is displayed and the user is returned to the field in order to input a correct value.

4.3 INDIVIDUAL FIELD SPECIFIC BUSINESS RULES

4.3.1 Employer

4.3.1.1 Identification numbers Employer Tax File Number (TFN), Group Employer Number (GEN), and Australia Business Number (ABN) are all optional fields that we would like to have supplied. If TFN, or GEN, or ABN value supplied is not valid an error message is displayed with options to continue or return to the field.

4.3.1.2 Nature of Business The choices are limited to those used in the paper based process. The choices available for this field are:

Primary Production Mining Manufacturing Building and Construction Electricity, Gas, Water Transport, Storage, Communications Wholesale and Retail Trade Finance, Insurance, Real Estate and Business Services Health, Education Welfare and Community Services Entertainment, Recreation, Hotels, Personal Services and Restaurants State or Federal Government Department Detailed Business Rules for Processes and FunctionsProject Overview

4.3.1.3 Type of Business The choices available for this field are:

Sole-trader Partnership Public company Private company Trust Government Superannuation Fund Other

4.3.2 Employment

4.3.2.1 Employment Category The choices available for this field are:

Full time Casual or Part time Director Individual contracted for their labour Other

4.3.2.2 Exemption Category The choices available for this field fall into three groups:

A - Paid less than $450 per month for the entire year B - Under 18 and working not more than 30 hrs p/wk Domestic/Private nature of not more than 30 hrs p/wk Aged 70 or over C - Non resident paid for work outside Australia Resident employee paid for work outside Australia for a non-resident employer Senior Foreign Exec – exempt visa

4.3.2.3 Maximum Earnings Base The maximum earnings base for a quarter is set each year. Where the earnings base is greater than the maximum, the maximum figure should be used.

4.3.2.4 Earnings Base used to calculate SG contribution The Earnings Base used to calculate the SG contribution amount is the Total Earnings Base less the adjustment amount.

4.3.2.5 Salary/Wage used to calculate the SG shortfall The Salary/Wages amount used to calculate the SG charge amount is the Total Salary/Wages less the adjustment amount.

4.3.2.6 Required contributions for SG Detailed Business Rules for Processes and FunctionsIntroduction

The required contributions for the SG amount is calculated by multiplying the Earnings Base used to calculate the SG contribution amount by the required SG rate (based on the financial year).

4.3.2.7 Percentage contributed rate The percentage-contributed rate is calculated by dividing the paid contribution amount by the earnings base used to calculate the SG contribution amount and multiplying by 100 to give a percentage. This rate is calculated to 4 decimal places and ROUNDED UP to 3 decimal places. All consequent calculations that use this rate should use the 3 decimal place figure.

4.3.2.8 Balance due to Super Fund Calculated depending on the system date. This value is the remainder of ‘Required contributions’ [ET15] less ‘Paid contributions’ [ET16]. This field only has a value other than 0.00 when the remainder is greater than 0.00 and the system date is on or before 28 July of the same year as the year ending for the applicable financial year. This field or ‘Shortfall due to ATO’ [ET19] should have a value greater than 0.00 when the remainder is greater than 0.00.

4.3.2.9 Shortfall due to ATO Calculated depending on the system date. Where the value of ‘Required contributions’ less ‘Paid contributions’ is greater than 0.00 and the system date is after 28 July in the same year as the applicable financial year, then this field is calculated by the formula: ‘Required SG rate’ less ‘Percentage contributed’ multiplied by ‘Sal/Wages Amount for SG calculation’. This field or “Balance due to SF” [ET18] should have a value greater than 0.00 when the remainder is greater than 0.00.

4.4 CREATE RECORD

4.4.1 Process Description

The create record process defines the type of records necessary to enable calculations to be made and reports to be produced as required by this program. - Employer - Tax Agent - Superannuation Fund - Employee - (Employee) Employment

4.4.2 Business Requirements

 The data required for the SG Audit and SG Statement forms will be the basis for the program.  The amount of SG payable is to be calculated by the algorithm supplied.  Where one piece of data relies on another the relationship (dependency) is to be maintained.  There are record and field relationships.  With the employment records there is a need to capture information regarding exemptions.  Appropriate information, warning and error messages are to be provided during the create process. Detailed Business Rules for Processes and FunctionsProject Overview

4.4.3 Process Business Rules – All Records

4.4.3.1 Record Dependencies All new records created (except Employer) have a requirement that a higher level record exists before they can be created. Therefore: An Employee record requires an Employer record to exist. An Employment record requires an associated Employee record to exist. A Tax Agent record requires an Employer record to exist. A Superannuation Fund record requires an Employer record to exist.

4.4.4 Process Business Rules – Employer

4.4.4.1 Only one Employer record The program is for one employer, so only one Employer record is to be created in the database.

4.4.4.2 Income Tax Exempt employers Income Tax exempt employers are still subject to SG. Where the employer is an Income Tax Exempt organisation they must supply their organisation type and establishment date as an alternative to the TFN.

4.4.5 Process Business Rules – Tax Agent

4.4.5.1 Tax Agent details Where the Tax Agent/Accountant is using the program for the employer, the tax agent details must be entered relative to their condition (see 5.4.2).

4.4.5.2 Tax Agent address details When the employer is using the program and the Tax Agent address is supplied, then the address must be in full as per address requirements (see 5.4.2).

4.4.6 Process Business Rules – Superannuation Fund

4.4.6.1 More than one Superannuation Funds More than one superannuation fund can be given. On the form the user can create many Superannuation Fund records depending on the number of complying funds that they pay into for their employees. The program will ask for details of all complying superannuation funds.

4.4.6.2 Superannuation Fund details Where the details of a superannuation fund have been started all details must be supplied (see 5.4.3). Detailed Business Rules for Processes and FunctionsIntroduction

4.4.7 Process Business Rules – Employee

4.4.7.1 Valid Tax File Number (TFN) Where an employee TFN is entered, a check is required that the TFN provided is a valid. TFN’s are not required to be entered but they are something we would like to see provided. If the TFN is not valid, an error message will be displayed and the user returned to the TFN field.

4.4.7.2 TFN duplication No two employees can have the same TFN. Where an employee TFN is entered, a check is required that the TFN does not already exist on the database for an employee. If the TFN already exists, an error message will be displayed, and the user returned to the TFN field.

4.4.7.3 Employee Name Where the user supplies the Title field of the employee’s name, the gender field should be set accordingly.

4.4.7.4 Employee Gender The gender field and title field must be consistent if a title is provided. If the two fields do not match, an error message is displayed and the user is returned to the gender field.

4.4.7.5 Address Address (if supplied) must be in full (see 5.4.4).

4.4.8 Process Business Rules – Employment

4.4.8.1 Exemption Where a selection of yes occurs to ‘Is the employee exempt?’ the exemption category must be supplied.

The exemption category falls into three groups: A: - ‘paid less than $450 per calendar month for the entire year’ (SGAA sec 27(2): picked up on a month basis in its own question, this is just the occurrence of the exemption for the entire year) B: - Under 18 and working not more than 30 hours per week (sec 28) - Aged 70 or over (sec 27(1)(a)) - Domestic/Private nature work not more than 30 hours per week (sec 12(11)) C: - Non resident employee paid for work outside of Australia (sec 27(1)(b)) - Resident employee paid for work outside of Australia for non-resident employer(sec 27(1)(c)) - Senior Foreign Executives – exempt visa (sec 27(1)(d), SGAR reg 7(1))

The exemptions for local government councillors (sec 12(9A)), employees under the Community Development Employment Program (sec 27(1)(e); reg 7), members of the Reserve Forces (sec 29), and employees who have exceed their RBL and elect not to receive further employer superannuation support (sec 19).

4.4.8.2 Exemption Category = Group A Detailed Business Rules for Processes and FunctionsProject Overview

Where the exemption category falls into Group A, then ask for acknowledgment to satisfy the selection as being correct. If the user acknowledges the warning, no further information is required and the user is provided with an information message to this affect. If the user does not acknowledge the message, the user is returned to the field.

4.4.8.3 Exemption Category = Group B Where the exemption category falls into Group B, then the user will be asked for more details about the employee’s salary/wages according to the following conditions:

Information regarding ‘domestic/private nature’ exempt category For each calendar month ask for salary/wages and earnings base. Where a month has a salary/wages amount of $450 or more, ask for the hours worked for each week. Where a week is for less than or equal to 30 hours, ask for the salary/wages and the earnings base for that week.

The amounts entered will enable months < $450 fields [ET06] [ET07], Salary/Wages and Earnings Base amounts for year, adjustment, adjusted totals and the Qtr Earnings over MEB fields [ET08] - [ET14] to be filled.

If the weekly amount is greater than corresponding monthly amount, an error message is displayed, and the user is returned to the weekly amount field.

If any months have a zero total, an information message is displayed informing the user, and allowing the user to either continue or return to the first quarter.

Information regarding ‘under 18’ exempt category Check date of birth field, where the date of birth has not been supplied, ask for date of birth. Once date of birth supplied, calculate age for applicable financial year range (1/7 and 30/6.) Where the employee is ‘over 18’ for the entire year, provide an error message.

Where the employee is ‘under 18’ for the entire year, the user should supply the salary/wages and earnings base amounts for each month. Where a month has a salary/wages amount of $450 or more, ask for the hours worked for each week. Where a week is for less than or equal to 30 hours, ask for the salary/wages and the earnings base for that week.

Where the employee turns 18 in the applicable year, the user should supply the same information as for an ‘under 18’ employee. Where the birth month has a salary/wage amount of $450 or more the user will be asked to indicate the week that the employee turned 18. All the weeks for that month, after the indicated week, will require the user to supply salary/wages and earnings base amounts regardless of the hours worked.

The amounts entered will enable months < $450 fields [ET06] [ET07], Salary/Wages and Earnings Base amounts for year, adjustment, adjusted totals and the Qtr earnings over MEB fields [ET08] - [ET14] to be filled.

Information regarding salary and hours worked for ‘70 or over’ exempt category Check date of birth field, where the date of birth has not been supplied, ask for date of birth. Once date of birth supplied, calculate age for applicable financial year range (1/7 and 30/6.) Detailed Business Rules for Processes and FunctionsIntroduction

Where the employee is ‘70 or over’ for the entire year, provide a message to indicate no further details required.

Where the employee is ‘under 70’ for the entire year, provide an error message.

Where the employee turns 70 in the applicable year, the user should supply the salary/wages and earnings base amounts for each month. In addition within the birth month ‘after 70’ amounts for salary/wages and earnings base will be required.

4.4.8.4 Any months < $450? The ‘any months < $450?’ question enables the user to select if this exemption applies or not. Where the answer is ‘No’ the user can continue with the employment details entry of yearly Salary/wages etc. Where the answer is ‘Yes’ then the completion of the adjustment screen is required to determine the relevant amounts to be removed from the SG calculation. Where an earlier occurrence has activated the adjustment screen requirement this question will be answered from the details entered in the adjustment screen.

In adjustment screen the user will be asked for salary/wages and earnings base amounts for each month.

4.4.8.5 Minimum Salary/Wage amount The minimum value acceptable for ‘Total Salary/Wages for year’ relies on the ‘any months < $450?’ answer. Where the answer to the ‘any months < $450?’ question is ‘Yes’ the minimum amounts are picked up in the adjustment screen. Where the answer to the ‘any months < $450?’ question is ‘No’ the minimum salary/wages amount entered in the Yearly Salary/Wages amount field [ET08] should be 12 * $450. An error message is displayed if the amount is less than the minimum.

4.4.8.6 Yearly Earnings Base and the Maximum Quarterly Earnings Base There exists a maximum quarter amount that can be used for the Earnings Base amount for the calculation of SG. Where the user supplies the yearly Earnings Base amount, a quick check is needed to determine if the amount divided by 4 is over the Maximum Earnings Base for a quarter. Where this occurs the user will need to enter the quarterly amounts into the adjustment screen.

4.4.8.7 Quarter Earnings Base over Maximum Earnings Base question Where the user has entered Yearly amounts for the Salary/Wages and the Earnings Base, and the 4.4.8.6 test proves false, ask the user if there is any quarter where the earnings base would be over the maximum earnings base (showing the value). Provide the user with a Y/N choice, where the user chooses ‘Yes’, this activates the adjustment screen.

4.4.8.8 Balance due to Superannuation fund or Shortfall due to ATO Where the required contribution amount is greater than the paid contribution amount, the cut off date of 28 July alters the residual amount that is payable and who it is payable to. Detailed Business Rules for Processes and FunctionsProject Overview

If the date is before 28 July in the same calendar year as the year ending financial year (e.g. 28 July 1999 where the applicable financial year is 30 June 1999) and the required contribution amount is greater than the paid contribution amount, the balance due to the SF is calculated.

If the date is before 28 July in the same calendar year as the year ending financial year (e.g. 28 July 1999 where the applicable financial year is 30 June 1999) and the required contribution amount is equal to or less than the paid contribution amount, enter zero (0) in the balance due to the SF field.

If the date equal to or greater than 28 July in the same calendar year as the year ending financial year (e.g. 28 July 1999 where the applicable financial year is 30 June 1999) and the required contribution amount is greater than the paid contribution amount, calculate the shortfall due to the ATO.

Otherwise, if the date is equal to or greater than 28 July in the same calendar year as the year ending financial year (e.g. 28 July 1999 where the applicable financial year is 30 June 1999) and the required contribution amount is equal to or less than the paid contribution amount, enter zero (0) in the shortfall due to the ATO.

4.4.8.9 Lodgment of Superannuation Guarantee Statement Where a shortfall due to ATO exists, then ask if a Superannuation Guarantee Statement has been lodged. Where there has been a lodgment made, then where and when the lodgment occurred must be supplied.

4.5 UPDATE RECORD

The update record process allows user to modify/edit the existing records. Any change made to a field of a record must be within the business rules that affect that field.

 All records will allow for update of each field within that field’s validation rules.  Inter-field rules that apply for create also apply for update record process.  Provision of appropriate messages (information, warning and error) in update.

4.5.3 Process Business Rules

4.5.3.1 All Records Any field selected within a record can be modified within the rules of that field and any inter- field dependencies that exist. If any field validations rules are violated, or if any inter-field validation rules that exist are violated, an error message is displayed and the user is returned to the field.

4.6 SAVE RECORD

The save process allows a user to save the changes made to a record in the update record process. Detailed Business Rules for Processes and FunctionsIntroduction

 Allow user to accept changes and save record.  Prompt user when leaving a record to save changes made to record.  If an error occurs when saving the record, show appropriate error message.  Provision for appropriate messages (information, warnings and error) in save.

4.6.3.1 All Records When a user leaves a record and changes have been made without being saved, prompt user to save record. Provide options of yes, no or cancel.

4.6.3.2 Error while saving When saving a record, if an error occurs inform user of error, do not continue save.

4.7 DELETE RECORD

The delete record process allows user to delete records that are no longer required.

 The ability to delete a record is required.  Any dependent records should be deleted first at the prompting of the user.  Provide appropriate error, information messages during delete.  Deletion of a record to be acknowledged.  Employer record can not be deleted.

4.7.3.1 Non deletion of Employer record When user selects to delete a record, do not allow them to select the employer record for deletion.

4.7.3.2 Record dependencies on deletion When a user chooses to delete a record any lower level records should already be deleted. Where there exists a lower level record, provide user with a message to inform them. Do not delete higher level record.

4.7.3.3 Deletion completed When the deletion of a record has been completed, inform user, require user to acknowledge message about deletion.

4.7.3.4 Deletion acknowledgment When the deletion of a record is selected, require user to acknowledge that they do wish to delete the record. Provide ok and cancel options. Detailed Business Rules for Processes and FunctionsProject Overview

4.8 FIND FUNCTION

The find process allows user to find employee records within the application.

 To be able to search/find records within the application.  Where a record can not be found an information message to be displayed.  Where more than one record is found fulfilling search criteria allow further choice by user.  Multiple options to allow for finding a record providing a logical ‘and’ facility.

4.8.3.1 Options for finding an employee More than one field should be available to users for finding an employee For a search record allow the following fields to be entered in any combination for the criteria for the search of an employee: - TFN - Family Name - First Name

4.8.3.2 Record not found Where a search has no result a message should be displayed and the user is returned to find screen to allow new find. Details of find criteria are retained.

4.8.3.3 More than one record found Where a search has more than one match for the criteria used, display list of matches. From the list of matches it will be possible to select the required record to be displayed.

4.8.3.4 Record found Where only one match is found for the criteria used, display record.

4.9 IMPORT

The import process allows user to import employee records from a dataset into the application.

 A generic import function for employee records.  Capture employee information, TFN, Full name, Gender, Date of Birth, Overseas Resident, Address [EE01 – EE14] where able.

4.9.3.1 Import Option Selected Detailed Business Rules for Processes and FunctionsIntroduction

When the user selects to import, a choice needs to be made whether the user is importing a comma-separated file or a tab-delimited file, other choices may be added (such as colon or semi-colon).

4.9.3.2 Import employee data Where user has selected to import employee data, for each record check field validation and that mandatory fields are supplied. Where a mandatory field is not supplied prompt user to supply it, if they are unable to supply write the record to an exception report and do not import record. If field validation rules are violated prompt user to edit field value, if they are unable to satisfy field validation rules write the record to an exception report and do not import record.

4.10 REPORT FUNCTION

The report function allows users to preview, print or export a report. The reports available are further discussed later, are: Superannuation Guarantee Audit Superannuation Guarantee Statement Employee list Underpayment list Exemption list

 To be able to preview or print or export any of the reports available.  Provide appropriate messages (error, information, warning) as necessary.

4.10.3.1 Preview Selected Report When user has selected report and chooses to preview the report, then produce [selected] report process should be activated, with a return to here for preview. If the preview report has no data, an error message is displayed and the user is returned to the report option screen.

4.10.3.2 Print from preview pane Where user is viewing selected report in preview pane and opts to print from here, then check printer availability, and depending on outcome print or error message.

4.10.3.3 Print Selected Report When user has selected report and chooses to print the report, then produce [selected] report process should be activated, with a return to here for printing. If the report has no data, an error message is displayed and the user is returned to the report option screen.

4.11 EXPORT

4.11.1 Process Description Detailed Business Rules for Processes and FunctionsProject Overview

The export process allows user to export a report to a diskette instead of paper to send the report to the ATO. When this occurs the user still needs to print off the declaration to be signed and sent with the diskette containing the ATO report. This is especially suitable for larger reports. In possible future development the exported file may be integrated into the ECI (Electronic Commerce Interface) to enable the reports to be transmitted to the ATO.

 Provide a process to allow a report to be saved to disk to send into the ATO.  Pre-empt with floppy drive to save disk but allow user to change location.  Prompt user to print declaration.  Provide appropriate messages (information, warnings or errors) where applicable.  Export file (report) to be in flat file format.

4.11.3.1 Select Export option When user has selected report and chooses to export the report, then produce [selected] report process should be activated, with a return to here for exporting. If the floppy is not available or the file/location is not valid or already exists, then an error message is displayed and the user is returned to the location selector /name field. If the report has no data, an error message is generated and the user is returned to the report option screen.

4.12 ARCHIVE

The archive process allows a user to archive, in read-only format, the active database. This enables the user to save a copy of the database for historical records. The user can also print reports where necessary (such as a Superannuation Guarantee Audit). For employers with a high yearly turnover of employees (e.g. casuals at christmas) this allows them after the financial year is complete to clear the current database of the employees no longer employed while, still retaining the information for reporting requirements. The database can be archived and then the employee records can be deleted from the current year database. Detailed Business Rules for Processes and FunctionsIntroduction

 Ability for user to archive a database.  Ability for user to name archive.  Archived databases should only be read-only.  Ability for user to print reports.  Provide appropriate messages (error, information or warning) as necessary.

4.12.3.1 Archive Database When user selects option to archive database, then user should be given a window to select the location for the database. If the name already exists or the location is not valid, an error message is generated and the user is returned to the location selector /name field.

4.13 OPEN

The open process allows a user to open, in read-only format, an archived database. This enables the user to view the database for historical records. The user can also print reports where necessary (such as a Superannuation Guarantee Audit).

 Ability for user to open an archived database.  Archived databases should only be read-only.  Ability for user to print reports.  Provide appropriate messages (error, information or warning) as necessary.

4.13.3.1 Locate Database When user selects option to open database, then user should be given a window to locate the database with the option to cancel the operation.

4.13.3.2 Check Database When user has located the database and attempts to open it, close the existing database and commence opening of located archive. Check database is not corrupt. Where problems exist provide error messages and abort opening the database.

4.13.3.3 Open Database When database has been checked and is okay, open database in read-only format, allow user full navigation of database but no update process of records. User should be given full options on reports.

4.14 PRODUCE SG STATEMENT Detailed Business Rules for Processes and FunctionsProject Overview

The produce SG Statement process allows the user to produce a report for a selected year that can be previewed, printed or exported from the Report Option process.

The SG Statement has some parameters that must be fulfilled for the calculation to correctly take place.

 User selects applicable year and date for lodgment for SG Statement.  Employer detail section of report will include: TFN, GEN, Name, Postal address, Business address, Principle Nature of business, Type of business and Income Tax Exempt details [ER01, ER03 – ER07, ER09 – ER11].  Employment records for selected year that have a SG shortfall amount [ET19] and have not already been lodged [ET20] are to be included in this report.  The SG shortfall amount along with the related employee data {TFN, Full name, Postal address, DOB and OS indicator [EE01 – EE06, EE08-EE14]} will make up the employee detail section of the report.  Employee details section of report to be in TFN [EE01] order, where no TFN supplied the records should be in Surname [EE04] order.  Total fields are required for SG shortfall, and number of employees included in report.  Calculation of the Nominal Interest and Administration components need to be done as per their algorithms where Nominal Interest (NI) calculation requires:  Applicable year  Date for lodgment  SG shortfall grand total. and Administration calculation requires:  Number of employees included.  Conform with Superannuation Guarantee system format of calculating Nominal Interest by calendar year. see PSS SOP 96/8.

4.14.3.1 Applicable year When the produce SG Statement process is selected, prompt user for the applicable year for the report data. If invalid dates are entered for the year or lodgement dates, the users are given an error message and returned to the appropriate field. If the report contains no records, an error message is displayed and the user is returned to the reports option.

4.14.3.2 Date for lodgment When user supplies the date for lodgment parameter check that date is today or in the future, is at least after the cut off date of 28 July in applicable year and in correct format.

4.14.3.3 Selection of Employment and Employee records When user has supplied the parameters for this report, selection of appropriate Employment records is required with the associated Employee record, totals should be kept of employee numbers and SG shortfall. If no records found for the applicable year an error message is displayed and the user is returned to the report option screen.

4.14.3.4 Nominal Interest calculation Detailed Business Rules for Processes and FunctionsIntroduction

When the user has supplied the parameters and the selection of Employment and Employee records is complete, calculation of nominal interest is required. This calculation is prepared as per the PSS SOP No. 96/8, where the calculation is performed on a calendar year process. From the first day applicable (1st of June of the applicable financial year) to the day of payment entered by the user. The number of days applicable in each calendar year are divided by the total number of days for that calendar year to give the proportion to be multiplied by the nominal interest rate and then the shortfall amount.

Example 1. For financial year ending 30 June 1998 being lodged on 27 January 2000.  Applicable calendar years: 1997, 1998, 1999, 2000  Applicable days in each year and the applicable divisors: 1997: (1/7 – 31/12) = 184/365 1998: (1/1 – 31/12) = 365/365 1999: (1/1 – 31/12) = 365/365 2000: (1/1 – 27/1) = 27/366

Example 2. For financial year ending 30 June 1998 being lodged on 10 August 1998. (this is before the minimum of 14 August and after the 28 July cut off).  Applicable calendar years: 1997, 1998  Applicable days in each year and the applicable divisors: 1997: (1/7 – 31/12) = 184/365 † 1998: (1/1 – 10/8) = 222/365 ††

† where the first half of the financial year falls in a leap year the divisor is 366. †† date comparison required. 10/8 in same calendar year as the financial year ending (1998), date is between cut off (28/7) and minimum (14/8) making the number of days to be used for this part of the calculation 226/365. EXCEPT: if the financial year ending falls in a leap year then the number of days to be used for this part of the calculation is: 227/366.

The total amount for the entire period is the Nominal Interest Component.

4.14.3.5 Administration charge calculation When a SG Statement is required there is an administration charge of $30 that is payable for each employee included in the report along with a one off charge of $50.

4.15 PRODUCE SG AUDIT FORM

The produce SG Audit form process allows the user to produce a report for a selected year that can be viewed, printed or exported from the Report Option process.

The SG Audit form has some parameters that must be fulfilled for the calculation to correctly take place.

 User selects applicable year. Detailed Business Rules for Processes and FunctionsProject Overview

 Employee details section of report to be in TFN order, where no TFN supplied the records should be in Family Name (EE03) order.  Employer details section of the report will have the following fields: Employer: TFN, GEN, Name, Trading Name, Postal and Business address, contact person details, nature of business [ER01, ER03, ER07 – ER08, ER16– ER21, ER22-27, ER12, ER09]. Tax Agent: tax agent name, number, contact name and telephone, tax agent address details [TA01 – TA04, TA07 – TA12. Superannuation Funds: Superannuation Fund Name, Employer Account name and number [SF01 –SF03].  Employee employment section of the report will have the following fields for the selected year: Employee: TFN, Family name, First name, Other names [EE01, EE03 – EE05]. Employment: Employment category, Number of months, Salary/Wages amount for SG Calculator, Earnings Base amount for SG Calculator, Paid contributions, Percentage contributed, Shortfall due to ATO, SG Statement lodged [ET03, ET07, ET12, ET13, ET16, ET17, ET19, ET20].  Total fields for the following are needed: Salary/Wages amount for SG Calculator, Paid contributions, Shortfall due to ATO.  Additional add the Exempt Employee List (4.17) to this report.  A table of contribution statistics is required which has a count of each employee for each category as listed: In each employment category [ET03]: Full payment of required contributions [ET19] = 0.00 (further split to Male/Female [EE07]) Insufficient payment of contributions [ET19] > 0.00 (further split to Male/Female [EE07]) Exempt employees (no contributions made) [ET04] = Yes.  Totals of each field are also required.

4.15.3.1 Applicable year When the produce SG Audit process is selected, prompt user for the applicable year for the report data. If no selection is made, an error massage is generated and the user is returned to the applicable year parameter. If no records are found, an information message is displayed and the user is returned to the reports option.

4.15.3.2 Selection of Employment and associated Employee records When user has supplied the parameters for this report, selection of appropriate Employment records is required with the associated Employee record, totals should be kept of Salary/Wages amount for SG Calculator, Paid contributions, Shortfall due to ATO. If no records are found, an error message is displayed and the user is returned to the reports option.

4.15.3.3 Calculate statistical table When user has selected this report and the applicable year has been determined, then the statistical table is required. Detailed Business Rules for Processes and FunctionsIntroduction

4.16 PRODUCE EMPLOYEE LIST

The Produce Employee List process allows a user to obtain a list of employees for an applicable year. 4.16.2 Business Requirements

 User selects applicable year.  Records to be in Family name order, further sorted on First name where necessary.  Report to include the following fields: Employee: Family name, First Name, Other names, date of birth, TFN, address [EE03 – EE05, EE07, EE01, EE09 – EE14]. Employment: Employment category [ET03].

4.16.3.1 Applicable year When the produce employee list process is selected, prompt user for the applicable year for the report data. If no selection is made, an error massage is generated and the user is returned to the applicable year parameter. If no records are found, an information message is displayed and the user is returned to the reports option.

4.17 PRODUCE EXEMPT EMPLOYEE LIST

The Produce Exempt Employee List process allows a user to obtain a list of employees and their exemption category for an applicable year who were exempt from Superannuation Guarantee.

 User selects applicable year.  Employee records should be in TFN order, where no TFN supplied the records should be in Surname (EE04) order.  Report to include the following fields: Employment: Employment Category, Exemption Category [ET03, ET05]. Employee: TFN, Family name, First name, Other names [EE01, EE03 – EE05].

4.17.3.1 Applicable year When the produce exempt employee list process is selected, prompt user for the applicable year for the report data. If no selection is made, an error massage is generated and the user is returned to the applicable year parameter. If no records are found, an information message is displayed and the user is returned to the reports option.

4.17.3.2 Selection of Employment and associated Employee records Detailed Business Rules for Processes and FunctionsProject Overview

When user has supplied the parameters for this report, selection of appropriate Employment records is required with the associated Employee record. If no records are found, an information message is displayed and the user is returned to the reports option.

4.18 PRODUCE UNDERPAYMENT ADVICE The Produce Underpayment Advice process allows a user to obtain a list of employees in an applicable year where an underpayment to the Superannuation Fund has occurred.

 User selects applicable year.  Records to be in Family name order, further sorted on First name where necessary.  Report to include the following fields: Employee: Family name, First Name, Other names, TFN [EE03 – EE05, EE01]. Employment: Balance due to SF [ET18].

4.18.2.1 Applicable year When the produce underpayment advice process is selected, prompt user for the applicable year for the report data. If no selection is made, an error massage is generated and the user is returned to the applicable year parameter. If no records are found, an information message is displayed and the user is returned to the reports option.

4.18.2.2 Selection of Employment and associated Employee records When user has supplied the parameters for this report, selection of appropriate Employment records is required with the associated Employee record. If no records are found, an information message is displayed and the user is returned to the reports option.

4.19 UPDATE REFERENCE DATA (MAXIMUM EARNINGS BASE) PROCESS Annually there is a requirement for the user to enter the Maximum Earnings Base figure to be used in the program for the next financial year. This figure is determined in the May of the previous financial year after the AWOTE figures have been release from the Australian Bureau of Statistics.

 enable user to enter the Maximum Earnings Base figure for the next financial year.  amount entered by user should not be less than the previous year maximum earnings base figure.

4.19.2.1 Entering Maximum Earnings Base figure When the user enters the Maximum Earnings Base figure for a new year the value entered must not be less than the Maximum Earnings Base figure of the previous year. If the value entered is less than previous year value, and error message is generated and the user is returned to the field. Detailed Business Rules for Processes and FunctionsIntroduction

Chapter 5 - Individual Field Business Rules

5.1 CHAPTER OVERVIEW This chapter provides an outline of the fields of the SG Calculator, valid values, format rules, field types, default values, and generic business rules.

5.2 ‘VALID VALUES’ CODES USED IN TABLES A code has been assigned to certain ranges of valid values to simplify the Field Validation Tables. The following table is a list of those codes and their valid values. The valid values used here are consistent with other systems in production (ECI & SuperReport) the SG mainframe program may allow a broader range of values.

Code Code Description Valid Values AD Address A-Z, a-z, 0-9, and symbol &, space, hyphen -, apostrophe ’, forward slash /, brackets () PO Postcode 0200-0299, 0800-8899, 9000-9299, 9400-9799, 9800-9999 NM Name A-Z, a-z, 0-9, space, apostrophe ’, full stop ., hyphen - EM E-mail AN values, AND also must contain an @ symbol ST State ACT, NSW, NT, QLD, SA, TAS, VIC, WA TT Title Mrs, Miss, Ms, Mr DT Date Valid day/month/years only – from 01/01/1890 – current date AN Alphanumeric A-Z, a-z, 0-9, and all keyboard symbols N Numeric 0-9 YN Yes or No Y (yes) or N (no), true or false, boolean selection. $ Currency 0-9, $ symbol at beginning and 2 decimal points (cents) % Percentage 0-9, full stop ., % symbol at end and 3 decimal points SEL List Selection Limited to the list of choices supplied

Note:  Further restrictions in the individual date fields will apply.  Title field is limited to the paper based requirements.

5.3 ‘FIELD TYPE’ CODES USED IN TABLES The ‘Field Type’ determines whether a user must enter a field. The codes used for ‘Field Type’ in the Field Validation Tables are:

Field Type Description M Field is always Mandatory – field must contain data O Field is always Optional – user has option of entering data CM Field becomes Mandatory IF specific Conditions are met CO Field becomes Optional IF specific Conditions are met CD Entry not allowed (field disabled) IF specific Conditions are met D Derived by program Detailed Business Rules for Processes and FunctionsProject Overview

5.4 FIELD VALIDATION TABLES

5.4.1 Employer

Field Name (UI) Field Field Description Field Valid Size Default Value Additional Conditions (if Code Type Values applicable) Employer Details Tax File Number ER01 Employer Tax File Number O N 11 TFN algorithm applicable Australian Business ER02 Australian Business Number O N 14 ABN algorithm applicable Number Group Employer ER03 Group Employer Number O N 11 GEN algorithm applicable Number Income Tax Exempt ER04 Whether the organisation is income O YN 1 tax exempt Exempt Body Type ER05 Type of Income Tax Exempt CM YN 1 Cooperative Mandatory if ER04 is Yes organisation Establishment Date ER06 Date the Income Tax Exempt CM DT 8 Mandatory if ER04 is Yes organisation was established Employer Name ER07 Name of the Employer M AN 76 Trading Name ER08 Name the Employer trades under O AN 76 ER07 Nature of Business ER09 The main activity undertaken by this M SEL 2 organisation Type of Business ER10 The type of business this O SEL 1 organisation is, see list Residency Status ER11 The residency status of the O YN 1 Resident Australian or overseas organisation. Contact Details Contact Name ER12 Name of person to contact in the M AN 38 organisation Telephone Number ER13 Telephone number of the contact M AN 15 person

Business Requirement Spec Report(1.) Error: Reference source not found Detailed Business Rules for Processes and FunctionsIntroduction

Facsimile Number ER14 Facsimile number of the contact O AN 15 person E-mail Address ER15 E-mail address of the contact person O EM 76 Postal Address Postal address for service of notices to the organisation Address (line 1) ER16 First line of organisation postal M AD 38 address Address (line 2) ER17 Second line of organisation postal O AD 38 address Suburb ER18 Suburb of organisation postal M AD 27 address State ER19 State of organisation postal address M ST 3 Postcode ER20 Postcode of organisation postal M PO 4 address Country ER21 Country of organisation postal O AD 20 Australia address Business Address Address (line 1) ER22 First line of organisation M AD 38 street/business address Address (line 2) ER23 Second line of organisation O AD 38 street/business address Suburb ER24 Suburb of organisation M AD 27 street/business address State ER25 State of organisation street/business M ST 3 address Postcode ER26 Postcode of organisation M PO 4 street/business address Country ER27 Country of organisation O AD 20 Australia street/business address

5.4.2 Tax Agent

Error: Reference source not found Business Requirement Spec Report(1.) Page 27 Detailed Business Rules for Processes and FunctionsProject Overview

Field Name (UI) Field Field Description Field Valid Size Default Value Additional Conditions (if Code Type Values applicable) Tax Agent Details Tax Agent Name TA01 Employer Tax Agents name CM AN 38 Tax Agent Number TA02 Employer Tax Agents registration CM N 38 number Contact Details Contact Name TA03 Name of contact person at the Tax CM AN 38 Agent Telephone Number TA04 Telephone number of the contact CM AN 15 Facsimile Number TA05 Facsimile number of the contact CO AN 15 E-mail Address TA06 E-mail address of the contact CO EM 76 Address Address (line 1) TA07 First line of the Tax Agents address CM AD 38 Address (line 2) TA08 Second line of the Tax Agents CO AD 38 address Suburb TA09 Suburb of the Tax Agents address CM AD 27 State TA10 State of the Tax Agents address CM ST 3 Postcode TA11 Postcode of the Tax Agents address CM PO 4 Country TA12 Country of the Tax Agents address CO AD 20 Australia 5.4.3 Superannuation Funds

Field Name (UI) Field Field Description Field Valid Size Default Value Additional Conditions (if Code Type Values applicable) Superannuation Fund Name SF01 Name of complying O AN 76 superannuation fund Employer Account Number SF02 Account name for employer CM AN 76 Employer Account Name SF03 Account number for CM AN 76 employer

5.4.4 Employee

Field Name (UI) Field Field Description Field Valid Size Default Value Additional Conditions (if Code Type Values applicable) Employee Details Tax File Number EE01 Employee’s Tax File Number O N 11 TFN algorithm applicable

Title EE02 Employee’s title as part of their name. O TT 4 Family Name EE03 Employee’s family name M AN 30 First Name EE04 Employee’s first name M AN 15 Other Names EE05 Employee’s other given names O AN 30 Gender EE06 Employee’s gender M SEL 1 M (Male) or F (Female) Date of Birth EE07 Employee’s date of birth CO DT 8 Store as DDMMCCYY Overseas Resident EE08 Whether the employee is an overseas O YN 1 No Y = Non Resident resident Address details Address (line 1) EE09 First line of employee’s postal O AD 38 address Address (line 2) EE10 Second line of employee’s postal CO AD 38 address Suburb EE11 Suburb of employee’s postal address CM AD 27 State EE12 State of employee’s postal address CM ST 3 Postcode EE13 Postcode of employee’s postal CM PO 4 address Country EE14 Country of employee’s postal address CO AD 20 Australia

5.4.5 Employment

Field Name (UI) Field Field Description Field Valid Size Default Value Additional Conditions (if Code Type Values applicable) Employment Details Financial Year ET01 Financial year ending that he M SEL 4 user set tax year 1997; 1998; 1999; 2000; etc employment record is for. Required SG Rate ET02 SG rate applicable for applicable D % user set tax 1997 = 6 %; 1998 = 6 %; financial year year rate 1999 = 7 %; 2000 = 7 %; 2001 = 8 %; 2002 = 8 %; 2003 -> = 9 % Employment ET03 Employment category that he employee M SEL 1 Category is employed under. Exempt Indicator ET04 Whether the employee is exempt from M YN 1 IF Yes, ET05 is Mandatory SG for one of listed reasons Exempt Category ET05 Exempt category applicable CM SEL 100 Mandatory if ET04 is Yes

Any months < $450 ET06 Whether the employee has any month M YN 1 N IF Yes, ET07 should be where they earned under $450 in the greater than 0 applicable financial year Number of months ET07 Number of months where salary/wage D N 2 0 0,1,2,3,4,5,6,7,8,9,10,11,12 was under $450 for applicable financial year Total Salary/Wages ET08 The amount of salary/wages paid to the M $ 13 0.00 Minimum value is $5400.00 for year employee for this financial year. less (ET06 *450.00) Total Earnings Base ET09 The amount of earnings base used to M $ 13 0.00 Maximum value is 4 * for Year calculate the SG contribution for this Maximum Earnings Base† for employee for this financial year applicable Financial Year Salary/Wage Adj ET10 The amount of salary/wages that is D $ 13 0.00 Minimum is $0.00 amount applicable to the adjustment screen

Earn Base Adj ET11 The amount of earnings base that is D $ 13 0.00 Minimum is $0.00 amount applicable to the adjustment screen Sal/Wages Amount ET12 The amount of salary/wages that will be D $ 13 0.00 ET08 less ET10 for SG calculation used in the calculation of SG where a shortfall exists Earnings Base for ET13 The amount of salary/wages that will be D $ 13 0.00 ET09 less ET11 SG calculation used in the calculation of SG contributable Qtr Earnings over ET14 Whether the employee has any quarter YN N 1 MEB where the earnings base is greater than the MEB Required ET15 The amount of SG contributions required D $ 4 0.000 ET13 * ET02 Contributions to be paid Paid Contributions ET16 The amount of SG contributions paid M $ 13 0.00 Percentage ET17 Percentage of SG contributions paid D % 4 0.000 ET16 / ET15 * 100, truncate Contributed to 4 decimal places, round up to 3 decimal places Balance due to SF ET18 The amount of SG contribution D $ 13 0.00 ET15 – ET16 remaining to be paid to the SF Shortfall due to ET19 The amount of SG contribution that is D $ 13 0.00 (ET02 – ET17) * ET12 ATO now payable to the ATO as the cut off date (28 July) has passed SG Statement ET20 Indicator that there has been an SG O YN 1 IF supplied ET21 and ET22 lodged Statement lodged for the applicable are mandatory employee Lodgment Date ET21 The date the SG Statement was lodged CM DT 8 IF ET20 = Yes this field is mandatory ATO Branch ET22 The ATO branch the SG Statement was CM AN 40 IF ET20 = Yes this field is lodged mandatory

† Maximum Earnings Base is a quarterly value set each year as the highest earnings value to be used for SG calculations. Applicable known values are: Financial Year ending Quarterly amount Page 32 Business Requirement Spec Report(1.) Error: Reference source not found Detailed Business Rules for Processes and FunctionsIntroduction

1997 $22 590.00 1998 $23 630.00 1999 $24 480.00 2000 $25 240.00 2001 $26 300.00

Chapter 6 - User Interface Requirements

6.1 WINDOW NAVIGATION

6.1.1 Navigation Chart

Navigation in the main interface is by way of:  MENU BAR  TOOL BAR  NAVIGATION WINDOW (TREE VIEW)  TABS WITHIN THE MAIN WINDOW

MENU BAR Selection from the menu bar can be by the mouse or the use of Hot Keys. E.g. Alt F for File menu.

File Edit View Help

TOOL BAR

The toolbar buttons can be accessed by the mouse.

Button size and style can be altered by ‘right clicking’ whilst the pointer is over the tool bar. The choices are:

NAVIGATION WINDOW (TREE VIEW) From the navigation window of the main interface when an employer, employee or employment record is highlighted, by clicking the right mouse button the Edit menu is displayed relative to the highlighted record. The choices are shown below.

TABS WITHIN MAIN WINDOW (RIGHT WINDOW) Page 34 Business Requirement Spec Report(1.) Error: Reference source not found Detailed Business Rules for Processes and FunctionsIntroduction

When a record name has been selected in the navigation window the relative record is displayed on the right window. For each record there may be multiple ‘tabs’ that contain particular fields of the record. Access to the ‘tabs’ is by the left mouse button. Each tab is labelled with an appropriate name to describe the fields that it contains.

6.1.2 Navigation Rules

For the main interface the window can be minimised, maximised or closed in the normal ‘Windows’ way.

6.2 USER INTERFACE DESIGN

6.2.1 Splash Screen

The splash screen is displayed on startup of the program.

6.2.2 SG Calculator Option Screen

When commencing the program the applicable tax year is set to the current year. This screen is used to change that setting to a previous or future tax year. Setting the tax year ensures the correct charge rate is used for the employment records. Logging is used to create a log file to allow for the tracking of problems with SG Calculator.

Logging can be either On or Off. When ‘checked’ logging is ON.

The Tax Year can only be selected from the list.

6.2.3 Help About Screen

This screen is the about screen, located from the Help option on the Menu Bar.

6.2.4 Employer – Details Screen

This screen displays the main interface. The Employer is selected in the navigation window and the employer details are shown in the main window on associated tabs.

6.2.5 Employer – Address Screen

This screen displays the details when the address ‘tab’ is chosen. The postal address for notices and the employer’s business (street) address are shown.

6.2.6 Employer – Tax Agent Details Screen

This screen is for the details of the employers tax agent. Their name, number, address and contact person details are shown.

6.2.7 Employer – Superannuation Funds Screen

This screen is for the names of the complying superannuation funds to which the employer made contributions for employees for the relevant financial year. The employer account name and number are also required for cross matching. Additional superannuation funds can be directly added at this ‘tab’ by using the Add button. Superannuation funds can be deleted at this ‘tab’ by using the Delete button.

6.2.8 Superannuation Fund Add Screen

This is the screen used to add a superannuation fund to the database.

6.2.9 Employer – Employee Numbers Screen

This screen is for information purposes only. This allows the employer to check that they have accounted for all their employees in this audit that they do not pay into a defined benefits fund for. This is also used by the ATO for compliance checking. When additional employee employment records have been entered the ‘Refresh’ option is needed to update the table. The applicable year is displayed to avoid confusion.

6.2.10 Employee Screen

This screen shows the main interface with an employee record selected in the navigation window. The details of the record are shown in the main pane in a tab format. The employee tab captures the personal details of an employee.

6.2.11 Find Screen

This is the screen used to locate an employee using the Find function.

6.2.12 (Employee) Employment Screen

This screen shows the main interface with an employment record selected in the navigation window. The details of the record are shown in the main pane in a tab format. The employment tab captures the details needed to check for compliance. Employment details for the chosen year are displayed.

6.2.13 Employment – Adjustment Screen

Allows you to enter weekly adjustments for exemption categories.

6.2.14 Report Options Screen

The report options screen shows the reports that are available to be printed. From this screen the user can Preview, Print or Export their reports relative to the set tax year shown at the top of the screen.

Preview will display the selected report on the screen. Print will print the report without displaying on the screen. Export will display the export screen for the user to select the name and destination for the exported report.

6.2.15 Print Preview Screen

The print preview screen shows the selected report on screen and allows for scrolling through the pages and printing from this screen.

6.2.16 Export Screen

When the export button in the report options screen is pressed this screen is displayed. This screen allows for the destination and name of the report to be specified.

6.2.17 Open Screen

This is the screen to open an archived database in a read-only format.

6.2.18 Archive Screen

This is the screen to archive a snap shot of the database. Usually done at the end of a financial year when all information is complete.

Chapter 7 - Import Wizard

7.1 WIZARD NAVIGATION

7.1.1 Navigation Chart

Navigation is by way of the buttons at the bottom of the wizard window.

7.1.2 Navigation Rules

BUTTONS

This will take the user out of the wizard without adding/updating any record.

Takes the user back to the previous wizard screen. Not applicable if the first screen is the current screen.

Only if the mandatory fields have been filled this will take the user to the next wizard screen.

Only shows on the last screen of the wizard. Completes the wizard and takes the user back to the main interface. This button is displayed in place of Next>>.

7.2 WIZARD SCREENS

7.2.1 Import Wizard

The import wizard allows the user to import their employee record details. The user selects the type of file that contains the employee details and then matches the data of the first record to the corresponding fields in the database. When a record that has field validation errors (including format) is located a screen is displayed to notify the user of the error. The user can then rectify the problem or choose to not import that record. Any records not imported are written to an exception report. The report is printed at the completion of the import. The import can be cancelled at any time.

The following five screens are the main screens of the import. There are some other incidental screens that will also appear. These are the file location and type selection screen, the progress meter of records imported screen, and the completion of the import screen.

Chapter 8 - Issues

8.1 CHAPTER OVERVIEW This chapter outlines the issues raised, resolved and still open.

8.2 ISSUES RAISED DURING PREPARATION OF THIS DOCUMENT The following table summarises the Business issues that were raised and resolved during the preparation of this document.

No. Date Raised by Area Description of Issue Decision Made by Date 1 10/1/00 John Marriott Type of file for consult software A Trump 12/1/00 import developers

Issue 1 is still being looked at and the result will affect the import functionality described in this document.

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