Industry Testing Guide

Disclaimer: RDSP issuers

The information contained on this page is technical in nature and is intended for Registered Disability Savings Plan (RDSP), Canada Disability Savings Grant (grant) and Canada Disability Savings Bond (bond) issuers. For general information, visit the RDSP section.

Consult this page frequently for newer versions. The following laws and regulations take precedence over information contained in InfoCapsules in the event of discrepancies:

  • Income Tax Act
  • Canada Disability Savings Act
  • Canada Disability Savings Regulations

Official title: Canada Disability Savings Program System: Industry Testing Guide

Outlines the guidelines and processes for Industry Testing of the CDSP system.

Versions

  • Version Number: 3.1
  • Version Date: June 2013

Document Version History:

  • Version: 1.0
    • Date: September 03rd, 2008
    • Description: Initial Version
  • Version: 1.0
    • Date: October 06th, 2008
    • Description: Final Version
  • Version: 1.1
    • Date: February 27th, 2009
    • Description: Added Requirements for ITS version 1.2 in Annexe A, changed ViaSafe name to MSFT and changed mailing address.
  • Version: 1.2
    • Date: July 20th, 2009
    • Description: Modified Annex A to remove age requirements.
  • Version: 2.0
    • Date: November 23rd, 2009
    • Description: Added Requirements of ITS version 2.0 in Annex A.
  • Version: 2.1
    • Date: February 1st, 2010
    • Description: Added Requirements of ITS version 2.1.
  • Version: 2.1
    • Date: September 20th, 2010
    • Description: Added Transfer Requirements of ITS version 2.1.
  • Version: 2.2
    • Date: December 30th, 2010
    • Description: Added Requirements of ITS version 2.2.
  • Version: 2.3
    • Date: August 31st, 2011
    • Description: Added Requirements of ITS version 2.3.
  • Version: 3.1
    • Date: March 31st, 2013
    • Description: Added Requirements of ITS version 3.1.
  • Version: 3.1
    • Date: September 6th, 2013
    • Description: Updated department name and other minor changes.

Key Terms

Agent
An organization to which the responsibilities as outlined in the Issuer Agreement have been conferred to. Employment and Social Development Canada (ESDC) requires a letter from the Issuer identifying who will act as their agent, as well as a letter from the agent accepting responsibility for the duties as outlined in the letter from the Issuer.
Authorized Agent
Organization conveying information electronically to the CDSP system and receiving Grant and Bond payments from the CDSP system. This organization must be the Issuer of the Registered Disability Savings Plan (RDSP) as approved by the Canada Revenue Agency (CRA), or an administrative agent for the RDSP Issuer.
Issuer
The organization ultimately responsible for the administration of the RDSP, Grant and Bond and, specifically, the organization that has secured approval for the RDSP Specimen Plan from Canada Revenue Agency (CRA).
Production run
Term used to describe the processing of the industry transactions by the Canada Disability Saving Program (CDSP) system, developed in support of the Registered Disability Savings Plan (RDSP), the Canada Disability Savings Grant (Grant) and the Canada Disability Savings Bond (Bond).
Protected
Safeguard of particularly sensitive information with high risk of injury to individuals, specific public or private interests. This information is marked 'protected' and is kept in secure areas.
Service provider
The organization assigned by the sender to provide support services for the administration of RDSPs.

Note to the Reader

Please review this document and contact us prior to undertaking Canada Disability Savings Program (CDSP) system Industry Testing.

Due to ongoing system implementations and processes, please be advised that testing requirements will be subject to changes.

This document is intended for Issuers, Agents, Senders and their Service Providers supplying electronic data files to the CDSP system relating to Industry Testing.

Comments and questions regarding this document may be addressed to:

  • Employment and Social Development Canada
  • Canada Education Savings Program - Monitoring Team
  • 140, Promenade du Portage, Phase IV, Mailstop: Bag 4
  • Gatineau, Quebec
  • K1A 0J9
  • Telephone: 1-888-276-3632
  • E-mailrdsp-reei.indtest@hrsdc-rhdcc.gc.ca

1.0 Introduction

This document has been prepared to outline guidelines and processes for Industry Testing of the CDSP system. It should be read in conjunction with the current version of the CDSP system Interface Transaction Standards (ITS).

1.1 Purpose of Industry Testing

Industry Testing is an ongoing mandatory activity to ensure a high data quality of the senders’ data files in order to reduce the number of rejected transactions. In addition, it helps the financial organizations prepare their computer systems for reporting Registered Disability Savings Plan (RDSP), Grant & Bond transactions. It also serves as an informal point of contact for financial organizations on issues related to the CDSP system.

1.2 Scope

This document is limited to the Industry Testing process and includes criteria for satisfying the related requirements.

1.3 Industry Testing Schedule

Senders can schedule a testing timeframe with the Industry Testing Team at any time. Once the files have been sent, e-mail should be forwarded to the Industry Testing mailbox following the instructions in section 3.3.1.

1.4 Service Levels

Typically, results are returned within 3 working days (time between the latter of receipt of file or e-mail request received by the CESP and results being returned to the sender).

1.5 Industry Testing Self-Assessment Questionnaire

Once industry testing is completed, a self-assessment questionnaire is sent to the issuer. The self-assessment questionnaire replaces the on-site phase II testing. Although it is not a requirement to pass Industry Testing it is part of the process and must be completed within the prescribed time frame.

The purpose of this questionnaire is for CESP to obtain information to provide assurance that an issuer’s systems-related processes function as required. This information may be used as part of future monitoring or compliance activities.

The questionnaire may be tailored based on the type of Industry Testing activity the issuer is undergoing.

2.0 Industry Data and Test Results

2.1 Confidentiality

Test data provided by senders can contain live data including actual Social Insurance Number (SIN) information and financial information and is considered 'protected'. The data volume information, client information, etc. is competitive information and it is treated with confidentiality, as are test results. Any specific information about an issuer, agent or service provider will not be disclosed to any other Issuer, Agent or service provider.

When data files include production data such as Specimen Plans, they must be forwarded using secure methods only, as specified in section 3.3.2. Test files submitted in violation of this security requirement will not be tested by the Industry Testing Team under any circumstances.

2.2 Archiving of Industry Test Data

Industry input test data files, not test results or output files are archived for a 6 month period and may be reprocessed for multiple tests during this period upon request. Test files cannot be reprocessed under prior releases of the CDSP system or CDSP system ITS versions.

3.0 Industry Test Process

3.1 Overview

Each participating sender is responsible for providing a file or set of files for testing. Service providers must submit separate files for each sender they represent.

Industry Testing will provide testing of filenames prefixed with ‘CDSPT’. Results relating to files prefixed with a ‘CDSPT’ will be reported back to the sender in terms of number of transactions sent, processed, errors found, contracts registered and success rate per transaction type submitted for the test. This may include one file or multiple files. In the case of multiple files, a cumulative success rate will be provided.

3.2 Creating Industry Test File(s)

3.2.1 Recommendations for Testing

The creation of data files is an internal process to each sender.

Senders should gradually increase complexity, size of tests as success is achieved as follows:

  • Start small with sample test records to validate against the current CDSP system ITS;
  • Work from smaller to larger files in single production run;
  • Submit files that simulate multiple production runs; and
  • Once success is achieved, it is recommended that senders intentionally introduce errors in order to test their system's error handling capability.

3.3 Submitting Industry Test File(s)

3.3.1 Submission Requirements

The following information must be included in the e-mail forwarded to the Industry Testing e-mail address rdsp-reei.indtest@hrsdc-rhdcc.gc.ca at the time the data test files are submitted:

  • Name of sender, issuer, agent; also provide name of service provider if one is used;
  • Method of transmission (MSFT (see below), CD/ROM)
  • Filename(s) being submitted for testing;
  • Name of the contact person and contact information for data and results;
  • Identification of whether the file(s) contains live data or not. Please note that Specimen plans and Business Number (BN) provided by the CRA can only be used;
  • CDSP system release number or version of the CDSP system ITS being used; and
  • Any special instructions on how to process the files (e.g. special test cases such as simulation of multiple production runs).

3.3.2 Secure Methods for Submitting Test Files

Outlined below are the details regarding submitting files to the CESP in a secure manner:

3.3.2.1 Electronic Submission (MSFT)

Managed Secure File Transger (MSFT) is the departmental approved internet connectivity solution software for transmitting files electronically. Files will be accepted only after the sender has successfully completed connectivity testing. Files sent through MSFT are not automatically queued up for testing; therefore, they must be followed by an e-mail to the CESP listing the information required with each submission (refer to section 3.3.1). The CESP will not test a file until the e-mail is received.

Files cannot be directly sent through email to the Industry Testing Team.

The following e-mail address must be used to notify of an electronic submission through MSFT with the information noted in 3.3.1rdsp-reei.indtest@hrsdc-rhdcc.gc.ca

3.3.2.2 Physical Media

Although MSFT is the preferred method of transferring files, the CESP will also accept testing files on compact disc (CD/ROM) (DOS/Windows). If transferred by CD/ROM, a bonded courier must be used in order to accept delivery. Currently, the only departmental approved compression software is WinZip. Files provided from senders that cannot be decompressed will be rejected.

Note: Please include the information listed in section 3.3.1 on the data medium label.

Send test files to:

Courier Address:

  • Employment and Social Development Canada
  • Canada Education Savings Program - Monitoring Team
  • 140, Promenade du Portage, Phase IV Mailstop: Bag 4
  • Gatineau, Quebec
  • K1A 0J9

3.4 Processing Industry Test Files

Each Industry test is processed against a non-populated database. The database schema is not populated in order to give the sender complete control over the data environment used to run the test. It is intended to assist the sender in interpreting industry test results. It should be noted that the sender is responsible for the creation and submission of a baseline file containing information related to contracts, holders and beneficiaries which will be loaded into the testing environment.

At this time, the Social Insurance Registry (SIR) and CRA Validation performed in Production are NOT conducted in Industry Testing. It is a simulated process whereby the beneficiary SIN data passes all SIR validation edits.

The Industry Testing environment is based on the current date. Therefore, future dated transactions will be rejected and the sender must advise the Industry Testing Team of the testing month in which the sender wishes to process the data files. This notification would also be included in the Special Instructions email (refer to section 3.3.1.).

3.5 Running the Test

The input file(s) will be loaded into the system one at a time until they have all been validated. Financial processing will be performed on all of the input files simultaneously unless otherwise specified by the sender. Files that are illegible or do not adhere to the confidentiality requirements will not be processed and senders will be advised accordingly.

For each simulated Production Run, the following output files will be generated. Please note that, if the data test file does not meet the submission and security requirements (refer to sections 2.1 and 3.3.1), an output file will not be generated.

  • .err - Error Report: error report for format and business rule errors on data within the transactions submitted.

  • .pro - Processing Report: transaction report for successful transactions.

  • .reg - Contract Registration Report: registration report for registration of contracts.  (Will not be generated If no registration changes).

  • .sur - SIN Usability Report: The CESP will verify its beneficiary and holder SIN information with the SIR on a monthly basis. (Will only be generated upon request).

Note: Please refer to the current version of the CDSP system ITS for a description of format and output files.

3.6 Reporting Results

Test results and transaction information will be returned to the sender using the same method as the test files were received. The filename of test results will be in the following format:

  • CDSPT’ + T + Authorized Agent BN + Transactions Latest Month + Date Sent + File number

Note: BN represents the business number, as defined in the CDSP system ITS.

3.7 Receiving Industry Test Results from the CDSP System

The RDSP output transaction files should be loaded into the sender's system to confirm the processed transactions and record grant amounts within their systems.

4.0 Passing Industry Testing

A report (Transaction Processing Results) has been developed in the CDSP system that documents the success rate of Industry Testing files submitted by the senders. This report provides volume and quality success rates by transaction type. Annex A serves as a guide to a sender providing the minimum requirements needed in order to successfully complete industry testing.

4.1 Success Criteria

4.1.1 Approved specimen plans are used

For industry testing, only approved Specimen Plans (those used in the Production data files) will be accepted into the database; transactions that are processed against non-approved specimen plans will be rejected.

4.1.2 Volume Criteria

In order to be successful from an Industry Testing perspective, senders must submit a minimum of 510 transaction records. The maximum number of transaction records per file is 1,000. This requirement can be met with at least 7 files (see Annex A). The entire set of test file(s) must have at least 5 of each financial transaction types.

In the case where the reason for testing is required due to a merger or acquisition of Issuers, the same volume requirement is to be met. However, where the sender is submitting files for their own purposes, there will be no volume requirement.

Note: The transactional integrity of the sample file is the sender's responsibility. Non-adherence may unnecessarily cause a failure to satisfy Industry Testing requirements, thus delaying successful completion of industry testing.

4.1.3 Quality Criteria

In order to meet the quality criteria, the following must be met:

  • Quality of Functionality

    The quality will be determined based on the ratio of successful transactions to processed transactions for each transaction type. Adherence to the current CDSP system ITS will be verified as outlined in the Industry Testing Success Criteria for CDSP system (Annex A).

  • Quality of Data

    The quality of data criteria will be assessed based on a minimum load success rate of 90% for each transaction type. The success rate is determined by taking the number of transactions loaded successfully divided by the number of transactions processed for each transaction type.

4.2 Re-testing Conditions

Re-testing will be required under the following circumstances:

  • When a sender consistently sends transactions with unacceptable error rates, based on Industry Testing Success Criteria (Annex A). The sender may not be permitted to participate in monthly production runs until they demonstrate lower error rates in industry testing.

  • Situations where a new software base is implemented such as when Issuers merge or amalgamate (new data from a different source) or when the sender is changing service provider. It should be noted that this type of testing requires the submission of data simulating business from the original sender prior to the merger or amalgamation of Issuers.

  • With the release of a new version of the CDSP system ITS, each participating sender will have to retest to ensure conformance to the new specifications.

  • When modifications are made to the sender's system after successfully completing industry testing.

Annex A - CDSP System Industry Testing Success Criteria

Description Record Type Trans. Type Description Data Format Success Rate Overall Success Rate Volume of Transactions Transaction Location
Contract 101 01 Contract Information (No PCG) 95% 90% 15 File 1
02 Beneficiary Information 95% 90% 15 File 1
03 Holder Information 95% 90% 15 File 1
 

Note: The Issuer transaction number must be identical for all components (‘01’, ‘02’ and ‘03’) of the Contract Reg. information record.

Contract 101 01 Contract Information (With PCG SIN) 95% 90% 15 File 1
02 Beneficiary Information 95% 90% 15 File 1
03 Holder Information 95% 90% 15 File 1
 

Note: The Issuer transaction number must be identical for all components (‘01’, ‘02’ and ‘03’) of the Contract Reg. information record

Contract 101 01 Contract Information (With PCG BN) 95% 90% 15 File 1
02 Beneficiary Information 95% 90%

15

File 1

03 Holder Information 95% 90% 15 File 1
 

Note: The Issuer transaction number must be identical for all components (‘01’, ‘02’ and ‘03’) of the Contract Reg. information record

Contract 101 01 Contract Information (No PCG) with Transfer Indicator = 'Y' 95% 90% 5 File 2
02 Beneficiary Information 95% 90% 5 File 2
03 Holder Information 95% 90% 5 File 2
 

Note: Other Contract ID must exist.

Contract 101 01 Contract Information (With PCG) with Transfer Indicator = 'Y' 95% 90% 5 File 2
02 Beneficiary Information 95% 90% 5 File 2
03 Holder Information 95% 90% 5 File 2
 

Note: Other Contract ID must exist.

Contract 101 01 Contract Information (With PCG BN) with Transfer Indicator = 'Y' 95% 90% 5 File 2
02 Beneficiary Information 95% 90% 5 File 2
03 Holder Information 95% 90% 5 File 2
 

Note: Other Contract ID must exist

Rename Contract 102 11 Rename Contract 95% 90% 5 File 2
Update Beneficiary 201 02 Update Beneficiary 95% 90% 5 File 2
Update Holder 201 03 Update Holder Information 95% 90% 5 File 2
Add Holder to a Contract 201 13 Add Holder to a Contract 95% 90% 5 File 2
Financial Transactions 401 01 Grant request (No PCG) 95% 90% 15 File 3
01 Grant request flag set to ‘NO’ 95% 90% 15 File 3
01 PCG SIN 95% 90% 15 File 3
01 PCG BN 95% 90% 15 File 3
05 Bond request (No PCG) 95% 90% 15 File 3
05 PCG SIN 95% 90% 15 File 3
05 PCG BN 95% 90%

15

File 3

Contribution or Grant Request Correction 401 02 Correct a contribution amount 95% 90% 5 File 4
Correct PCG information 95% 90% 5 File 4
Request grant on a contribution where grant was not requested 95% 90% 5 File 4
Remove Holder 201 23 Remove Holder
95% 90% 5 File 4
 

Note: Remove a holder that was added in file 2

Add Consent 202 01 Beneficiary Consent Information 95% 90% 5 File 4
Stop Bond

401

06

Stop Bond payment request (PCG SIN) 95% 90% 5

File 4

Stop Bond payment request (PCG BN) 95% 90% 5 File 4
Stop Bond payment request (NO PCG) 95% 90% 5 File 4
Retirement Savings Rollover 401 08 RRSP Rollover (PCG SIN) 95% 90% 5

File 4

RRSP Rollover (PCG BN) 95% 90% 5 File 4
RRSP Rollover (NO PCG) 95% 90% 5 File 4
Education Savings Rollover 401 30 RESP Rollover (PCG SIN) 95% 90% 5

File 4

RESP Rollover (PCG BN) 95% 90% 5 File 4
RESP Rollover (NO PCG) 95% 90% 5 File 4
Repayment of Grant and/or Bond 401 10 Reason - 01 DAP 95% 90% 5 File 5
Reason - 02 LDAP 95% 90% 5 File 5
Reason - 03 Contract terminated 95% 90% 5 File 5
Reason - 04 Contract ceases to be registered 95% 90% 5 File 5
Reason - 05 Beneficiary ceases to be DTC eligible 95% 90% 5 File 5
Reason - 06 Death of beneficiary 95% 90% 5 File 5
Reason - 07 Non entitlement (as per legislation) 95% 90% 5 File 5
Reason - 08 Bond payment rectification 95% 90% 5 File 5
  Note: The repayment transaction can be used to either report a repayment or a termination adjustment or both.
Disability Assistance Payment (DAP) 401 20 Disability Assistance Payment (DAP) 95% 90% 5 File 6
Lifetime Disability Assistance Payment (LDAP) 401 21 Lifetime Disability Assistance Payment (LDAP) 95% 90% 5 File 6
Episodic DTC Election 501 01 Record Type ‘501’ must refer to the contract number and beneficiary named on the election. 95% 90% 5 File 6
SDSP Election 501 03 Record Type ‘501’ must refer to the contract number and beneficiary named on the election. 95% 90% 5 File 6
DAP Reversal 401 22 DAP Reversal 95% 90% 5 File 7
LDAP Reversal 401 23 LDAP Reversal 95% 90% 5 File 7 
Reverse Repayment of Grant and/or Bond 401 11 Reverse Repayment of Grant and/or Bond 95% 90% 5 File 7
Retirement Savings Rollover Reversal 401 09 RRSP Rollover Reversal (PCG SIN) 95% 90% 5 File 7
RRSP Rollover Reversal (PCG BN) 95% 90% 5 File 7
RRSP Rollover Reversal (NO PCG) 95% 90% 5 File 7
Education Savings Rollover Reversal 401 31 RESP Rollover Reversal (PCG SIN) 95% 90% 5 File 7
RESP Rollover Reversal (PCG BN) 95% 90% 5 File 7
RESP Rollover Reversal (NO PCG) 95% 90% 5 File 7
Episodic DTC Election Reversal 501 02 Record Type ‘501’ must refer to the contract number and beneficiary named on the election. 95% 90% 5 File 7
SDSP Election Reversal 501 04 Record Type ‘501’ must refer to the contract number and beneficiary named on the election. 95% 90% 5 File 7
Close Contract 102 10 Close a Contract 95% 90% 5 File 7
Revoke Consent 202 02 Revoke Beneficiary Consent 95% 90% 5 File 7
Reporting Transactions 701 01 Monthly Reporting FMV 95% 90% 5 File 7
701 02 Reporting a Transfer – FMV, Earnings 95% 90% 5 File 7
Total           510  

Annex B - Information Gathering Questionnaire

To be completed by the Issuer and returned to the monitoring team before Industry Testing commences.

1. Who will be the primary and/or secondary contacts during Industry Testing?

Primary Contact Name:
Title:
Phone Number:

Secondary Contact Name:
Title:
Phone Number:

2. Provide the Issuer BN and approved specimen plan(s) that will be used during Industry Testing

Issuer BN:
Approved Specimen plan(s):

3. Did you receive the required documentation from the Enrollment team?

  • Yes
  • No

4. Have your PKI Key and MSFT account been set up?

  • Yes
  • No

5. When do you plan on beginning Industry Testing?

Provide start date:

6. Are all transactions submitted in the production file created by the system?

  • Yes
  • No

If no, please provide additional details:

7. Will you be using an internally built system or are will you be using a service provider?

  • Internally built system
  • Service provider: __________________

8. If using a service provider, please explain in detail their responsibilities in regards to the processing, creation and submission of production files.

Test files sent through MSFT are not automatically queued for Industry Testing; they must be followed by an e-mail to the CES Program. Industry Testing will not begin until a notification email has been received with the following information:

  • Name of sender, issuer, authorized agent; also provide name of service provider if one is used;
  • Method of transmission (MSFT, CD/ROM)
  • Filename(s) being submitted for testing;
  • Name of the contact person and contact information for data and results;
  • Identification of whether the file(s) contains live data or not. Please note that Specimen plans and Business Number (BN) provided by the CRA can only be used;
  • CDSP system release number or version of the CDSP system ITS being used; and
  • Any special instructions on how to process the files (e.g. special test cases such as simulation of multiple production runs).

To notify the CESP of your test file submissions, the Industry Testing email address is: rdsp-reei.indtest@hrsdc-rhdcc.gc.ca

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