Project to establish National Incomes Register. Stakeholder testing plan

Project to establish National Incomes Register plan

Incomes Register Project TESTING PLAN 1(21) REVISION HISTORY Version Date Description 1.0 25/10/2017 Document published. KEY TERMS AND THEIR DEFINITIONS Term Anonymisation E-service Pilot testing Interface Stakeholders Testing agreement Definition Anonymisation aims to convert the data into such a format that it cannot be linked to a specific, natural person under any circumstances (even with the use of other available data). For example, the processing of personal data for irreversible conversion into a form that prevents any party from using it to identify the person either directly or indirectly. The e-service of the Incomes Register is a browser-based service providing the functions intended for the parties to the Incomes Register. The Incomes Register offers an e-service for data providers, data users and income earners. Pilot testing involves the advance testing of, for example, a function sequence, environment or connections with a selected actor or group. Testing is carried out using pre-selected data. A standard-compliant practice or connection point enabling data transfer between devices, software or the user. The stakeholders of the Incomes Register comprise all users of the register: payers of wages, pension and benefits and, authorised by them, accounting firms and other outsourcing partners of the payroll administration, and the parties using the Incomes Register data. The system suppliers in addition to these are also stakeholders. An agreement concluded by a stakeholder with the Tax Administration on the testing of Incomes Register's interfaces in the stakeholder testing environment.

Incomes Register Project TESTING PLAN 2(21) Actors who have a statutory right to obtain income or other data from the Incomes Register for the purpose of performing their duties. Data users During the first stage, beginning from 1 January 2019, the data users will be the Tax Administration, the Social Insurance Institution of Finland Kela, the Unemployment Insurance Fund (TVR), and the earnings-related pension providers and the Finnish Centre for Pensions ETK. In the second stage, beginning from 1 January 2020, the data users will also include Statistics Finland, the Education Fund, non-life insurance providers, unemployment funds, the administrative sector of the Ministry of Economic Affairs and Employment, the municipalities, and the labour protection authorities. Data providers Production data Certificate All companies and other actors under the obligation to report wage, pension or benefit data to an Incomes Register data user in Finland. The data used by the system, including actual personal and income data, in a production environment. An electronic certificate confirming that its possessor is a specific person, organisation or system. Certificates can be used to verify the genuineness of data transfer, the other party or a file and, if necessary, establish an encrypted and trustworthy connection with the other party.

Incomes Register Project TESTING PLAN 3(21) CONTENTS 1 Purpose of this document... 5 2 Schedule... 6 3 Testing progress... 7 4 Testing subject... 8 4.1 Interfaces to be tested Earnings payment data... 8 4.1.1 Data provider (payer) services... 8 4.1.2 Data user services... 9 4.2 Access rights... 10 4.2.1 Access rights interfaces... 10 4.2.2 Access rights e-service... 11 4.3 E-service (plan will be published in 4/2018)... 11 4.3.1 Data provider... 11 4.3.2 Data user... 11 4.3.3 Common (Data providers and data users)... 12 4.3.4 Browsers supported by the e-service... 12 5 Testing environments... 13 5.1 Operating hours of the testing environment... 13 5.2 Configurations of the testing environment... 13 6 Test records... 14 6.1 Customer data... 14 6.2 Earnings payment record... 14 6.3 Test record simulation into the future... 15 7 Observations during testing... 15 7.1 Observation management process... 15 7.2 Error categorisation... 17 7.3 Delivery of corrections to stakeholder testing... 17 8 Separate tests of extensive records... 18 9 Ending the testing... 18 10 Testing parties and communication... 18

Incomes Register Project TESTING PLAN 4(21) 10.1 Points of contact for the Incomes Register Project's stakeholder testing... 19 10.2 Communication on stakeholder testing... 19 11 Limitations... 19 12 Appendices... 20

Incomes Register Project TESTING PLAN 5(21) 1 Purpose of this document This stakeholder testing plan describes how the stakeholder testing of the Incomes Register system to be deployed on 1 January 2019 will be organised and implemented. is divided into two phases. The first phase, beginning on 1 March 2018, involves the testing of the Incomes Register's technical interfaces related to the submission and distribution of earnings payment data. Stakeholder testing will involve the earnings payment data providers who will build the Incomes Register's technical interface connection, such as software houses and companies, and the parties using Incomes Register data in 2019: the Tax Administration, the Social Insurance Institution of Finland Kela, the earnings-related pension providers and the Finnish Centre for Pensions ETK, and the Unemployment Insurance Fund. Possible testing performed during 2018 will be separately decided on and agreed with earnings payment data users beginning production use in 2020. The objective of the 2018 stakeholder testing is to test the functionality of the Incomes Register system from the perspectives of data providers and data users. The data provider testing will ensure that the payroll software or travel management system generates messages for the Incomes Register that meet the requirements set for them. Earnings payment data user testing focuses on the testing of earnings payment data records subscribed for. The second phase of stakeholder testing, beginning in March 2019, will involve the testing of services to be deployed in 2020, i.e., interfaces related to the submission and distribution of benefits data, alongside stakeholders. Furthermore, the testing of earnings payment data distribution will continue with respect to second phase users. The stakeholder testing plan will be updated in the autumn of 2018 with regard to interface services related to the submission and distribution of benefits data. A separate stakeholder testing plan will be prepared on the testing of the e-service (Appendix 2). The plan will be published in April 2018.

Incomes Register Project TESTING PLAN 6(21) 2 Schedule Figure 1 presents the key dates of stakeholder testing on a timeline. Figure 1: Schedule for stakeholder testing.

Incomes Register Project TESTING PLAN 7(21) 3 Testing progress See below for a list of the stakeholder testing phases of the technical interfaces and a reference to sources of additional information. The Incomes Register Project will publish testing instructions (Appendix 1) in December 2017 on the incomesregister.fi website. The testing agreement template (Appendix 6) will be published on the incomesregister.fi website in December 2017. A stakeholder beginning stakeholder testing must conclude a testing agreement with the Tax Administration. The testing agreement must be delivered to the Incomes Register Project no later than two weeks prior to the beginning of testing, so that there is time to supply the testing certificates. Details pertaining to the conclusion of the agreement will be provided in the testing instructions (Appendix 1). The Incomes Register Project will deliver a testing certificate to the stakeholder. Details pertaining to the delivery of the testing certificate will be provided in the testing instructions (Appendix 1). The stakeholder will use the testing certificate to open a connection to the stakeholder testing environment. After a connection test, the stakeholder can begin its own testing. Customer data generated by the Incomes Register must be used as customer data during testing, unless otherwise agreed. Section 6 Test data describes the principles related to the test data. The stakeholder delivers any errors detected and other observations made during testing to the Incomes Register Project. The observation management process is described in Section 7 Observations during testing. The Incomes Register Project will notify the stakeholders of any errors and error corrections. The error correction process is described in Section 7 Observations during testing. The stakeholder notifies the Incomes Register Project once it has completed its testing (Section 9 Ending the testing).

Incomes Register Project TESTING PLAN 8(21) 4 Testing subject The subject of the first phase of stakeholder testing, beginning on 1 March 2018, is the Incomes Register's technical interface services related to the submission and distribution of earnings payment data. 4.1 Interfaces to be tested Earnings payment data See below for a description of the earnings payment data services and their delivery channels to be tested. Data is submitted and distributed as file transfers via an SFTP interface, and as real-time and deferred Web Services (WS). For more detailed descriptions of the services to be tested, see the documentation on the incomesregister.fi website: Technical interface descriptions > General descriptions 1. Technical interface Submitting data to the Incomes Register 2. Technical interface Distribution of data from the Incomes Register 4.1.1 Data provider (payer) services See below for a list of the data providers' technical interface services and the channels via which each service is available. Earnings payment report (new, replacement and cancellation reports) o WS real time, one report at a time o WS deferred deferred Employer's separate report (new, replacement and cancellation reports) o WS real time, one report at a time o WS deferred deferred Record containing earnings payment reports, Record containing employer's separate reports (record cancellation) o WS real time, one record at a time o WS deferred, one record at a time deferred, one record at a time Record subscription (new subscription, cancellation of subscription) o WS real time, one record at a time o WS deferred, one record at a time deferred, one record at a time Record containing a record subscription (record cancellation) o WS real time, one record at a time o WS deferred, one record at a time deferred, one record at a time Message (new message) o WS real time, one message at a time o WS deferred deferred

Incomes Register Project TESTING PLAN 9(21) 4.1.2 Data user services See below for a list of the data users' technical interface services and the channels via which each service is available. Earnings payment reports all income earners Earnings payment reports several income earners Earnings payment reports several payers Earnings payment reports several payers, several income earners Earnings payment reports several earnings-related pension providers Earnings payment reports missing earnings-related pension policy number Employer's separate reports all payers Employer's separate reports several payers Employer's separate reports several earnings-related pension providers Messages sent to the party Access log data for the party's users Earnings payment reports one income earner o WS real-time Earnings payment reports one payer o WS real-time Earnings payment reports one pension policy number o WS real-time Employer's separate reports one payer o WS real-time Employer's separate reports one earnings-related pension policy number o WS real-time Messages sent to the party o WS real-time

Incomes Register Project TESTING PLAN 10(21) 4.2 Access rights 4.2.1 Access rights interfaces 4.2.1.1 Data providers Testing the interface requires a testing certificate issued by the Tax Administration. Each party testing the technical interface must have a unique testing certificate for its own testing. The stakeholder testing certificate is used during stakeholder testing in the stakeholder testing environment. The certificate is used to verify the genuineness of the testing party and to guarantee the data security of data communications during testing. The interface description of the certificate solution will be published in October November 2017, and the conclusion of a testing agreement and the process of applying for a certificate solution will be described in the testing instructions (Appendix 1) to be published in December 2017. There will be separate certificates and service agreements related to production use in the autumn of 2018. A tester of the data providers' technical interface services can be a payroll software house or, alternatively, an earnings payment data provider that builds its own technical interface for the Incomes Register. Testing certificates will be delivered either directly to the earnings payment data provider or a software house, in which case individual testing certificates will be generated for all client companies of the software house providing pay records. The software house or earnings payment data provider will conclude a testing agreement that includes information such as the following: The data provider's organisation (payer's name and the artificial Business ID to be used during testing) Contact person for testing Services to be used during testing 4.2.1.2 Data users Based on the testing agreement, via secured mail the Incomes Register Project will supply the testing party with a testing certificate or instructions on how to apply for a certificate. Before beginning stakeholder testing, a data user must conclude a testing agreement including information such as the following: The data user's organisation (the artificial Business ID to be used during testing) Contact person for testing Services to be used during testing Data access rights during the testing phase Based on the testing agreement, via secured mail the Incomes Register Project will supply the testing party with a testing certificate or instructions on how to apply for a certificate.

Incomes Register Project TESTING PLAN 11(21) 4.2.2 Access rights e-service The testing of the roles and access rights of the e-service will be carried out as part of the testing of the e-service. The related access right testing will be described in the e-service stakeholder testing plan (Appendix 2). 4.3 E-service (plan will be published in 4/2018) 4.3.1 Data provider A separate stakeholder testing plan will be prepared on the testing of the e- service (Appendix 2). The e-service testing plan will be published in April 2018. The testing of the e-service will be opened in the testing environment for stakeholders in the summer of 2018. The following sections list the e-service functions that will be available for testing. The e-service upload/download service will be available in the stakeholder testing environment in April 2018. Testing instructions (Appendix 1) will be updated in February 2018 with regard to the upload/download service. See below for a list of the e-service functions that data providers can test: Adding earnings payment reports (web form) Searching and viewing earnings payment reports Correcting an earnings payment report Cancellation of an earnings payment report Adding an employer's separate report (web form) Searching and viewing employer's separate reports Correcting an employer's separate report Cancellation of an employer's separate report Earnings payment report Searching and viewing records (upload/download service) Earnings payment report Adding a record (upload/download service) Earnings payment report Cancellation of a record (upload/download service). 4.3.2 Data user Here are the e-service functions that data users can test: Searching and viewing earnings payment reports Searching and viewing employer's separate reports Adding a record subscription Searching and viewing record subscriptions Maintaining a record subscription Cancelling a record subscription Basic customer details Searching and viewing.

Incomes Register Project TESTING PLAN 12(21) 4.3.3 Common (Data providers and data users) Functions that can be tested by both data providers and data users: Adding a record subscription Searching and viewing record subscriptions Maintaining a record subscription Cancelling a record subscription Documents Searching and viewing Access log Searching and viewing Messages Sending Messages Searching and viewing Own basic details Viewing Own basic details, Private customer Maintaining Own basic details, Corporate customer Maintaining 4.3.4 Browsers supported by the e-service Table 1 lists the browsers supported by the Incomes Register's e-service. Browser/Operating system Versions Internet Explorer IE 11 Edge Safari Chrome Firefox Android ios Supported from version 14 (spring 2016) onwards Supported from version 10 (autumn 2016) onwards The two latest versions are supported version-to-version The two latest versions are supported version-to-version The latest version of the browsers (Chrome, Firefox, AOSP Browser, Samsung Internet) is supported on devices with Android 6.0 (Marshmallow) and later (autumn 2015). Supported from ios 10 (autumn 2016) onwards Table 1: Browsers supported by the Incomes Register's e-service.

Incomes Register Project TESTING PLAN 13(21) 5 Testing environments The testing described in this testing plan is performed in the stakeholder testing environment. The operation and performance of the stakeholder testing environment will be tested and its data security audited before the environment is opened for stakeholder testing on 1 March 2018. 5.1 Operating hours of the testing environment The stakeholder testing environment is in operation during office hours from 8.00 to 16.00 hours on Monday to Friday (not on public holidays), during which time errors in the environment are also responded to. Testing is also allowed during other hours, but the operation of the environment cannot be guaranteed at such times. 5.2 Configurations of the testing environment Testing environment configurations/processing rules that deviate from the production environment are listed and delivered to stakeholders for information (Appendix 5) before testing begins. These include the pay period of an earnings payment report, where the date of 1 January 2019 is replaced in the testing environment with a date suitable for testing: Date of payment or other report (PaymentDate) Processing rule: The date must be no earlier than 1 January 2019 or more than 45 days later than the current date.

Incomes Register Project TESTING PLAN 14(21) 6 Test records 6.1 Customer data The Incomes Register Project will generate customer data to be used by stakeholders during testing. Production data is not used as the basis of the test records; instead, records are compiled from generated, fictitious customer data. Test records are generated to be as similar as possible to production data and records contain both Personal Identification Numbers and Business IDs. The Incomes Register Project has received requests related to the test records of stakeholders, and these needs will be taken into consideration, where possible, in the generation of customer data. The Incomes Register Project will provide stakeholders with customer data in January 2018, before testing begins. During testing, stakeholders may also use their own test customers in addition to the records generated by the Incomes Register Project. Because this is the testing environment of a system under development, the test records used may not contain production data. This is based on the EU's General Data Protection Regulation (articles 25 and 32). If a test record has been generated by utilising production data, the data must be anonymised in such a manner that the customer data cannot be linked or restored to the production customer data. Instructions on how to anonymise customer data generated from production data will be issued separately to stakeholders well before testing begins (Appendix 7). If the stakeholder's own test customers are used in testing, the data of the customers in question must be delivered to the Incomes Register Project before testing begins. The Incomes Register Project then saves test customers in the database of its stakeholder testing environment. For more detailed instructions and a template for delivering customer data, see the testing instructions (Appendix 1). 6.2 Earnings payment record An earnings payment record submitted by a data provider must not contain production data. Because this is the testing environment of a system under development, the test records used may not contain production data. This is based on the EU's General Data Protection Regulation (articles 25 and 32). If an earnings payment test record has been generated using production data, the data must be anonymised in such a manner that the data cannot be linked or restored to the production data. Instructions on how to anonymise an earnings payment record generated from production data will be issued separately to stakeholders well before testing begins (Appendix 7). With respect to end-to-end testing by data users, the Incomes Register Project may generate earnings payment records suitable for the needs of the data user in the Incomes Register system. For the generation of the earnings payment record, the data user must deliver the earnings payment record data in the agreed format. For more detailed instructions and a template for delivering earnings payment reports, see the testing instructions (Appendix 1).

Incomes Register Project TESTING PLAN 15(21) 6.3 Test record simulation into the future Records must be tested with future dates, in order to ensure the integrity of records in the future. Account will be taken of this during testing, and a separate plan will be prepared for this (Appendix 3). 7 Observations during testing The Incomes Register Project will maintain a list of any errors detected during testing, on the incomesregister.fi website. The following section and Figure 2 present the observation management process. 7.1 Observation management process All observations during testing are delivered to the Incomes Register Project on a form to which the testing instructions include a link (Appendix 1). All observations are reviewed and errors in the system are routed for correction. Error: If the observation constitutes an error, the testing coordinator of the Incomes Register Project will route the error for correction and prioritise it together with the project's error panel. The submitter of the observation will be provided with an estimate of the error correction schedule. Change: If the observation does not constitute an error but a change to existing functionality, the Incomes Register Project will handle the observation as a change request. The change request is either approved or rejected, and the submitter of the observation is notified of this by e-mail. Instructions: If the observation involves the user misunderstanding a function or possibly using a function against instructions, the testing coordinator of the Incomes Register Project will instruct the submitter of the observation and check the accuracy of the existing instructions. Question: If the observation is one for which an answer already exists, the testing coordinator of the Incomes Register Project will send the answer to the submitter of the question. Furthermore, frequently asked questions will be added to the FAQ section of the incomesregister.fi website.

Incomes Register Project TESTING PLAN 16(21) Figure 2: Observation management process.

Incomes Register Project TESTING PLAN 17(21) 7.2 Error categorisation Errors are categorised according to Table 2. The tester assigns an error category to the error deemed suitable when entering the observation. Final categorisation is performed by the Incomes Register Project's error panel comprising experts from the Incomes Register Project. If the error panel decides to downgrade an error categorised as a level 1 or 2 error by one category, the submitter of the observation is notified of this. The criticality of the error is discussed with the tester and, if necessary, the error category can be changed. Error category Description 1 Critical The error is corrected as soon as possible. An error that prevents the continuation of testing. Furthermore, there is no acceptable method of circumventing the problem. 2 High An error that prevents the operation of one or more system components. However, there is an acceptable method of circumventing the problem. 3 Medium An error that causes the system to provide an incorrect, incomplete or inconsistent result. 4 Low A minor or cosmetic defect for which there are acceptable methods of circumventing it in order to achieve the desired end result. Table 2: Error categories. 7.3 Delivery of corrections to stakeholder testing Errors are corrected in order of priority, according to the error category. Errors placed in category 1 and 2 are always admitted for processing and corrected. Error category 3 and 4 error reports are processed, and a decision on whether to correct each error is made on a case-by-case basis. Corrections to the system are delivered in accordance with the publication schedule described in Appendix 8. During the release of the system, the Incomes Register Project will prepare a delivery report including the changes updated in the system and the corrections. The delivery report will be sent by e-mail to the testing contact persons of the stakeholders, well in advance of any new system release. The delivery reports will also be published on the incomesregister.fi website. Errors categorised in error category 1 (Critical) will be corrected as soon as possible, and the corrections will be delivered to the stakeholder testing environment outside the predefined release schedule, if necessary.

Incomes Register Project TESTING PLAN 18(21) System updates are carried out during weekdays, outside active testing hours (Mon Fri 8.00 16.00). Stakeholders will be notified of the system update and possible testing downtime. 8 Separate tests of extensive records 9 Ending the testing The Incomes Register Project will carry out a performance test of the stakeholder testing environment before testing begins. The performance test will be carried out in autumn 2017. In addition to the Incomes Register's own performance test, various stakeholders will be able to test the interfaces with large volumes of data. These stress tests will be separately agreed with each stakeholder. The stress tests of different stakeholders are scheduled in such a manner that not all stakeholders perform their tests simultaneously. A separate testing plan will be prepared for separate testing of the stakeholders' extensive records (Appendix 4). Each stakeholder must perform testing with regard to the services it will use in the Incomes Register. Once the testing has been completed, a notification that testing has ended must be delivered by e-mail to the address yht_tulorekisteri_testaus@vero.fi. The Incomes Register Project needs information on the level of completion of testing in order to estimate the remaining amount of testing. The Incomes Register Project will also contact stakeholders on the progress and level of completion of testing during the testing process. Error reports on the Incomes Register that a stakeholder wishes to be processed and corrected prior to the deployment on 1 January 2019 must be delivered to the Incomes Register Project no later than 1 October 2018. The final correction package will be installed in the stakeholder testing environment on 1 November 2018. After this date, only critical errors preventing the deployment of production will be corrected. The stakeholder testing environment will also remain available after this date and observations may still be delivered to the Incomes Register Project. Observations reported after 1 October 2018 will be processed, but the corrections will be scheduled at a time to be separately reported after deployment. 10 Testing parties and communication To ensure functional lines of communication, the Incomes Register Project requires stakeholders to provide the contact information of their contact persons. You can report your organisation's contact persons for testing to the following address: yht_tulorekisteri_testaus@vero.fi

Incomes Register Project TESTING PLAN 19(21) 10.1 Points of contact for the Incomes Register Project's stakeholder testing Table 3 presents a list of contacts for the Incomes Register Project. The communication channel for stakeholder testing is also used for the provision of information during end-toend testing, and assists in the search for suitable testing partners between data providers and data users. Contact communication channel Technical questions Functionality questions E-mail YHT_tulorekisteri_testaus@vero.fi YHT.Tulorekisteri_tekninen@vero.fi YHT.Tulorekisteri_toiminnallinen@vero.fi Table 3: Contacts of the Incomes Register Project. 10.2 Communication on stakeholder testing A briefing on the stakeholder testing will be arranged in February 2018. During the briefing, the interface testing instructions (Appendix 1) and the details related to making entries of observations will be reviewed. Joint events will be arranged on testing as needed. These will be separately announced. Stakeholders will be informed of matters related to stakeholder testing and the stakeholder testing environment via e-mail and on the incomesregister.fi website. See below for a list of subjects about which the Incomes Register Project will inform stakeholders: Testing environment disruption bulletins New versions of the testing environment Delivery reports Additional corrections installed in the testing environment outside scheduled version releases Any downtimes of the testing environment Other issues to be communicated 11 Limitations This testing plan describes the main principles of stakeholder testing with the following limitations: The stakeholder testing plan does not describe the internal testing phases of the Incomes Register Project or the results of tests. The stakeholder testing plan does not specify at what time each stakeholder begins its own testing. Stakeholders are responsible for planning and completing their own shares.

Incomes Register Project TESTING PLAN 20(21) The stakeholder testing plan does not specify when the testing of each stakeholder is completed. Approval of the testing is the responsibility of the testing organisation of each stakeholder. The Incomes Register Project does not coordinate testing between data providers and data users as a whole. If necessary, the Incomes Register Project can assist in finding a suitable testing partner for end-to-end testing, but the actual coordination of testing must be handled between stakeholders. The stakeholder testing plan does not describe the tracking and coordination of errors detected in the software suites of stakeholders. The stakeholder testing plan does not describe the business testing of data providers and data users. Stakeholders themselves are responsible for the functionalities of their own systems and the data contents to be transferred. The Incomes Register Project reserves the right to make changes to any schedule or plan described herein. 12 Appendices All appendices will be published on the incomesregister.fi website No. Name Time of publication 1 Testing instructions 12/2017 2 E-service stakeholder testing plan 04/2018 3 Plan for test record simulation into the future 04/2018 4 Separate testing plan for extensive records 04/2018 5 Configurations of the stakeholder testing environment 12/2017 6 Testing agreement template 12/2017 7 Instructions on the anonymisation of test data 12/2017 8 Incomes Register release schedule 25/10/2017 9 Preparedness plan for stakeholder testing 12/2017