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Superannuation funds

The trustee of a superannuation fund must lodge a Fund income tax and regulatory return (Form F) with the ATO

Categories of superannuation funds

Complying funds

If APRA is satisfied that the legislative conditions are met, then it will give written notice to the trustees of the superannuation fund and the ATO advising of complying superannuation fund status for the year

The fund will retain its complying status for tax purposes until it is notified that its status has changed

Non-complying funds

Where APRA decides that a superannuation fund has not satisfied the legislative conditions, it will give written notice to the funds' trustees (and to the ATO) setting out the reasons for the decision not to issue a notice of compliance

The fund will then be classified as a non-complying fund for the year

Self managed superannuation funds (SMSF’s)

A SMSF is a fund with less than 5 members and which meets the requirements of s.17A of the SISA

SMSF’s are typically small complying funds established by people who want to have a more hands on role in running the fund

Capital gains

Complying funds

When calculating a capital gain, a complying fund may choose to use:

an indexed cost base (but frozen at 30 September 1999),
or
apply a 331/3% CGT discount (compared to the 50% discount available to individuals)

Non-complying funds

are also subject to the capital gains tax provisions like complying funds

However, non-complying funds are not eligible for the 331/3% CGT discount

Instead, they are entitled to the usual 50% discount – s.115-100

Exempt income

Complying funds receive an exemption on any income derived from segregated assets used to pay a current pension liability - s.282B ITAA36

Non-complying funds are not exempted on such income

Tax payable

Complying funds

Complying funds are taxed at the concessional rate of 15% flat on the standard component of their taxable income and at 45% flat on any special component

Non-complying funds

Non-complying funds are taxed at 45% flat on all of their taxable income

Contributions received by superannuation funds

  • Employer contributions

    Employer contributions to complying superannuation funds are deductible up to certain age-based limits for each employee – s.82AAC ITAA36

    Contributions in excess of the age-based limits are not deductible

  • Contributions by self-employed and unsupported employees

    Under s.82AAT(2A) ITAA36 self-employed taxpayers can claim a deduction for personal contributions to a complying superannuation fund to the lesser of:

    • $5,000 plus 75% of any excess over $5,000, or

    • the taxpayer's age-based limit
Definition


A superannuation fund is a particular type of trust fund established specifically to provide retirement or death benefits for members of the fund

Superannuation funds which comply with the:
Superannuation Industry (Supervision) Act 1993 (SISA)
Financial Sector (Collection of Data) Act 2001, and
Corporations Act 2001

receive concessional tax treatment on their income, whilst superannuation funds that do not comply with this legislation are taxed at a higher rate

The legislation is administered jointly by the Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments Commission (ASIC)

The ATO is also responsible for the administration of the SISA Act to the extent that the Act relates to self managed superannuation funds

Role of the APRA and ASIC

APRA and ASIC jointly monitor the compliance or otherwise of superannuation funds to the prescribed standards of the legislation

These bodies are empowered to:
  • give written notice to the trustee of a fund stating whether or not it is a complying or non-complying superannuation fund in relation to the year of income specified

  • advise the ATO of the particulars of any notice given to a superannuation fund

  • impose penalties on trustees of superannuation funds who provide false information on returns


Calculation of taxable income

Assessable income

All superannuation funds can derive assessable income from a variety of sources like any other taxpayer

Also, the assessable income of superannuation funds includes:
  • Contributions made to the fund by a person (e.g. employer) to provide superannuation benefits for another person (regardless of whether a tax deduction is allowed) up to certain aged based limits

  • Personal contributions to the fund from employees and members which are deductible to the contributor under s.82AAC and s.82AAT ITAA36 up to certain aged-based limits
  • contributions to the fund by a tax-exempt entity

  • special capital gains (s.302 and s.308 ITAA36 apply to complying superannuation funds)

"Special" capital gains

Complying funds

The general CGT provisions apply to an asset of a complying superannuation fund even if the asset was acquired before 20 September 1985 (i.e. before the normal commencement date of CGT provisions) – s.302 ITAA36

Non-complying funds

The special CGT provisions do not apply to non-complying funds

Deductions

All expenditure incurred in gaining or producing assessable income is generally deductible

s.280 and s.287 ITAA36 specifically disallow a deduction for benefits paid to members of a superannuation fund

Only complying funds are allowed a deduction for the following:
  • Premiums paid to provide death or disability cover for fund members

  • "Detrimental" payments made after the death of a fund member

Tax payable

Standard component

Under s.285 ITAA36 the standard component is equal to "taxable income less special component"

Special component

Under s.284 ITAA36 the special component is "the amount remaining after deducting any deductions which relate solely to special income"

Under s.273 ITAA36, special income is:
  • excessive private company dividends

  • non-arm's income derived by the superannuation fund, and

  • certain trust distributions
Contributions received by superannuation funds

Employer contributions

For the 2006/2007 year of income the maximum age-based limits are:

Employee age Max. contribution
under 35$15,260
35 to 49$42,385
50 +$105,113