eForms and XML at NYS Dept of Taxation and Finance

1. eForms and XML atNYS Dept of Taxation and Finance Jim Lieb, Director – Common Services NYS Department of Taxation and Finance

2. Business Value Information Management Evolution Our eForms Roadmap Complete automation of the form through entire lifecycle 2008- 2009Information to Enable Business Flexibility eForms Integrated Processing Automate tax-processing workflow, eFiling, web services with business partners, BPEL processing, XML operational DB 2007-2008End users interact directly with relevant tax data with XML data using Workplace Forms Improve citizen and business satisfaction and delivery time eForms as Input and Turnaround Documents Web data capture, XML and eForms tied to CM, XML data transformed for legacy processing 2006-2007Facilitate Delivery of filed XML data from external sources eForms as XML Display Create single, integrated view of fomrs Data received from business partners as XML. XML and eForms integrated with CM, some XML integration with backend systems, Data transformations for legacy processing

3. Corporation Tax Electronic FilingBusiness Problem The IRS will establish a clearing house of all large CT filers returns. The IRS will then send to the states all of their relevant information in a standard XML format. The filing will contain images and data, and can approach 1 Gig per filing. DTF will accept and acknowledge these returns, prepare them for processing within the current systems. Tax will keep all data in a retrievable format for reporting and audit selection. Data should also be available in online applications (transcript).

4. Corp Tax e-file High Level Process diagram

5. CT Elf • Application Statistics • Coding started October 2006, in Production Jan. 2007 (on time) • Over 2,000 data elements mapped. (only 6 data issues found) • Of 42,500 federal returns, NYS processed 14,500 (#1 State) • 14 DTF ELF eForms were in production day one • All software evaluated after June 2006, first use in Production

6. CT Elf Service Design

7. XML Forms Mapping • Receive XML from the IRS and show the document • in the form (integrated with our EDMS) • user view is independent of channel! • all data received is stored in one table • form can be used as input and for correction

8. Mapping ELF data elements to Internal Format Mapping ELF to Internal Format

9. Corp Tax e-file BPEL

10. STAR • Application Statistics • Over 2 M applications processed in 4 months (1.8 M on web) • Developed over 3 months, delivered first quarter 2007 • No database work required

11. NYS-45 Technical Solution • Application Statistics • Developed over 6 months, delivery 1st Quarter 2008 • Tied to authentication system (OnLine Tax Center) • No database work required

14. E-MPIRE Business Problems • Tax Systems written in the 1970s • Every Tax Type was designed differently • Opening channels was difficult • Many user interfaces • Multiple signons • Systems were very paper dependent • Changes to the systems were difficult to implement and test • Finding resources to manage systems was becoming difficult

15. Integrated Tax Systems

16. Our Solution

17. Thousands of different tax forms  Schema Diversity Typically not every field in a form is used Sparse Data Many forms change every year Schema Evolution  A case for XML ! Tax Forms The Returns Processing Problem

18. Returns Processing Data Design <filing> <form formid = ‘IT201’> <wages>134</wages> <date>11/23/05</date> </form> <form formid = ‘W2’> <wages>276</wages> <jointTP>Yes</jointTP> </form> </filing>

19. e-MPIRE R3 Phase I • Application Statistics • Delivered 1st Quarter 2008, Web 3rd Quarter • All electronically filed data will be stored in XML (5+ M) • Web access tied to authentication system (OnLine Tax Center) • No database work required

20. WebSphere Process Server Microflow Invoke CICS Tx 1 Invoke CICS Tx 2 Invoke CICS Tx 3 JCA Connector (AIX) CICS Transaction Gateway 6.1 (z/OS) CICS CICS Transaction1 CICS Transaction2 CICS Transaction3 e-MPIRE R3 Returns Processing Flat File Adapter and WID SCA async invoke (uses SIBUS) WebSphere MQ to back-end systems Leverages source – target mapping in one COBOL step Common taxpayer validation routine which reconciles taxpayers and output common DB structure Third batch program which processes form rules Microflow Transaction boundary, two-phase commit (parallelism not illustrated)

22. e-MPIRE R3 Phase II • Application Statistics • To be delivered Jan. 2009 • All filed data will be stored in XML (10+ M) • Web access tied to authentication system (OnLine Tax Center) • No database work required

23. New Web Projects • Sales Tax Registration • Sales Tax Re-Registration • Sales Tax e-Filing (NYS-810) • Bill, Return and Account Presentment and Payment • Estimated Tax Payments • Job Applicant

24. What’s next? • Expand the use of eForms on the web • Use Process Flows for Internet Navigation • Incorporate more tools to speed delivery and improve product • Convert other Subsystems (Domains) to XML • Simplify conversion • Map data structures closer to the business • Leverage the rules engine • Leverage the XML data in new ways (AJAX)

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