Emerging Technologies Committee eForms and XML at NYS Dept of Taxation and Finance Jim Lieb,...

Emerging Technologies CommitteeEmerging Technologies Committee

eForms and XML ateForms and XML at

NYS Dept of Taxation and FinanceNYS Dept of Taxation and Finance

Jim Lieb, Director – Common ServicesNYS Department of Taxation and Finance

Our eForms RoadmapOur eForms Roadmap

Create single, integrated view of fomrs

Bu

sin

ess

Valu

e

Information Management Evolution

2006-2007Facilitate Delivery of filed XML data from external sources

2007-2008End users interact directly with relevant tax data with XML data using Workplace Forms

2008- 2009Information to Enable Business Flexibility

eForms as XML Display

Data received from business partners as XML. XML and eForms integrated with CM, some XML integration with backend systems, Data transformations for legacy processing

eForms as Input and Turnaround DocumentsWeb data capture, XML and eForms tied to CM, XML data transformed for legacy processing

eForms Integrated Processing

Automate tax-processing workflow, eFiling, web services with business partners, BPEL processing, XML operational DB

Improve citizen and business satisfaction and delivery time

Complete automation of the form through entire lifecycle

3

Corporation Tax Electronic FilingCorporation Tax Electronic FilingBusiness ProblemBusiness Problem

The IRS will establish a clearing house of all The IRS will establish a clearing house of all large CT filers returns. The IRS will then large CT filers returns. The IRS will then send to the states all of their relevant send to the states all of their relevant information in a standard XML format. The information in a standard XML format. The filing will contain images and data, and can filing will contain images and data, and can approach 1 Gig per filing.approach 1 Gig per filing.

DTF will accept and acknowledge these DTF will accept and acknowledge these returns, prepare them for processing within returns, prepare them for processing within the current systems. Tax will keep all data the current systems. Tax will keep all data in a retrievable format for reporting and in a retrievable format for reporting and audit selection. Data should also be audit selection. Data should also be available in online applications (transcript).available in online applications (transcript).

Corp Tax e-file High Level Corp Tax e-file High Level Process diagramProcess diagram

Data Entry via vendor software

IRS MeFGateway

NYS DTFclient

web service

Storage- zip archive-State/Fed XML data-attachments

WID Data Conversion/Edits

- translate XML from NYS schema to eMPIRE format

-make calls to get eMPIRE required values-get DLN

eMPIRE Validator-TI Validate-Liability period create-get internal id

Corp TaxProcessing

Engine

Data Retrieval by

DTF staff

ContentManager

DB2 Viper

Software vendor data entry /

validation program

View:- PDFs from Content Manager via eMPIRE - Federal data through IRS stylesheets- eMPIRE Corp Tax data via eMPIRE screens- Non-eMPIRE Corp Tax data through Workplace forms

Fed/State 1120 Corp Tax eFiling Process

High-level Process DiagramVersion 3.1

eMPIRE R2

HTTPS CommunicationCertificate authenticationFiles retrievedAcknowledgements, errors sent

IRS Master XML SchemaState Master XML Schema (TIGERS)State-specific XML Schemas

Prototype #1: Web service connectivity and security model

Prototype #3: Store and retrieve PDF data in Content Manager

Prototype #2: Map XML data to eMPIRE

Prototype #5: View State XML data

Prototype #6: View Federal XML data in XSLT templates from IRS

eMPIRE Mapper

Prototype #4: Store and retrieve XML data in UDB/Viper

Data Extraction-State xml data extracted from zip-xml schema validation-Non state data stays in a pending state awaiting validation

If eMPIRE Validation is successful, XML Data

and any attachments are extracted & stored

Reverse Mapper- Include the error produced with the rejection notice

Acknowledgements-Rejected and successful transaction messages sent back to MeF-routing and manual review

Rejected

Rejected

Rejected

Fed/State XML data

PDF attachments

(signature pages, etc.)

Accepted

ePAY

DB2

Accepted

Rejected A

AInternal Id keys to store with accepted submissions

CT ElfCT ElfBusiness Problem Technological Solution

Mapping XML to Legacy Format BPEL transformations

Web Service interactions with IRS

Web Services invoked from BPEL

User Transcripts of XML data eForms

Quarterly schema changes XML DB

User access efroms tied to Content Manager

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 DesignCT Elf Service Design

WID Data ConversionMap Source XML to eMpire Source

CT – ELF Pre eMPIRE

CT ELF QueueRejected /Accepted

submissions/keys for insert

GetDLNService

GetPaymentType Service

HeaderTrailerService

Add to counts and remit amountWeb Service

GetNewSubmissions

IRS

DB2 Viper Database

Store XML Zip Files

ExtractValidateService

FTP to Mainframe

State Data

eMPIRE

GetMainFormService

Target Business Object

Composition

Extract/Validate Main Form Mapping Service

ATT Ind Snippet

Process code

Snippet

Tax Year Snippet

ACH Restrict Ind

Snippet

Run Set method on BO to set Fields

Invoke SCA Interface Component which creates

XML BO

Web ServicesSendReceipt

StoreStateArtifacts

Create XML File

ValidateBank Routingnumber

Service

ValidateDates

FedStateMef

Get Submissions

GetTaxSubTypeService

Data Binding Service

Header/Trailer

HeaderTrailerService

Add to counts and remit amount

While more submissions

While main form

Invalid Routing or Dates

Invalid WID Mapping

Failed main form services

Rejeted/Acceptedsubmissions

AssignToBoService

For Each Submission

Write to File

Write to File

FedStateLoop

Flat file

eMpire Formatted File

Flat file

GetTramsmissionHeaderFields

ProcessYearACHInd

FilterForms Service

Read and Store Service

Move PDFS to Content Manager

eMPIRE Manual Review

Manual review Service for Rejected

Submissions

Web ServicesSendAcks

Reject Service

Form Combo Validation

<USAddress>– <Address>

<AddressLine1>PO BOX 228</AddressLine1><City>SCHENECTADY</City><State>NY</State><ZIPCode>123080000</ZIPCode></USAddress>

– </Address></USAddress></StateOfIncorporation><HdrCode>

– <FederalReturnFiledOther>String</FederalReturnFiledOther><FilerClassificationCode>AA3</FilerClassificationCode><FormType>CT5</FormType><ReturnTypeCode>CT5</ReturnTypeCode><SoftwareDeveloper><DeveloperName>

<BusinessNameLine1>Sunrise Investments Inc</BusinessNameLine1><BusinessNameLine2>A A</BusinessNameLine2>

XML Forms MappingXML Forms Mapping

Receive XML from the IRS and show the documentin 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

Mapping ELF to Internal FormatMapping ELF to Internal Format

Mapping ELF data elements to Internal Format

Corp Tax e-file BPELCorp Tax e-file BPEL

STARSTARBusiness Problem Technological Solution


Internal data entry and correction

eForms

Web interface HTML to XML

Data persistence XML DB


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

NYS-45 Technical NYS-45 Technical SolutionSolution

Business Problem Technological Solution


Internal data entry and correction

eForms

Web interface eForms



Application Statistics• Developed over 6 months, delivery 1st Quarter 2008• Tied to authentication system (OnLine Tax Center)• No database work required

14

E-MPIREE-MPIRE Business Problems Business Problems

Tax Systems written in the 1970sTax Systems written in the 1970s Every Tax Type was designed differentlyEvery Tax Type was designed differently Opening channels was difficultOpening channels was difficult Many user interfaces Many user interfaces Multiple signonsMultiple signons Systems were very paper dependentSystems were very paper dependent Changes to the systems were difficult to Changes to the systems were difficult to

implement and testimplement and test Finding resources to manage systems was Finding resources to manage systems was

becoming difficultbecoming difficult

Integrated Tax SystemsIntegrated Tax SystemsIntegrated Tax System

Common Services

Returns Processing Accounting

Taxpayer Identification Compliance

Return Processing

TaxpayerRegistration

Taxpayer Accounting

Discovery

Remmittance Processing

Request Processing

Fraud Detection

Exception Resolution

Overpayment Processing

Revenue Accounting

Obligation Maintenance and Licensing

Audit

Collections Appeals

Workflow SecurityData

ExchangeRules

Management

Com

mon D

atabase

Leveraged Assets

Content Management

Management Reporting

Our SolutionOur SolutionLeveraged Assets

Integrated Tax Services

Returns Processing Accounting

Taxpayer Identification Compliance

Return Processing

TaxpayerRegistration

Taxpayer Accounting

Discovery


Request Processing

Fraud Detection


Overpayment Processing

Revenue Accounting

Obligation Maintenance and Licensing

Audit

Collections Appeals

Workflow

Security

Data Exchange

Rules Management

Com

mon

Data

base

Content Management

Management Reporting

Service Repository

eForms

Thousands of different Thousands of different tax formstax forms

Schema DiversitySchema Diversity

Typically not every Typically not every field in a form is usedfield in a form is used

Sparse DataSparse Data

Many forms change Many forms change every yearevery year

Schema EvolutionSchema Evolution

A case for A case for XML !XML !

Tax FormsTax FormsThe Returns Processing Problem

Returns Processing Data Returns Processing Data DesignDesign

col1 col2 col3 col4 col5 … col1000

134 NULL 11/23/05 NULL NULL … NULL

NULL 276 NULL NULL Yes … NULL

12 NULL NULL 99.99 NULL … NULL

NULL NULL NULL 123.23 NULL … No

…

<filing> <form formid = ‘IT201’> <wages>134</wages> <date>11/23/05</date> </form> <form formid = ‘W2’> <wages>276</wages> <jointTP>Yes</jointTP> </form></filing>

Returns Processing

Return Processing


Request Processing


e-MPIRE R3 Phase Ie-MPIRE R3 Phase IBusiness Problem Technological Solution

Internal access of IRS Elf Data eForms

Web interface to Filing eForms, CM



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

e-MPIRE R3 Returns e-MPIRE R3 Returns Processing Processing

Source File(s)

Mapping Pre-Processor

DEM

Mapping

DEM

Target Data File

Sort / Split Combined Filers

Target Data Files

TI ValidateCreate/Update LP

Exceptions

Sort Target Data File(s)

Target Data Files

Load Returns to TERETURN

Retrieve Form Data (For RP and

TA)

Return Validation & Computation

TA

Exceptions

Pro

cess

Dat

aR

ecov

ery

Source File(s)

File-level edits;Break file into ‘pieces’ (parent / child); Some custom development

Process Server Control

Mapping

WID ToolDEM DEM

Tmp

JAVA / AIX JAVA / AIX

Translation

XML

OR

Exceptions Business

Components (from any of these processes)

If needed

400B

Revenue Accounting Business

Component(s)

TI DriverLiability Period

Business Components

Other Business Components

XML

OR

Multiple Instances of These Processes Would Be Utilized To Enhance PerformanceMultiple Instances of These Processes Would Be Utilized To Enhance

Performance

410B

JAVA Rules Engine

JAVA / AIXExceptions Business

Components (from any of these processes)

If needed

Filing Validity

Business Components

TI Driver

Cre

ate

TA

Que

ue

TERETURN (Mainframe)

XML / VIPER(AIX)

Store data on or off platform?

OR OR

Leverages source – target mapping in one COBOL step

Common taxpayer validation routinewhich reconciles taxpayers and output common DB structure Third batch program which

processes form rules

Flat File Adapter and WID

WebSphere MQ to back-end systems

SCA async invoke (uses SIBUS)

Microflow Transaction boundary, two-phase commit

WebSphere Process Server Microflow

CICS

Invoke CICS Tx 1

Invoke CICS Tx 2

CICSTransaction1

CICSTransaction2

CICSTransaction3

Invoke CICS Tx 3

JCA Connector (AIX)

CICS Transaction Gateway 6.1 (z/OS)

(parallelism not illustrated)

WebSphere Application Server

Mainframe

Process Server

Pro

cess

S

erve

r

CICS TRANSACTION GATEWAY (CTG)

RPQueue

(SIBus -Process

BO)

Returns Process (BatchProcessModule)

NRP291JRetrieve Forms for

prior composition

NRP425JFormat

TA Message

Fwrk Event Queue (MQ)

TAQueue(MQ)

RTN_STATUS

CD = 30

LIAB_PRD

ST_CD = 14

NRD300ZCreate/Update Liability Period

CISS Scoring Rules

NRP351JDependent

Control Service

Other AUDPIT checks(TBD):- dependents

- item deductions- previous IT-214

NRP341JFiling Validity

- Dupe check- Check HoldsIT2/W3 Dupe

Check

File Adapter/Mapper

(bank files)

Process Mode is:1)Mapper

Return00020

Retrieve Addl Data

Retrieve Rules

Retrieve Exception

Details

RTN_FILING(FORMS,ADJSTS,

EXCPTNS)(UDB-XML)

Mai

nfr

ame

NAT127ZSCompute

Return File Date

NRD300ZCreate/Update Liability Period

NAT549ZSTA

Interest Free Date

Calculation

NAT122ZSRetarget payments

Workflow Monitor

1 2

14 28

25b

ImageFile

Format & write Image

queue record

NRP850Bformat and

write image file

ImageQueue(MQ)

TZ0052ZTI

Load/Validate

CPT517ZSSN

validate

NRP520ZInsert

DCMT-REL

CISS/RP Reply Queue(SIBus)

NAT115ZRetrieve

INT_TP_Id,PMT databased on

DLN

NRP291JRetrieve

Return Data

Once the suspense data is saved, all previous

updates are rolled out, exception is written, and the process is stopped.

Suspense Repair

Process

39

40

C5

C6

S1

TILPProcessModuleValidation Subprocess (TI/LP)

BPEL

TEAFINTYPE

RTN_FILING(FORMS,ADJSTS,

EXCPTNS)(UDB-XML)

R1

19

NRD301ZRetrieve Liability

Period (for secondary

id)

Switch Ids

FVProcModuleFiling Validity Subprocess

BPEL

RulesEngine Module

PIT Rules Engine Controller

JAVA

5 7 8 9

ExceptionProcessModuleBPEL

3

C3

NDP010ZExceptionController

29

NDP001ZWorkflow

Repoll

29c

NRP281JPopulate

Supporting Data for

ExceptionsBased on

Process Seg Id

30

MapNDPEX1WSBO to

ReturnExceptionsBO

NRP121JStatus

Updater

2712

34WA

S

C2

Rules EngineJAVA

24

Updated July 11, 2007

NRP351JRetrieve

DependentInformation

Mode is set based on1) Reprocess adjustment2) CISS adjustment3) CISS no adjustment

After suspended data is corrected using the

Suspense Repair UI, the process is restarted at

beginning.

C4

37b

NRP222JAdjust

FormatterService

ReturnComposition

BO

ReturnCompositionBO

ProcessBO

NAT164ZMaintainDCMTRow(s)

NAT216ZPre-

payments

2320 2118

ReturnAdjustProcessModule

BPEL

Framework Service Put CISS

msg to queue

NRP511JPersistence

Service

Validate and LoadDependent Data

Severe exceptions?

31

NDP010ZPopulate

exceptionsDetails

16

NDP300ZTrigger Denial

Correspondence

NRD300ZRemove

2ndary ID / Create LP for

2ndary ID

NDP010ZExpire current

exceptions

15

TZ0052ZBreak JL

Association

11

NRP511JDelete

Preview Rows

NRP121JExpire/Update

Secondary Filing and

Filing Status

1713

C1

25

22

25a

25c

NDP010ZRetrieve

Exceptions by Form Id/

Rule Group

26

If no system exceptions

NDP010ZExceptionController

29a

29d

4 6 29b

- maintain exception array- maintain variables- maintain forms in memory- accumulate statistics

ProcessBO

ProcessBO ProcessBO

If no system exceptions

Update Header &

Invoke Fwrk

Service

ReturnComposition

BO

32

33

Adjust BO

36AdjustBO

ProcessBO

NAT403ZCreate/

Expire TA Restrictions

Reprocess

38

R1

37AdjustBO37a

AdjustBOProcessBO

TA Restrictions

RMI – IIOP (REMOTE METHOD INVOCATION – INTERNET INTER-ORB PROTOCOL)

If JL_SUSPENSE_IND=Y

or LP_SUSPENSE_IND=Y

Pro

cess

S

erve

r

Pro

cess

Mo

de

=

00

02

0

C7

42

DIMCOUNTPROCBPEL

41

Image TriggerQueue(MQ)

Put TA Msg on

TA queue

39a

35

Call to NAT403Z - TA Restrictions

Returns Process (BatchProcessModule)

e-MPIRE R3 Phase IIe-MPIRE R3 Phase IIBusiness Problem Technological Solution

Internal access of IRS Elf Data eForms

Web interface to Filing eForms, CM



Forms Processing and Correction BPEL, Rules Engine

Exception Processing BPEL, Rules Engine

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

New Web ProjectsNew Web Projects Sales Tax RegistrationSales Tax Registration Sales Tax Re-RegistrationSales Tax Re-Registration Sales Tax e-Filing (NYS-810)Sales Tax e-Filing (NYS-810) Bill, Return and Account Bill, Return and Account

Presentment and PaymentPresentment and Payment Estimated Tax PaymentsEstimated Tax Payments Job ApplicantJob Applicant

What’s next?What’s next? Expand the use of eForms on the webExpand the use of eForms on the web Use Process Flows for Internet NavigationUse Process Flows for Internet Navigation Incorporate more tools to speed delivery Incorporate more tools to speed delivery

and improve productand improve product Convert other Subsystems (Domains) to Convert other Subsystems (Domains) to

XMLXML Simplify conversionSimplify conversion Map data structures closer to the businessMap data structures closer to the business Leverage the rules engineLeverage the rules engine

Leverage the XML data in new ways (AJAX)Leverage the XML data in new ways (AJAX)

Customer Customer Feedback?Feedback?

Emerging Technologies Committee eForms and XML at NYS Dept of Taxation and Finance Jim Lieb,...

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