Business Modernization Overview

XML Facilitated Web Pattern Development at

New York State Taxation and Finance

James Lieb, Director – Common Services and Case Management NYS Department of Taxation and Finance

XML Facilitated Web Pattern Development at New York State Taxation and Finance

A I X JAVA BC BC BC BC BC Component Repository Web Applications (WebSphere ) DTF Users e-MPIRE Web Portal (e-MPIRE Framework ) TAX PREPARERS On -line Tax Center (Web Portal) (WebSphere Commerce ) 2 2 Data

Mapping EngineRules StorageData Excep-tions

Business Processes BO (FFA, WID) JAVA (RAD) (DB2 V9)XML (WPS)HTM SCA, BPEL CISS

WEB SERVICES (WebSphere Business Business Monitoring Monitor) CTG M A I N F R A M E CICS Transactions COBOL BC BC BC BC BC Component Repository

TAXPAYERS DTF Users DTF Users

eforms, Call Manager, and IVR

T R A N S A C T I O N A L

Business Modernization Overview

• JAVA Business Components • Business Processes

– Data Mapping - BO

– Data Storage - XML

– Rules Engine - Java

– Exceptions - WPS • CICS Transactions • Paper Input • Business Monitoring • Internal/External Web

• eforms, Call Manager (VOIP), and IVR

Integrated Tax Systems to Integrated Tax Services

Integrated Tax Systems to Integrated Tax Services

Integrated Tax System

Common Services

Returns Processing Accounting

Taxpayer Identification Compliance

Return Processing Taxpayer Registration Taxpayer Accounting Discovery Remmittance Processing Request Processing Fraud Detection Exception Resolution Overpayment Processing Revenue Accounting Obligation Maintenance and Licensing Audit Collections Appeals Workflow Security ExchangeData

Rules Management C om m o n D a ta b as e Leveraged Assets Content Management Management Reporting 3 Leveraged Assets Integrated Tax Services

Returns Processing Accounting

Taxpayer Identification Compliance

Return Processing Taxpayer Registration Taxpayer Accounting Discovery Remmittance Processing Request Processing Fraud Detection Exception Resolution Overpayment Processing Revenue Accounting Obligation Maintenance and Licensing Audit Collections Appeals Workflow Security Data Exchange Rules Management C o m m o n D a ta b as e Content Management Management Reporting Service R epository eForms

For our Modernization we started with COTS solutions as a starting point but ..

Instead evolved into an SOA solution that leveraged existing assets and was more open to

integrating industry standard products for common services.

XML Facilitated Web Pattern Development at New York State Taxation and Finance

Returns Processing Summary

Returns Processing Summary

Operational XML

Operational XML





Next Generation DB Design

Next Generation DB Design

<filing>

<form formid = ‘IT201’> <wages>134</wages> <date>11/23/05</date> </form>

<form formid = ‘W2’> <wages>278</wages> <jointTP>Yes</jointTP> </form>

</filing>

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

It-201 W2 It-150

Relational Table by Form • 3600 tables required

• Difficult to get filing context • Made Rules engine, display difficult • Much IO

Generalized Relational Table • Needed DB to translate fields • Sparsely populated • Performance issues • Rules engine limitations

XML Solution • Business object based (the audit folder) • Keeps business context

• Robust rules processing • Can leverage XML tooling

XML’s Transformation

Technological Convergence changes view of XML

Traditional

Strategic

Usage Patterns

• Data sharing

• Data transfer

• Transactions • Execution format • Persistence protocol

Technologies

• Parsers (SAX, DOM) • Web Services (WSDL)

• XQuery, XPath • DOM/SDO

• XML/Relational DBMS • eForms

• AJAX, REST, RIA, Atom

Business Issue Resolved

• Simplified Collaboration • Expanded channels • Enabled partners • Customer empowerment • Faster solution delivery

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XML Facilitated Web Pattern Development at New York State Taxation and Finance

Layers of Transactional XML Domain Model

• Exceptions

– Quality or Condition of Data – Auto Routing

– Customer Service

• History

– What, Why and Who of all Changes

– Auditability

– Exception Resolution

• All relevant data in one place

– Less I/O – Data Integrity

Transactional XML: Computations

7 Correcting Information during processing

• Math errors • Credit claims • Fraud

Attribute based solution

<Wages Captured=“xxx”, Computed=“xxx”, ComputedReason=“xxxx” />

Tag based solution

<Wages “xxx”/>

<WagesComputed “xxx”/> <WagesComputedReason “xxxx” />

Attribute based advantages • Reduce tags

• More efficient processing map • Reduced DB storage

• Easier integration with Rules Engine

XML Facilitated Web Pattern Development at New York State Taxation and Finance

Transactional XML: Exceptions

Describing a document that has some processing issues • Critical processing issues

• Informational issues

• Mechanism for getting work stopped/reviewed/corrected

Exception Segments <filing> <taxpayer> </taxpayer> <forms> <w2 id=“512”> </w2> </forms> <exceptionsSeg>

<exception issue=“xxx”, severity=1/> <exception issue=“yyy”, severity=0/> </exceptionSeg>

</filing>

Exception Segment advantages • State persisted with business object • Facilitates exception handling

• UI

• Process routing

Transactional XML: History

9 History Segments <filing> <taxpayer> </taxpayer> <forms > <w2 id=“512”, efctvDate=“2009-06-29”> </w2> <w2 id=“512, efctvDate=“2009-01-16”> </w2> </forms> </filing>

History Segment advantages • All changes within the business object

• Maps to the Audit Folder • Facilitates return adjustments • Works with rules engine

• Easy to compare forms and filings by date • Facilitates off line use

XML Facilitated Web Pattern Development at New York State Taxation and Finance

OR Tools/Frameworks

Mapping Info

Processing Model –Object Classes Relational DB

XML Execution Model - Traditional

XML

Processing Model - DOM/SDO Object-Relational XML DB

XML Execution Model - Strategic

XML Mapping

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Model Benefits

• Easy to process • Easy to persist • Easy to query • Easy to share

XML Facilitated Web Pattern Development at New York State Taxation and Finance

Facilitating Business Alignment

Sharing the same Business defined business object (XML)

Eliminates Technical Abstraction. All processes, functions and reports “configured” in user’s

terms. The same core Business Object Is leveraged by all of the system

Development Enablement

Establishing Patterns

External Channels _Processing

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XML Facilitated Web Pattern Development at New York State Taxation and Finance

Web Development challenges

•

Develop quicker

•

Reuse “segments” of web apps

•

Consistent features (print, return to application)

•

Consistently defined navigation patterns

A series of form based UI objects that create a

transaction for processing.

<transaction> <form formid = “a’> <field1>134</field1> <field2>abc</field21> </form> <exceptions> <context>a</context> <errNbr>17</errNbr> </exception> </transaction>

Then each of these “forms” can be designed exactly the same

way….

A Form has a UI object has a object enforcing form

rules

has an XML segment in the transaction XML

In this way pages can be coded separately and following

the same pattern and integrated into a web application.

What is a Web Application?

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XML Facilitated Web Pattern Development at New York State Taxation and Finance

Web Navigation Pattern

Web Navigation highlights

• All pages coded exactly the same • Single XML table allows restart

• Navigation patterns enforced (Wizard, conditional, etc.) • Process server allows for externalization of navigation • Common error handling

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XML Facilitated Web Pattern Development at New York State Taxation and Finance

Web Service Pattern

Web Service Process highlights

• Same pattern serves all web services • Leverages same rules as web

Paper Process Pattern

Paper Process highlights

• Same pattern serves all paper processes • Leverages the same form Interfaces • Leverages same XML database • Leverages same rules as web

• Has built in capabilities to have different acceptance rules for paper

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XML Facilitated Web Pattern Development at New York State Taxation and Finance

<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 within CM

XML within CM

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 • PureXML solution uses advanced indexing

XML Indexing

XML indexing highlights

• Allows for a many to one indexing scheme • Index fields can be added on fly • Supports optional index

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XML Facilitated Web Pattern Development at New York State Taxation and Finance

e-MPIRE R3 Returns Processing

e-MPIRE R3 Returns Processing

So u rce File (s ) M a p p in g Pre -Pro ce sso r

DEM M a p p in g

DEM Ta rg e t

Da ta File Co m b in e d File rsSo rt / Sp lit Da ta File sTa rg e t Cre a te /Up d a te L PTI Va lid a te

Exce p tio n s So rt Ta rg e t Da ta

File (s ) Da ta File sTa rg e t L o a d Re tu rn s to TERETURN Re trie ve Fo rm Da ta ( For RP a nd TA ) Re tu rn Va lid a tio n & Co m p u ta tio n TA Exce p tio n s P ro c e ss D a ta R e c o ve ry So u rce File (s )

File- level edits; Br eak file into ‘pieces’ (par ent / child) ; Som e custom developm ent

Pro ce ss Se rve r Co n tro l M a p p in g

WID To o l

DEM DEM

Tm p

JAVA / AIX JAVA / AIX

Tra n sla tio n XM L OR Exce p tio n s Bu sin e ss Co m p o n e n ts (fro m a n y o f th e se p ro ce sse s ) If n e e d e d 4 0 0 B Re ve n u e Acco u n tin g Bu sin e ss Co m p o n e n t( s)

TI Drive r L ia b ility Pe rio d Bu sin e ss Co m p o n e n ts

Oth e r Bu sin e ss Co m p o n e n ts

XM L OR

M u ltip le In sta n ce s o f Th e se Pro ce sse s Wo u ld Be Utilize d To En h a n ce Pe rfo rm a n ce M u ltip le In sta n ce s o f Th e se Pro ce sse s Wo u ld Be Utilize d To En h a n ce Pe rfo rm a n ce 4 1 0 B JAVA Ru le s En g in e JAVA / AIX Exce p tio n s Bu sin e ss Co m p o n e n ts (fro m a n y o f th e se p ro ce sse s ) If needed Filin g Va lid ity Bu sin e ss Co m p o n e n ts TI Drive r C r e a te T A Q u e u e TERETURN (M a in fra m e ) XM L / VIPER (AIX ) Sto re d a ta o n o r o ff p la tfo rm ? OR OR 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 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

DB2 V9 pureXML Persist CICS Invoke CICS Tx 1 Invoke CICS Tx 2 CICS

Transaction1 Transaction2CICS

CICS TransactionX

Invoke CICS Tx X

JCA Connector (AIX) CICS Transaction Gateway 6.1

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XML Facilitated Web Pattern Development at New York State Taxation and Finance

NY State Tax SOA Processing

• PIT (Personal Income Tax)

– 11M returns processed – Peak in April: 390,000+ per day

– Up to 14,500 different data elements for the filings (60% Electronic) – 6M Refunds ($4.9 B), direct deposit up 13.1%, checks down 6% – Electronic extensions up 160% (439,000)

• Corporate Tax

– IRS ELF Program – 2007 - 32,317, 2008 -193,977 – Peak month: 100,000 returns in April 2009 – Peak day: 20,000 returns

• Sales Tax

– 1Q2009 : 60,000 on the Web – 1Q2009 : 400,000 from partners

• Withholdings Tax

– 50,000 web filings of XML

• STAR Property Tax Rebate Application

(Tax Refund)

What

What

’

’

s next?

s next?

•

Convert other Subsystems (Domains) to XML

–

Simplify conversion

–

Map data structures closer to the business

–

Leverage the rules engine

•

Expand the use of web navigation with integration

into operational XML

•

Incorporate more XML enabled tools to speed

delivery and improve product

•

Leverage the XML data in new ways (AJAX, REST,

RIA)

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XML Facilitated Web Pattern Development at New York State Taxation and Finance