1. Emerging Technologies Committee eForms and XML at NYS Dept of Taxation and Finance Jim Lieb, Director – Common Services NYS Department of Taxation and Finance

2. Our eForms Roadmap Create single, integrated view of fomrs Business Value Information Management Evolution 2006-2007 Facilitate Delivery of filed XML data from external sources 2007-2008 End users interact directly with relevant tax data with XML data using Workplace Forms 2008- 2009 Information 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 Documents Web 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. 3 Corporation Tax Electronic Filing Business 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. 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 Business ProblemTechnological Solution Mapping XML to Legacy FormatBPEL transformations Web Service interactions with IRSWeb Services invoked from BPEL User Transcripts of XML dataeForms Quarterly schema changesXML DB User accessefroms 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. 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 to Internal Format Mapping ELF data elements to Internal Format

9. Corp Tax e-file BPEL

10. STAR Business ProblemTechnological Solution Mapping XML to Legacy FormatBPEL transformations Internal data entry and correctioneForms Web interfaceHTML to XML Data persistenceXML DB User accessefroms tied to Content Manager 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 Business ProblemTechnological Solution Mapping XML to Legacy FormatBPEL transformations Internal data entry and correctioneForms Web interfaceeForms Data persistenceXML DB User accessefroms tied to Content Manager Application Statistics Developed over 6 months, delivery 1 st Quarter 2008 Tied to authentication system (OnLine Tax Center) No database work required

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

15. Integrated Tax Systems

16. Our Solution

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

18. Returns Processing Data Design col1col2col3col4col5…col1000 134NULL11/23/05NULL … 276NULL Yes…NULL 12NULL 99.99NULL… 123.23NULL…No … 134 11/23/05 276 Yes

19. e-MPIRE R3 Phase I Business ProblemTechnological Solution Internal access of IRS Elf DataeForms Web interface to FilingeForms, CM Data persistenceXML DB User accessefroms tied to Content Manager Application Statistics Delivered 1 st Quarter 2008, Web 3 rd 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. e-MPIRE R3 Returns Processing 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 CICS Invoke CICS Tx 1 Invoke CICS Tx 2 CICS Transaction1 CICS Transaction2 CICS Transaction3 Invoke CICS Tx 3 JCA Connector (AIX) CICS Transaction Gateway 6.1 (z/OS) (parallelism not illustrated)

22. e-MPIRE R3 Phase II Business ProblemTechnological Solution Internal access of IRS Elf DataeForms Web interface to FilingeForms, CM Data persistenceXML DB User accessefroms tied to Content Manager Forms Processing and CorrectionBPEL, Rules Engine Exception ProcessingBPEL, 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

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

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

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