EP1279129A1 - Method for a network-based tax model framework - Google Patents
Method for a network-based tax model frameworkInfo
- Publication number
- EP1279129A1 EP1279129A1 EP01932717A EP01932717A EP1279129A1 EP 1279129 A1 EP1279129 A1 EP 1279129A1 EP 01932717 A EP01932717 A EP 01932717A EP 01932717 A EP01932717 A EP 01932717A EP 1279129 A1 EP1279129 A1 EP 1279129A1
- Authority
- EP
- European Patent Office
- Prior art keywords
- tax
- user
- ros
- customer
- network
- Prior art date
- Legal status (The legal status is an assumption and is not a legal conclusion. Google has not performed a legal analysis and makes no representation as to the accuracy of the status listed.)
- Ceased
Links
Classifications
-
- G—PHYSICS
- G06—COMPUTING; CALCULATING OR COUNTING
- G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
- G06Q40/00—Finance; Insurance; Tax strategies; Processing of corporate or income taxes
- G06Q40/02—Banking, e.g. interest calculation or account maintenance
Definitions
- the present invention relates to computer software and more particularly to tax-related software.
- the preparation of individual state and federal income tax returns is an annual occurrence of great importance to the individual taxpayer as well as to the federal government and the various state governments.
- a tax return preparer for the purpose of providing relevant tax information needed in the preparation of the tax return.
- this tax information is frequently provided to the tax preparer by mail or other form of delivery.
- the tax preparer typically first asks for and receives a copy of the individual's tax return for the previous year. This permits the tax preparer to solicit the relevant tax information for the current year in a form using a format specifically designed for the individual taxpayer.
- IRS United States Internal Revenue Service
- ACH United States' Treasury automated clearing house
- a method for a tax service framework First, a user is allowed access to a tax service server utilizing a network. Next, services are provided via the tax service server. Such services are selected from the group consisting of displaying mail to the user from a government entity, searching for a document of the user, and requesting a statement of an account of the user. Further, a tax form of the user is filed with the government entity utilizing the network. Still yet, the user is sent a receipt reflecting the filed tax form utilizing the network.
- FIG. 1 illustrates an overall conceptual diagram showing the various services provided by the present invention
- Figure 1 A is a flowchart illustrating a method for affording a network-based tax service database interface in accordance with one embodiment of the present invention
- Figure 2 illustrates a schematic diagram of an exemplary system architecture adapted for implementing the present invention
- Figure 3 is a diagram illustrating the database of the present invention.
- Figure 4 illustrates the interaction of the database of the present invention with other databases adapted to operate in conjunction therewith;
- Figure 5 is a schematic diagram of a hardware implementation of one embodiment of the present invention.
- Figure 6 is a flowchart illustrating an overall functional diagram for a tax service framework in accordance with one embodiment of the present invention.
- Figure 7 is an illustration of an interface including a security information icon during the installation of digital certificates
- Figure 8 is an illustration of an interface after the selection of a your certificates icon, and before importing during the installation of digital certificates as set forth hereinabove;
- Figure 9 is an illustration of an interface showing the selection of a your certificates icon after importing during the installation of digital certificates as set forth hereinabove;
- Figure 10 is a diagram illustrating an interface for providing various Internet options during use of the present invention.
- Figure 11 is a flowchart illustrating a method for securely accessing a network-based tax service in accordance with one embodiment of the present invention
- Figure 12 is a flowchart illustrating a method for affording network-based tax services in accordance with one embodiment of the present invention
- Figure 13 is a flowchart illustrating a method for filing a tax-related form in a network-based tax service environment
- Figure 14 is a flowchart illustrating a method for affording customer tax information services in accordance with one embodiment of the present invention
- Figure 15 is a flowchart illustrating a technique for tax form submittal verification in accordance with one embodiment of the present invention.
- Figure 16 is a flowchart illustrating a method for filing tax-related forms in a network-based tax service environment for multiple users in accordance with one embodiment of the present invention
- Figure 17 illustrates a diagram delineating the evolution of the present invention
- Figure 18 is a schematic diagram shows the current 'ROS System Map' for the proposed solution - i.e. the different web pages which comprise the proposed ROS front end and the links between them;
- Figure 18A illustrates a Customer Information Services Inbox page in accordance with one embodiment of the present invention
- Figure 18B is a flowchart illustrating a method for affording a network-based tax service database interface, as set forth in Figure 18A;
- Figure 19 illustrates an interface including the radio buttons used by ROS to allow a customer toggle between Euro and IR£ currencies
- Figure 20 illustrates the list of valid returns for a customer on the ROS services page
- Figure 21 illustrates the 'multiple registrations' page from the ROS system in accordance with one embodiment of the present invention
- Figure 22 shows an initial display of the VAT3 return page, with the information automatically completed by the ROS system
- Figure 23 illustrates an interface showing how error messages are displayed using the P35 return page from the ROS system
- Figure 24 shows an interface including a 'PRN receipt' page for ROS.
- ROS enables customers to print completed return forms locally;
- Figure 25 illustrates a 'final confirmation' page from the ROS system in accordance with one embodiment of the present invention
- Figure 26 shows the 'PRN receipt' page for ROS in accordance with one embodiment of the present invention
- Figure 27 illustrates the ROS Java applet for batch submission of P45 returns created by the downloaded ROS return form in accordance with one embodiment of the present invention
- Figure 28 illustrates an interface showing how batch error messages are displayed using the example of a batch of P45 returns in accordance with one embodiment of the present invention
- Figure 29 outlines the three types of correspondence supported by CIS in Phase 1 in accordance with one embodiment of the present invention.
- FIG. 30 illustrates Outline ROS Database Interfaces.
- the ROS database holds the data extracted from core processing systems in one integrated database in accordance with one embodiment of the present invention
- Figure 31 illustrates Phase 1 Existing System Update Interfaces in accordance with one embodiment of the present invention
- Figure 32 illustrates an outline of all the ROS interfaces to the core processing systems in accordance with one embodiment of the present invention
- Figure 33 illustrates a constituent model showing the manner in which the present invention may be based on relationships
- Figure 34 illustrates the various activities associated with the operation of the present invention, as carried out by the entities of Figure 33;
- Figure 35 illustrates a Form FR-800M for sales tax reporting services in the United States
- Figure 36 is an illustration of the Washington DC Individual Income Tax Form D-40;
- Figure 37 is an illustration of the Washington DC Individual Income Tax Form D-2D
- Figure 38 is a schematic diagram laying out the basic model for the present invention.
- Figure 39 is a schematic illustrating the model in which the present invention integrates tax services with business-to-business enterprises.
- Figure 1 illustrates an overall conceptual diagram showing the various services 100 provided by the present invention.
- the present invention provides a comprehensive solution for Revenue Agencies planning to go online.
- Revenue Agencies may refer to any private and/or public collection agencies including, but not limited to the JRS, Revenue (Irish tax collection establishment), etc.
- the present invention is a network-based solution, thus offering Revenue On-line Services (ROS).
- ROS Revenue On-line Services
- the database of the present invention is separate and distinct from the core tax processing databases.
- the solution can be supported by any browser that supports digital certificates (e.g. Netscape Communicator 4.0 and beyond, Internet Explorer version 4.0 and beyond).
- the system itself is built using platform independent components. This solution may be based on either a Unix or NT environment.
- the entire technical architecture has been designed to enable the solution to adopt new technology as internet technology evolves.
- the online solution makes use of leading edge technology in the form of Java Server Pages, Enterprise Java Beans and Digital Signature Applets written in Java. Scalable.
- the solution of the present invention is designed with scalability in mind.
- the application server that was chosen is an industrial strength application server for high volume transaction processing websites.
- the present invention is a comprehensive solution for Revenue Agencies who want to provide services on-line to their customers.
- the present invention is essentially a pre-built solution which includes:
- the entire environment is secure. Access to the site is via digital certificate and password. A full audit trail is retained of all transactions on the system.
- Agents can complete multiple forms offline and then submit all of these returns in one batch upload
- the site supports customers with multiple registrations for a single tax
- the present invention supports Revenue authorities wishing to issue correspondence to customers electronically
- the user may access a copy of the returns submitted to the Revenue Agency Users can submit a request for a Statement of Account
- FIG. 1A is a flowchart illustrating a method 150 for affording a network-based tax service database interface in accordance with one embodiment of the present invention.
- tax-related forms are first retrieved in a database.
- the retrieved tax-related forms are formatted, and the formatted tax-related forms are sent to a governmental entity.
- Note operation 156 Such formatting is based on rules associated with the governmental entity.
- Figure 2 illustrates a schematic diagram of an exemplary system architecture 200 adapted for implementing the present invention.
- the present invention has been developed to be accessible from a broad range of technical platforms at the client level.
- the system itself can run on either Unix or NT.
- Pages are displayed on the client machine using HTML.
- HTML HyperText Markup Language
- Adobe Acrobat Reader is used to view documents in the .pdf format received from existing Revenue processing systems. No plug-ins are required to use the present invention.
- the present invention offers customers the facility to complete returns offline.
- the offline applications are written in Java to allow for platform independence.
- a custom security function has been developed to secure transmission of the data via a Java applet to the backend server of the present invention.
- Each file being uploaded from the Java applet is digitally signed.
- J-PKI PLUS is used to attach the digital signature. This feature ensures the security of returns whether they are entered online or offline.
- the technical architecture of the present invention has been designed to enable the solution to evolve as Internet technology evolves.
- the main components of the Server architecture are: Web Server 202 Firewall 204 Java Server Pages 206 Application Server 208 Enterprise Java Beans (EJBs) 210
- the present invention has been built using Java technology. This enables the server to be deployed on many different platforms.
- the application code of the present invention has been developed using HTML, Java Server Pages (JSPs) and Enterprise Java Beans (EJBs) running on BEA's Weblogic server.
- Weblogic server is an industrial strength web application server for high volume transaction processing websites (e.g. Amazon.com, eTrade, eSchwab, etc.).
- the system of the present invention is built to operate with Oracle and Ingres databases using JDBC drivers.
- Weblogic' s application server underpins the scalability of the present invention.
- Weblogic has a proven capacity to run on clustered configuration. It includes built-in load balancing features to support peak processing requirements.
- the present invention currently may operate using a Consulting Test Certificate Authority. However, the present invention may operate with any approved certification authority, offering the industry standard X509 certificates.
- the database of the present invention is separate and distinct from the core Revenue processing. It receives regular update via batch interfaces from the existing systems. Extracts of returns and payment details are interfaced back for processing by the core processing systems on a regular basis.
- the extract from the present invention to the existing systems contains both returns details and payment details.
- the extract specifically formats the payment and return data to match the normal input formats for the payments and returns reception systems in existing Revenue Agency systems.
- the application level security for the present invention includes the following:
- Authentication Ensuring the customer is who they say they are, both client and server via digital certificates.
- Encryption Only the customer and the Revenue Agency have access to confidential information via SSL encryption. Integrity: The information received by the present invention or the customer originated from the place declared, is unaltered and has arrived unaltered via digital signatures.
- the present invention is straight-forward to implement. Implementation requires three streams of work:
- the streams may be developed in parallel.
- Forms Definition This is the customization of the online HTML return forms and the offline forms defined in Java applications. For simple forms this customization may be done in days. For complex (e.g. individual income tax) the process is more involved as design effort is required to ensure an appropriate level of usability.
- the incoming interfaces can be divided into registration type data and basic compliance data.
- the data of the present invention is held on normalized data tables. The mapping process is therefore clear and easily understood.
- the incoming interfaces can be satisfied through straightforward extracts from the existing tax systems.
- Outgoing Interfaces The return data captured by the present invention and the associated payment data are extracted from the present invention in a format compatible with the returns and payments input files currently in operation at the Revenue site.
- Figure 3 is a diagram illustrating the database 300 of the present invention.
- the design follows the well established integrated approach of integrated taxation processing solutions. However, the data required to actually support the implementation is limited to registration and compliance information.
- the tables 302 to be populated are as follows:
- TBRela specifies the relationships between customers and agents of customers
- TBBnkdtl specifies the bank details for payment TBAcper - contains details of which period has filed
- TBForms and TBMis hold the returns data captured from the system.
- TBSoareq holds requests that customers can make online in the present invention for particular documents to be issued.
- TBDigilin links ti customers digital certificate with the database.
- the database table TBDigilin is in practice held on a separate database from the remaining tax processing tables.
- Figure 4 illustrates the interaction of the database of the present invention with other databases adapted to operate in conjunction therewith.
- the database 400 is separate and distinct from the core Revenue processing systems 402. It receives regular updates via batch interfaces from the existing systems. Extracts of returns and payments details are interfaced back for processing by the core processing systems on a regular (typically nightly) basis.
- the interfaces to and from the present invention are outlined below.
- the key interfaces from the existing tax processing systems to the present invention are a nightly update of registration details and compliance and returns issue activity.
- the existing processing systems may also populate the database with documents they wish their online customers to view. When such documents are transmitted to the present invention, an email is automatically issued to the customer specifying that a document has been posted to their account in the present invention.
- the extract from the present invention to the existing systems contains both returns details and payment details.
- the extract specifically formats the payment and return data to match the normal input formats for the payments and returns reception systems in the existing Revenue Agency systems.
- the application level security for the present invention includes the following: Authentication: Ensuring the customers are who they say they are, both client and server via digital certificates.
- Integrity The information received by the present invention or the customer originated from the place declared, is unaltered and arrives unaltered via digital signatures.
- FIG. 5 A preferred embodiment of the personal computer 214 of Figure 2 is depicted in Figure 5, which illustrates a typical hardware configuration of a workstation in accordance with a preferred embodiment having a central processing unit 510, such as a microprocessor, and a number of other units interconnected via a system bus 512.
- a central processing unit 510 such as a microprocessor
- the workstation shown in Figure 5 includes a Random Access Memory (RAM) 514, Read Only Memory (ROM) 516, an I/O adapter 518 for connecting peripheral devices such as disk storage units 520 to the bus 512, a user interface adapter 522 for connecting a keyboard 524, a mouse 526, a speaker 528, a microphone 532, and/or other user interface devices such as a touch screen (not shown) to the bus 112, communication adapter 534 for connecting the workstation to a communication network (e.g., a data processing network) and a display adapter 536 for connecting the bus 512 to a display device 538.
- RAM Random Access Memory
- ROM Read Only Memory
- I/O adapter 518 for connecting peripheral devices such as disk storage units 520 to the bus 512
- a user interface adapter 522 for connecting a keyboard 524, a mouse 526, a speaker 528, a microphone 532, and/or other user interface devices such as a touch screen (not shown) to the bus 112
- the workstation typically has resident thereon an operating system such as the Microsoft Windows NT or Windows/95 Operating System (OS), the IBM OS/2 operating system, the MAC OS, or UNLX operating system.
- OS Microsoft Windows NT or Windows/95 Operating System
- IBM OS/2 operating system the IBM OS/2 operating system
- MAC OS the MAC OS
- UNLX operating system the Microsoft Windows NT or Windows/95 Operating System
- Those skilled in the art will appreciate that the present invention may also be implemented on platforms and operating systems other than those mentioned.
- OOP object oriented programming
- a preferred embodiment is written using JAVA, C, and the C++ language and utilizes object oriented programming methodology.
- Object oriented programming (OOP) has become increasingly used to develop complex applications.
- OOP moves toward the mainstream of software design and development, various software solutions require adaptation to make use of the benefits of OOP.
- OOP is a process of developing computer software using objects, including the steps of analyzing the problem, designing the system, and constructing the program.
- An object is a software package that contains both data and a collection of related structures and procedures.
- OOP Since it contains both data and a collection of structures and procedures, it can be visualized as a self-sufficient component that does not require other additional structures, procedures or data to perform its specific task. OOP, therefore, views a computer program as a collection of largely autonomous components, called objects, each of which is responsible for a specific task. This concept of packaging data, structures, and procedures together in one component or module is called encapsulation.
- OOP components are reusable software modules which present an interface that conforms to an object model and which are accessed at run-time through a component integration architecture.
- a component integration architecture is a set of architecture mechanisms which allow software modules in different process spaces to utilize each others capabilities or functions. This is generally done by assuming a common component object model on which to build the architecture. It is worthwhile to differentiate between an object and a class of objects at this point.
- An object is a single instance of the class of objects, which is often just called a class.
- a class of objects can be viewed as a blueprint, from which many objects can be formed. OOP allows the programmer to create an object that is a part of another object.
- the object representing a piston engine is said to have a composition-relationship with the object representing a piston.
- a piston engine comprises a piston, valves and many other components; the fact that a piston is an element of a piston engine can be logically and semantically represented in OOP by two objects.
- OOP also allows creation of an object that "depends from” another object. If there are two objects, one representing a piston engine and the other representing a piston engine wherein the piston is made of ceramic, then the relationship between the two objects is not that of composition.
- a ceramic piston engine does not make up a piston engine. Rather it is merely one kind of piston engine that has one more limitation than the piston engine; its piston is made of ceramic.
- the object representing the ceramic piston engine is called a derived object, and it inherits all of the aspects of the object representing the piston engine and adds further limitation or detail to it.
- the object representing the ceramic piston engine "depends from" the object representing the piston engine. The relationship between these objects is called inheritance.
- the object or class representing the ceramic piston engine inherits all of the aspects of the objects representing the piston engine, it inherits the thermal characteristics of a standard piston defined in the piston engine class.
- the ceramic piston engine object overrides these ceramic specific thermal characteristics, which are typically different from those associated with a metal piston. It skips over the original and uses new functions related to ceramic pistons.
- Different kinds of piston engines have different characteristics, but may have the same underlying functions associated with it (e.g., how many pistons in the engine, ignition sequences, lubrication, etc.).
- a programmer would call the same functions with the same names, but each type of piston engine may have different/overriding implementations of functions behind the same name. This ability to hide different implementations of a function behind the same name is called polymorphism and it greatly simplifies communication among objects.
- an object can represent just about anything in the real world.
- ewone's logical perception of the reality is the only limit on determining the kinds of things that can become objects in object-oriented software.
- Some typical categories are as follows: Objects can represent physical objects, such as automobiles in a traffic-flow simulation, electrical components in a circuit-design program, countries in an economics model, or aircraft in an air-traff ⁇ c-control system.
- Objects can represent elements of the computer-user environment such as windows, menus or graphics objects.
- An object can represent an inventory, such as a personnel file or a table of the latitudes and longitudes of cities.
- An object can represent user-defined data types such as time, angles, and complex numbers, or points on the plane.
- OOP allows the software developer to design and implement a computer program that is a model of some aspects of reality, whether that reality is a physical entity, a process, a system, or a composition of matter. Since the object can represent anything, the software developer can create an object which can be used as a component in a larger software project in the future.
- OOP enables software developers to build objects out of other, previously built objects.
- C++ is an OOP language that offers a fast, machine-executable code.
- C++ is suitable for both commercial-application and systems-programming projects.
- C++ appears to be the most popular choice among many OOP programmers, but there is a host of other OOP languages, such as Smalltalk, Common Lisp Object System (CLOS), and Eiffel. Additionally, OOP capabilities are being added to more traditional popular computer programming languages such as Pascal.
- Class libraries are very flexible. As programs grow more complex, more programmers are forced to adopt basic solutions to basic problems over and over again.
- a relatively new extension of the class library concept is to have a framework of class libraries. This framework is more complex and consists of significant collections of collaborating classes that capture both the small scale patterns and major mechanisms that implement the common requirements and design in a specific application domain. They were first developed to free application programmers from the chores involved in displaying menus, windows, dialog boxes, and other standard user interface elements for personal computers.
- Frameworks also represent a change in the way programmers think about the interaction between the code they write and code written by others.
- the programmer called libraries provided by the operating system to perform certain tasks, but basically the program executed down the page from start to finish, and the programmer was solely responsible for the flow of control. This was appropriate for printing out paychecks, calculating a mathematical table, or solving other problems with a program that executed in just one way.
- Application frameworks reduce the total amount of code that a programmer has to write from scratch.
- the framework is really a generic application that displays windows, supports copy and paste, and so on, the programmer can also relinquish control to a greater degree than event loop programs permit.
- the framework code takes care of almost all event handling and flow of control, and the programmer's code is called only when the framework needs it (e.g., to create or manipulate a proprietary data structure).
- a programmer writing a framework program not only relinquishes control to the user (as is also true for event loop programs), but also relinquishes the detailed flow of control within the program to the framework. This approach allows the creation of more complex systems that work together in interesting ways, as opposed to isolated programs, having custom code, being created over and over again for similar problems.
- a framework basically is a collection of cooperating classes that make up a reusable design solution for a given problem domain. It typically includes objects that provide default behavior (e.g., for menus and windows), and programmers use it by inheriting some of that default behavior and overriding other behavior so that the framework calls application code at the appropriate times.
- default behavior e.g., for menus and windows
- Class libraries are essentially collections of behaviors that you can call when you want those individual behaviors in the program.
- a framework provides not only behavior but also the protocol or set of rules that govern the ways in which behaviors can be combined, including rules for what a programmer is supposed to provide versus what the framework provides.
- • Call versus override With a class library, the code the programmer instantiates objects and calls their member functions. It's possible to instantiate and call objects in the same way with a framework (i.e., to treat the framework as a class library), but to take full advantage of a framework's reusable design, a programmer typically writes code that overrides and is called by the framework.
- the framework manages the flow of control among its objects. Writing a program involves dividing responsibilities among the various pieces of software that are called by the framework rather than specifying how the different pieces should work together.
- a framework embodies the way a family of related programs or pieces of software work. It represents a generic design solution that can be adapted to a variety of specific problems in a given domain. For example, a single framework can embody the way a user interface works, even though two different user interfaces created with the same framework might solve quite different interface problems.
- a preferred embodiment of the invention utilizes HyperText Markup Language (HTML) to implement documents on the Internet together with a general-purpose secure communication protocol for a transport medium between the client and the Newco. HTTP or other protocols could be readily substituted for HTML without undue experimentation.
- HTML HyperText Markup Language
- Information on these products is available in T. Berners-Lee, D. Connoly, "RFC 1866: Hypertext Markup Language - 2.0" (Nov. 1995); and R. Fielding, H, Frystyk, T. Berners-Lee, J. Gettys and J.C.
- HTML Hypertext Transfer Protocol ⁇ HTTP/1.1 : HTTP Working Group Internet Draft
- HTML documents are SGML documents with generic semantics that are appropriate for representing information from a wide range of domains. HTML has been in use by the World-Wide Web global information initiative since 1990. HTML is an application of ISO Standard 8879; 1986 Information Processing Text and Office Systems; Standard Generalized Markup Language (SGML). To ' date, Web development tools have been limited in their ability to create dynamic Web applications which span from client to server and interoperate with existing computing resources. Until recently, HTML has been the dominant technology used in development of Web-based solutions. However, HTML has proven to be inadequate in the following areas:
- UI User Interface
- Custom “widgets” e.g., real-time stock tickers, animated icons, etc.
- client-side performance is improved.
- Java supports the notion of client-side validation, offloading appropriate processing onto the client for improved performance.
- Dynamic, real-time Web pages can be created. Using the above-mentioned custom UI components, dynamic Web pages can also be created.
- Sun's Java language has emerged as an industry-recognized language for "programming the Internet.”
- Sun defines Java as: "a simple, object-oriented, distributed, interpreted, robust, secure, architecture-neutral, portable, high-performance, multithreaded, dynamic, buzzword- compliant, general-purpose programming language.
- Java supports programming for the Internet in the form of platform-independent Java applets.”
- Java applets are small, specialized applications that comply with Sun's Java Application Programming Interface (API) allowing developers to add "interactive content" to Web documents (e.g., simple animations, page adornments, basic games, etc.). Applets execute within a Java-compatible browser (e.g., Netscape Navigator) by copying code from the server to client.
- Java's core feature set is based on C++.
- Sun's Java literature states that Java is basically, "C++ with extensions from Objective C for more dynamic method resolution.” Another technology that provides similar function to JAVA is provided by Microsoft and
- ActiveX Technologies to give developers and Web designers wherewithal to build dynamic content for the Internet and personal computers.
- ActiveX includes tools for developing animation, 3-D virtual reality, video and other multimedia content.
- the tools use Internet standards, work on multiple platforms, and are being supported by over 100 companies.
- the group's building blocks are called ActiveX Controls, small, fast components that enable developers to embed parts of software in hypertext markup language (HTML) pages.
- HTML hypertext markup language
- ActiveX Controls work with a variety of programming languages including Microsoft Visual C++, Borland Delphi, Microsoft Visual Basic programming system and, in the future,
- ActiveX Technologies also includes ActiveX Server Framework, allowing developers to create server applications.
- ActiveX could be substituted for JAVA without undue experimentation to practice the invention.
- Figure 6 is a flowchart illustrating an overall functional diagram for a tax service framework
- a user is allowed access to a tax service server utilizing a network.
- services are provided via the tax service server in operation 604.
- Such services are selected from the group consisting of displaying mail to the user from a government entity, searching for a document of the user, and requesting a statement of an account of the user.
- a tax form of the user is filed with the government entity utilizing the network.
- the user is sent a receipt reflecting the filed tax form utilizing the network. Note operation 608.
- the present invention relies upon digital certificates in order to provide security during operating in accordance with the method set forth in Figure 6. Installation of digital certificates will now be set forth. One may be provided with a two digital certificates. These certificates are based on the scenarios that are outlined in this guide. The certificates have been generated by a Certificate Authority for the purposes of the development and testing of the present invention.
- Set two is labeled with scenario names with the number 2 after the name and so on.
- the present invention runs on browsers supporting digital certificates including:
- the browser may be Netscape Communicator 4.x or above.
- Figure 7 is an illustration of an interface 700 including a security information icon 702 which may be selected during the installation of digital certificates as set forth hereinabove.
- FIG. 8 is an illustration of an interface 800 after the selection of a your certificates icon 704, and before importing during the installation of digital certificates as set forth hereinabove. As indicated, a pop-up window 802 is displayed for providing access to certificates 804 of a user.
- Figure 9 is an illustration of an interface 900 showing the selection of a your certificates icon
- Icons include a view icon 904, a verify icon 906, a delete icon 908, an export icon 910, a get certificate icon 912, and an import certificate icon 914.
- a user may click the import certificate icon 914, browse to the drive and click on the certificate that one wants to import. Provide the 'Browser password' (this password is a choice) on request and the 'Certificate password' (this password is 'easytax') when prompted.
- the browser may be version 4.01 (or above).
- Figure 10 is a diagram illustrating an interface 1000 for providing various Internet options 1002 during use of the present invention.
- case scenarios may be set forth illustrating examples of use of the present invention. It should be noted that the governmental entity set forth in the following case scenarios assumes an Irish tax system. The present invention, however, may encompass any type of tax system.
- follow case scenarios are intended to guide the user through the key functionality of the present invention.
- the following description is divided into two scenarios, each focusing on different areas within the site, depending on the type of user profiled in the scenario.
- the user profile and current status table at the beginning of each scenario is for background illustrative purposes, for example, occasional System user or Tax Agent, who may both seek to perform different tasks within the present invention.
- Scenario #1 John Smith
- the present description includes six scenarios, which are based on several cases of typical System users. These cases fall into the categories of occasional users, business users, Tax Agents and Revenue staff. A registered Revenue On-Line Customer, an occasional user filing two bi-monthly VAT 3 forms on-line and subsequently viewing the items updated in the Customer Information Service.
- the Agent may:
- a first time user of the Easytax System will need to perform this action in order to register the Certificate Authority used by Revenue with the Browser. If the user does not perform this action he/she may receive a warning that the Digital Certificate is not recognized by the system and may be unable to digitally sign a return.
- This Login step is for tender evaluation
- John Smith a registered occasional user of the instant service wishes to file two bi-monthly VAT 3 forms on-line and subsequently view the items updated in the Customer Information Service.
- John has obtained his valid digital certificate from the third party Certification Authority which contains his unique identifier. He is granted access to the present invention upon validation of the digital certificate and password as he attempts to enter the Online Services section.
- John has registered to file his form VAT 3 in Euros, however he now wishes to file in Irish Punts.
- John wishes to file one bi-monthly form VAT3 with a net payable, attach a digital signature to the return and submit it to Revenue. He also wishes to print this submitted return and receive a receipt of payment.
- the following table is a summary of the current status of the scenario individual with full Revenue details and personal profile. This table may be included in all scenarios for each Revenue Customer).
- FIG. 11 is a flowchart illustrating a method 1100 for securely accessing a network-based tax service in accordance with one embodiment of the present invention.
- a request is received from a user to log onto a tax service server utilizing a network.
- the user is prompted for a digital certificate and a password in response to the request.
- the digital certificate and the password are received from the user utilizing the network.
- the digital certificate is stored on a local computer of the user.
- the received digital certificate is subsequently validated with a third party utilizing the network, as indicated in operation 1108.
- the user is allowed access to the tax service server upon the successful validation of the received digital certificate.
- the user may be allowed to change the digital certificate by logging the user off of the tax service server. Further, it may be determined whether the user has previously been allowed access to the tax service server. If it is determined that the user has not previously been allowed access to the tax service server, the user may be required to download a plurality of files. Such files may permit the creation of the digital certificate.
- the tax service server may provide tax information, frequently asked questions, security information, a demonstration, and contact information.
- the network may include the Internet.
- This step introduces the Home Page of the present invention and demonstrates how a user securely enters Online Services with digital certificate validation.
- a valid Digital Certificate may be held by the user and stored in his/her hard drive or on a floppy disk.
- the user may click on the link below the tax table to download the files required to create digital signatures.
- the user may click on the link provided in the Home page of the present invention.
- Figure 12 is a flowchart illustrating a method 1200 for affording network-based tax services.
- a request is received from a user to access a tax service server utilizing a network.
- a user is allowed access to the tax service server utilizing the network after a validation process.
- An identity of the user is then determined based on the request and/or the validation process in operation 1206.
- a plurality of forms with fields are displayed utilizing the network. At least a portion of the fields are filled based on the identity of the user.
- Additional data is subsequently received from the user in operation 1210 for filling the fields utilizing the network.
- a tax amount is calculated based on the received data and business rules.
- the tax amount is displayed utilizing the network.
- the business rules may be based on governmental tax codes.
- a request may be sent to a third party financial entity to transfer funds utilizing a network.
- the user may also be prompted to enter a quantity of the tax amount to be paid, wherein the transferred funds equal the entered quantity.
- a receipt may be received utilizing the network in response to the transfer of funds.
- Figure 13 is a flowchart illustrating a method 1300 for filing a tax-related form in a network- based tax service environment.
- access is permitted to a tax service server in response to receiving a request from a user.
- an identity of the user is determined based on the request.
- a plurality of forms with fields are displayed utilizing the network, where at least a portion of the fields are filled based on the identity of the user.
- Note operation 1306 Utilizing the network, data is received from the user for filling the fields. See operation 1308.
- the forms are sent to a third party government entity utilizing the network.
- a request may be sent to a third party financial entity to transfer funds utilizing a network.
- the user may also be prompted to enter a quantity of the tax amount to be paid. Such transferred funds equal the entered quantity.
- the identity of the user is validated using a digital certificate.
- a digital certificate may be stored on a computer of the user.
- Figure 14 is a flowchart illustrating a method 1400 for affording customer tax information services.
- a request is received from a user utilizing a network. Such request is for viewing previous transactions involving the payment of taxes.
- An identity of the user is then validated using a digital certificate utilizing the network in operation 1404.
- a database including a plurality of transactions is queried based on the request. Results of the query are subsequently displayed utilizing the network. See operation 1408.
- the results of the query may be organized as a function of a date associated therewith. Further, only the results having a recent date associated therewith may be displayed. Still yet, the request may include information on a specific form filed with a third party governmental entity. In another aspect of the present invention, the results may include verification of receipt of forms filed with a third party governmental entity. Optionally, the results may not be altered.
- John wishes to view his latest transactions with Revenue which can be done through the use of the Customer Information Service. John wishes to perform the following functions within CIS:
- VAT 3 for this period is a Net Repayable and John may be given the option to enter new Bank Account details.
- Figure 15 is a flowchart illustrating a technique 1500 for tax form submittal verification in accordance with one embodiment of the present invention.
- a tax form of a user is sent to a third party government entity utilizing a network.
- a record of the sent tax form is stored in a database.
- a request for the record is received from the user utilizing the network. See operation 1506.
- An identity of the user is then authenticated utilizing the network, as indicated in operation 1508.
- the record is sent to the user utilizing the network. See operation 1510.
- the record may be formatted for being printed by the user. Further, a notification relating to the record may be sent to a mail server of the user utilizing the network. Still yet, the identity of the user may authenticated using a digital certificate. Such digital certificate may be stored on a computer of the user.
- An additional feature to be included is a function for a user to attach their digital signature to a visible text file containing their tax return data. Attaching a user's digital certificate within an encrypted message containing the tax return enables a tax authority to conclusively prove that the data contained within a message received from the user is actually from that user (i.e. the tax return cannot be repudiated).
- the systems also provide for capturing matching payment instruction for a return. The payment instructs the Revenue to deduct money directly from a user's nominated bank account.
- Figure 16 is a flowchart illustrating a method 1600 for filing tax-related forms in a network-based tax service environment for multiple users in accordance with one embodiment of the present invention.
- a tax practitioner is permitted to select one of a plurality of clients for the purpose of filing tax-related forms.
- a tax practitioner identifier associated with the tax practitioner is received from the tax practitioner utilizing a network. It is further verified whether the tax practitioner is authorized to file tax-related forms for the selected client. See operation 1606.
- Information associated with the selected client is then displayed utilizing the network upon the successful verification that the tax practitioner is authorized to file tax-related forms for the selected client, as indicated in operation 1608.
- the clients are displayed for allowing the selection thereof.
- Such displayed clients may be each selected by clicking on a name thereof.
- an identity of the tax practitioner may be authenticated using a digital certificate.
- the tax practitioner may be allowed to file tax-related forms upon successful authentication of the digital certificate, and the successful verification that the tax practitioner is authorized to file tax-related forms for the selected client.
- a client identifier i.e. registration number, associated with the selected client may be received from the tax practitioner utilizing the network. Such client identifier may be used for verification purposes.
- Ari exemplary implementation of the foregoing concept will now be set forth in the context of the Irish Tax Revenue Office. It should be noted, however, that the present invention may be implemented in the context of any revenue generating system.
- Mark Morrison is a Registered Tax Agent working in a small practice. He regularly files returns on behalf of the following 6 clients for the tax heads specified below.
- This step introduces the Home Page of the present invention and demonstrates how a user securely enters Revenue On-Line Services with digital Certificate validation.
- a valid digital certificate may be held by the user and stored in his/her hard drive or on floppy disk.
- the user may click on the link below the tax table to download the files required to create digital signatures.
- the user may click on the link provided in the Home page of the present invention.
- Mark selects the client he wishes to act on behalf of within the secure system by clicking on the name. Initially, Mark wishes to enter the system on behalf of Mary Drury.
- This step demonstrates the services available to Mark Morrison within the secure site of the present invention, while he is acting on behalf of Mary Drury. Mary's personal details appear at the top of the page, (e.g. Name, VAT Registration Number) as well as the name of the Tax Agent.
- Mark wishes to file a P30 on behalf of Mary Drury.
- Mark selects the client he wishes to act on behalf of within the secure instant system by clicking on the name. Mark wishes to enter the instant system on behalf of Brian O 'Connor.
- This step demonstrates the Online Services available to Mark Morrison within the secure site, while he is acting on behalf of Brian O'Connor.
- Brian's personal details appear at the top of the page, e.g. Name, VAT Registration Number.
- the main page lists all the returns for which Brian O'Connor is registered to file for. Mark wishes to file an amended P35 on behalf of Brian O'Connor.
- Mark wishes to file an amended return P35 for the return of year ended 1999. However, because a return has already been filed for this period, the Agent is not given the opportunity to file another return for the same period. He may file it as a 'Duplicate' return.
- the proposed ROS system is based on a solution customized to meet Revenue's specific ROS requirements.
- the present invention is a comprehensive solution for Revenue Agencies who want to provide services on-line to their customers.
- the present invention is essentially a pre-built solution which includes:
- the present invention was built to provide Revenue Agencies with a comprehensive off the shelf on-line system.
- the present invention recognizes the importance of speed to many Revenue Agencies implementing on-line services.
- the system has been specifically designed to enable Revenue Agencies to rapidly go on-line. It is also designed to enable easy interfacing with the existing systemsOn-line services are of strategic importance to Revenue Agencies.
- the instant architecture is built using the current 'best of breed' components. However, it has been specifically designed to cater for the continuing evolution of internet technologies. The design supports the easy replacement of individual components of the architecture as required.
- Figure 17 illustrates a diagram delineating the evolution 1700 of the present invention.
- the core principles 1702 of the present invention have been developed to support Revenue's specific requirements based on the understanding of these requirements as specified in the ROS RFT.
- Customization 1704 may be avoided where there are fundamental usability design issues that require an input (e.g. VAT RTD, P35L and the employee access control system).
- the proposed solution comprehensively addresses the functional requirements
- the ROS system proposed is a comprehensive solution for both customers and agents wishing to conduct business with Revenue on-line. Customers and their agents may file returns, make payments on-line by direct debit and avail of a comprehensive on-line customer information service.
- Figure 18 is a schematic diagram shows the current 'ROS System Map' 1800 for the proposed solution - i.e. the different web pages which comprise the proposed ROS front end and the links between them.
- the map identifies those components that are available now for evaluation. It also outlines where the remaining option parts of the solution fit.
- ROS Resource-to-Retrietrachlorose
- the proposed ROS solution is secure. Access to ROS services on the ROS site is by means of digital certificate only. Messages are fully encrypted.
- the ROS database is separate and distinct from the core tax processing databases. A full audit trail is retained of transactions on the system.
- Pages are displayed on the client side using HTML.
- the use of this well proven technology minimizes the potential customer support overhead for the on-line system.
- the .pdf format is used for documents received from the existing Revenue processing systems.
- the .pdf format is readable using Adobe Acrobat Reader.
- Adobe Acrobat Reader comes as standard on the typical computer.
- the Adobe Acrobat Reader is also available free on the web.
- the Baltimore toolkit, J/PKI-Plus is used to attach the customer's digital signature to returns being filed. This feature ensures the security of returns whether they are entered online or off-line.
- BEA WebLogic Server is an application server.
- Application servers are deployed by businesses critical, transaction based services on the web.
- the application server provides scalability and high availability.
- the application server distributes application processing across a cluster of servers to ensure optimal resource utilization and to support failover.
- the application server also minimizes the number of connections required to the database by sharing connections across multiple services.
- the application may be dynamically scaled (i.e. CPU's may be added to the hardware configuration without impacting the application code).
- the application server automatically balances the processing load across the available cluster.
- the ROS Enterprise Java Beans (EJBs) are currently coded to operate with both Oracle and Ingres databases using JDBC drivers.
- Revenue may opt to use an alternative application server product. Assuming the application server supports EJBs, the effort required to replace the WebLogic Server is not significant. However, should the chosen server not support EJB technology, re- work may be used to integrate the components of the new architecture and to re- write the application code that has been pre-built.
- WebLogic Server was selected as the application server for the present invention because of it's capability to scale and the fact that it is the only application server currently available with a proven ability to operate in a clustered environment.
- a clustered configuration is typically used for critical transaction based systems such as ROS.
- WebLogic Server unlike some other application servers, does not restrict the choice of webserver.
- the ROS technical architecture is designed to be flexible - it does not prescribe for Revenue the particular architecture components which may be used.
- Different architecture components may be easily 'plugged in' or 'plugged out'.
- the return filing components currently operating in HTML, may be easily replaced with custom form software (e.g. Jetforms or UWI) if such customization is required.
- custom form software e.g. Jetforms or UWI
- the system itself is built using platform independent components. This solution may be based on either a UNIX or an NT environment.
- the ROS solution does not impose restrictions on the choice of web server or the firewall.
- WebLogic server has a proven capability to support high volume processing. It is an industrial strength application server for high volume transaction processing websites (e.g. Amazon.com, Schwab.com, etc.). It includes built-in load balancing features to support peak processing requirements.
- the WebLogic application server underpins the reliability of the proposed ROS solution based on the present invention.
- WebLogic unlike other web servers runs on a clustered configuration. This makes it possible to build redundancy into the technical architecture, effectively preventing unscheduled downtime.
- the ROS system has been built to make interfacing easy.
- the ROS database is designed to be consistent with the well established integrated approach of Revenue's ITP database.
- the database is, however, separate and distinct from the core Revenue processing systems.
- ITP code may be re-used for ROS services, cutting down the development and maintenance requirements.
- the key interface from the existing tax processing systems to ROS is a regular (typically nightly) update.
- the interfaces for ROS may be built in 2 phases in line with overall project plan.
- Phase 1 interfaces to ROS are customer registration details and returns issue activity.
- the phase 1 interfaces also include documents requested by customers using ROS and outputs automatically issued for ROS Customer Information Services (CIS).
- CIS Customer Information Services
- Phase 2 interfaces to ROS include additional financial information to support the enhanced CIS available in Phase 2.
- FIG. 18A illustrates a Customer Information Services Inbox page 1800 in accordance with one embodiment of the present invention.
- the screen may be personalized for each user and will follow the standard template used for all pages.
- the customer name is retrieved as a variable from the session and displayed at the top of the page.
- the customer number 1802 may also be displayed in the page banner and this too may be retrieved from the session.
- the page displays how many new items 1804 the user has in their Inbox. Below this the new items are displayed and sorted according to date of issue, with the most recent first. The contents of the Inbox are displayed in the following format: Processing Receipt Number, Tax Type, Registration Number, Issue Date, Document type and Start date.
- a search facility 1806 is provided for the user to search the archive for a particular documents.
- a request facility 1808 is also provided on the Customer Information Services Inbox page to allow the customer to request a statement of account.
- An image (exitgif), positioned in the top right of all the screens in the secure section of the site is the constant link enabling the user to exit the secure area successfully at any time.
- Figure 18B is a flowchart illustrating a method 1850 for affording a graphical user interface, as set forth in Figure 18 A.
- documents received from a database of a governmental entity are displayed utilizing a network. Further, searching is permitted for a document in the database of the governmental entity utilizing the network. See operation 1854. Still yet, in operation 1856, a statement of an account of a user may be requested from the governmental entity utilizing the network.
- the graphical user interface may be displayed upon verification of an identity of a user. Further, the documents may displayed in a list, and be completely displayed upon the selection thereof.
- the documents may be searched based on the selection of a type of tax and a type of document.
- the type of tax and the type of document may each be selected via a pull down menu.
- the statement may be requested based on the selection of a type of tax and a start date of the document.
- the type of tax and the start date of the document may each be selected via a pull down menu.
- Tabs on the banner include the following links: Services FAQ Profile Contact Us Exit
- New Items This forms the main content of the page. All new items are displayed listing the Processing Receipt Number, Tax Type, Registration number, Issue Date, Document Type. 5 Text may be displayed at the top informing the user as to how many new items are in the
- the list of new items may be displayed using the GetCustDocs() service.
- This facility allows the user to search for particular documents.
- the user can select the type of tax from a drop down list box. Only the taxes for which the customer is registered should be displayed in the list box.
- the document types pertaining to these Tax Types can also be selected from a drop down list box.
- searchCISArchiveO which will retrieve all documents in the archive that match the criteria entered.
- This facility allows the user to request a statement of account.
- the user can select the type of tax from a drop down list box. Only the tax heads 0 relevant to the user are displayed in the list box.
- the Statement Start Date should be displayed in the second list-box.
- the SelectTax list-box may be populated with the taxes for which the customer is registered. This has already been determined using GetCustReg, the list-box may be populated based on the result of GetCustReg.
- the documents displayed in the list-box should be dependent upon the taxes for which the customer is registered.
- the taxes are already known from the call to GetRegNoO performed when the session was first created. Using this, perform a call to CTDOCU to determine the documents pertaining to these taxes.
- the StartDate list-box is populated with hard-coded Month/Year combinations dating back 2 years. Therefore, this list-box is filled with dates ranging from 'Apr 1998' to 'Apr 2000'.
- InsertRequest This will insert the Request details to the database table TBSOAREQ.
- the following parameters may be passed to InsertRequest:
- CdStmntType should be defaulted to the code for a long statement as this is the type decided upon as the default for the present invention.
- DtPdAcctBegin and DtPdAcctBeginUntil will need to be determined based upon the Start Date entered by the user and the current date
- a user opts to view a previously filed return, this may be dynamically generated using data from the database. Firstly a 'template' page should be retrieved. This is determined using GetPageO- Once the id of the page is determined, this may be called. The page may be populated based on data stored on TBFORMS.
- the page offers the user the facility to search the Inbox archive in order to view previously filed returns.
- the search may be performed using Search Customer Information ServicesArchive passing Idlntemal, CdTypeAcct and CdTypeForm.
- the results of this service may be displayed on the Customer Information Services Search Results page.
- ROS is an easy, informative, reliable, attractive and stable system. The system is simple to understand and follow. With a single click, a customer accessing ROS, equipped with a digital certificate, reaches the services page. This offers a customized choice of returns to file, information on any new correspondence received from Revenue and the ability to immediately request a Statement of Account.
- ROS is informative. Familiar terms and codes are used throughout the system. An on-line demo is available taking the customer on a tour of the main functions. A frequently asked questions button is always within reach. Information icons which offer immediate help on filling the fields on a form are also provided.
- ROS has been architected with proven web technology. It relies on the proven stability of HTML to provide the customer interface. Scalability and strength are provided by the use of a proven application web server, BEA WebLogic server.
- WebLogic server is the engine that drives almost all the well known and established high volume transaction processing sites (e.g. Amazon.com, Compaq).
- ROS is attractive to use. Filling in forms on ROS is easy and quick. The layout of the forms is clear and uncluttered. Customers are only offered valid periods in which to file. RSI numbers validation and other validation occurs when the user populates the field. Name and address fields are pre-filled.
- ROS has been designed using the principles underlying the integrated tax solutions that have been applied throughout the world. Designing one system to cater for multiple taxes ensures the overall stability of the system. New taxes and new forms may be added without upsetting the underlying look and feel of the system. Menus are dynamic. Key screens are carefully designed to be applicable to multiple taxes.
- ROS Revenue's On-Line Service for the future. ROS is therefore specifically architected in the knowledge that web technology has evolved rapidly and will continue to do so. Therefore, the underlying technical components, including the front end, the application server and the database in the system may be upgraded or indeed replaced. Even the operating system on which ROS runs may be changed.
- Browsers supporting digital signatures include:
- Macintosh users may use a Netscape browser as Internet Explorer for Macintosh does not support digital certificates.
- ROS is easy to use. The system is intuitive. It is menu driven and offers the customer help at all times. It uses familiar terms and codes. The layout offorms is clear and uncluttered.
- Users may work on-line or off-line when filling in more complex forms. Users may batch the forms they complete off-line and submit multiple forms at once.
- ROS provides off-line customers with alternative approaches to filling in complex forms offline.
- the present invention recognizes the distinct requirements of both the professional tax agent who files multiple returns and the customer who files once a year on his own behalf.
- the P45 form is available off-line for the customer to complete.
- the Form 11 may also be adopted.
- the approach enables the customer and tax agents to navigate rapidly through the form while also providing new views of the data on the return (e.g. a single view summarizing all sections of the form).
- ROS is an on-line integrated tax system.
- This systems is designed to be easily extensible for new taxes and forms. They are parameter driven to enable the fast customization offorms required to meet budget revision targets. Using expertise in this area ensures that ROS is a stable system.
- the ROS menus are dynamic where appropriate.
- the key ROS screens are designed to be generic across multiple taxes and to support new taxes and new tax forms.
- the ROS design is also consistent.
- the style of the site is based on the Revenue corporate colors and style guide.
- ROS is built to satisfy a broad constituency of user hardware.
- design principles have been adopted which ensure that the ROS web page offers a consistent view to users across the full spectrum of screen resolutions from 640x480 up.
- the ROS home page identifies the services offered by ROS and offers the customer access to all the services specified.
- the home page includes:
- the services page is secure and may only be accessed by customers with an approved digital certificate.
- the services offered are:
- ROS adheres to Revenue's corporate image and standards.
- the new corporate style guidelines for the web due in December will dictate the ultimate style of the site.
- One of the members of the team is Interact. They will provide design input to ensure ROS is compliant with the Revenue site standard that they are currently defining. On-line tutorials and help
- ROS offers help on a number of levels:
- the present invention extends the help currently provided with ROS to support the remaining functions. In addition, work may be done to amend the current help texts where required.
- ROS is a menu driven system. ROS has been designed to make extensive use of links in line with best practice web interface design.
- ROS also includes many different approaches to linking. These include the following:
- the services page, multiple registration page and the agents customer list pages are examples of linkage provided through traditional lists.
- the lists are dynamic and are tailored specifically for the customer (or agent) accessing the system. They are extensible to cater for new taxes, new registrations within a customer, new customers for an agent and new forms.
- ROS is error tolerant and offers clear explanations on how to fix problems.
- Field validation takes place wherever possible before the customer leaves a field. Therefore the customer can immediately correct a field level error.
- ROS customers may use a broad range of equipment.
- ROS therefore can run on over 92% of browsers in use worldwide according to the current industry estimates on browser coverage.
- Macintosh users may use a Netscape browser as the Internet Explorer version for Macintosh does not support digital signatures.
- the customer may choose to operate on a Windows, Macintosh or UNIX platform.
- An open choice of customer platforms is particularly important for ROS as Macintosh technology has achieved a small but still significant penetration of the Irish SME market. Macintosh platforms are also manufactured in Ireland.
- the system has been specifically designed to cater for the full spectrum of screen resolutions from 640 x 480 up. Feedback to users
- ROS transactions are atomic. This means that a ROS business transaction is completed in one update of the database. Therefore transactions are not stored in an incomplete state of the database. ROS confirms to the user that a transaction has been completed. Therefore users are in no doubt about their current progress.
- the off-line applications supporting complex forms will include a system map icon showing the user the progress that has been made towards completing the form.
- Every ROS window includes an exit button to exit the secure area and return to the home page.
- ROS business transactions are written to the database with a single click.
- the system does not write partially completed transactions to the database. Customers exiting the system therefore do not have the potential to abandon a transaction causing a loss of data or corruption or loss of system integrity.
- Return windows have a cancel button in addition to the exit button.
- the cancel button returns the user to the main services page (within the secure area).
- ROS resides within the Revenue internet site and complies with the site standards and guidelines.
- the present invention confirms that the current health and safety standards and legislation may be complied with in connection with the system.
- ROS identifies the currency format required based on the customer's ROS record, which is a copy of their Common Registration System (CRS) record. The currency displayed at any time is clearly identified.
- CRS Common Registration System
- ROS pages which can contain monetary amounts include a 'radio button' which allows the user to 'toggle' or switch view between the Euro and IR£ currencies.
- a 'radio button' which allows the user to 'toggle' or switch view between the Euro and IR£ currencies.
- Forms which the customer has already filed and which they are now accessing through the ROS Customer Information Services are displayed to the customer in the format and currency in which they were submitted.
- Figure 19 illustrates an interface 1900 including the radio buttons 1902 used by ROS to allow a customer toggle between Euro and IR£ currencies.
- the ROS system supports the production of tax forms in the English and Irish languages. Two separate versions of each tax form are provided. Phase 1 of ROS provides both English and Irish language versions of the VAT 3, VAT RTD, P30 and P35 forms - the forms a customer can currently receive in Irish. When the user selects one of these forms for completion, the ROS system checks the customer's ROS record to determine whether the customer has indicated a preference for receiving tax return forms in Irish. The customer is presented with the Irish version of the form for completion, if they have expressed a preference for Irish.
- ROS includes an architecture service to support multiple languages.
- the ROS system is designed to support Revenue's requirement for rapid response times.
- the choice of application server is particularly important in ensuring performance.
- the current ROS solution is built using WebLogic Server as the application server. This server offers superior performance primarily because of its ability to scale without impacting the application. WebLogic has recently been benchmarked by BEA against it's competitors. It produced performance figures over 4 times better than it's nearest competitor. It also minimizes both client and database connections. This assists the performance of the underlying hardware and the database.
- ROS provides a 'countdown' mechanism which displays to the user the percentage of the transaction completed.
- ROS may be performance tested in the Revenue environment as part of Phase 1 development to ensure that it satisfies Revenue's response time requirement.
- the ROS system is an industrial strength application designed to support core business systems.
- the use of an application server which supports clustered configurations and the dynamic allocation of server requests ensures single points of hardware failure do not impact system availability.
- the ROS database can support on-line refreshing of data from the source systems if this becomes a future requirement. Such an approach is simplified by the fact that the ROS database is closely modeled on ITP, the database which will eventually be the source of almost all the data to be refreshed. In addition, the choice of CA/Ingres II as the back end database enables the ROS and ITP databases to be matched even more closely.
- the refresh of the ROS database may be performed on a nightly batch basis.
- the fact that the ROS and ITP databases are closely aligned greatly simplifies the nightly refresh.
- the refresh of the core ROS data can therefore be equated to the copy of key tables from ITP.
- the copying of entire tables is an efficient process.
- Indicative figures for the update of the ROS database for Phase 1 would be in the range of 30-60 minutes. The actual figures depend on the underlying hardware and also the consequent database configuration.
- the extract of data for the core processing systems does not impact system availability.
- the ROS system is scalable to cater for the peak return processing volumes specified in the RFT and can be expanded to meet future growth requirements.
- An appropriate application server is the key to ensuring the scalability of the system.
- the choice of database, web server, and firewall software will also impact scalability.
- BEA WebLogic enables new servers to be easily and dynamically added to the configuration as necessary to meet increasing user demand.
- the overall request load is optimally distributed among the servers so that resources remain fully utilized.
- the addition of new servers does not require amendment to the ROS application.
- ROS allows for the easy addition of new return types and customer information services. Flexibility is a key driver in the design of ROS.
- ROS is an on-line integrated tax system. The same design principles that apply to building integrated tax systems for internal Revenue users apply in developing
- ROS. Systems such as the present invention are designed to be easily extensible for new taxes and forms. They are parameter driven to enable the fast customization offorms required to meet budget revision targets. Changes in tax calculation on forms are transparent to the customer. Where more significant changes are involved, including changes to the physical layout of the form, the customer is presented with the new form.
- ROS menus are dynamic where appropriate.
- the key ROS screens are designed to be generic across multiple taxes to support new taxes and new tax forms.
- the ROS database will continue to mirror ITP.
- the choice of BEA WebLogic Server will enable code developed under Tuxedo for the ITP database to be directly reused in ROS. ROS may therefore mirror enhancements to ITP where appropriate.
- BEA's WebLogic Enterprise product may support both Tuexdo services and application code written using Enterprise Java Beans - EJB's.
- ROS system is very open. Over 92% of browsers currently in use worldwide (according to latest industry estimates) may be able to access ROS. This figure may grow to almost 100% by the time ROS goes live.
- Macintosh customers may use a Netscape browser as Internet explorer versions for Macintosh do not support digital signatures.
- ROS can run in Windows 95 or greater, Windows NT and Apple Macintosh environments.
- ROS can support UNIX.
- An open choice of customer platforms is particularly important for ROS as Macintosh and UNTX technology have a small but significant penetration of the business market.
- ROS is built using Java. This allows ROS to run on any platform supporting Java including UNTX and NT.
- ROS using the WebLogic Server may run on a cluster of different machines (e.g. an NT machine and an UNIX machine).
- ROS is built with one set of components. These components may be replaced with ease. The following are potential component choices available to Revenue with the ROS solution:
- the present invention is developed to support both Oracle and CA Ingres II databases, the current ROS solution runs on CA Ingres J as this database best suits the ROS interface development and performance.
- Application Server the current ROS solution runs on WebLogic Server. However the application code may be ported to any application server supporting EJB technology (e.g. IBM's Websphere application server is likely to support EJB's from October 1999).
- the current ROS solution is based on X.509 certificates issued by a Certificate Authority. However the solution may support X.509 certificate from any authorized Certificate Authority.
- the front end logic is primarily coded using HTML. However, the HTML forms could be readily replaced with forms from a proprietary forms product if required. It may also be conceived that ROS may evolve towards an XML based front end over time.
- Web server The ROS solution does not prescribe any limitations on the web server choice.
- Firewall The ROS solution does not prescribe any limitations on the firewall choice.
- ROS enables Revenue to take advantage of developments in internet technologies.
- the main components of ROS - database, application server etc. - can be replaced by appropriate alternatives if required.
- the present invention is very much aware of the importance of reliability in the ROS system. Both the architectural components and the demonstrated commitment to delivering a quality product indicate the future reliability of the offering.
- ROS recovery procedures may cover the recovery of the application in the event of a hardware or application failure.
- the procedures include specifications for the operator describing the recovery process. These include how to perform a full system shutdown, procedures for database roll-forward and system re-start. They also include messages to be posted to Revenue's Homepage informing customers of the system shutdown.
- WebLogic Server is the only application server with a proven ability to run on a clustered configuration, i.e. the system runs on multiple linked computers. Revenue chose to adopt a clustered configuration for ITP and a similar configuration is likely to be required for ROS. The choice of WebLogic Server enables Revenue to take advantage of clustering, thereby significantly reducing the impact of a hardware component failing and reducing the probability of system shutdown due to hardware error. WebLogic enables the automatic restarting of all applications, which were running on the failed machine, on a support server in the cluster, without operator intervention.
- the customer can refer to the latest output in the inbox to establish if the transaction was successfully completed.
- ROS business transactions which update the database are not broken up over multiple screens.
- One click completes a transaction. Therefore, if the user is unsuccessful in completing a transaction, there is no tidy-up of data required.
- partially completed transactions may not be committed to the ROS database should the ROS server become inoperable during a transaction.
- ROS provides a safe and secure electronic communications method to the customer. Communication by ROS to the customer takes place primarily when the customer accesses CIS. They are prompted to access CIS by an e-mail automatically issuing from ROS informing them that correspondence from Revenue has been received. For security reasons the e-mail does not describe the nature of the correspondence, but invites the customer to access ROS to read their correspondence. In order to receive an e-mail from ROS, the customer may have registered with ROS stating their wish to receive Revenue correspondence electronically. Correspondence accessed on the ROS server cannot be repudiated as the system tracks access to documents.
- the customer may log on to the secure ROS system using their digital certificate and password in order to access their CIS inbox.
- the ROS system tracks whether a customer has accessed any individual item sent by ROS to their ROS CIS inbox.
- ROS may, if required, be configured to mark a communication as "accessed" when the actual customer, as opposed to their agent, accesses the communication.
- ROS services may only be accessed by a customer in possession of a Revenue approved digital signature.
- the ROS home page which describes the ROS services and which is the gateway to the secure services area is accessible by any web user.
- Customers may have a recognized digital certificate to access ROS. Customers with no certificate or those with an invalid certificate are given a reason explaining why access to ROS secure service is denied.
- the first approach involves Revenue capturing and storing the unique serial number of each customer's (or agent's) digital certificate.
- the digital certificate number is held on a secure table in ROS which associates certificate numbers with customer and agent numbers.
- a secure channel could be established to enable Revenue receive updated revocation files from Certificate Authorities on a timely basis.
- One alternative approach would involve Revenue providing the approved public certification authority with a unique customer number to enable the authority or authorities to incorporate the Revenue customer number as a 'hidden field' in the digital signature issued.
- the tax agent identification number would be incorporated into the tax agent's digital certificate, again on the basis of information supplied by Revenue to the approved authority.
- Deciding the approach to linking digital signatures is one of the tasks to be completed in the early stages of Phase 1 ROS development.
- the current ROS solution assumes that Revenue capture the digital certificate numbers and associate these with the customer or agent identification.
- Management statistics may be provided either directly from ROS or using Revenue's corporate information facility (CIF).
- CIF Revenue's corporate information facility
- a limited number of fixed format reports may be generated directly from the ROS database and the transaction log. Reports such as the following can be prepared to support the statistics outlined in the RFT
- CIF is in receipt of all the base transaction information from ROS.
- CJF is equipped with user driven query and analysis tools which enable ad-hoc reports to be generated in a timely manner.
- the customer's name and the appropriate Revenue tax head number appear at the top of each ROS page once a customer enters ROS secure services using their digital certificate.
- the rules used to determine which registration numbers to display in the header for ROS screens are currently a speculative interpretation of the potential preferences for registration number display in ROS.
- ROS may be easily extended to support new forms in the future as requirements arise.
- Simple once-off forms (e.g. VAT3, P30, P35) may be completed on-line by customers. These forms are available now.
- the VAT RTD is also assumed to be an on-line form.
- Off-line forms may be submitted in batches generated either from ROS software or from third party software.
- the format defined from the third party software generating these forms is identical to the format of the batch files created by ROS. Tax Return Selection, Completion and Filing Functions
- Any web user may access the ROS home page containing 'non confidential' information on available ROS services, frequently asked questions etc. Only customers or agents with an appropriate digital certificate may go beyond this to access ROS secure services, including the return filing facility.
- the 'Enter on-line services' button from the ROS home page the user is prompted to identify the digital signature they wish to use and the associated password. Users who fail this check cannot access return filing or the other secure ROS facilities.
- the ROS system checks the ROS database to determine the returns a particular customer is entitled to file, based on two criteria:
- Figure 20 illustrates the list of valid returns for a customer on the ROS services page.
- a personalized interface 2000 includes a list of valid returns 2002 that a customer may file by simply selecting an icon 2004 associated therewith.
- ROS supports the filing of back periods On accessing the return form for the particular return type the customer wishes to file, the taxation period defaults to the most recent outstanding return.
- ROS provides a drop down list of dates attached to the taxation period. If the customer wishes to file for an outstanding 'back period', he/she selects the appropriate period from the list and completes the return.
- the return form displayed may reflect any changes which may have taken place to the form calculation and validation in the interim period - i.e. the customer is presented with the form appropriate to the period for which they are filing.
- Agents accessing this screen on behalf of a particular customer are presented only with the returns they are entitled to file and access for that customer. For example, an agent may be entitled to file their corporation tax.
- the ROS agent and customer relationships defined in CRS, determine the taxes/returns which an agent is entitled to file for a particular customer.
- the ROS system identifies cases where the customer has more than one registration number for PAYE-Employer or VAT - based on the customer information held on the ROS system.
- a customer with multiple PAYE- Employer or VAT registrations chooses to file a PAYE-Employer or VAT return, the 'multiple registrations' ROS page is displayed, and the customer is asked to choose the specific registration number they want to file against.
- Figure 21 illustrates the 'multiple registrations' page from the ROS system.
- the interface 2100 of Figure 21 may be used to select an appropriate one.
- a list of registration numbers 2102 may be selected by clicking on a hyper link 2104 associated therewith. It should be noted that a start date 2106 and end date 2108 are listed next to the registration numbers 2102.
- the ROS system is designed to minimize data entry by customers and agents.
- An underlying principle of ROS is that the user should not be required to re-enter information which they have already supplied to Revenue.
- the customer name, address (depending on the form type), tax head registration number and default tax period are already completed, as is the IR£/Euro currency indicator.
- Figure 22 shows an initial display 2200 of the VAT3 return page, with the information automatically completed by the ROS system. As shown, the various fields 2202 and associated descriptions 2204 are tailored based on the selection of the Euro radio button 2206.
- the customer is not required to enter the employer registration number or the employer name and employer address as this may be automatically filled when the return is filed.
- ROS enables customers to save partially completed off-line and on-line returns. Customers may save the longer more complex forms which are completed off-line (e.g. P45, P35L, FORM11 and CT1) on their PC. Customers completing the simple forms which are filled in on-line (e.g. VAT3, P30, P35) are less likely to require a partial save facility. However, ROS also enables partially completed on-line return forms to be saved (this function is not yet available).
- Calculation of return form contents is supported by ROS, using calculation logic embedded in the form. Such calculations are done locally on the client side of the ROS application.
- a simple example is the calculation of the 'net payable (T3)' or 'net repayable (T4)' amount on the VAT 3 form.
- T3 'net payable
- T4 'net repayable
- the same approach may be used for forms which have significantly more complex calculation requirements, such as the Income Tax Form 11 and Corporation Tax Form CT1.
- the calculation is again done on the client side, with the calculation rules embedded as Java executables in the downloaded forms.
- the ROS system incorporates sophisticated validation for each of the different return forms.
- Individual field validation includes alpha/numeric checks, mandatory entries, maximum and minimum value checks and registration number check character validation.
- FIG. 23 illustrates an interface 2300 showing how error messages 2302 are displayed using the P35 return page from the ROS system.
- ROS enables a customer to file a 'duplicate' return - i.e. where a return has already been made for a period — by clicking on the 'duplicate' button on the return form. This presents the user with a list of all valid periods for the last 2 years. If the user selects a period for which a return is already filed, the user is prompted to indicate whether the new return is an 'amendment' or a 'supplementary' return. The form is then completed in the normal way.
- FIG. 24 shows an interface 2400 including a 'PRN receipt' page for ROS.
- ROS enables customers to print completed return forms locally.
- ROS responds with the 'Processing Reference Number (PRN) receipt' page, which provides a unique receipt number 2402 - the PRN - for the return submission.
- PRN 'Processing Reference Number
- This page also provides the customer with the option to print the return form (or forms in the case of a batch) just submitted.
- the customer may also at any time access the ROS Customer Information Services (CIS) system and view or print any return they have previously filed.
- CIS Customer Information Services
- the ROS system saves completed return forms centrally. Customers may access return forms which they have previously filed using the ROS CIS system. In addition customers may also save completed return forms locally in HTML format.
- ROS Digitally signing the return
- a customer submits a completed return form
- ROS prompts them for a final confirmation of the details submitted.
- the customer is presented with the key information from the return - i.e. return type, taxation period, amount payable/repayable, etc. If the customer then confirms that they want to submit the form, ROS prompts the customer to explicitly sign the form using their digital signature and associated password. Return forms are only accepted if they are digitally signed.
- Figure 25 illustrates a 'final confirmation' page 2500 from the ROS system.
- ROS prompts them for a final confirmation of the details submitted - i.e. return type, taxation period, amount payable/repayable, etc.
- Such details are displayed in a dialog box 2502.
- the customer then has two options available:
- ROS All messages within the ROS secure area are encrypted using the SSL standard. Therefore the data transferred between the customer's system and the ROS server is encrypted by ROS.
- ROS currently has 40 bit SSL encryption - the maximum allowed for any private organization.
- ROS can incorporate 128 bit SSL encryption. Revenue can make an application to the US Government to give permission for this standard to be used by ROS.
- a 128 bit encryption is recommended for a critical application like ROS.
- Figure 26 shows the 'PRN receipt' page for ROS.
- ROS presents an acknowledgement to the customer to confirm successful transmissions - i.e. to confirm that ROS has received the digitally signed form.
- the 'PRN receipt' page which ROS uses for this purpose includes a receipt number - the PRN.
- ROS provides batch filing for tax agents, employers, and payroll companies using their own or purchased software.
- ROS provides batch filing for agents or companies using the downloadable ROS forms. Identical file formats are used in both cases. It is recommended that Revenue Agencies determine a maximum file size for batch filers. ROS may be set-up to accommodate the specified limit.
- ROS provides customers with the ability to complete a batch of returns using downloaded ROS forms as follows:
- ROS application programming interfaces may be published for use by software companies or individual tax agents, employers and payroll compames who want to modify their software to support the preparation and submission of their clients' returns to Revenue through ROS.
- FIG. 27 illustrates the ROS Java applet for batch submission of P45 returns created by the downloaded ROS return form.
- an upload screen 2700 enables users to upload multiple P45's in a batch.
- a customer submits a batch of completed return forms, they click on the browser button to select their digital certificate and enter their digital certificate password via fields 2702. They then have the option to either:
- Data transferred between the customer's system and the ROS server is encrypted by ROS using Secure Socket Layer (SSL) standard, once the customer is authenticated in ROS - i.e. once the customer has accessed ROS services using an approved digital signature.
- SSL Secure Socket Layer
- Figure 28 illustrates an interface 2800 showing how batch error messages are displayed using the example of a batch of P45 returns.
- the ROS system validates each 'batch' of submitted returns to ensure that the batch itself is valid - i.e. batch header, batch footer, number of forms in the batch, etc. If the batch has been prepared using a downloaded ROS Java application, it may have already been checked for internal consistency - e.g. totals within the form are correct.
- Errors in a batch are signaled to the user through an 'error message' 2802. If, for example, forms are submitted for validation and are found to be invalid, an error message screen is immediately returned to the user, indicating the errors in forms. This notifies the user that the batch has not been entirely accepted for processing.
- ROS presents an acknowledgement to the customer or agent to confirm successful transmissions — i.e. to confirm that ROS has received the digitally signed batch.
- a PRN receipt number is issued for each batch of returns.
- a printable image of the batch is available in CIS.
- a duplicate test version of the ROS system may be made available on the web.
- the system has a distinct page header throughout, clearly identifying the system as a test system. This system may be accessed by customers using their own digital certificates.
- the test system is populated with standard test cases, similar to those available for the purposes of evaluating the ROS. All customers are set up for the purposes of the test system as 'agents' of the test customers. They may therefore choose the customer they wish to access.
- As the test system has general availability, a facility to test forms such as the Form 11 and the CT1 on an annual basis is readily available.
- Any web user may access the ROS home page, and from it some 'non confidential' information on available ROS services, frequently asked questions etc. Only customers or agents with valid digital certificates with valid digital certificates may go beyond this to access ROS secure services, including the return filing facility. On choosing the 'Enter online services' button the user is prompted to supply their unique digital signature and associated password. Users who fail this check cannot access return filing or the other secure ROS facilities.
- the ROS system checks the ROS customer information to determine the returns a particular customer is entitled to file, based on the tax heads the customer is registered for. The customer is presented with their list of valid returns. They may then select the return they wish to file. For example, a customer who is an employer can only complete and return forms P45 if they are registered for PAYE-Employers.
- ROS also checks that the customer's authority to file is valid in respect of the following conditions:
- the customer has a current direct debit arrangement with Revenue if filing a VAT3, Form P30 or Form P35.
- Sophisticated period validation is also built into ROS to ensure that customers and agents can only file for periods for which they are registered.
- the ROS system incorporates sophisticated validation of each of the different return forms.
- Individual field validation includes alpha/numeric checks, mandatory entries, maximum and minimum value checks and registration number check character validation. Any validation requirements are supported in the relevant return form pages in ROS.
- Cross reference validation is performed to ensure the information on the form is internally consistent.
- Each form is also validated against data held on the ROS system to check the customer's authority to file the selected return, check that the return is being filed for a valid period, etc. Errors are signaled to the user through an 'error message' box on the particular page, which includes a brief description of the error and, where appropriate, an indication of how to correct the error.
- the ROS system validates each 'batch' of submitted returns to ensure that the batch itself is valid - i.e. batch header, batch footer, number offorms in the batch, etc.
- ROS also validates the return format. If the batch has been prepared using a downloaded ROS Java applet, the batch may have already been checked for internal consistency - i.e. totals within the form are correct.
- Errors in a batch are signaled to the user through an 'error message'. If, for example, forms are submitted for validation and are found to be invalid, an error message screen in immediately returned to the user, indicating the errors in forms. This notifies the user that the batch has not been accepted for processing.
- the ROS system includes filing period validation to ensure that customers and agents can only file for periods for which they are registered.
- the ROS system is designed to ensure that a customer only files a 'duplicate' return if that is what the customer intends to do.
- To file a 'duplicate' return the customer explicitly clicks on the 'duplicate' button on the return form in question. This presents the user with a list of all valid periods for the last 2 years - including those for which returns have already been filed. The user is prompted to indicate whether the new return is an 'amendment' or a
- the form is then completed in the normal way.
- the customer may change the period if required before the form is submitted by selecting another period from the drop down list box.
- the customer may quit at any time by clicking on the 'exit' button.
- the taxation period defaults to the most recent outstanding return. All outstanding periods are shown by clicking on the drop down list attached to the 'taxation period'.
- the present invention recognizes the complexity of the Form 11 and the interest in capturing additional accounts data as part of the return filing process.
- ROS supports the current year's and the preceding year's Form 11 and CT1. In addition up to 150 fields of account data are captured if required.
- ROS holds customer returns and payment data in a standard format.
- the ROS extract programmed formats the extracted data to match the particular system for which the data is being extracted.
- the extract is driven from a codes table enabling the format and structure of the data on the returns to be changed with minimal change to the extract programs.
- the extract programs are therefore generic allowing many different types of return data, return forms and extract formats to be handled using a standard extract programmed. This approach supports the forwarding of different types of data including: data necessary for raising assessments and charges- •data captured for informational and statistical purposes- •accounting instructions- •accounts data.
- ROS can receive batches of returns from customers/agents and 'unpack' the individual returns in the batch.
- the unpacked returns are stored on the ROS database pending extract to the core processing systems. These returns are uploaded to the core systems periodically in the same way as individual return forms.
- Acknowledgements confirming successful transmissions include a PRN
- the ROS system captures the date each return was filed. This is passed to the relevant Revenue tax application systems along with the return.
- the ROS system maintains an archive log file.
- the files stores all messages received by the system in the format in which they were received.
- the ROS CIS system can be used to retrieve any filed return or batch of returns. This form or batch of returns can be printed.
- Files can also be retrieved directly from the archive log and printed.
- Return status can be checked by customers on-line in ROS CIS immediately after the return is filed.
- the provision of the Customer Information Service (CIS) for ROS may be in two phases.
- the Phase 1 version of CIS is already is already developed.
- the Phase 1 CIS system provides the customer with a facility to view documents on-line.
- the range of documents available is dependent on the output made available from ITP. The range potentially includes the following documents:
- ROS provides a facility for customers to view documents on-line, 'the inbox'.
- the inbox can handle multiple document types and standards.
- ROS may not permit customers without a valid digital signature to access CIS. Tax agents cannot access customers for whom they are not registered as an agent. Additional access controls prevent agent employees and company employees accessing registrations restricted by their management. All access attempts are logged.
- the ROS CIS may be comprehensive. The development of the service is divided into two phases as defined in the RFT. The Phase 1 requirements for CIS are already met. The Phase 2 requirements may be custom developed reusing portions of the ITP code as appropriate.
- ROS therefore provides an 'inbox' for each customer's mail.
- the mailbox includes the Statements of Account issued by ITP and any other correspondence that may be issued by ITP to the customer. It also includes a copy of every return filed by the customer on-line. The customer may therefore use the Statements of Account in the inbox to trace all transactions with Revenue, fri addition a fully printable version of all returns filed through ROS is available on-line.
- Figure 29 outlines the three types 2900 of correspondence supported by CIS in Phase 1 :
- Phase 2 information services may be developed as an extension to Phase 1 CIS.
- Phase 2 there are six separate functions which are similar to services available in ITP. These are:
- CIS Phase 2 also includes a service displaying registration details for PAYE-Employer, VAT, Income Tax and Corporation Tax.
- ROS restricts access to the services page to those customers who have a recognized digital certificate.
- the services available to customers on that page are further restricted based on the privileges accorded to their certificate by the ROS access confrol system. Only outputs relating to the registrations that the certificate is entitled to view are displayed in the inbox. Access to the CIS information services provided in Phase 2 may be limited depending on the privileges accorded to the customer digital certificate.
- ROS Retries Revenue Average
- the access control system for ROS may enable an agent to specify any customers that an employee may not access, or any particular registrations belonging to a customer that an employee may not access.
- PAYE-Employer and VAT agents may be restricted to the tax head(s) for which they are registered.
- a confirmation of the information requests may be included if required.
- the customer may cancel out of the ROS system at any time. This facility enables the customer to abandon a transaction when required.
- Phase 1 for CIS includes both .pdf format and HTML format. Both of these formats are viewable. In addition, they can both be printed and both formats offer the opportunity to download a file by saving the file locally
- ROS accepts a request for a Statement of Account.
- the request is extracted for update into ITP.
- the Statement of Account issued from ITP in .pdf format is available to the customer in CIS.
- ROS sends an e-mail to the customer confirming the issue of the statement.
- ROS includes the Statement of Account Request facility
- ITP providing periodic Statement of Accounts for ROS may now be addressed. Should the decision be taken to offer this service, then ROS can accommodate the service without significant development effort.
- the periodic Statement of Accounts may be available in CIS and also, a notification e-mail may issue to the customer.
- the information provided in CIS services for Phase 2 may be real-time based on the information in ROS at that time.
- the information may be consistent with the data on the source database (i.e. ITP) at the time of the last extract.
- Outputs from ROS may follow an agreed format. Outputs created by the core processing systems in .pdf format may remain unchanged when presented in ROS. If the requirement to redesign .pdf formats to a ROS style is confirmed, the most cost efficient approach to changing the .pdf formats is to generate the .pdf image directly for ROS in the existing tax application system. Returns filled in by the users may be redisplayed to the user in CIS in a consistent ROS format.
- the display of the input requirements may include enterable fields and validation where appropriate (e.g. tax head validation, period validation, customer number validation).
- Agents do not have access to a customer's CIS system unless the agent is registered for that customer. In addition, an agent can only access the particular tax heads that they are registered for. IT and CT agents, however, are entitled to view all their customers tax heads.
- CIS To enter CIS, they may specify the customer that they are enquiring on.
- the agent and customer validations are common to all access requests for CIS information services.
- Access to this screen is based on the taxtype.
- Customers are only offered valid taxtypes based on the customer profile and the privileges of the certificate accessing the customer.
- Access to this screen is restricted based on the privileges of the certificate accessing the screen.
- Customers may elect to specify the period for which they want the Statement of Account.
- Access to these screens is by specifying the tax head and the tax period (or period range or a range of dates). A range of dates can also be used.
- the list includes the fields identified in the RFT. Only the most recent registration /cessation, in any tax head, may be displayed.
- the statement includes the fields identified in the RFT.
- the list includes these fields.
- the list includes these fields.
- Refunds List The list includes these fields.
- the list includes these fields.
- Key statistics are captured by the application server. These statistics are available. They include statistics by request type. The reporting of statistics by period where the user does not specify a particular period is not included.
- ROS supports the issue of Revenue initiated information to the customer.
- the customer information service includes an 'inbox' where any output issuing to the customer electronically is available on-line. Any correspondence initiated by Revenue may be directed to the inbox.
- the customer is informed when correspondence goes into the inbox by an automatic e-mail. For security and confidentiality reasons the e-mail informs the customer of the existence of the correspondence. It does not indicate the nature of the correspondence or give any details about the correspondence.
- ROS supports two different types of correspondence:
- Correspondence generated by ROS based on data from the core processing systems e.g. a return reminder may be generated by ROS based on the returns issued markers from ITP.
- ROS supports .pdf format and HTML format.
- the ROS inbox may be viewed at many levels. The customer may view new correspondence relating to particular registrations or document type. Functional Requirements
- ROS issues an electronic reminder to customers to file a return, based on the information received from the core processing systems.
- the receipt of a return reminder from the tax application system automatically generates a reminder for the customer through ROS.
- the reminder is presented in CIS.
- a corresponding mail is sent to the customer informing him of the existence of the correspondence.
- ROS issues a second reminder to file a return.
- the reminder is in the standard format issued by the core processing system (e.g. a .pdf file for output from ITP).
- the reminder is included in the customer's inbox, and the customer may access the reminder in the same way that they access the Statement of Account.
- a corresponding e- mail is sent to the customer informing them of the new correspondence.
- the payment compliance correspondence created by the ITP system is made available to ROS in the form of .pdf files.
- the files include reminders and demands.
- the receipt of output in .pdf format for customers generates a corresponding e-mail to be sent to the customer.
- Payment compliance correspondence is also issued by the Income Tax and Corporation Tax collection systems. Files notifying ROS of correspondence are generated by the collection systems. The files follow an agreed format. A matching e-mail also issues in this case.
- the returns compliance correspondence created by the ITP system is made available to ROS in the form of .pdf files.
- the files include estimates.
- the receipt of output in .pdf format for customers generates a corresponding e-mail to be sent to the customer.
- the ITP receipts are issued in the form of .pdf files. These .pdf files are interfaced down to ROS and populate the customer's inbox. A corresponding notification e-mail to the customer is also issued.
- a file identifying the receipts issued by the Income Tax and Corporation Tax collection systems is also interfaced to ROS.
- the receipt files follow an agreed format.
- a corresponding e-mail to the customer may also be issued.
- Interfaces associated with the present invention include:
- the ROS database closely mirrors the existing ITP database. Wherever possible the ROS data is held using the same structures and format as ITP. This approach has significant benefits which may become even more apparent in the future when the Income Tax and Corporation Tax systems are within ITP.
- the benefits include:
- ITP code may be reused for ROS services cutting down the development and maintenance requirements
- the ROS interfaces include:
- the CIS system for Phase 2 bears much similarity to the information available in ITP in terms of presentation and content. Given the knowledge and understanding of ITP, one may reuse the object code developed for ITP to support the CIS queries.
- the ROS interface is built using HTML.
- HTML This standard format for navigation through ROS and for filling forms ensures that the entire Revenue site contains a consistent look and feel.
- the choice of HTML was based on the following factors:
- Openness - HTML can be used on a wide variety of platforms. The leading specialized forms products on the market are designed for Windows platforms only. The ROS solution is truly an Open' system in line with the requirements in the RFL-
- Off-line Interfaces Those customers who wish to complete returns off-line are provided with a downloadable form implemented as a Java applet. The same considerations that determined the choice of HTML for the on-line interface (i.e flexibility, reliability and cost) also underpin the choice of Java for the off-line interface.
- ROS customer information service is designed to support multiple different outputs from Revenue. It fulfils the Phase 1 requirements for ROS CIS.
- the ROS database is closely aligned with ITP.
- the extracts to populate the database from ITP are simplified by the fact that the ROS database mirrors ITP. This simplification expedites development testing and overall performance.
- FIG. 30 illustrates Outline ROS Database Interfaces 3000.
- the ROS database holds the data extracted from core processing systems in one integrated database 3002.
- ROS follows the same database design approach as ITP.
- ROS database design follows the integrated approach adopted for ITP. This positions ROS for the future, when all the major taxes may be included in ITP.
- the data relating to the IT and CT taxes, which are currently not in ITP, are stored on integrated database tables 3004 in ROS.
- the data captured by ROS is held on a set of database tables which are distinct from those tables populated by extracts from the core processing systems. This division of the data simplifies the interfaces between the existing systems. The processes of extracting data from the existing systems and loading data up from the existing systems are therefore entirely independent. This independence eliminates any operational dependencies between the ROS extract of the return and other information for the legacy systems and the ROS uploading of the current tax data from the existing tax systems.
- the extracts required for ROS Phase 1 are as follows:
- the ROS database mirrors 12 ITP data tables.
- the ROS database is designed to align with ITP.
- the extracts from ITP to ROS are therefore straightforward and quick. The effort required for development and testing is reduced as no reformatting of data is required.
- the data extracted from ITP for ROS Phase 1 is restricted to customer and agent regisfration information, Statements of Account and the returns status information.
- the extracts involve a copy out of a limited number of ITP tables in their entirety. Extracting tables using the copy command is a very efficient process. Even the largest table in ITP takes only a matter of minutes to extract.
- the extracts therefore may have minimal impact on the overall ITP batch window.
- AIM extract An extract is required from AIM informing ROS of ROS customer direct debit details including the customer bank account number and sort code. The bank account number and sort code are used to pre-populate the direct debit 'payslip' on the ROS forms.
- Figure 31 illustrates Phase 1 Existing System Update Interfaces 3100.
- the diagram includes the extracts referred to in the section below.
- the extract from ITP for Phase 2 includes financial details to support CIS in Phase 2. As the ROS database is aligned with ITP, this extract is straightforward for ITP taxes. The advantages outlined for the Phase 1 extract are speed of development, testing and speed of operation.
- the registration data to support ROS for Phase 1 comes from ITP. Extracts from DRS and PAYE are not required.
- the extracts for the Income Tax assessing, Corporation Tax assessing and Income Tax/Corporation Tax collection system are specified as required.
- Figure 32 illustrates an outline of all the ROS interfaces to the core processing systems.
- Output from ITP, PAYE, the IT and CT collection and assessing production systems may be directed to e-filers through ROS.
- ROS may be informed of the issue of output through ROS as follows:- CIS' provides a customer information service where customers may view the latest output from Revenue. This facility caters for multiple types of output including both HTML based output and output produced in a .pdf format. Both of these outputs may be printed.
- ROS identifies that a mail has been accessed by the customer. The mail therefore cannot be repudiated. The current design distinguishes between a customer and their agent accessing the mail.
- E-mail - correspondence issuing from the core processing systems and delivered to ROS triggers an automatic e-mail to the customer.
- the e-mail informs the customer that a mail has been delivered to CIS.
- the customer accesses ROS to read the output. It is not mandatory for customers who register for ROS to enter a mailbox.
- ROS returns and their associated payments are interfaced back to the following core processing systems :
- ITP P35, VAT3, VATRTD returns
- ITP P30, P35, VAT3 payments
- Income Tax and Corporation Tax Assessing (Form 11 and CT1 returns)Income Tax and Corporation Tax Collection (Form 11 and CT1 payments).
- the interface files are in an agreed format.
- the payment and return details are interfaced back to the existing assessing systems via a nightly batch interface.
- the interface may be run in advance of the nightly updates for the corresponding system.
- ROS payment files are also extracted. These are submitted to the existing collection systems for processing. In the case of the P30, the return file corresponding to the payment file is not necessary. The payments need to be processed by the existing payment reception system.
- the files are in a format suitable for direct input into the existing payment reception systems where feasible.
- ROS Phase 1 an alternative approach is to interface the ROS customer indicator directly to ITP.
- Agreed interface files to update CIF are periodically produced by ROS. Data captured by ROS is held on separate tables for extract to CIF.
- a possible future alternative approach is to store and forward individual transactions to CIF on a continuous basis. This approach is particularly feasible if the ROS and CIF databases are built using same underlying database, CA/Ingres II.
- the direct debit tape for the bank is created currently by the AIM system. ROS payments are interfaced to AIM. It is assumed that the payment file for AIM is generated by the appropriate payment processing systems (ITP and IT/CT Collection).
- An interface file for the DRS system is produced by ROS.
- the interface with the DRS system is not required for Phase 1 as repayments for VAT and PAYE-Employer are handled by the ITP system.
- the interface file caters for Income Tax and Corporation Tax repayments to customers.
- Access Control System for Tax Agents and Companies Security is a vital component of the ROS system. Both Revenue and the customer can be satisfied that the security arrangement for ROS prevents unauthorized access to information or unauthorized return filing.
- the ROS system recognizes one key digital certificate registered with Revenue by the company as the primary certificate.
- the holder of the primary certificate within a company presumably a member of senior management, may be entitled to set up in ROS additional certificates for employees to access the company's data.
- the primary certificate holder may add, amend and delete the authority given to an employee of a company.
- the ROS secure access control system is used for both tax agents and company management. Tax agents may however have an additional function which allows them to restrict the customers which their employees may access.
- the primary certificate holder specifies the identifier of the certificate that they wish to add, amend or delete in the ROS access confrol system. Tax agents who are adding or amending a certificate are then offered a screen where they specify the customers to which the new certificate may not have access, the research in the taxation market indicates that, in general, tax agents allow employees access to the majority of their customers.
- the ROS access confrol maintains a consistent level of security throughout the system. All users (whether they are individual customers acting on their own behalf, agents, employees of agents or company employees) may have unique digital certificates which individually identify their actions. All returns are signed when submitted. Company employees and agent employees may have a unique digital certificates, in order to operate on the system. The primary certificate for the company or agent is only held by senior management. Access Control
- the administrative function for access confrol may be performed by the holder of the organization's primary certificate.
- the administrator function may include a list which identifies all the certificates currently authorized to access that company's information.
- the administrator may attach a name to the certificate. The name is used to identify the certificate to the administrator in the future.
- the administrator in a tax agency may restrict access at either customer level or registration level.
- the administrator within a company can also restrict access at registration level.
- the administrator grants particular privileges at registration level.
- the privileges include the following:
- Add, update and delete which enables a user to access the return form for a customer.
- the add, update and delete privilege does not entitle a user to file a return.
- the user instead completes the return on his local machine and the return is then saved locally.
- the user with 'file' privileges may then submit that return either as part of a batch or on an individual basis.
- the function to restrict activity to a particular tax head or range of tax heads is achieved by restricting activity to registration numbers.
- the control and management of the administrator function is entirely at the company or tax agent's discretion.
- An employee joining the agent or company may require a digital certificate in order to enable them to work on the system.
- the administrator may revoke a digital certificate at any time. This facility is required when an employee leaves the company. This approach entitles the company or agent to recover the digital certificate that the employee used whilst working for that company. This prevents the employee from using that certificate after their period of employment.
- the company may also revoke a certificate's authority should they not be satisfied with recovering the certificate itself.
- The' control and management function in ROS is entirely within the control and ownership of Revenue.
- ROS The system security and audit frail functions are built for ROS.
- the audit trail reporting mechanisms developed for individual users of ROS remain in place for company employees and agent employees.
- the database of access authorities and privileges is maintained within ROS.
- the nightly refresh of the ROS database ensures that the customer-agent relationships held on ROS correlate to those held on CRS.
- an agent logs onto the system the agent is offered a list of customers which he can access. The agent may also short cut the selection process by entering an RSI number directly. Under either circumstance the agent may only be entitled to access customers with whom he is registered in CRS.
- the agent-customer relationship is defined in CRS at regisfration level. ROS access is therefore also defined at registration level. Therefore, if an agent is only entitled to file returns for a limited range of that customer's registrations, only those registrations may be available to the agent for use.
- ROS addresses the two main security areas involved in a netcentric solution:
- Integrity The information received by ROS or the customer originated from the place declared, is unaltered and arrives unaltered (via digital signatures).
- the infrastructure design for security includes both hardware and software.
- Hardware protection includes the provision of firewalls and the provision of separate machines for the public and secure areas in a system.
- Software protection focuses on locating code to maximize security. Therefore sensitive code which may be the subject of attack is located in secure areas of the system.
- ROS addresses are non-repudiation and fraceability. These are important as the objective of ROS is to handle transactions with legal validity over the internet.
- the ROS system may guarantee the integrity of data Integrity is supported through the use of digital signatures.
- a digital signature is a bit stream generated using the source document and the user private key. If a single bit is changed in the source to be signed, the bit stream may be completely different so it is impossible for somebody to change the source without invalidating the digital signature.
- ROS ensures the integrity of data fransmissions to and from the customer.
- the approach is in line with the paper published by the Government entitled 'A Secure and Trusted Electronic Business Environment for Government'.
- ROS guarantees the identification and authentication of the communication. Identification is based on the use of a digital certificate to identify both the customer and ROS server.
- Server authentication deals with ensuring that the server is who it claims to be.
- Client authentication deals with ensuring that the client (user) is who they claim to be. Both types of authentication are included in the ROS System.
- This type of authentication ensures that the customer can be certain that communication with ROS is actually going to the authentic ROS server and not to a system that 'simulates' the ROS System. This is accomplished using the SSL protocol and server digital certificates issued by an approved Certificate Authority (CA). This is a well known procedure and is implemented in almost all web browsers.
- CA Certificate Authority
- Client Authentication Allows the ROS server to ensure that communication is being performed with the identified customer and not anybody else.
- a second level of security is obtained by requesting a user to type in a password when the digital certificate is used.
- a session timeout automatically logs users out of the system if they are without activity for a given period of time.
- ROS communications and transactions cannot be repudiated by the customer. Communications to the customer are accessed through the customers inbox in CIS.
- the ROS system tracks whether or not a document has been previously accessed.
- Encryption ROS guarantees the confidentiality of data using encryption and decryption.
- encryption the only way to prevent non-members of the communication understanding (or changing) the information is encryption.
- The're are a lot of methods (protocols) to encrypt the information that flows between two points.
- the most commonly used over the web is SSL. It is implemented on all web browsers.
- the 128-bit SSL protocol should ideally be used to ensure that is not possible to decrypt the communication channel. This protocol cannot be exported outside USA and Canada except by Government and Banking organizations who can request permission to use 128-bit SSL.
- the Application Server includes an audit trail to store all the packets received and sent to the Internet.
- a transaction log is built as part of the Technical Architecture, conforming to the ROS functional requirements.
- BEA WebLogic also supports transaction isolation. Transactions are therefore fully rolled back if a severe application error is encountered ensuring that the database retains a consistent state. Recovery procedures are specified for possible failure conditions. Procedures for communicating a system failure to customers may be agreed with Revenue. These may include the use of a back-up facility.
- Firewalls perform the function of:
- the database includes strict referential integrity rules to guard against corruption.
- the core Revenue system is not directly linked to ROS. Files transferred to the main Revenue system may be virus checked before transmission.
- the method for fransferring files may be agreed during the design process.
- the chosen method may balance the risk of attack against the operational inconvenience of the various methods.
- ROS is built with a flexible architecture. This enables Revenue to procure the best of breed web servers and firewalls to protect the ROS system.
- All data written to the system comes from a customer with a digital certificate issued by an approved Certificate Authority.
- the data itself is validated before being written to the database.
- Certificate Authority revocation lists may be checked to ensure the digital certificate used by a customer is still valid.
- Software Anti-virus, Firewall software
- Hardware Smallware routers, Firewalls
- spoofing port scanning
- the software supplied by ROS may not compromise a customer's computer system.
- the ROS client configuration system requirements are minimal and standard.
- the downloaded forms are Java applications running on a Java virtual machine (also downloaded if required). This software is thoroughly checked for viruses prior to release to live.
- BEA WebLogic as well as other Application Servers, has a feature to determine a time-out interval for the transactions initiated on the system. Any time-out produced may be caught by the application and the whole transaction could be rolled back or saved as uncompleted work. The time-out period can be controlled and adjusted by Revenue. A visual guide to time remaining is included in ROS.
- ROS is dependent on the client machine to recognize this fact.
- the client browser is the controlling software in this situation on the client machine.
- the customer may exit the ROS system at any time.
- Sensitive code is located carefully on secure parts of the system.
- business data may be filed separate from the forms filed.
- the present invention may thus take the form of a consolidation of information and more of a business of processing information based on a-priori information and filling using the information repository.
- the information repository could file Sales and Use Tax based on provided information to a central application.
- the present invention may thus meet the needs that deal with the centralizing of information and distribution by the application on the part of the taxpayer.
- the present invention may also provide estimates of tax liability based on previous fillings, and afford the ability to indicate if the filling is out of line with past filings. This provides a means to use the gathered data from prior interactions the taxpayers benefit. This is preferably accomplished without making private data public, but rather using to server the consumer and assist in their interaction with the government.
- the present invention which may comprise the bulwark of a Taxpayer Service Center (TCP) that may consist of an updated and modified market offering.
- TCP Taxpayer Service Center
- the structure may be extended and modified to meet the general requirements of US State governments. This may include optional digital certificate/UserlD PIN entry functions, partial form completion and save functions for the online user, broad range of payment structures to include the possible addition of packages for credit card, EFT and electronic check, or the passing of the proper information to a legacy application that processes these payments. Further, the system may be enhanced to allow reporting of financials at multiple levels.
- Figure 33 illustrates a constituent model 3300 showing the manner in which the present invention may be based on relationships.
- the Taxpayer Service Center may be based on a three tiered definition of the users, to include a one to many relationship between the Preparation Agent 3302 and the Business 3304 and Individual 3306. This allow the Agent to act for others as well as for him/herself.
- the security process may be aligned to allow both certificate recognition across a defined set or where ID and PIN are used, to allow access based on group definition for the agent.
- the Digital Certificates process may be based on the standards defined by the CCITT X.509; this may allow certificates to be read or written by any application complying with X.509.
- Digital Certificates use public kev encryption techniques that use two related keys, a public key and a private key.
- public key encryption the public key is made available to anyone who wants to correspond with the owner of the key pair.
- the public key can be used to verify a message signed with the private key or encrypt messages that can only be decrypted using the private key.
- the security of messages encrypted this way relies on the security of the private key, which may be protected against unauthorized use. This process allows the system to recognize multiple certificates against a single user, an Individual or Business.
- the system may also be robust enough to support the concept of partial completion activity. There may be the ability to partially complete an activity and still come back at a later time to complete the activity. This is readily supported in the Enterprise Java Beans(EJB) environment as the Stateful Session Bean that represents the activity can be streamed to a database to be retrieved at a later time. This ability is based on the general concept of what a Stateful Session Bean is and how it interacts in the system. The Stateful Session Bean carries the state of the action it is responsible for. Thus, with the knowledge of the Per- quiescent data related to the activity and the state of the action in process, the bean and its unique identifiers can be place in quiescent state for a period of time and restored when appropriate.
- EJB Enterprise Java Beans
- Enterprise JavaBeansTM (EJB) technology defines a model for the development and deployment of reusable JavaTM server components. Components are pre-developed pieces of application code that can be assembled into working application systems. Java technology currently has a component model called JavaBeansTM, which supports reusable development components.
- the EJB architecture logically extends the JavaBeans component model to support server components.
- the architecture provides three basic elements: properties, methods, and events. Objects are built on three basic components: Session Beans (both stateless and stateful) and on Entity Beans.
- Session Beans both stateless and stateful
- the stateless session beans are responsible for executing functions for which no state is required. This could be a calculation of return on investment based on stock yield or just the printing of a document.
- the stateful session beans carry a state and understanding of who they act for. This could be the act of buying stocks and adding them to the users portfolio. This type of interaction spans multiple conversations or method requests and the state of these conversations may be carried with the activity.
- the third component is the entity bean, which is the persistent component on the architecture. Unlike the session beans which have a useful life that basically spans the users session, the entity bean may exist for the life of the data.
- Server components are application components that run in an application server.
- EJB technology is part of Sun's Enterprise Java platform, a robust Java technology environment that can support the rigorous demands of large-scale, distributed, mission-critical application systems.
- EJB technology supports application development based on a n-tier, distributed object architecture, in which most of an application's logic is moved from the client to the server. The application logic is partitioned into one or more business objects that are deployed in an application server.
- a Java application server provides an optimized execution environment for server-side Java application components.
- a Java application server delivers a high-performance, highly scalable, robust execution environment specifically suited to support Internet-enabled application systems.
- the Object stracture of the Taxpayer Service Center forms process component consists of two basic elements. This first is the core element which comprise the entity identification functions. This is the element that identifies who or what is being dealt with. There are three component elements. These core elements identify who the actions may be performed for in the TSC. Once the ore functions are completed, the remaining activity is related to the actions performed for these entities.
- Figure 34 illustrates the various activities 3400 associated with the operation of the present invention, as carried out by the entities of Figure 33.
- the primary activities associated with the part of the system is the virtualization offorms. This includes the activity of filling them out; paying fees and submitting them to the appropriate authority.
- This process of virtualization can not just be a one for one data entry process or there would be no incentive to process forms just to allow electronic submission. The process may take a more global view and allow the user to act on many items. This requires adjusting the requested information to compensate for the activities requested.
- the process of building an EJB application is the controlled development of the EJB components to perform the intended functions.
- the general rale of thumb is that there is an 80-20 relationship between the number of stateless and stateful session beans and that for most general applications the entity beans comprise no more the 10 percent of the developed components. These are just general rales and the complexity of the individual application can change these numbers. There are significant reasons for maintaining the ratio's.
- the cost to the system performance is impacted by the stateful session beans and finally by the entity beans in that order.
- the cost to the system is a direct relation to the data persistence interactions. The more data carried or retrieved / added to the persistent store, the greater the cost to the performance of the system.
- the development complexity of EJB components is greatest for entity beans, stateful beans followed by stateless beans.
- the Sales Tax component can be used as an example of the costs to development.
- the estimation model is based on the code complexity of the standard Java development or C++. One part of the estimation process that should not be overlooked is the reusability of these components.
- the overall system consists of two major components: the core demographics and personalization (D&P) module and the forms (FM) modules.
- D&P is the component that identifies who the participant is and what is known about the individual or business. Through this module the system handles security, payments, information exchange and portal personalization.
- FM is directly responsible for the handling, processing and submission of all forms.
- Figure 35 illustrates a Form FR-800M 3500 for sales tax reporting services in the United States.
- the Basic model of the present invention can be described in terms of the complexity of the forms to be virtualized and the amount of resources required to translate the form function into the components of the present invention.
- the system provides virtualization of a form that is primarily demographics and minor calculation fields. This is illustrated with the by the Monthly Sales Tax Form. The intent is to capture the majority of the forms data in persistent store. Thus, when the business user comes to the site to do the month sales tax, he is asked for the business location and the taxable sales. The remainder of the information is already known and the system can present the total tax value to the user for payment.
- Figure 36 is an illustration of the Washington DC Individual Income Tax Form D-40 3600.
- the second tier are those forms that require more complex interaction with the client and require validation of information through a separate or independent channel. This is an excellent example of the moderately complex form. This form requires input form the user, employer, state and may also walk the user through a complex set of issues related deductions and income.
- the third and most complex form type is one that requires data from multiple external sources and may support complex interactions with data and backend systems.
- the Washington DC Corporation Franchise Tax Return requires the detailing of income, tax, details of corporation books including loss and details to support incentive program eligibility.
- the form also requires that compensation for corporation officers be detailed.
- the complexity is a direct relation to the number and type of calculations and interrelated data capture required to complete the form.
- the intent is to use persistent data where available and to capture this data based on the expected life cycle of this information.
- Figure 37 is an illustration of the Washington DC Individual Income Tax Form D-2D 3700.
- Each of these three form types can be further broken down based on the type of processing performed. This includes the type of front end Authentication, Form creations, Payment functions and Account Balance reporting.
- the cost model can be well defined when trying to define the cost of specific applications.
- the complexity of the forms can be partially determined by the percentage of persistent data maintained with the form.
- the simple form is expected to have at least 90% of its data carried in persistent store.
- the sales tax form is a perfect example when it can be seen that the majority of data related to business location, tax number and identification are carried in persistent store.
- the only information that may be obtained at the time of submission is the amount of taxable sales and the period. The remainder of the information can be pulled for the database.
- the moderately complex form would be expected to have at least 75% of its data drawn from persistent store and any form with less then 75% held in the database would be considered a complex form.
- Figure 38 is a schematic diagram laying out the basic model for the present invention. As shown, the major interfaces and components are identified that define the process. The model can be adjusted to remove elements for the model and this may make the appropriate changes to the estimated resource requirements.
- the core elements of the TCP are:
- External interfaces can exist with some of these components where it is necessary for the virtual system to interface with the existing legacy environment.
- the normal interface with the registration component does not require an external interface. This may be required if the TSC is not the primary repository of registration data.
- the TSC would retain a complete record of all users entering through the TSC and based on the requirements those registrants would be known to the parent system. It would be the assumption that this would be loaded f om the legacy system in most cases during conversion and then new additions added on a periodic process basis.
- the system is capable of receiving and processing transactions based on registration if the legacy system is capable of providing the data. This form of data input requires alterations to most legacy systems and may be driven by requirements. If requirements allowed registration then a two way interface would need to be developed with some conflict resolution procedure between the two systems.
- the base solution does not include a PIN number distribution process. Security would be assumed to be outside this system.
- the Form Filing interface is normally related to the submission process and would occur once the forms are complete.
- the interface can be extended in those cases where interrelated activities would require that information on one submission might require additional input by the registrant.
- the interface may be capable of providing positive response of submission and forms acceptance by the responsible agency.
- the handshaking between the submission and delivery may be handled through the interface with the legacy system and may require additional development on both ends of the interface.
- Base approach would be file would be completed and submitted to the legacy system. At that time the completed form would be translated into a PDF image that would be sent to the user mailbox. Old form entry data may not be accessible through the form sub application after a specified period of time.
- the online payment process can be integrated with existing payments systems which exist in the legacy environment or can be developed independently as part of the TSC. This is a primary design requirement that may be defined prior to development start.
- the Account Balance process is intended to provide the registrant with the ability to examine existing activity, returns/applications, payments made through the TSC and any and all payment made to the agency. This requires a high degree of integration between the legacy systems and the TCP. This is one of the most complex components and leads to requirements definitions related to the level of transaction transparency.
- the normal interface would provide a summarized view that provides a complete picture of the account and activity. Transactions are normally summarized based on activity types and do not include all detail. The idea in this area is a representation of the users account rather than detailed transactions as those would require a filter of corrections or amendments from the legacy system. None in this architecture would prevent detail if the State would prefer that approach. It would require some changes to the data model in terms of the account section and a substantial increase in the processing of the transaction data.
- the TSC requires an UNIX Sun Server and Operating systems properly sized for the expected site activity. This includes all communications, storage, production support and infrastructure support. This may be identified and priced based on system load and uptime requirements.
- the TSC has a standard install base that handles the general system functions, interfaces and data persistence issues. Then following is a general list of required activities to complete the system setup and prepare it to receive new form function.
- the TSC is thus designed to be modular and can be shaped to meet the needs of most forms processing systems.
- the requirements process should identify which components are required and which can be removed as part of any implementation.
- the limitations of the system may be detailed as components are removed.
- Figure 39 is a schematic illustrating the model 3900 in which the present invention integrates tax services with business-to-business enterprises.
- various services may be offered including, but not limited to:
- On-line balance inquiry Simple request designed to replace a phone call or letter
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Description
Claims
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US6473741B1 (en) | 1998-10-26 | 2002-10-29 | Samuel R. Baker | Method and system for aggregation and exchange of electronic tax information |
JP2003168002A (en) * | 2001-09-18 | 2003-06-13 | Nec Corp | Method and system for contracting insurance, portable terminal and insurance contract program |
US7747938B2 (en) * | 2004-05-04 | 2010-06-29 | Oracle International Corporation | Data insertion from a database into a fixed electronic template form |
US7996759B2 (en) | 2004-09-14 | 2011-08-09 | Oracle Internatonal Corporation | Data insertion from a database into a fixed electronic template form that supports overflow data |
US9779078B2 (en) | 2004-11-05 | 2017-10-03 | Automatic Data Processing, Inc. | Payroll processor system and method |
US8099341B2 (en) | 2006-01-31 | 2012-01-17 | OREM Financial Services Inc. | System and method for recreating tax documents |
CN102479412B (en) * | 2010-11-26 | 2014-01-15 | 航天信息股份有限公司 | Processing method and system of network invoicing data as well as tax control device and handling server |
US10755294B1 (en) | 2015-04-28 | 2020-08-25 | Intuit Inc. | Method and system for increasing use of mobile devices to provide answer content in a question and answer based customer support system |
US10475044B1 (en) | 2015-07-29 | 2019-11-12 | Intuit Inc. | Method and system for question prioritization based on analysis of the question content and predicted asker engagement before answer content is generated |
US10733677B2 (en) * | 2016-10-18 | 2020-08-04 | Intuit Inc. | Method and system for providing domain-specific and dynamic type ahead suggestions for search query terms with a customer self-service system for a tax return preparation system |
US10552843B1 (en) | 2016-12-05 | 2020-02-04 | Intuit Inc. | Method and system for improving search results by recency boosting customer support content for a customer self-help system associated with one or more financial management systems |
US10748157B1 (en) | 2017-01-12 | 2020-08-18 | Intuit Inc. | Method and system for determining levels of search sophistication for users of a customer self-help system to personalize a content search user experience provided to the users and to increase a likelihood of user satisfaction with the search experience |
US10922367B2 (en) | 2017-07-14 | 2021-02-16 | Intuit Inc. | Method and system for providing real time search preview personalization in data management systems |
US11093951B1 (en) | 2017-09-25 | 2021-08-17 | Intuit Inc. | System and method for responding to search queries using customer self-help systems associated with a plurality of data management systems |
US11436642B1 (en) | 2018-01-29 | 2022-09-06 | Intuit Inc. | Method and system for generating real-time personalized advertisements in data management self-help systems |
US11269665B1 (en) | 2018-03-28 | 2022-03-08 | Intuit Inc. | Method and system for user experience personalization in data management systems using machine learning |
CN111192121A (en) * | 2019-12-17 | 2020-05-22 | 航天信息股份有限公司 | ANN-based automatic risk taxpayer early warning method and system |
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US5193057A (en) * | 1988-01-21 | 1993-03-09 | Beneficial Franchise Company Inc. | Electronic income tax refund early payment system with means for creating of a new deposit account for receipt of an electronically transferred refund from the irs |
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