Return on Investment (ROI) Program Funding
Application
This template was built using the ITD ROI Submission
Intranet application. FINAL AUDIT REQUIRED: The Enterprise
Quality Assurance Office of the Information Technology Department is
required to perform post implementation outcome audits for all Pooled
Technology funded projects and may perform audits on other projects.
This is: A Pooled Technology Fund or Reengineering Fund Request. Amount
of funding requested: $520,850.00 An Agency IT Expenditure or Budget Request
(General Fund, Road Funds, Grants, etc.). Amount of funding requested:
$0.00
Section I: Proposal
Date:
8/21/02
Agency Name:
Revenue & Finance
Project Name:
Electronic Tax Administration
Agency Manager:
Rich Jacobs
Agency Manager Phone Number / E-Mail:
(515)281-3488 / richard.jacobs@idrf.state.ia.us
Executive Sponsor (Agency Director or Designee):
Gerald Bair
Project Summary:
Project funds are being requested to
allow the agency to expand its successful implementation of e-services in
the area of electronic tax administration. This project includes, but is
not limited to, electronic filing of sales and other business taxes and
web-based access to customer account information.
Request for ROI Application Waiver:
Is this a request for a waiver? YES
Agencies are required to complete this funding
application when requesting funds for any Pooled Technology project, any
IT expenditure costing over $100,000, or any non-routine IT expenditure.
If you feel there is a compelling reason to waive this requirement,
please provide (in the box below) a brief description of the project or
expenditure, the budget amount, and a rationale for the waiver request.
Explanation:
Until a decision is made
regarding your waiver request, it is not necessary to complete any other portion
of this application. The ITD Enterprise Quality Assurance Office will convey
waiver request decisions within five working days of receipt.
A. Statutory or Other Requirements
Is this project or expenditure necessary for compliance with a Federal law,
rule, or order?
YES (If "Yes", cite the specific Federal law, rule or order.)
Explanation:
Is this project or expenditure required by state law, rule or order?
YES (If
"YES", cite the specific state law, rule or order. ) Explanation: To achieve policy goal of providing services electronically and
to permit agency to provide service to diverse customer basis the department is
attempting to provide services electronically when cost effective and sufficient
benefits can be derived.
Does this project or expenditure meet a health, safety or security
requirement? YES
(If "YES", explain.) Explanation:
Is this project or expenditure necessary for compliance with an enterprise
technology standard? YES (If "YES", cite the specific standard.)
Explanation: In providing the services outlined, the
department intends to comply with the standards relating to e-payment, eforms
and the use of appropriate application development tools and databases. Such
compliance has been a component of all e-service applications completed by the
agency. To the extent that IDRF continues to strive to be on the "cutting edge"
in delivery of transactional services via e-service the agency has often elected
to implement the technologies prior to or in conjunction with their acceptance
as an enterprise standard.
Is this project or expenditure consistent with meeting the goals and
objectives of the State's strategic plans? YES (If "YES", cite the specific
standard.) Explanation: The proposal directly
supports the departments efforts to obtain necessary efficiencies in its
operating budget which are necessary as the result of reductions in funding. The
agency believes the savings achieved through its Electronic Tax Administration
program are critical to insure that necessary service levels will continue to be
met. The projects outlined directly contribute to Governor Vilsacks vision that
Iowa government will continue to strive to reconnect Iowans by providing all
services electronically.
[This section to be scored by
application evaluator.]
Evaluation (15 Points Maximum) If the
answer to these criteria is "no," the point value is zero (0). Depending
upon how directly a qualifying project or expenditure may relate to a
particular requirement (federal mandate, state mandate,
health-safety-security issue, or compliance with an enterprise technology
standard), or satisfies more than one requirement (e.g. it is mandated by
state and federal law and fulfills a health and safety mandate), 1-15
points awarded.
B. Customer Service Improvements
Summarize the extent to which the the
project or expenditure improves customer service to Iowa citizens or within
State government. Included would be such items as improving the quality of life,
reducing the government hassle factor, provding enhanced services, improving
work processes, etc. Response: The FY 2004 Return on
Investment funding request is aimed at identification of funding for projects in
four areas:
1. Expanding Electronic Filing of Income Tax Returns 2.
Creating an environment which will support electronic filing of sales and other
excise taxes 3. Developing interfaces between current legacy applications
and Internet to encourage electronic retrieval of information and submission of
information/payments necessary to support tax administration. 4. Supporting
access to customer information in areas of Withholding Taxes and Other Legacy
Applications.
Each of these applications directly effects the Iowa
citizens in three ways. a) Cost of completing transactions with state
government is reduced b) Time for service is reduced - This is true whether
in the form of reduction in time for transactions or registrations to be
processed or in obtaining access to information necessary for customer to
complete required transactions. c) Accuracy of information submitted and
retrieved is improved resulting in fewer customer errors.
Whether it be
from reduced costs for preparation of tax returns, improved access to
information or simply the improvements in operating efficiency of the agency,
customers of the Iowa Department of Revenue and Finance (i.e. citizens of
Iowa,individuals and businesses located around the nation or other government
agencies) will each benefit. As documented in the following sections, the
estimated benefit of such an investment could be expected to exceed $5.0 million
annually. In addition, the increased use of effective efiling options permits
the department to continue to allocate its declining resources to insure the
timely processing of tax returns and accompanying payments. Without a continuing
increase in the use of such efiling options, delays in deposit and issuance of
refunds would be more common place. Customers will experience the direct effects
of these delays and the state will experience several hundred thousand dollars
of interest costs.
[This section to be scored by
application evaluator.]
Evaluation (15 Points Maximum)
Minimally improves customer service (0-5 points).
Moderately improves customer service (6-10 points).
Significantly improves customer service (11-15 points).
C. Impact on Iowa's Citizens
Identify the main project or expenditure
stakeholders and summarize the extent to which each, especially citizens, is
impacted. Response: The department recognizes that
with nearly 1.4 million individual income tax returns filed each year and over
100,000 businesses registered for sales and/or withholding taxes that it serves
the largest and most diverse set of customers of any state agency. In addition
to taxpayers, the agency provides support for all state employees and the
vendors who conduct business with the state through the states payroll and
accounting systems. The department recognizes that by partnering with other
enterprise support agencies (i.e. ITD and Personnel) that web-enabled access to
information will improve the efficiency of operations and provide improved
service to the users of these systems.
Customers of the Iowa Department
of Revenue and Finance are asking for these services.
-- "If We Build
It, They Will Come" is true in IDRFs E-services program - Over 90% of customers
surveyed indicated that if department creates additional applications they will
utilize these applications. With the development and marketing of applications
used by over 750,000 individuals and businesses, the department has created an
infrastructure of technology and knowledge that is prepared for the challenge of
providing additional electronic services.
-- With over 50 percent of
income tax returns expected to be filed electronically in 2003, the department
is well on its way to reaching the goal of having 80 percent of individual
income tax returns filed electronically by 2007. A key component of this program
is the expansion and continued marketing of web based electronic filing services
offered by the agency. By bringing this "in-house" the application can be
enhanced and utilization increased.
-- Over 70 percent of business
customers surveyed indicated that they wished to have 24X 7 access to their
account information. The applications described in the Electronic Tax
Administration program are intended to meet the requests of businesses to update
their profile information and to have access to past payment records.
--
Costs for compliance are expected to be reduced whenever a return filing is
automated thereby permitting taxpayer preparation in contrast to costly
professional assistance.
--Taxpayers also benefit whenever information
required for the successful completion of a return (ex: prior payment
information or outstanding account balances) is easily available.
At the
same time that the agency is considering expansion of services, it is important
to recognize that with the budget reductions which are occurring the
effectiveness of traditional processing, deposit, enforcement and collection
services must continue to improve. Such improvements are also necessary to
provide the infrastructure which will allow for the continued expansion of
electronic services. The request provides this support by requesting the
resources necessary to complete construction of an additional application within
the departments Integrated Revenue Information System (IRIS). This application
will process transaction data from nearly 800,000 withholding tax returns and
remittances. With the inclusion of withholding tax data into IRIS, data from the
four major revenue sources will be integrated in one database thereby allowing
taxpayers and application developers a single access point for electronic tax
transactions.
Maintaining the security of tax return information is also
a key component of the initiative. More than most government organizations, the
department must insure that data is secure during transmission, while stored and
when retrieved. The agency has committed substantial funds to building a secure
network infrastructure that meets IRS and state requirements. The proposal will
insure the continuity of this security infrastructure as we conduct business
electronically with our customers.
[This section to be scored by
application evaluator.]
Provide a pre-project or pre-expenditure
(before implementation) description of the impacted system or process.
Response: The proposal would allow the agency to
extend its successful implementation of e-services which are demonstrated in the
vision the agency has for electronic tax adminstration.Currently, the agency has
legacy applications that are used to support the capture and processing of tax
and accounting information submitted primarily in paper format. Information is
processed and stored in legacy databases which are used to generate
correspondence and other information for customers. Customer inquiries are
responded to through use of applications interfacing to these databases. The
goal of the applications is to re-engineer the processes to reflect the
increased reliance on electronically filed data and to redirect the resources
that have supported the manual processes to other priority areas within the
agency.
Provide a post-project or post-expenditure (after implementation) description
of the impacted system or process. In particular, note if the project or
expenditure makes use of information technology in reeengineering traditional
government processes. Response: Electronic
submission and electronic retrieval of information necessary to conduct business
with the state will be the key objective. However, rather than simply automating
these processes the agency intends to examine the functions as the applications
are initiated. Examples of where such innovation has occurred has been the
adoption within the agency of a central point of customer service contact for
addressing all customer support requests associated with electronic
applications. In addition, use of electronically captured income tax data to
directly support the compliance efforts of the agency has occurred with the
creation of an application integrating EForms and a relational database
structure for providing "on line" access to examiners. Previously, replicas of
electronically filed income tax returns were created but the process for
retrieval was lengthy and paralleled the manual process used for paper returns.
The department anticipates that the funding request will provide
resources needed to initiate an examination of the current legacy applications
to determine if the current application infrastructure are appropriate for
continued investment as the platform for additional tax applications. In
conjunction with the Departments of Human Services and Information Technology
(and others) the agency anticipates that a review of the current mainframe
database will be initiated in FY 04 if funding is available. Such a review may
allow the agencies to select an alternative means for providing database support
necessary for electronic tax administration.
[This section to be scored by
application evaluator.]
Evaluation (10 Points Maximum)
Minimal use of information technology to reengineer
government processes (0-3 points).
Moderate use of information technology to reengineer
government processes (4-6 points).
Significant use of information technology to reengineer
government processes (7-10).
E. Project Participants
List the project participants (i.e. single
agency, multiple agencies, State government enterprise, citizens, associations,
or businesses, other levels of government, etc.) and provide commentary
concerning the nature of participant involvement. Response: --Partnering with Iowa Department of Information Technology, the
department will work to develop applications that support the use of emerging
technologies, --Customer groups including various tax associations, tax
professionals and other agencies that utilize internal applications will be
included in design, marketing and evaluation of each application --Other
state tax and accounting organizations will be periodically surveyed to insure
that department strategy can benefit from the previous efforts by others
--Internal Revenue Service will continue to be a strong partner in
development of applications that are used for electronic tax administration
[This section to be scored by
application evaluator.]
Evaluation (10 Points Maximum)
One agency (0-3 points).
Multiple agencies or levelsof government (4-6 points).
State government enterprise (7-10 points).
F. Risk
Describe the likelihood of successful technical implementation
of the project. This is not the same as meeting the programmatic (business) goal
of the project. Response: Department has proven
record of deploying highly successful applications; Over 1 dozen applications
developed in less than two years; Over 750,000 individual contacts under
electronic tax service applications in FY 02; Success is not only desired within
agency, Success is REQUIRED to achieve the efficiencies needed
[This section to be scored by
application evaluator.]
Evaluation (5 Points Maximum)
High Overall Risk, Low Chance of Success (0-2 points).
Moderate Overall Risk, MOderate Chance of Success (3-4
points).
Low Overall Risk, High Chance of Success (5 points).
What is the programmatic (business) risk of not achieving the project goals
to Iowa citizens and employees? What are the risks to Iowans if this project
fails? Response: With the success of electronic tax
administration, the agency will be able to continue to meet the needs of its
diverse customer base for effective and fair tax administration. Failure is not
considered an option, yet it is recognized that without the successful
completion of these initiatives the agency will continue to encounter delays in
processing of tax refunds and tax deposits and have less capability to provide
effective enforcement programs which insure the continued high rate of voluntary
compliance which exists with state taxes.
Program Objectives include:
1. Expansion of electronic income tax filing including income tax returns
other than individual income 2. Support of electronic filing of sales and
other business taxes; Iowa currently has 100,000 retailers who report at least
quarterly and pay nearly $2.0 billion in state and local taxes; With increased
use of electronic based retailing, Iowa must position itself to partner with
other states to accept electronically filed tax returns from multi-state
vendors; The agency anticipates this national sales tax simplification effort
will be realized in FY 04. 3. Developing interfaces between legacy and web
based applications to support access to customer account information including
accounts receiveable data, property tax data and vendor accounting data 4.
Creating additional opportunities for re-engineering of legacy applications to
include the incorporation of the last major tax return processing system (i.e.
withholding taxes) into the departments integrated revenue information system
[This section to be scored by
application evaluator.]
Evaluation (5 Points Maximum)
High Overall Risk, Low Chance of Success (0-2 points).
Moderate Overall Risk, MOderate Chance of Success (3-4
points).
Low Overall Risk, High Chance of Success (5 points).
G. Requestor Experience and Past Results
Provide three examples of
relevant agency IT projects, project management experience and results. List any
projects that required remediation and steps taken to resolve.
Response: 1. Electronic Filing of Income Tax Returns
- Building on a joint initiative with IRS, the state has achieved the highest
rate of participation in what is known as the federal/state electronic filing
program. Since 1999 this program has been expanded to include two independent
department electronic filing programs (Telefile and WebFile). Together in 2003
this program will allow nearly 800,000 Iowa tax returns to be filed
electronically. While successful from the inception, the program has required
frequent adjustments in strategy as the various thresholds of customer
participation were reached. For example, initially the program was a means to
provide a rapid tax refund for those using paid tax professionals. However in
more recent years, the focus of the program has changed to include self-
prepared returns and encouraging the use of filing by those who “owe” taxes at
time of filing. This year similar challenges have been met and the state
realized a 31percent increase in the number of electronically filed returns.
This growth exceeded that experience by the IRS and nearly all other states.
2. Income Tax Payment – In 2001, the department developed and deployed
its first application integrating a web interface with mainframe legacy data to
allow customers to “register” and “warehouse” payment requests which would
subsequently be completed through electronic funds transfer. The agency found it
beneficial to form a partnership with ITD and a private vendor to plan and
deploy the technology. Given the complexity of technology, the department and
ITD have worked together to modify both the infrastructure and to a lessor
degree the application. This effort has resulted in a solid foundation for
future development. An interesting side note to this effort, was the successful
reuse of the application’s objects; two additional applications to provide
taxpayer access were each developed and deployed in less than 6 weeks each.
3. Other Web Based Applications- As indicated, the agency has
approximately a dozen web based applications that are in production. Several of
these are used on a regular basis by customers to access information on tax
returns while another allows customers to register and modify their customer
registration information with the department. In addition, several web based
applications are used internally for registration of information and providing
secure access for other agencies to information needed for managing accounts
maintained by IDRF. Each of these has been successfully deployed and maintained
during the past two years.
[This section to be scored by
application evaluator.]
Evaluation (5 Points Maximum)
Minimal success(0-2 points).
Usually successful (3-4 points).
Almost always successful (5 points).
This criteria involves
rating the extent to which previous projects have successfully achieved
their objectives e.g. on time, on budget, minimal implementation problems,
positive programmatic impact, partnering with other agencies, and impact
on other agencies.
H. Funding Requirements
On a fiscal year basis, enter the estimated
cost by funding source:
FY04
FY05
FY06
Cost($)
% Total Cost
Cost($)
% Total Cost
Cost($)
% Total Cost
State General Fund
$670,400
56%
$25,000
15%
$25,000
15%
Pooled Tech. Fund
$520,850
44%
$146,600
85%
$146,600
85%
Federal Funds
$0
0%
$0
0%
$0
0%
Local Gov. Funds
$0
0%
$0
0%
$0
0%
Grant or Private Funds
$0
0%
$0
0%
$0
0%
Other Funds (Specify)
$0
0%
$0
0%
$0
0%
Total Project Cost
$1,191,250
100%
$171,600
100%
$171,600
100%
Non-Pooled Tech. Total
$670,400
56%
$25,000
15%
$25,000
15%
Is this project the first part of a future, larger project? YES (If "YES", explain.)
Explanation: Department considers electronic tax
administration an ongoing program
Is this project a continuation of a previously begun project? YES (If "YES", explain.)
Explanation: Efforts made in FY 01 and FY 02 which
were partially funded from Pooled Technology resources are to continue under
this program. To eliminate funding at this time will in effect result in
obsolescence in initial applications and will preclude the completion of
applications for which design work has begun.
[This section to be scored by
application evaluator.]
Evaluation (10 Points Maximum)
This is the first year of a multi-year project / expenditure or
project / expenditure duration is one year (0-5 points)
The project / expenditure is of a multi-year nature and each annual
component produces a definable and stand-alone outcome, result or
product (2-8 points).
This is beyond the first year of a multi-year project / expenditure
(6-10 points)
The last part of this criteria involves rating the
extent to which a project or expenditure is at an advanced stage of
implementation and termination of the project / expenditure would waste
previously invested resources.
I. Source of Funds (Pooled Technology Funds Only)
On a fiscal year
basis, how much of the total project cost ($ amount and % ) would be
absorbed by your agency from non-Pooled Technology funds? If desired,
provide additional comment / response below. Response: $670,400 or 56% of initial expenditure
[This section to be scored by
application evaluator.]
Evaluation (5 Points Maximum)
0% (0 points)
1%-12% (1 point)
13%-25% (2 points)
25%-38% (3 points)
39%-50% (4 points)
Over 50% (5 points)
Section II: Financial Analysis
A. Project Budget Table
It is necessary to estimate and assign a
useful life figure to each cost identified in the project budget. Useful
life is the amount of time that project related equipment, products, or services
are utilized before they are updated or replaced. In general, the useful life of
hardware is three (3) years and the useful life of software is four (4) years.
Depending upon the nature of the expense, the useful life for other project
costs will vary between one (1) and four (4) years. On an exception basis, the
useful life of individual project elements or the project as a whole may exceed
four (4) years. Additionally, the ROI calculation must include all new
annual ongoing costs that are project related.
The Total Annual Prorated Cost (State Share) will be calculated based on the
following equation:
Budget Line Items
Budget Amount (1st Year Cost)
Useful Life (Years)
% State Share
Annual Ongoing Cost (After 1st Year)
% State Share
Annual Prorated Cost
Agency Staff
$626,400
4
100.00%
$25,000
100.00%
$181,600
Software
$0
4
0.00%
$0
0.00%
$0
Hardware
$0
3
0.00%
$0
0.00%
$0
Training
$44,000
4
100.00%
$0
0.00%
$11,000
Facilities
$0
1
0.00%
$0
0.00%
$0
Professional Services
$292,500
4
100.00%
$25,000
100.00%
$98,125
ITD Services
$96,600
1
100.00%
$96,600
100.00%
$193,200
Supplies, Maint, etc.
$0
1
0.00%
$0
0.00%
$0
Other
$131,750
4
100.00%
$25,000
100.00%
$57,938
Totals
$1,191,250
---
---
$171,600
---
$541,863
B. Tangible and/or Intangible Benefits
Respond to the following and
transfer data to the ROI Financial Worksheet as necessary:
1. Annual Pre-Project Cost - This section should be completed only if
state government operations costs are expected to be reduced as a result of
project implementation. Quantify all actual state government direct and indirect
costs (personnel, support, equipment, etc.) associated with the activity, system
or process prior to project implementation. Describe Annual
Pre-Project Cost: Reductions in costs are expected to allow
other programs to be continued;
Quantify Annual Pre-Project Cost:
State Total
FTE Cost(salary plus
benefits):
$0.00
Support Cost (i.e. office supplies,
telephone, pagers, travel, etc.):
$0.00
Other Cost (expense items other than FTEs
& support costs, i.e. indirect costs if applicable,
etc.):
$0.00
Total Annual Pre-Project
Cost:
$225,000.00
2. Annual Post-Project Cost - This section should be completed only if
state government operations costs are expected to be reduced as a result of
project implementation. Quantify all actual state government direct and indirect
costs (personnel, support, equipment, etc.) associated with the activity, system
or process after project implementation. Describe Annual
Post-Project Cost: Estimated savings which would be
redirected to other projects of approximately $225,000
Quantify Annual Post-Project Cost:
State Total
FTE Cost(salary plus
benefits):
$0.00
Support Cost (i.e. office supplies,
telephone, pagers, travel, etc.):
$0.00
Other Cost (expense items other than FTEs
& support costs, i.e. indirect costs if applicable,
etc.):
$0.00
Total Annual Post-Project
Cost:
$0.00
3. Citizen Benefit - Quantify the estimated annual value of the
project to Iowa citizens. This includes the "hard cost" value of avoiding
expenses ("hidden taxes") related to conducting business with State government.
These expenses may be of a personal or business nature. They could be related to
transportation, the time expended on or waiting for the manual processing of
governmental paperwork such as licenses or applications, taking time off work,
mailing, or other similar expenses. As a "rule of thumb," use a value of $10 per
hour for citizen time savings and $.325 per mile for travel cost savings.
Travel
Savings
Number of Trips:
$0
Miles per Trip:
0
Trips per Year:
0
Number of Citizens Affected:
0
Rate per Mile
$0.325
Total Travel Savings:
$0
Transaction Savings
Number of annual online transactions:
1
Hours saved/transaction:
4
Number of Citizens affected:
125,000
Value of Citizen Hour
10
Total Transaction Savings:
$5,000,000
Other Savings (Describe) Savings from
reduced time for customer to access department information
$400,000
Total Savings:
$5,400,000
4. Opportunity Value/Risk or Loss avoidence - Quantify the estimated
annual non-operations benefit to State government. This could include
such items as qualifying for additional matching funds, avoiding the loss of
matching funds, avoiding program penalties/sanctions or interest charges,
avoiding risks to health/security/safety, avoiding the consequences of not
complying with State or Federal laws, providing enhanced services, avoinding the
consequences of not complying with enterprise technology standards, etc.
Response: Difficult to quantify, however, failure to
meet IRS requirements for security of data has potential of endangering state
access to IRS data which is a source of substantial compliance revenue.
5.Benefits Not Readily Quantifiable - List and summarize the overall
non-quantifiable benefits (i.e., IT innovation, unique system application,
utilization of new technology, hidden taxes, improving the quality of life,
reducing the government hassle factor, meeting a strategic goal, etc.).
Response: Agencys infrastructure of applications and
services is diverse and complex; failure to maintain and enhance this
infrastructure will mean a reduction in services that can be offered to our
customers. In addition, the agency staff will find that it will lose the chance
to work in an agency which places a premium on technology, thereby affecting
morale and employee satisfaction.
Rate the overall non-quantifiable benefits on a "1 - 10" basis, with "10"
being of highest importance: 10
Benefits Not Readily
Quantifiable
ROI Financial Worksheet
A. Total Annual Pre-Project cost (State Share from
Section II B1):
$225,000
B. Total Annual Post-Project cost (State Share from
Section II B2):
[This section to be scored by
application evaluator.]
Evaluation (10 Points Maximum)
Generates 0% annual return on investment (0 points)
Generates 1-3% annual return on investment (1 point)
Generates 4-6% annual return on investment (2 points)
Generates 7-10% annual return on investment (3 points)
Generates 11-15% annual return on investment (4 points)
Generates 16-20% annual return on investment (5 points)
Generates 21-25% annual return on investment (6 points)
Generates 26-44% annual return on investment (7 points)
Generates 45-63% annual return on investment (8 points)
Generates 64-82% annual return on investment (9 points)
Generates over 83% annual return on investment (10 points)
Note: For projects where no State Governmment Benefit,
Citizen Benefit, or Opportunity Value or Risk/Loss Avoidance Benefit is
created due to the nature of the project, the Benefit/Cost Ratio and
Return on Investment values are set to Zero.
Section III. Technology
A. Current Software Technology
1) Software (Client Side / Server Side / Mid-Range / Mainframe ) :
a) Application Software
Mainframe- IDMS, ADSO, COBOL DMLInternet Application-
Websphere MQ Series Messaging and Java, Visual Intedevl and MicroSoft
Transaction server
b) Operating system software Various per application
c) Major interfaces
to other systems, both internal and external Internal
applications are interfaced
d) Other
2) Hardware (Client Side / Server Side / Mid-Range / Mainframe ) :
a) Platform, operating
system Mainframe and Windows for Clients and Servers
b) Storage and
physical environment Internal
c) Connectivity and bandwidth Network 10mg Ethernet with Frame Relay for WAN connectivity
d) Logical and
physical connectivity Mainframe connectivity provided via
TN 3270
e) Major
interfaces to other systems, both internal and external
f) Other
B. Proposed Technology
1) Software (Client Side / Server Side / Mid-Range / Mainframe ) :
a) Application Software
Same
b) Operating system software Same
c) Major interfaces
to other systems, both internal and external Same
d) General
parameters if specific parameters are unknown or to be determined Same
e)
Other Same
2) Hardware (Client Side / Server Side / Mid-Range / Mainframe ) :
a) Platform, operating
system Same
b) Storage and physical environment Same
c) Connectivity and
bandwidth Same
d) Logical and physical connectivity Same
e)
Major interfaces to other systems, both internal and external Same
f)
General parameters if specific parameters are unknown or to be determined
Same
g) Other
C. Data Elements
Dependent on application
D. Security / Data Integrity / Data Accuracy / Information Privacy
1) List the Security
Requirements of the project Data security is a key
requirement for the department. As indicated, the project consists of several
initiatives and thus, a portion of the security requirements are met by a
security model, which is already in place. As to other security requirements,
the department has a well-recognized commitment to insuring the security of data
and applications. As an example, the agency has gone to the effort to establish
an independent firewall with supporting hardware and software and will soon be
supporting data encryption for its WAN traffic to meet the state and federal
confidentiality requirements under which the department operates. This security
will be enhanced perhaps further than in most state agencies as we will install
additional filters or security levels between the mainframe, the web server and
the Internet. The project requests funding for completing a security model
design which insures the confidentiality and integrity of the application and
the data.
b) Security Integration- Applications are being created to
function within state’s enterprise architecture including web sphere application
server using SSL security. In addition, agency is designing applications with
application level authentication and validation functionality. The agency is
also actively pursuing the use of security independent of application such as
PKI and/or LDAP services.
c) Data Integrity- Taxpayer provided data,
which is extracted from mainframe applications used for tax return processing,
contain complex logic to ensure accurate information when accepted. Retrieval of
data will involve processes for validation that correct taxpayer information is
retrieved.
2)
Describe how the security requirements will be integrated into this project and
tested. see above
3) Describe what measures will be taken to insure data
integrity, data accuracy and information privacy. see above
E. Project Schedule
Describe general time lines, resources, tasks, checkpoints, deliverables,
responsible parties, etc. Project schedule includes
commitments to provide: 1. Electronic Filing of Income Tax Returns on
Alternative Platform – Prior to January 2004 2. Sales Tax Filing – Dependent
on National Sales Tax Simplification Program, but anticipated to be completed by
January 2004. 3. Web Access Initiatives- Several will be completed during FY
2004 4. Completion of Integration of Withholding Taxes into IRIS- October
2003Additional projects including Web information and information push will
continue during FY 02 and through FY 04
Section IV. Auditable Outcome Measures
For each of the below categories, list the auditable metrics
for success after implementation and identify how they will be measured.
1. Improved customer
service Customer Service Evaluations will be conducted as
part of service delivery; target will be to achieve a 90% satisfaction rating.
2. Citizen impact
Reduction in costs for tax return preparation for those
using services will be measured
3. Cost Savings Department will measure
program effects in conjunction with other program measurements to document that
savings in costs of processing or customer service; these will include program
costs for processing of tax returns; costs for department distribution of paper
documents; costs for processing of information necessary for local tax
administration etc.
4. Project reengineering Agency will examine programs to
determine if improvements in service delivery can be documented
5. Source of funds
(Budget %) No response required.
6. Tangible/Intangible benefits Employee satisfaction will be measured to insure that benefits of
program are fully understood within organization
