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1
ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT
I N F O R M A T I O N N O T E
Application Software Solutions Being Used to Support the Technical Architecture of Selected Revenue Bodies Prepared by Forum on Tax Administration Taxpayer Services Sub-group March 2006
CENTRE FOR TAX POLICY AND ADMINISTRATION
2
TABLE OF CONTENTS ABOUT THIS DOCUMENT .............................................................................................................................3
Purpose ...........................................................................................................................................................3 Background ....................................................................................................................................................3 Caveat .............................................................................................................................................................3 Inquiries and further information................................................................................................................3
SUMMARY ..........................................................................................................................................................4
BACKGROUND ..................................................................................................................................................5
SURVEY APPROACH .......................................................................................................................................6
SURVEY RESPONSES......................................................................................................................................8
Use of System Integrators.............................................................................................................................8 Software Solutions by Capability.................................................................................................................8
CONCLUSIONS ................................................................................................................................................25
FIGURES
Figure 1: ATO Capability Model…………………………...…………………………………………….………………………4
TABLES
Table 1: Summary of Common Software Applications…………………………………………………………………………23
ANNEX 1: Description of the Australian Taxation Offices (ATO’s) Capability Model……………..................25
3
ABOUT THIS DOCUMENT
Purpose
This note summarises information provided by revenue bodies in seven OECD member countries regarding application software solutions, planned or implemented, to support revenue administration. This information is intended to complement the guidance in the note ‘Achieving Success with Electronic Services – The Importance of Having a Sound Business Architecture’ issued in April 2005.
Background Since its establishment in July 2002, the Forum on Tax Administration (FTA), a subsidiary body of the OECD’s Committee on Fiscal Affairs (CFA), has operated with the broadly stated mandate ………. to develop effective responses to current administrative issues in a collaborative way, and engage in exploratory dialogue on the strategic issues that may emerge in the medium to long term. To carry out this mandate, the Forum’s work is directly supported by two specialist Sub-groups—Compliance and Taxpayer Services (previously e-services)—that each carry out a program of work agreed by member countries.
The Taxpayer Services Sub-group exists to provide a forum for members to share experiences and knowledge of approaches to taxpayer service delivery, in particular through the use of modern technology. In this context, it is expected to: 1) periodically monitor and report on trends in taxpayer service delivery, with a particular focus on the development of electronic/online services; 2) examine ways to promote the uptake and use of electronic services by revenue bodies; 3) examine options for cross-border administrative simplification and consistency; and 4) assist, as appropriate, other groups of the CFA. This document is a by-product of the Sub-group’s work.
Caveat
National revenue bodies face a varied environment within which to administer their taxation system. Jurisdictions differ in respect of their policy and legislative environment and their administrative practices and culture. As such, a standard approach to tax administration may be neither practical nor desirable in a particular instance. The documents forming the OECD tax guidance series need to be interpreted with this in mind. Care should always be taken when considering a country’s practices to fully appreciate the complex factors that have shaped a particular approach.
Inquiries and further information
Inquiries concerning any matters raised in this information note should be directed to Richard Highfield (Head, CTPA Tax Administration and Consumption Taxes Division), phone +33 1 4524 9463 or e-mail ([email protected]).
4
SUMMARY
This note summarises information provided by revenue bodies in seven OECD member countries (i.e., Australia, Canada, New Zealand, Norway, The Netherlands, UK and US) to a 2005 survey regarding application software solutions, both custom-built and commercial off-the-shelf (COTS), planned or being implemented to support revenue administration.
The aim of this work was to provide an inventory of solutions being adopted by a select number of national revenue bodies to support the technical architecture of revenue bodies’ IT systems and to identify areas of commonality in approach, thus facilitating cross-country exchanges of experiences to assist future decision making in this area. The information in this note is intended to supplement the guidance contained in the note issued in April 2005 titled ‘Achieving Success with Electronic Services – The Importance of Having a Sound Business Architecture’.
The survey results clearly indicate that there is a diverse range of application software solutions planned or in the process of being implemented while, in relation to some capabilities (such as reporting, data services and workforce management), there is some commonality in the solutions in use or being deployed. This note does not attempt to draw conclusions or define “best practice” regarding custom-build vs. COTS approaches. Nor does it seek to recommend particular commercially-available software or service providers.
Further updates to reflect new developments, or to include input from additional member countries, will be considered at future meetings of the FTA Taxpayer Services Sub-group.
5
BACKGROUND
1. At the September 2004 meeting of the Forum on Tax Administration’s (FTA) Taxpayer Services Sub-Group in The Hague, Australia agreed to undertake a project to gather and share information across agencies about systems, software and processes being redeveloped, replaced, or upgraded. This was seen as being a useful way for the group to understand the nature and extent of change/redevelopment processes planned/underway and the solutions being adopted to provide an initial reference point for sharing lessons, approaches, designs, architectures and potentially even software.
2. The original intention was to involve all member countries in this work. However, due to the complexity associated with the various components of the architecture and the range of software options, it was decided to undertake an initial survey with a limited group of countries. Countries that participated in the initial survey were Australia, Canada, the United Kingdom (UK) and the United States of America (US).
3. The inventory from the initial survey was presented and discussed at the FTA Taxpayer Services Sub-group in September 2005 and it was agreed that the value of this information would be enhanced if a larger number of countries were represented. In addition, it was agreed that it would also be useful for all participating countries to share information in relation to their use of ‘System Integrators’1.
4. Following the meeting, the survey information was distributed to five further countries – Denmark, Mexico, The Netherlands, New Zealand and Norway. Feedback received from these additional countries has been incorporated into this report. Denmark advised that they are in the midst of a tender process to modernise their systems and platforms so were not in a position to contribute at this stage.
1 System Integrators are external enterprises bringing together various technology components
(customised to the agency’s needs) to deliver an integrated solution to the agemcu. System Integrators may or may not own some or all of the technology being delivered.
6
SURVEY APPROACH
5. In order to be able to sensibly bring together information on the change work currently underway for each country and the technical solutions being used to deliver change, it was necessary to start with a common framework.
6. As Australia was coordinating this activity, it was convenient to adopt the Australian Taxation Office’s (ATO) Capability Model (see Figure 1 below). This capability model was developed as an early step within the ATO’s Change Program and is described in detail in the following section.
7. Each country in the survey group was asked to overlay their proposed solutions for any planned change initiatives against this capability model and to provide details of any Systems Integrators1 they had engaged to assist with their implementations.
Figure 1: ATO Capability Model
ChannelDelivery
Client Relationship Management
Revenue Management
Case & WorkManagement
OutcomeImprovement
Develop New Products & Services
Online
Inbound
Outbound
Contact ManagementMarketing &
Education
Registration
GenericProcessing
Client Accounting
Enterprise Workflow
Analytics
Debt & Lodgment
Revenue Accounting
Enterprise CaseManagement
Information Management Policy & Architecture
Plan & Manage Enterprise
Reporting
Data Matching
Data ServicesData Warehouse
Management
IntelligenceSuperannuationProcessing
Content ManagementDocument
Management
EnablersSecurity Workforce Mgmt Interaction Svcs Integration Svcs
NB: Capabilities and functions shown with dashed borders and italic descriptions are not currently within the focus of the ATO’s Change Program.
8. This model provides the framework of capabilities that form the overall solution for the ATO’s Change Program. Within the ATO, a capability is a collection of people, process and technology elements of a solution that deliver a business outcome.
9. At the highest level, there are four core capabilities that deliver outcomes to clients:
• Channel Delivery; • Client Relationship Management; • Revenue Management; and • Case & Work Management.
7
10. In addition, there are four supporting capabilities:
• Outcome Improvement; • Plan & Manage Enterprise; • Develop New Products; and • Services and Enablers.
11. Within a number of the capabilities, there are functions that contribute to the overall delivery of the business outcomes. For example, the Channel Delivery capability encompasses delivery of online, inbound, outbound, content management and document management functions.
12. Further information on each capability and related function from an ATO perspective is set out in Annex 1.
8
SURVEY RESPONSES
Use of System Integrators
13. A number of countries are using external enterprises (Systems Integrators) to assist in development and/or delivery of integrated solutions. They are:
Australia Accenture
UK CapGemini UK
US Currently:
CSC/PRIME (main integrator to-date)
Unisys (for integration support of Filing & Payment Compliance system)
Previously:
Accenture (public portal)
SRA (to support the contact centre)
Lockheed Martin and Northup Grumann (for Integrated Submission & Remittance Processing (ISRP) and Service Centre Recognition/Image Processing System (SCRIPS))
Netherlands IBM (work is closely linked to the use of the IBM E-tax framework)
Software Solutions by Capability
14. The following pages provide details of survey responses under the eight capabilities as shown in the ATO Capability Model. Responses in relation to the ‘Outcome Improvement’ and ‘Enablers’ capabilities are shown at the functional level due to the somewhat independent nature of their embedded functions. The ‘Develop New Products & Services’ capability has not been addressed in the results as the majority of countries did not include it in their survey responses. Areas where common software solutions are being used are highlighted in bold text. Custom-built software solutions are shown in italics.
9
CHAN
NEL
DEL
IVER
Y
Cha
nnel
Del
iver
y
Onl
ine
Inbo
und
Out
boun
d
Con
tent
M
anag
emen
tD
ocum
ent
Man
agem
ent
Cha
nnel
Del
iver
y
Onl
ine
Inbo
und
Out
boun
d
Con
tent
M
anag
emen
tD
ocum
ent
Man
agem
ent
• P
rese
nta
tion
laye
r –
cu
stom
dev
elop
ed/S
AP
A
ttac
hm
ate
• C
ust
om -
CR
A p
orta
l, so
me
outb
oun
d
• SA
P E
nte
rpri
se P
orta
l 6
• D
ocu
mer
ge
• E
lixi
r
• G
ov’t
of C
anad
a R
ecor
ds,
Doc
um
enta
tion
&
Info
rmat
ion
Man
agem
ent
(RD
IMS)
• G
ov’t
of C
anad
a In
terw
oven
• O
pti
-Q
•Sa
per
ion
• P
rese
nta
tion
laye
r -
Ja
va
, JS
P
We
bS
ph
ere
Ap
pli
cati
on S
erve
r, .
Ne
t,
Peo
ple
Sof
t P
RM
• C
# A
pp
lica
tion
s
• C
ust
om (
mod
ern
ised
e-F
ile)
• D
ocu
me
ntu
m
• J
av
a
• P
eop
leS
oft
• Sh
areP
oin
t
•V
ign
ett
e
• P
rese
nta
tion
laye
r -
Sieb
el t
o .N
et in
tegr
atio
n
(fro
m S
inga
por
e)
• C
ust
om -
Por
tals
/Au
stra
lia
n B
usi
nes
s R
egis
ter
• D
ialo
gue
• IB
M C
on
ten
t M
an
ag
er
•IB
M D
ocu
men
t M
anag
er
• P
rese
nta
tion
laye
r –
J2E
E (
Web
Log
ic)
and
.N
et
• W
ebL
ogic
Por
tal d
eliv
erin
g W
ebL
ogic
JS
P a
nd
.N
et
serv
ices
. C
urr
entl
y ta
ctic
al .
Ne
t P
orta
l
• C
ust
om –
som
e ou
tbou
nd
• P
orta
l – W
ebL
ogic
JS
P &
.N
et
• D
ocu
me
ntu
m
• K
an
a
• K
DE
• P
egaR
UL
ES
•St
ella
nt
Au
stra
lia
UK
Ca
na
da
US
A
Ne
w Z
ea
lan
d
No
rwa
y
• P
rese
nta
tion
Lay
er –
Ja
va
, JS
P e
-Ser
vice
s
• V
ign
ett
e
• C
ust
om a
pp
s (i
r-F
ile,
ww
w-f
ile,
e-f
ile)
• R
igh
tfax
, Exi
gen
, S.E
.E m
ail,
Per
iph
onic
s,
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xpre
ssio
n, A
uto
grap
h S
uit
e, E
-xch
ange
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otu
s C
onte
nt
& D
ocu
men
t M
gr
• IB
M C
on
ten
t M
an
ag
er/
Con
ten
t M
anag
er O
nD
eman
d
• IB
M C
all M
anag
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t Sy
stem
• S
ieb
el
• V
oice
Poi
nt
• IB
M W
orks
pac
e M
anag
er
• A
pac
he
•Se
eBey
ond
(B
2B, E
AI
laye
r)
• P
rese
nta
tion
laye
r –
Por
tals
• P
orta
ls –
Alt
inn
(.N
et)
, ska
ttee
ten
.no
(Ep
iSer
ver)
• Sc
ann
ing,
OC
R, e
lect
ron
ic in
form
atio
n
• C
OB
OL
/CIC
S/D
B2
• E
LA
RK
(E
ph
orte
)
•D
ocu
live
• K
an
a
• W
eb
Sp
he
re S
uit
e
• V
ign
ett
e
•C
ust
om a
pp
lica
tion
s
Ne
the
rla
nd
s
10
CLIE
NT
REL
ATIO
NSH
IP M
ANAG
EMEN
T
• C
ust
om (
CR
M o
vera
ll)
• G
EN
ES
YS
/Roc
kwel
l Cal
l Cen
tre
Sup
por
t
•P
eop
leS
oft
PR
M (
for
e-se
rvic
es)
• G
EN
ES
YS
Cal
l Cen
tre
Sup
por
t
•S
ieb
el
CR
M
• G
EN
ES
YS
Cal
l Cen
tre
Sup
por
t
• P
egaR
UL
ES
(rep
laci
ng
Peg
aWO
RK
S)
•V
ario
us
solu
tion
s fo
r ou
tbou
nd
dia
llin
g, e
tc
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
d
No
rwa
y•
GE
NE
SY
S V
oice
Por
tal (
curr
ent)
• IB
M C
all P
ath
• IB
M C
all M
anag
emen
t Sy
stem
• S
ieb
el
• IV
R -
Per
iph
onic
s
•C
ust
om (
clie
nt
reg
istr
ati
on)
• C
RM
incl
ud
ed in
tax
man
agem
ent
syst
ems
– n
o sp
ecif
ic p
rod
uct
• Se
rvic
e &
In
form
atio
n c
entr
es (
SIS)
–
tele
ph
one
sup
por
t
• G
EN
ES
YS
•C
ust
om a
pp
lica
tion
s
Clie
nt
Rela
tions
hip
Man
agem
ent
Con
tact
M
anag
emen
t
Mar
ketin
g &
Educ
atio
n
Clie
nt
Rela
tions
hip
Man
agem
ent
Con
tact
M
anag
emen
t
Mar
ketin
g &
Educ
atio
n
11
REVE
NU
E M
ANAG
EMEN
T
• C
ust
om (
Rev
enu
e M
gt
over
all
)
•S
AP
(R
even
ue
Acc
oun
tin
g)
• C
ust
om (
mg
t of
ta
xpa
yer
acc
oun
ts)
•S
AP
(R
even
ue
Acc
oun
tin
g)
• T
ax A
dm
inis
trat
ion
Sys
tem
(T
AS)
– fr
om
Acc
entu
re
• S
AP
(R
even
ue
Acc
oun
tin
g)
• S
ieb
el
Cas
e M
anag
emen
t (t
o su
pp
ort
deb
t &
n
on-l
odgm
ent
case
s)
• C
ust
om a
pp
s –
for
ea
ch t
ax
cla
ss
• D
ebt
& L
odgm
ent
– u
nd
er d
evel
opm
ent
•S
AP
(T
rust
& R
esou
rce
acco
un
tin
g)
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
d
No
rwa
y
• S
AP
(R
even
ue
Acc
oun
tin
g)
• C
ust
om (
Rev
enu
e M
an
ag
emen
t ov
era
ll)
•S
ieb
el
• A
gres
so (
Rev
enu
e A
ccou
nti
ng)
• O
racl
e eB
S fo
r V
AT
man
agem
ent
&
coll
ecti
on
• O
racl
e (P
L/S
QL
) –
tax
ass
essm
ent
app
lica
tion
s
• P
RO
-IV
– t
ax a
sses
smen
t ap
pli
cati
on
•C
OB
OL
/CIC
S/D
B2
• B
LA
ZE
(ca
se s
elec
tion
)
• M
ille
niu
m (
Du
nn
& B
rad
stre
et)
- G
ener
al L
edge
r
• C
omm
on s
yste
ms
for
Cu
stom
s fr
om t
he
Eu
rop
ean
Com
mu
nit
y
• C
ust
om a
pp
lica
tion
s
• C
ord
apti
x (S
PL
Wor
ld G
rou
p)
– in
20
07
– f
or
coll
ecti
on &
dis
burs
emen
t
Rev
enue
M
anag
emen
t
Reg
istra
tion
Gen
eric
Proc
essi
ngC
lient
Ac
coun
ting
Deb
t &
Lodg
men
t
Rev
enue
Ac
coun
ting
Supe
rann
uatio
nPr
oces
sing
Rev
enue
M
anag
emen
t
Reg
istra
tion
Gen
eric
Proc
essi
ngC
lient
Ac
coun
ting
Deb
t &
Lodg
men
t
Rev
enue
Ac
coun
ting
Supe
rann
uatio
nPr
oces
sing
12
CASE
AN
D W
ORK
MAN
AGEM
ENT
• A
ION
9.5
(p
ilot
)
•B
PM
& B
RE
too
ls –
un
der
con
stru
ctio
n
•C
ust
om a
pp
lica
tion
s (m
ult
iple
)
•S
ieb
el
Cas
e M
anag
emen
t
•P
egaR
UL
ES
– t
acti
cally
imp
lem
ente
d
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
d
No
rwa
y•
Cu
stom
ap
pli
cati
ons
(cu
rren
t)
• S
ieb
el
Cas
e M
anag
emen
t (u
nd
er
con
stru
ctio
n)
•Se
eBey
ond
(E
AI)
• E
ph
orte
– e
lect
ron
ic a
rch
ive/
wor
kflo
w
(pil
ot)
• D
ocu
live
– c
entr
al a
rch
ive
syst
em (
to b
e re
pla
ced
)
•F
oru
m/S
ak (
to b
e re
pla
ced
)
• C
ord
apti
x -
200
7 (s
ee R
even
ue
Man
agem
ent)
•C
ust
om a
pp
lica
tion
s
Cas
e &
Wor
kM
anag
emen
t
Ente
rpris
e W
orkf
low
Ente
rpris
e C
ase
Man
agem
ent
Cas
e &
Wor
kM
anag
emen
t
Ente
rpris
e W
orkf
low
Ente
rpris
e C
ase
Man
agem
ent
13
OU
TCO
ME
IMPR
OVE
MEN
T –
ANAL
YTIC
S
• C
AR
T (
from
Sal
ford
Sys
tem
s)
• C
lem
enti
ne
Dat
a M
inin
g W
orkb
ench
(f
rom
SP
SS)
• P
red
ict
(fro
m N
eura
l War
e)
•S
AS
(d
ata
pre
par
atio
n)
•F
air
Isaa
c
• S
AS
En
terp
rise
Min
er
•S
AS
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
dN
orw
ay
•H
yper
ion
•
Ora
cle
Dis
cove
rer
(rep
orti
ng)
•SB
SS -
sta
tist
ics
•S
AS
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
14
OU
TCO
ME
IMPR
OVE
MEN
T –
INFO
RM
ATIO
N M
ANAG
EMEN
T PO
LICY
& A
RCH
ITEC
TURE
• E
nte
rpri
se D
ata
Mod
el –
un
der
d
evel
opm
ent
• M
etis
• P
roSi
ght
•R
atio
nal
Su
ite
• N
ot s
pec
ifie
d
•N
ot s
pec
ifie
d
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
dN
orw
ay
•N
ot s
pec
ifie
d
• E
nte
rpri
se D
ata
Mod
el –
un
der
d
evel
opm
ent
•U
nd
er c
onst
ruct
ion
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
15
OU
TCO
ME
IMPR
OVE
MEN
T -
REPO
RTIN
G
• C
OG
NO
S R
epor
tNet
•C
OG
NO
S S
erie
s 7
• B
usi
ne
ss O
bje
cts
• C
ryst
al
Re
po
rts
•S
AS
• C
OG
NO
S
•C
ryst
al
Re
po
rts
• B
usi
ne
ss O
bje
cts
•C
ryst
al
Re
po
rts
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
dN
orw
ay
• S
AS
•B
rio
• O
racl
e D
isco
vere
r
• R
epor
tin
g sy
stem
s al
so b
uil
t in
to p
arts
of
vari
ous
tax
man
agem
ent
syst
ems
• B
usi
ne
ss O
bje
cts
• C
OG
NO
S
•S
AS
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
16
OU
TCO
ME
IMPR
OVE
MEN
T –
DAT
A M
ATCH
ING
•S
SA
-Na
me
3
• C
ust
om a
pp
lica
tion
s (v
ari
ous)
•S
AS
• P
rod
uct
s u
nd
er e
valu
atio
n
• (i
ncl
ud
es S
SA
-Na
me
) •
Ave
llin
o
•In
form
atic
a
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
dN
orw
ay
•S
AS
•
AC
L (
Au
dit
Com
man
d L
angu
age)
•IL
OO
K
• (H
um
an I
nfe
ren
ce’s
) In
tell
igen
t R
etri
eval
•S
AS
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
17
OU
TCO
ME
IMPR
OVE
MEN
T –
DAT
A SE
RVIC
ES
•A
scen
tial
Dat
a St
age
• D
B2
• O
racl
e
•S
QL
Se
rve
r
• D
B2
•S
QL
Se
rve
r
•N
ot s
pec
ifie
d
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
dN
orw
ay
• O
racl
e
• P
rogr
ess
•D
MS2
• D
B2
• O
racl
e
• S
QL
Se
rve
r
•Sy
base
(to
be
rep
lace
d)
• D
B2
• IM
S
• O
racl
e
•S
QL
Se
rve
r
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
18
OU
TCO
ME
IMPR
OVE
MEN
T –
DAT
A W
AREH
OU
SE M
ANAG
EMEN
T • D
B2
on z
/OS
(cu
rren
t)
•U
DB
on
Su
n S
olar
is (
un
der
rev
iew
)
•C
ust
om a
pp
lica
tion
s
• T
erad
ata
•O
racl
e
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
dN
orw
ay
• O
racl
e
•B
rio
• O
racl
e –
DW
H B
uil
der
(u
nd
er
dev
elop
men
t/p
ilot
)
•SA
P
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
19
OU
TCO
ME
IMPR
OVE
MEN
T –
INTE
LLIG
ENCE
•N
ot s
pec
ifie
d
•S
AS
•S
AS
•N
ot s
pec
ifie
d
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
dN
orw
ay
•N
ot s
pec
ifie
d
•U
nd
er e
valu
atio
n
• S
AS
Bu
sin
ess
Obj
ects
• B
usi
nes
s O
bjec
ts
•…
and
a lo
t m
ore
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
Out
com
eIm
prov
emen
tAn
alyt
ics
Info
rmat
ion
Man
agem
ent
Polic
y &
Arch
itect
ure
Rep
ortin
g
Dat
a M
atch
ing
Dat
a Se
rvic
esD
ata
War
ehou
seM
anag
emen
t
Inte
lligen
ce
20
PLAN
& M
ANAG
E EN
TERP
RISE
• C
ust
om (
Da
ta W
are
hou
se &
an
aly
tics
)
• O
racl
e
• S
AP
(fo
r d
ata
to D
W +
an
alyt
ics)
•S
AP
BW
– u
nd
er in
vest
igat
ion
• C
lear
Cas
e (C
onfi
gura
tion
Man
agem
ent
tool
)
• C
OC
OM
O-b
ased
(So
ftw
are
Est
imat
ion
too
l)
• C
ust
om (
Exe
cuti
ve D
ash
boa
rd)
•E
nd
evor
(C
onfi
gura
tion
Man
agem
ent
tool
)
• C
ust
om (
Exe
cuti
ve D
ash
boa
rd)
• N
ot s
pec
ifie
d
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
d
No
rwa
y•
Ora
cle
• S
AP
• E
volv
eIT
• C
ust
om a
pp
lica
tion
s
•U
nd
er e
valu
atio
n
•S
AP
Plan
& M
anag
e En
terp
rise
Plan
& M
anag
e En
terp
rise
21
ENAB
LERS
- SE
CURI
TY
• G
ov’t
of C
anad
a (S
ecu
re C
han
nel
& P
KI,
co
mm
on lo
ok a
nd
fee
l sta
nd
ard
s)
•I&
AM
– u
nd
er r
evie
w
• N
etT
egri
ty
• E
-Tru
st
• M
ult
iple
ap
pli
cati
ons
for
per
son
al id
enti
fy
veri
fica
tion
• S
ing
le S
ign
On
• M
ult
iple
au
dit
tra
il a
nal
ysis
too
ls
• C
OG
NO
S
•T
ivo
li
• E
xter
na
l I&
AM
– c
ust
om, u
sin
g A
TO
-su
pp
lied
PK
I (c
urr
ent)
• In
tern
al I
&A
M –
Su
n I
den
tity
Man
ager
• G
etA
cces
s
• ID
S
• N
etP
oin
t
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
d
No
rwa
y
• IA
MS
(RSA
, Cle
ar T
rust
)
• C
ust
om a
pp
lica
tion
s
• N
ovel
l e-d
ir
• A
ud
it t
rail
an
alys
is –
mu
ltip
le t
ools
• P
erso
nal
iden
tity
ver
ific
atio
n –
mu
ltip
le
tool
s
• S
ing
le S
ign
On
• T
ivo
li
• C
hec
kpoi
nt-
1 F
irew
all
• E
ncr
ypti
on
•eS
ecu
re
•N
ot s
pec
ifie
d
Enab
lers
Secu
rity
Wor
kfor
ce M
gmt
Inte
ract
ion
Svcs
Inte
grat
ion
Svcs
Enab
lers
Secu
rity
Wor
kfor
ce M
gmt
Inte
ract
ion
Svcs
Inte
grat
ion
Svcs
22
ENAB
LERS
– W
ORKF
ORCE
MAN
AGEM
ENT
•S
AP
& c
ust
om s
olu
tion
s –
un
der
rev
iew
•P
eop
leS
oft
HR
• S
AP
•
Not
sp
ecif
ied
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
d
No
rwa
y•
SA
P in
tim
e
• C
HR
IS 2
.0
• eW
FM
(A
spec
t)
• C
ust
omer
• Si
ebel
• S
AP
•T
imeC
on –
tim
e re
gist
rati
on
•S
AP
HR
Enab
lers
Secu
rity
Wor
kfor
ce M
gmt
Inte
ract
ion
Svcs
Inte
grat
ion
Svcs
Enab
lers
Secu
rity
Wor
kfor
ce M
gmt
Inte
ract
ion
Svcs
Inte
grat
ion
Svcs
23
ENAB
LERS
– IN
TERA
CTIO
N S
ERVI
CES
• G
ovt
of C
anad
a co
mm
on lo
ok &
feel
st
and
ard
s
•B
laze
Ad
viso
r
• A
CA
.NE
T
• E
NT
LIB
• M
S U
IP B
lock
• N
ot s
epar
atel
y re
cogn
ised
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
d
No
rwa
y
• E
-Vis
ion
(C
ust
om)
• A
dob
e (A
ltin
n)
•eF
orm
Des
ign
er (
inte
rnal
des
ign
of
form
s)
•N
ot s
pec
ifie
d
Enab
lers
Secu
rity
Wor
kfor
ce M
gmt
Inte
ract
ion
Svcs
Inte
grat
ion
Svcs
Enab
lers
Secu
rity
Wor
kfor
ce M
gmt
Inte
ract
ion
Svcs
Inte
grat
ion
Svcs
24
ENAB
LERS
– IN
TEG
RAT
ION
SER
VICE
S
• B
EA
We
bL
og
ic
• M
Q S
eri
es
•St
erli
ng
• W
eb
Sp
he
re A
pp
lica
tion
Ser
ver
• W
eb
Sp
he
re M
Q
•E
AI
Bro
ker
• W
eb
Sp
he
re B
usi
nes
s In
tegr
ator
•
MQ
Se
rie
s •
.Net
•W
eb
Lo
gic
an
d W
ebM
eth
ods
(ESB
)
Au
stra
lia
UK
Ne
the
rla
nd
s
Ca
na
da
US
A
Ne
w Z
ea
lan
d
No
rwa
y
• E
AI
– S
eeB
eyon
d
• W
eb
Sp
he
re
•C
ust
om a
pp
lica
tion
s
• M
Q S
eri
es
• C
itri
x M
etaf
ram
e
•O
racl
e IA
S
•W
eb
Sp
he
re M
Q
Enab
lers
Secu
rity
Wor
kfor
ce M
gmt
Inte
ract
ion
Svcs
Inte
grat
ion
Svcs
Enab
lers
Secu
rity
Wor
kfor
ce M
gmt
Inte
ract
ion
Svcs
Inte
grat
ion
Svcs
25
CONCLUSIONS
15. The table below highlights areas where commonality exists between countries in the software applications being used to support capabilities/functions.
Table 1: Summary of Common Software Applications
Capability/Function
Common Software Applications
No. of Countries
Channel Delivery .Net Documentum IBM Content Manager Java JSP Kana Siebel Vignette WebSphere
4 2 2 2 3 2 2 3 2
Client Relationship Management Genesys Siebel
4 2
Revenue Management SAP Siebel
5 2
Case and Work Management Siebel 2
OI – Analytics SAS 4
OI – Information Management Policy & Architecture Nil Nil
OI – Reporting Business Objects COGNOS Crystal Reports SAS
3 3 3 3
OI – Data Matching SAS SSA-Name
3 2
OI – Data Services DB2 Oracle SQL Server
4 4 4
OI – Data Warehouse Management Oracle 3
OI – Intelligence SAS 3
Plan & Manage Enterprise Oracle SAP
2 3
Enablers – Security PKI Single Sign-On Tivoli
2 2 2
Enablers – Workforce Management SAP 5
Enablers – Interaction Services Nil Nil
Enablers – Integration Services MQ Series WebLogic WebSphere
3 2 4
OI = Outcome Improvement
CTPA/CFA/FTA(2006)4
26
16. Overall, the survey responses indicate there is a diverse range of application software solutions in use or planned for future use, and provides an opportunity for member countries to seek and/or share information and experiences when considering change initiatives where new or redeveloped application solutions are required.
17. Custom-developed solutions are common for the Revenue Management capability with individual solutions often existing for different tax types (this is also Australia’s situation with its existing client accounting systems). Australia’s approach in undertaking a “package” solution for its future Revenue Management capability via implementation of the Tax Administration System (TAS) developed by Accenture is a somewhat different approach and, whilst not being a typical “commercial” product, will provide a valuable learning experience.
18. Other capabilities, such as ‘Outcome Improvement’, tend to towards greater adoption of commercial-off-the-shelf products. For example, the ‘Reporting’ function shows consistent use across countries of Business Objects, COGNOS, Crystal Reports and SAS. Similarly, a number of countries use SAP to support their Workforce Management function and DB2, Oracle and SQL Server to support Data Services.
19. In summary, there is consistency across some areas, but a wide range of variations across others.
20. The need for further updates to this inventory to incorporate new developments and/or input from additional countries will be determined at future meetings of the FTA Taxpayer Services Sub-group.
27
ANNEX 1: Description of the Australian Taxation Offices (ATO’s) Capability Model
Capability - Channel Delivery
Delivers products and services through channels in a manner that meets client needs while achieving ATO and government objectives.
Includes capabilities to support content, document and records management of inbound and outbound material.
Function Description
Online Supports interactive channels for the community, providing both static content and transaction services. Interactive channels include:
Portals (including business and tax agent) Web sites (including ato.gov.au) Web Services for external application integration (including e-tax and
software providers) Secure messaging (email) services Search services across the various online web sites Calculators.
Inbound Supports predominantly non-interactive inbound channels for the community and other agencies. Includes:
Inbound paper processing for forms and whitemail, including image capture, ICR and key capture
Inbound fax processing Inbound/Outbound bulk file and message handling (eg Electronic
Lodgment Service (ELS), Electronic Commerce Interface (ECI) and government agency networks)
Secure messages from the Portals Indexing, classification and routing of client requests Inbound email (general email addresses only) Link existing voice portal with Integrated Core Processing (ICP) Key data capture for bulk forms that are not imaged.
Outbound Supports non-interactive outbound channels for the community. Includes:
Outbound material, including forms, letters and marketing/education material
Outbound delivery to paper, secure messaging, email and SMS channels The naming, addressing, cc copying, merging, sorting, formatting, storing
and printing of personalised mail items Directing outbound material to the correct channel.
Content Management
The enterprise functionality for initiating, approving, storing, maintaining and publishing approved ATO content for informational, transactional, interpretative and correspondence products, including marketing and education material.
Document Management
The Document Management capability will provide the ability to store and retrieve electronic versions of client documents. The electronic records management capability will be introduced to mange the retention and destruction of client electronic records in accordance with legislative requirements.
The Change Program is delivering this capability to cover client-related material. However, it will not be putting records management in place for administrative material (eg internal documents).
CTPA/CFA/FTA(2006)4
28
Capability - Client Relationship Management
Delivers the right experience at the right time through the right channel.
Function Description
Contact Management Provides client contact management services, in particular for the phone channel. Includes:
IVR and CTI integration for staff operated phone services Integrated View of Client Tracking, recording, escalation and monitoring of client contacts.
Marketing and Education
Use of campaign management is not in scope for the Change Program.
Capability - Revenue Management Enables clients (including tax agents) to efficiently and effectively register, lodge and pay, and the ATO to recover the correct amount of tax and entitlement, whilst minimising the cost to the client.
Function Description
Registration Provides client registration services. Includes:
Non-individual registration by Australian Business Register (ABR)/Integrated Core Processing (ICP) and individual registration by Individual Auto Registration (IAR)/ICP
Registration and maintenance of tax agents and all other intermediaries Endorsement of charities and deductible gift recipients Role registration and lodgment cycle determination Client data quality management Client relationships and linkages Client preferences Client Search Identity Strength Data Extracts for external agencies.
Generic Processing Provides Lodgment and payment processing for all products, using a generic approach that can support new products. Includes:
Product business rule processing Form generation Instalment arrangements Product risk processing Generation of account postings Generation of outbound communications (notice of assessment) Payment processing
Client Accounting Provides account management services for all clients and all products. Includes:
Client account maintenance Interest and penalty imposition and remission Refunds and disbursements.
29
Function Description
Revenue Accounting
Provides summarisation, reconciliation and reporting for revenue accounts.
Maintains revenue accounting information on an internal General Ledger.
Provides users with direct access to revenue accounting information. Reconciliation of revenue accounts to bank statements. Reporting of revenue.
Debt & Lodgment Identifies, creates and auto-actions cases where a client has either failed to lodge or failed to pay. Includes:
Initiate auto-recovery actions Identify and create debt and lodgment case Action debt and lodgment case Process update transactions from data matching processes Due date deferrals Payment arrangements Legal and prosecution details
Superannuation Processing
Provides specialised processing for Superannuation products. This will not be replaced by the Change Program will need to interface to Change Program capabilities.
Note – as at August 2005, work is underway to assess the possibility of incorporating processing for Superannuation products into the Change Program,
Capability - Case and Work Management Delivers enterprise wide case and work management capability to support active compliance, provision of Written Advice, debt collection, actioning of inbound correspondence and exception processing.
Function Description
Enterprise Case Management
Supports enterprise wide case management using the initiate, plan, execute and close (IPEC) model. This includes:
Case management, assignment, tracking, administration and reporting Case actioning including default assessments, amendments, penalty &
interest, form letters etc Update of case plans.
Enterprise Workflow
Supports enterprise wide work management of exceptions from Integrated Core Processing (ICP) and actioning correspondence. This includes:
Work item creation Work allocation Work actioning Work reporting Escalation Workflow admin
Capability - Outcome Improvement Provides feedback on the client experience, effectiveness of risk treatments and other enterprise information to continuously improve the operations of the ATO, and provides input to Case Management and Revenue Management to ensure appropriate and relevant treatment according to risk.
Function Description
CTPA/CFA/FTA(2006)4
30
Function Description
Analytics Provides analytical models to support case selection and the risk and market segment treatment of clients. Includes:
Creation and maintenance of analytical models Regular update of risk and segment information for operational systems Provision of case selection candidates for processing.
Information Management Policy and architecture
Information Management Policy and architecture covers the development of information models and the overall management of information within the ATO.
Reporting Provides a corporate reporting capability including transactional, management and ad hoc reporting.
Provides reporting capabilities to support operational management and continuous improvement. Includes: • Report generation • Report distribution.
Data Matching Provides services for matching and interpretation of data from multiple sources.
Data Services Provides data quality and data conversion capability
Data Warehouse Management
An integrated and centralized data storage and access capability organized specifically for end-user reporting and analysis.
Intelligence Supports gathering, storing and interpretation of data from the community to assist in case identification and selection
Capability – Plan & Manage Enterprise Provides the management processes and structure for running the day-to-day business of the ATO This capability is not described further as it is not part of the focus of the ATO’s Change Program.
Capability – Develop New Products & Services Provides the processes and structure for developing new products and services for the ATO. This includes responding to legislative change, introducing new services, updating existing products and services, and the release of these new products and services to the workforce and community. This capability is not described further as it is not part of the focus of the ATO’s Change Program.
Capability - Enablers Additional capabilities that can be used by any of the other major functionality areas.
Function Description
Security This capability ensures that corporate systems and data are secure from unauthorised access. This includes security for internal system to prevent unauthorised staff access, security for external facing systems to prevent unauthorised access by clients and logging of any unsuccessful attempts to access the systems by staff or clients.
It also includes ensuring the security of the systems themselves from malicious or criminal attack, particularly from the public internet.
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Function Description
Workforce Management
Provides management of the ATO workforce, in particular focusing on the information required for workflow management.
Engagement and Termination processing. Skills management. Holiday management.
Interaction Services
A system capability that provides the services, patterns and templates required to develop User Interfaces that comply with the ATO User Interface standards, branding rules, legal requirements (eg adherence to the Web Accessibility Guidelines for the disabled). Also includes Fraud Prevention and Control (FP&C) logging.
Integration Services
A system capability providing all services involved in supporting integration between the applications described in this portfolio. Broadly this covers three types of integration:
Interaction Layer integration – seamless in-context navigation between user interfaces in the applications
Service layer integration – standard Enterprise Application Integration Data layer integration – replication of data between master and slave
databases This capability is also responsible for Transaction Audit logging.