Dc OCFO SOA/ESB Success Story - FTA 2010

ADRIAN FENTY, MAYORDR. NATWAR GANDHI, CFO

DC OCFO’s ESB Success Story

Mike Teller, DC OCFO Chief Information OfficerJim Hightower, Tax Systems Group Director


Agenda

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1. Business Drivers

2. Technical Challenges

3. The Vision: Service Oriented Architecture

4. The Solution: Enterprise Service Bus

5. Implementation: DC OCFO’s ESB Applications

6. Future: Lesson Learned; Leveraging ESB foundation


3

Business Drivers

DC Legislation - “City Clean Hands”

Deny District licenses and permits for customers possessing aggregate debt greater than $100.00

Revenue Pressures Reduce program costs and raise Compliance revenues

Fraud Reduce cost of refund cheats

Reduce Tax Administration and IT Costs Increase transparency of tax debt Increase transparency of IT processes – “Tame the complexity” Ensure tax data security


4

Technical Environment


5

TAS

FTP

CAMA

TAS

FTP

EXTERNAL AGENCIES

TAS

FTP

FINANCIALSYSTEMS

TAS

FTP

DOCCAPTURE

TAS

FTP

D/W

D/W

FTP

DC AGENCIES

TAS

FTP

EXECUTIVE REPORTING

OCFO ITS ARCHITECTURE

(Pre-ESB)

TAS

FTP

OPERATIONAL REPORTING

TAS

FTP

WEBAPP

Technical Challenges


6

TAS

FTP

CAMA

TAS

FTP

EXTERNAL AGENCIES

TAS

FTP

FINANCIALSYSTEMS

TAS

FTP

DOC CAPTURE

TAS

FTP

EXECUTIVE REPORTING

OCFO ITS ARCHITECTURE

“As Is”

TAS

FTP

OPERATIONAL REPORTING

DC AGENCIES

WEBAPP

TAS

D/W

ESB


OCFO BI TOOL

OCFO ENTERPRISE ARCHITECTURE

“To Be”

DC APPLICATIONS

EXTERNAL AGENCIES

OCFO MIDDLEWAREESB ETL

REAL PROPERTY

TAX COTS

CORE TAXCOTS

TAX DATA STORAGE

DC AGENCIES

OCFO APPLICATIONS

HISTORICALREPOSITORY

OCFOEDW

FINANCIALSCOTS

CCHDOESIRS

7


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The Vision

What Was Needed?

Loosely Coupled Systems

Reusable Code

Service Oriented Architecture

Why?

Expand Tax Data Access while Maintaining Security

Increase Fraud Detection and Prevention Without Increasing Workforce

Reduce Costs to Implement and Maintain Automated Interfaces


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The Solution – An Enterprise Service Bus

Source: SYSNET International Inc

Forrester Research defines an ESB as “An intermediary that provides core functions to make a set of reusable services widely available, plus extended functions that simplify the use of the ESB in a real-world IT environment.”


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Core Functions of the ESB

Support of multiple protocols Protocol conversion Data transformation and data-based (content-based)

routing Lightweight Orchestration Support of multiple standard business file formats Support for both synchronous and asynchronous

operations Integrated security features Error handling mechanism


ESB Applications Implementations

11


Business Need:

Returns for refunds had no SSN validity check.

Strapped returns processing staff had no capacity to validate.

Thousands of questionable refunds mailed each year.

Challenge:

Mainframe to Oracle D/W in “right time”.

Automated Fraud Prevention

12


Solution:

Use the ESB and expose a web service to the mainframe DB2.

Benefit:

Process implemented in 4 weeks; just in time for 2008 Filing Season.

Appx.1 /3 development time (reduces costs)

In first year thousands of questionable refunds identified; Approximately $5.3M in fraudulent returns.

Strong fraud deterrent message sent to the community.


13


OCFO BI TOOL

OCFO ENTERPRISE ARCHITECTURE

“To Be”

DC APPLICATIONS

EXTERNAL AGENCIES

OCFO MIDDLEWAREESB ETL

REAL PROPERTY

TAX COTS

CORE TAXCOTS

TAX DATA STORAGE

DC AGENCIES

OCFO APPLICATIONS

HISTORICALREPOSITORY

OCFOEDW

FINANCIALSCOTS

CCHDOESIRS

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TAS (Mainframe)

AFP Web Service

Database Service

Transform Service

SOAP Wrapper Service

Transform Service

D/W

Refund Processing

ESB Components

Pool of SSNs

15


Business Need:

DC tax office requirement that all employers with over 50 employees submit employee W2 information electronically.

Current manual process to load CDs no longer viable

Challenge:

Substantial security and transparency risk

Employer Submission of W2 Data

16


Solution:

Enable businesses to enter their W2 data or submit files online

Use the ESB to load the data to the tax data warehouse.

Benefit:

Eliminates FTP processing for over 1,000 files Provides audited workflow -increases transparency Provides submission status - increases transparency Guarantees data delivery Significantly reduces cost and increases data security


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ESB Components

File ConverterService

Database Service

Database Service

Transmitter Service

D/WWeb App

W2 Data Storage

DatabaseService

Exceptions

W2 Filings

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Audit Data


Business Need:

DC Council Mandate – Enable agencies to maintain and access up-to-date debt information.

Deny licenses and permits for customers possessing an aggregate debt > $100.

Challenge:

Original solution more and more costly and time-consuming to maintain.

Most agencies lacked technical expertise so did not participate

Agencies pushed paperwork to the tax office for manual compliance

City Clean Hands

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Solution:

ESB Debt Data Update

ESB Compliance Check

Benefit: More agencies providing debt data, increasing DC

revenue collections.

Cost to implement additional debt data feeds significantly reduced.

At least 3 tax office resources freed up to work on much needed revenue initiatives.

Significantly shortens procurement elapsed times

City Clean Hands

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City Clean Hands – Debt Data Update

Polling for files

File Sensor Service

Aggregator Service

Transform Service

Database Service

File Sensor Service

Database Service

DataFlux Service

Debt File FTPFrom DC Agency

DataFlux ETL Web Service

PersistedMessage

Files

D/W

File Converter Service

Debt Staging

D/W

Audit

ESB Components

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City Clean Hands – Compliance CheckDecision M

akin

g

Transform Service

Schema Validation Service

Database Service

DC Agency Web Svc

CCH App

Transform Service

User Validation CBR

Schema Validation Service

Database Service

Attachment Process

User in DB?

User in DB?

Yes

No

Transform Service

Fault Message Response

Valid Schema

?

Valid Schema

?

Valid Schema

?

Valid Schema

?

Yes

Yes

No

No

CCH App

SOAP Wrapper Service

Transform Service

DC Agency Procurement App

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ESB Components


Sonic ESB Lightweight Orchestration GUI

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DC OCFO ESB Applications

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Services are not completely “discreet” and do not fully embrace the concept of abstraction

The Transmitter Service for Employer W2 combines functions, violating SOA principle of discreteness

The Database Service contains application-specific SQL, violating SOA principle of abstraction

Each source and target app should have its own set of app-specific web services

Lack of governance

Lessons Learned

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Future Implications

Enables loosely-coupled systems architecture Facilitates management of reusable services Guarantees data delivery Supports configurable process workflow (Lightweight Orchestration) Reduces maintenance costs Increases data security Positions the District for the replacement of 2 major revenue

systems with COTS products

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The District’s implementation of these initial ESB services and processes substantiate the advantages of an ESB.


DC OCFO’s ESB Success Story

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Dc OCFO SOA/ESB Success Story - FTA 2010

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