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Pre-Bid Meeting Hotel Africana, Kampala The requirement for an ITAS 5 th February 2007 Important Note: The contents of this presentation do not form a part of the RFP/Bid Documents. This presentation… About URA Key functions of DT; the business need The IT Environment & Other needs

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Pre bid meeting hotel africana kampala l.jpg

Pre-Bid MeetingHotel Africana, Kampala

The requirement for an ITAS

5th February 2007

Developing Uganda Together


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Important Note:

The contents of this

presentation do not form a

part of the RFP/Bid Documents.

Developing Uganda Together


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This presentation…

  • About URA

  • Key functions of DT; the business need

  • The IT Environment & Other needs

Developing Uganda Together


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About URA

  • Quasi autonomous

  • Over 60 branches countrywide (33 for DT), 80%+ revenue from Kampala

  • Underwent a major restructuring exercise in 2004

  • we have continued the reform and modernization of the organization

    • Extends from modernizing the operating departments to enhancing integrity and HR reforms

    • Key related projects: URAnet, Data Warehousing, NTR Modernisation

Developing Uganda Together


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Domestic Taxes

  • Driving this procurement; the Domestic Taxes Modernization Project (DTMP)

Developing Uganda Together


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Project Management Structure

Developing Uganda Together


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Single numeric identifier, recognition of tax type through use of tax accounts

Extensive validation of applicants before issuance of TIN, both by officers and system

Active management of the register – system prompts for deregistration based on criteria

System prompts for statutory registrations

Decentralized registration, but communication between offices poor

Low literacy & compliance levels

Large informal sector

No national ID

Multiple identifiers & duplications

TIN not used by DT

Little or no deregistration

Identifying Our Clients

  • Online registration? At least online application

  • Incorporate National ID when it’s ready

  • Centralized registration process

Developing Uganda Together


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Direct filing and payments at bank – related weaknesses use of tax accounts

Unreliable record of FoF, related weaknesses in compliance management

Multiple return filing dates (income tax)

Self Assessment for all taxes except individual income taxes

Taxpayers restricted to office of registration

Returns submitted at any office

Record of FoF on system

Key dates/FoF trigger compliance actions

All calculations by system, officer confirmation of notices

Key information on returns captured into system

Data capture shifted to clients where possible

System validation of key numeric declarations

Returns and Assessments

  • System prompts for imposition of penalties

  • Automatic updates of client profile and accounts

  • Returns not submitted at banks

  • What alternatives for e-filing?

  • Revision of tax procedures – through creation of common Tax Procedures Code

  • Manual calculation – labor intensive, prone to errors

  • Penalties & Interest not imposed consistently

  • Over reliance on estimates - huge stock of accumulated arrears

  • Ambiguity between “estimated”, “additional”, “amended”, “vacated” assessments.

Developing Uganda Together


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No cash received at offices, but… use of tax accounts

Bank processing

Payments received through banks against BPAF issued by URA

Manual “till sheets” submitted to local URA office

Taxpayer Accounts maintained in paper records, resultant problems

Manual computations, labor intensive

No trust in our paper records

No “Double entry” accounting

Double entry accounts maintained on system, all calculations done by system

No complicated receipts, replaced by periodic statements of account

Significant labour force gains

Proposal needed for order of crediting payments

Payments and Taxpayer Accounting

Developing Uganda Together


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Under LTO and FD use of tax accounts

Most services are restricted to office of registration

No uniformity – application of procedures differs at different offices

Front office lacks adequate information to deliver services

Many services are deferred to the back office

Extensive information support to the front office

Must conclude as many services as possible

All communication logged and acknowledged

Time sensitive back office activities triggered

Services availed online

Returns and notices pre-printed with demographic information

Service Delivery

Developing Uganda Together


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Decentralized registries use of tax accounts

Manual document registers are maintained

Over reliance on paper records

Communication difficulties result in

No alerts on time-bound mail

Compliance officers may not be aware that [other] compliance actions have taken place, or that taxpayers have responded

Reference documents difficult to access

Much less need to resort to manual records

Document identification & location (for individual documents) by system

Record of access to documents

Online requisition and access control

Mail and Document Management

Developing Uganda Together


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Decentralised management of audits use of tax accounts

Audit selection hampered by lack of information

Management of audits is difficult

No audit trail

Level of completion is ambiguous

Actions to be taken not standardized

Impact of audits on compliance is difficult to assess

Administration is decentralized, but guidelines, selectivity criteria managed centrally, adjustable

Case selection is by system, based on input criteria.

Online tracking and management of cases

System prompts for standard actions

Officers record key actions taken/decisions made on the system

Audit & Investigations

  • Uneven skills distribution

  • Investigations managed outside DT

    • Process flow and rules of escalation are ambiguous

    • Investigation results not reflected in client profile and account

  • Case allocation to officers is system supported, handled online

  • Escalation to investigation recorded online, investigation actions, decisions and results recorded on system

  • Changes in organization and staffing levels – a more flexible approach to support demands at different geographical locations

Developing Uganda Together


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Taxpayers allowed too much slack – enforcement instruments not applied effectively

Evidence trails are weak, records not reliable

Debt collection process in two departments, deficiencies have been noted

System prompts for collection actions

Cases managed and tracked online

Build up of evidence escalating to court action

System prompts for standard actions

Online case allocation

Online recording of actions taken

All actions taken are recorded on system

Debt collection and enforcement

Developing Uganda Together


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Managed by CS department – Finance Division, Sun Financials

Only summary accounts are maintained

Sent by the individual offices

Reconciled against funds transferred to BOU by commercial banks.

Reconciliation of revenue accounts and taxpayer accounts is not done – taxpayer accounts not accurate

Taxpayer accounts should be accurate enough to allow accurate tax accounting

May consider consolidating other tax accounts as well (customs)

Revenue Accounting

Developing Uganda Together


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Management of tax related complaints is decentralized Financials

Interpretation of laws and procedures is not uniform

Monitoring maturity of cases is difficult, based on paper records and results in legal battles and loss of revenue.

Escalation to TAT, courts of law not clearly reflected in taxpayer records, case results not disseminated evenly

Case allocation to officers is system supported, handled online

System prompts for standard actions, particularly the time-bound actions

Officers actions recorded on system

Online access to rulings, and other reference materials

Complaints and Appeals

Developing Uganda Together


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Not a basis for decision making Financials

Data coverage is low – not the whole transaction is captured

lack of the big picture

No electronic data on some tax types at all

Data take on strategy and procedures

Data capture procedures – for the extensive data in manual records

Future decision making based on data analysis

Data Management

Developing Uganda Together


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Headquarters Vs. Operations Financials

Many operational man hours spent in report writing

Operational guidelines/instructions communicated on paper

Support HQ with necessary information for decision making

Management reports generated off system, no direct intervention by operational staff

Operational guidelines and instructions prepared and communicated through the system

Management & Management Reporting

Developing Uganda Together


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Security and Audit Trails Financials

  • User rights management, password access to system functions

  • Audit trail of actions maintained, officer may not overwrite other officer’s work

  • All accessing of taxpayer records is monitored

  • Internal Affairs prompted (automatically) to examine certain actions based on pre-defined criteria

Developing Uganda Together


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Low computer literacy Financials

>60% have comprehensive tax administration training

Still a significant divide between direct and indirect tax officers

Significant change resistance issues

URA initiated basic IT training

Proposed changes in training curricula and procedures (tax administration related)

Supplier Project Management Strategy should include a change management plan!

Human Resource

Developing Uganda Together


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Current IT Environment Financials

  • WAN

    • connects 24 Local Area Networks

    • Leased lines

    • Speeds typically 128, 64 and 32kbps depending on number of users

Developing Uganda Together


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Current IT Environment - Platforms Financials

  • Desktop environment

    • managed using MS Active Directory

    • PCs have Windows XP SP2 OS.

    • Anti-virus : F-Secure Enterprises v6.6

  • Server OS

    • Microsoft Server 2003

    • Suse Linux Enterprise Server

  • Database platforms

    • Oracle

    • MS SQL server

  • Office Automation

    • MS Office product suit - OSL

Developing Uganda Together


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Current Environment – Business Systems Financials

  • Customs

    • ASYCUDA++

      • Oracle on Suse Linux

  • Financials & Human Resource

    • SUN Accounts

      • SQL Server

    • EHorizon

    • Fleet Management

Developing Uganda Together


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Current Environment – Business Systems Financials

  • DT

    • VENUS

      • Used for reference purposes

      • Introduction of offsets caused its demise

    • Bespoke Systems

      • Cover a limited part of DT business

      • Operate Centrally

      • Automated Manual Processes

      • Revolve around the bank payment Advice form

      • Client Server Win Apps with SQL Server backend

Developing Uganda Together


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URANet Project Financials

  • Refurbished Ultra modern data center

  • Server Consolidation

  • Setup/Upgrade of 58 stations

  • Integration of voice & Data - VOIP

  • Outsource all WAN Links

  • Storage Area Network

Developing Uganda Together


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Concept of Operation Financials

  • Centralized operation is preferred

  • Network failures should not halt local operations

  • Local Services must always be available

Developing Uganda Together



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