Running head: TERM PROJECT: GAP ANALYSIS 1
Scenario
“The emergence of Service-oriented Architecture (SOA) as an important design paradigm
for online and Web-based services requires appropriate software platforms for the delivery,
support and management of distributed applications” (Seinturier, Merle, & Rouvoy, 2012, p.
559). The partners of FCD CPA Firm believe that although the AS-IS process is effective, it is
very time consuming and too many steps are required to complete a tax return. The partners want
to shorten the redundancy of back and forth tasks and process everything through a cloud based
server. They also want to reduce the amount of paper that they use to eventually become
paperless. The cloud based server “Smartvault” will allow the company to upload engagement
TERM PROJECT: GAP ANALYSIS 2
letters, and store all current and previous years tax returns. It will also allow clients to upload
their tax documents without coming into the office. Clients will also be able to view and print out
current and previous years tax returns. With this new cloud based enterprise system, processes
will be reduced and tax returns will be out the door faster. “Unlike other information systems, the
ERP system needs to integrate all the necessary functions across departments within an
organization to be fully beneficial” (Chung, Skibniewski, Lucas, & Kwak, 2008, p. 377). With
this cloud based enterprise system, all manual processes will change to electronic processes.
To-Be
This new service oriented architecture will be based around building an IT-based cloud
system that will incorporate the basic steps of business processes. “They can be implemented as
Web services or functions of Web applications and, therefore, be located anywhere in the
organization or on the Web” (Vernadat, 2007, p. 140). “SOA is an architectural style whose goal
is to achieve loose coupling among interacting software agents… A service is a unit of work
done by a service provider to achieve desired end results for a service consumer” (Erickson &
Siau, 2008, p. 44). Sending out engagement letters through the mail for business returns is
becoming very time consuming and pointless. Business clients are known to forget to send the
engagement letters back to the office. When business clients meet with a Partner, the
receptionists finds herself printing out a new engagement letter for the client even though one
was sent through the mail. FCD wants the business client processes to be similar to the
individual clients. All engagement letters will be sent through Smartvault and are required to be
sent back through Smartvault as well. When information comes in through the mail, in person, or
through Smartvault, the client may not send all of the information that the firm needs. The
problem is that the receptionist does not know when she should create a folder and mark it as
TERM PROJECT: GAP ANALYSIS 3
info received if only one piece of information is sent. It is very pointless for an accountant to
enter one piece of information into the tax software. Tax season is very stressful and the
employees are working more hours than they would normally. Because hundreds of clients are
sending information through the mail, in person, or through the cloud based app, documents can
be lost, or misplaced. The company needs to reduce the different ways clients can send in
information to help eliminate those problems and help with recording the exact date documents
were received. The Partners also would like to eliminate the use of folders to store documents
completely. All tax documents will be sent through Smartvault. The receptionist will be the one
to determine whether enough documents have been received. If enough documents have been
received, the receptionist will mark the client as “Info Received” in the tax software. The
redundancy of giving a return back and forth from accountant to Partner is very time consuming
and a waste of paper. The Partners want to remove some steps as well find a way to view the
return without having to print it. The partners also want to figure out a way to shorten or remove
the multitude of copies to save paper. “An enterprise activity is an elementary step of a business
process” (Vernadat, 2007, p. 141). Enterprise activities transform inputs into outputs that create
expected results over time. “Inputs, outputs, and resources are enterprise objects” (p. 141). When
an accountant completes a tax return, they will give it to one of the Partners for review. If the
return is free from error or has minimal errors, the Partner will create a bill, electronically sign
the return, and upload the client's copy to Smartvault. The tax return will not be given back to the
accountant at this point. The return will be reviewed on the tax software instead of being printed
out to save paper. If the return has major errors, the Partner will give the return back to the
accountant and they will fix the errors. Once the errors are fixed and reviewed, the Partner will
upload the client's copy to Smartvault. The client will have the opportunity to view a copy of
TERM PROJECT: GAP ANALYSIS 4
their return and electronically sign the e-file forms. The electronic processes will help speed up
turnover time and returns will be able to be filled quickly. The receptionist finds that when copies
of the tax returns are printed and given to her, there are pages missing or pages that do not
belong. FCD needs a simple way for all employees to have the same print preferences or only
allow certain employees to print tax returns. In the beginning of the year, the Partners buy the
newest tax software version. The preferences do not match the previous years. The preferences
need to be accurate when the client copy is uploaded to Smartvault. A Partner will manually
correct the preferences and send them to the other Partners. CPA Partners are the only ones that
will upload tax returns to Smartvault. Since the employees are not required to record the amount
of time they spend on a tax return, a client's bill is more likely to be understated. FCD wants to
start having the employees record the time they spend on each return and see where time is being
spent throughout the day. The employees will be required to enter the time spent on each return.
The Partner will be able to see how much time the accountant spent on a specific return. They
will also be able to adjust the bill depending on the conversation they have with the accountant.
The time entered by the accountant will flow through to the return. During the final weeks of tax
season, the receptionist finds herself waiting for e-file forms to be signed and sent back to the
office in the mail. If the e-file form is not sent back, the receptionist cannot file the return and a
penalty will be issued from the IRS. The firm needs the clients to send back the signed e-file
forms quickly and efficiently during crunchtime. Since all clients will be using Smartvault, the e-
file forms will be included and separately stated in Smartvault. The client will be able to
electronically sign the return and send it back to the firm. Scanning and uploading the client's tax
return is a waste of time. The partners need a way to upload the documents to the specific clients
portal with one click. Once the tax return is complete, a firm copy and client copy will be saved
TERM PROJECT: GAP ANALYSIS 5
in Smartvault. The firm's copy and clients copy will be saved in two different databases. Cloud
based systems will eliminate the storage cabinets and the firm will eventually be paperless. A
new process that FCD wants to incorporate are video conference calls. These video conference
calls will replace face to face meetings. The partners want to connect with clients who live far
away and believe it will help them get to know their clients on a more personal level. “The
implementation of enterprise systems, such as enterprise resource planning (ERP) systems, alters
business processes and associated workflows, and introduces new software applications that
employees must use” (Sykes, Venkatesh, & Johnson, 2014, p. 51). Although some may say that
switching to an all cloud based business process is challenging, most employees have been using
the internet and are familiar with these processes.
TERM PROJECT: GAP ANALYSIS 6
References
Chung, B. Y., Skibniewski, M. J., Lucas, H. C., & Kwak, Y. H. (2008). Analyzing enterprise
TERM PROJECT: GAP ANALYSIS 7
resource planning system implementation success factors in the Engineering–
Construction industry. Journal of Computing in Civil Engineering, 22(6), 373-382.
doi:10.1061/(ASCE)0887-3801(2008)22:6(373)
Erickson, J., & Siau, K. (2008). Web services, service-oriented computing, and service-oriented
architecture: Separating hype from reality. Journal of Database Management (JDM),
19(3), 42-54. doi:10.4018/jdm.2008070103
Seinturier, L., Merle, P., Rouvoy, R., Romero, D., Schiavoni, V., & Stefani, J. (2012). A
component‐based middleware platform for reconfigurable service‐oriented architectures.
Software: Practice and Experience, 42(5), 559-583. doi:10.1002/spe.1077
Sykes, T. A., Venkatesh, V., Johnson, J. L., & University of Arkansas. (2014). Enterprise system
implementation and employee job performance: Understanding the role of advice
networks. MIS Quarterly, 38(1), 51-72. doi:10.25300/MISQ/2014/38.1.03
Vernadat, F. B. (2007). Interoperable enterprise systems: Principles, concepts, and methods.
Annual Reviews in Control, 31(1), 137-145. doi:10.1016/j.arcontrol.2007.03.004
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