Amendment to RAO NO. 17-2000

August 27, 2001 REVENUE ADMINISTRATIVE ORDER NO. 01-01 SUBJECT : Amendment to RAO NO. 17-2000 (Organization and Functions of the Information Planning and Quality Service Including the Divisions Under It Down to Section Level) TO : All Internal Revenue Officers and Others Concerned I. OBJECTIVE A. To modify the organizational structure and functions of the Quality Assurance Division (QAD) and Systems Standards and Technology Management Division (SSTMD) of Information Planning and Quality Service. B. To realign the functions and processes of QAD and SSTMD to improve administrative control over certain categories of taxpayers. II. ORGANIZATION The QAD and SSTMD shall be structurally modified and reorganized and shall be composed of the following sections: A. Quality Assurance Division 1. Rollout Planning and Management Section 2. Rollout Assistance and Monitoring Section 3. Compliance Audit Section 4. Technical Acceptance and Testing Section B. Systems Standards and Technology Management Division 1. Information Systems Planning and Standards Section 2. Development Policies and Standards Section 3. Operations Policies and Standards Section 4. Technology Research and Evaluation Section III. FUNCTIONS In effect, the functions shall be amended as follows: A. Quality Assurance Division 1. Develop and recommend policies, strategies, guidelines and procedures relative to site and application systems rollout, compliance audit of ISG Offices and technical acceptance of information systems; 2. Ensure quality systems development and operations by implementing comprehensive quality assurance procedures and standards; 3. Develop/revise rollout schedule, rollout manual and other rollout monitoring tools relevant to ensuring a successful rollout implementation; 4. Coordinate with other internal/external IT groups in testing the systems as acceptable for implementation; 5. Determine the readiness of an office/unit for the roll out; 6. Establish a system for audit and measurement of the quality and integrity of inputs/outputs, products and processes of offices under ISG and develop the necessary audit materials; 7. Review compliance of various ISG offices (ISOS, ISDS and RDCs) to existing policies, procedures and quality standards and recommend necessary changes/enhancements to improve compliance and/or prevent non-conformance; 8. Recommend necessary corrective actions for non-conformances/deficiencies found, monitor their implementation by the office concerned until final closure and appraise their effectiveness; 9. Coordinate with proper offices in the implementation of the abovementioned functions; 10. Prepare prescribed reports for submission to the offices concerned; 11. Prepare revenue issuances relative to the abovementioned functions; and 12. Perform such other related functions as may be assigned. Sections of QAD: 1. Rollout Planning and Management Section 1.1 Analyze and determine the scope of rollout of application systems and enhancements; 1.2 Plan and formulate policies, strategies, guidelines and procedures relative to rollout; 1.3 Develop/revise rollout schedule, rollout manual, rollout workplans, requirements checklists and other rollout monitoring tools relevant to successful rollout implementation; 1.4 Plan the resources (i.e. personnel and equipment) required to support the rollout; and 1.5 Perform such other related functions as may be assigned. 2. Rollout Assistance and Monitoring Section 2.1 Determine site, technical, application, people and administrative requirements readiness of an office/unit prior to rollout of a single/group of application systems; 2.2 Provide overall direction and coordinate with the different rollout support groups to ensure that rollout requirements are delivered to the rolling out office/unit; 2.3 Identify and facilitate the resolution of pre-rollout and post rollout issues and coordinate appropriate action plans with the offices/unit concerned; 2.4 Provide limited on-site support/assistance during the pre-rollout and post-rollout implementation phases; 2.5 Monitor and ensure that pre-rollout and post-rollout activities of the rolling out office/unit are accomplished; and 2.6 Perform such other related functions as may be assigned. 3. Compliance Audit Section 3.1 Plan and develop policies, strategies, guidelines and procedures relative to compliance audit; DETACa 3.2. Devise tools and techniques for the measurement of the quality and integrity of inputs/outputs, processes, application systems, resource allocation and documentation at ISG Offices; 3.3 Review and evaluate compliance of ISG offices to existing policies, procedures and standards except on technical matters; 3.4 Determine causes of non-conformances to policies, procedures and standards and recommend necessary changes/enhancements to improve compliance and/or prevent non-conformances; 3.5. Evaluate the effectiveness of implementing the corrective actions for non-conformances/deficiencies found by the office/unit concerned until final closure, 3.6 Provide feedback to management on the results of compliance audit conducted and the effectiveness of corrective actions taken; and 3.7 Perform such other related functions as may be assigned. 4. Technical Acceptance and Testing Section 4.1 Conduct independent technical, system, integration and Ready for Use (RFU) tests applications and review the corresponding system documentation in coordination with system owners; 4.2 Review and evaluate conformance of application systems to procedural and technical standards; 4.3 Coordinate with other internal/external IT groups in testing the systems as acceptable for implementation; 4.4 Review and ensure that the technical aspect of scripts are taken into consideration prior to migration to production; and 4.5 Perform such other related functions as may be assigned. B. Systems Standards and Technology Management Division 1. Develop and recommend policies, guidelines and procedures relative to the setting of standards for planning process, development and operations of information systems; 2. Develop and recommend strategies, policies, guidelines and procedures relative to advanced technology research and evaluation; 3. Develop and maintain comprehensive standards for the various resources (IT equipment for office planning, people, time and budget) that are required for the implementation of information systems projects as well as for the quality of products and processes in the development and operations of information systems; 4. Conduct continuing review of the Information Systems Strategic Plan (ISSP) to ensue that it is directed towards the overall plans and current priorities of the Bureau; 5. Establish and maintain performance indicators and standards for significant processes in the information systems development and operations; 6. Conduct studies to improve work processes within ISC in coordination with offices concerned; 7. Monitor and evaluate RDC reports on AABs performance relative to payment data transmission and recommend corrective measures, if necessary; 8. Prepare and maintain quality manuals for all business processes under ISG; 9. Coordinate with Quality Assurance Division (QAD) to ensure that the prescribed/set policies, guidelines, procedures and standards are implemented by concerned offices under ISG; 10. Assist the Bids and Awards Committee for Information Technology (BAC-IT) in the conduct of bidding and evaluation of bids for IT resources; 11. Evaluate and recommend new technology which the Bureau can adopt to effectively implement its IT programs; 12. Serve the research needs of ISG offices for accurate and up to date technology information; 13. Determine the acceptability of all hardware and software and IT related services in accordance with procedural and technical standards adopted by the Bureau; 14. Coordinate with proper offices in the implementation of the abovementioned functions; 15. Prepare prescribed reports for submission to the offices concerned; 16. Prepare revenue issuances relative to the abovementioned functions; and 17. Perform such other related tasks as may be assigned. Sections of SSTMD: 1. Information Systems Planning and Standards Section 1.1 Conduct yearly information and systems planning activities in support of the Bureau's business plans; 1.2 Document results of the planning sessions as basis for the development of the Information Systems Strategic Plan (ISSP); 1.3 Conduct a continuing review of the ISSP to ensure that it is directed towards the organization's overall plan and current priorities; 1.4 Conduct ISSP briefings for ISG personnel; 1.5 Develop and maintain comprehensive standards for the planning process in ISG; 1.6 Conduct continuing review of the planning process tools; 1.7 Evaluate applicability of the planning process tools; 1.8 Ensure that an office/unit at ISG (ISOS, ISDS and RDCs) is ready for the change process resulting from the adoption/implementation of an information system; 1.9 Prepare and maintain the quality manual including the quality plan, procedures and work instruction manual for business processes relative to information systems planning; and 1.10 Perform such other related functions as may be assigned. 2. Development Policies and Standards Section 2.1 Recommend policies, guidelines and procedures relative to systems development, maintenance and/or enhancements; 2.2 Develop and maintain comprehensive standards for the quality of products and processes in systems development and provide means for their control; 2.3 Establish and maintain performance indicators and standards for significant processes in systems development; 2.4 Conduct studies to improve work processes in systems development and maintenance in coordination with offices concerned; 2.5 Prepare and maintain the quality manual including the quality plan, procedures and work instruction manuals for all business processes relative to systems development and maintenance; 2.6 Coordinate with QAD to ensure that the prescribed/set policies, guidelines procedures and standards are implemented by ISDS and prepare necessary revisions based on the results of review/audit of products and processes at ISDS by QAD and/or Internal Audit Division (IAD) of Inspection Service; and 2.7 Perform such other related functions as may be assigned. 3. Operations Policies and Standards Section 3.1 Recommend policies, guidelines and procedures for information systems operations both at the National Office and RDCs; 3.2 Develop and maintain comprehensive standards for the quality of: 3.2.1 Input that goes into the system 3.2.2 Outputs generated, and 3.2.3 Processes in the operation of the information systems; 3.3 Develop and maintain performance indicators and standards for significant processes in systems operations; 3.4 Monitor and evaluate performance statistics of AABs from RDCs relative to payment data transmission and recommend corrective measures, if necessary; 3.5 Conduct studies to improve work processes in systems operations and coordinate with offices concerned in providing technical support; 3.6 Prepare and maintain the quality manual including the quality plan, procedures and work instruction manuals for all business processes relative to systems operations in coordination with offices concerned; 3.7 Prepare and maintain operations manuals for RDC operations; 3.8 Coordinate with RDCs with regard to process improvement, enhancements, correspondence and reports review and maintenance of pertinent Codes Tables; CDAHIT 3.9 Coordinate with QAD to ensure that the prescribed/set policies, guidelines, procedures and standards are implemented by ISOS and RDCs and prepare necessary revisions based on the results of review/audit of inputs, products and processes at said offices by QAD and/or Internal Audit Division of Inspection Service; and 3.10 Perform such other related functions as may be assigned 4. Technology Research and Evaluation Section 4.1 Conduct research in forefront and diverse high performance computing and IT infrastructure and disseminate technical information resulting from such research; 4.2 Confirm that the IT direction of the Bureau is up to date and according to the emerging industry technology; 4.3 Confirm that the Bureau's current hardware, network and other system technology is according with industry accepted technology; 4.4. Evaluate applicability of current technology as a solution to the Bureau's requirements; 4.5 Conduct surveys through vendor's product demonstration relative to the latest technology and product releases; 4.6 Provide results of technology assessment to ISG offices; 4.7 Conduct "proof of concept" tests as required and prepare technical specifications for IT resources; 4.8 Prepare the necessary bid documents for the procurement of IT resources in coordination with requesting office; 4.9 Assist BAC-IT in the evaluation of bids of vendors for IT resources in coordination with requesting office; and 4.10 Perform such other related functions as may be assigned. IV. REPEALING CLAUSE All issuances or portions thereof not consistent with the provisions of this Order are hereby repealed or amended accordingly. HTaIAC V. EFFECTIVITY This Order shall take effect immediately. (SGD.) REN G. BAEZ Commissioner of Internal Revenue