Guidelines and Procedures on TRU Phase I Pre-Upload Validation at the Revenue District Offices

October 2, 1998 REVENUE MEMORANDUM ORDER NO. 03-99 TO : All Revenue District Officers, Revenue Data Center Heads and Others Concerned SUBJECT : Guidelines and Procedures on TRU Phase I Pre-Upload Validation at the Revenue District Offices I. OBJECTIVES This Order is issued to: 1. Set the guidelines and policies in the implementation of TRU Phase I pre-upload validation at Revenue District Offices (RDOs) in preparation for the rollout of their respective Registration (REG) System. 2. Define the roles and responsibilities of all personnel concerned at the RDOs, Revenue Data Centers (RDCs) and National Office (NO). 3. Ensure a shorter turn around time for the resolution of suspended TRU Phase I records and reduce the number of suspended records due to encoding/integrity errors. II. DEFINITION OF TERMS: 1. Pre-Upload Validation refers to the verification of the encoded TRU Phase I data with the use of pre-upload validation program at RDO level. 2. Pre-Upload Validation Program refers to the stand alone foxpro program which is used to check the data integrity of encoded TRU Phase I records. 3. Active Business Taxpayers refers to all business taxpayers as of December 31, 1996 + new registrants until 60 days before rollout date (transferred taxpayers + cancelled or closed businesses + taxpayers who cannot be located). 4. NO TRU Team refers to National Office based TRU team 5. RO TRU Team refers to the Regional Office based TRU team 6. RDO TRU Team refers to the RDO-based TRU Team III. POLICIES AND GUIDELINES A. The pre-upload validation of encoded TRU Phase I shall be transferred from Information Systems Operations Service (ISOS) to RDO level. B. Validation of TRU Phase I shall be done as many times as necessary to ensure quality and integrity of records sent to ISOS for uploading. C. Validated records shall be sent to ISOS and uploaded to ITS only once, all suspended records resulting from this upload will have to be resolved by the RDOs using ITS upon rollout. D. The timeline for data entry, validation and suspense resolution activities shall be as follows: 1. For RDOs which have encoded less than 80% of their total active taxpayers: Stage 1 Completion of encoding including pre-upload validation, of at least 25% of the active business taxpayer base 150 days before the rollout date; Stage 2 Completion of encoding including pre-upload validation, of at least 50% of the active business taxpayer base 120 days before the rollout date; Stage 3 Completion of encoding including pre-upload validation, of at least 75% of the active business taxpayer base 90 days before the rollout date; Stage 4 Completion of encoding including pre-upload validation, of 100% of the active business taxpayer base 30 days before the rollout date. (Refer to Attachment G for the progress chart/timeline) 2. For RDOs which have finished encoding 80% or more of their total active business taxpayers: Completion of encoding, including pre-upload validation of 100% of their total active business taxpayer base 30 days before the scheduled rollout date. 3. All suspended records after the pre-upload validation shall be resolved by the data encoding team in coordination with the validation team. Likewise, the pre-upload validation shall continue until there is a 100% resolution of all suspended records or until 30 days before the scheduled rollout date. E. Revenue District Officers who fail to meet the aforementioned deadline shall be liable for violation of office rules and neglect of duty, and shall be punished in accordance with RMO 50-98. The NO TRU Team shall: 1. Ask for a written explanation; 2. Request to convene the RO TRU Team and RDO TRU Team to determine the gravity and the nature of the violation committed and the corresponding penalty (whether technical or functional sanctions) to be imposed based on initial reports as well as respondent's explanation; 3. Recommend transfer of the Revenue District Officer to another Office as a result of the neglect of duty. F. Uploading of TRU Phase I records shall be done by ISOS at least 2 weeks before the RDO rollout date and shall only be done once for each RDO. cdll G. Suspense list generated by RDC shall be returned to RDO for resolution. H. A dedicated personal computer (PC) and printer shall be provided to be used solely for the pre-upload validation, but suspense resolution can also be done using the other data entry PCs. I. Suspended records shall be classified as follows: 1. Suspended records with error types which can be resolved directly by encoders: a. invalid combination of taxpayer classification and taxpayer type b. invalid address code 2. Suspended records for resolution by the validation team of the RDOs with the following error types that require further investigation or taxpayer contact: a. invalid TIN b. incomplete information (e.g., no taxpayer name, no date of birth, no address, and no spouse name) c. invalid TP code d. no ATC details e. tax type field is empty in application forms f. tax type field is empty in ATC details g. tax type field is empty in tax type registrations h. wrong tax type-ATC combination i. wrong tax type-form type combination IV. PROCEDURES A. NO-TRU Team shall : 1. Provide overall direction to the RO-TRU Teams. 2. Conduct briefings to explain the site visit guidelines and procedures to be accomplished by the RO-TRU Teams. 3. Consolidate the TRU status reports from RO/RDOs and furnish the Rollout Assistance Unit of all TRU reports received. 4. Monitor and ensure that RDOs meet their respective rollout dates. 5. Determine and recommend sanctions in accordance with set policies and guidelines of this Revenue Memorandum Order. llcd B. RO-TRU Team shall : 1. Determine the TRU Phase I readiness of the RDOs concerned. 2. Perform the following activities 60 days before the rollout date: a. Conduct a site visit to ensure that 100% of the active business taxpayer base have been encoded; b. Obtain the TRU Readiness Questionnaire (Attachment A) from the RDO-TRU Team; c. Validate the TRU Readiness Questionnaire accomplished by the RDO and log observations in the TRU Readiness Questionnaire Validation Guide (Attachment B); d. Evaluate the TRU compliance of the RDO based on the TRU Readiness Questionnaire Validation Guide accomplished using the TRU Readiness Questionnaire Answer Key (Attachment C); e. Submit a copy of the accomplished TRU Readiness Questionnaire and TRU Validation Guide to NO-TRU Team; f. Obtain an updated number of business taxpayers from the RDO 60 days before the scheduled rollout. New registrants who registered during the 60-day period before the rollout date shall be included in the number of active business taxpayers which shall serve as the basis for computation of percentage of validated and uploaded records. 3. Guide the RDO on their first pre-upload validation process. 4. Conduct a debriefing session to analyze issues on suspended records. 5. Assist RDOs in resolving suspended TRU Phase I records. 6. Monitor and ensure 100% validation of TRU Phase I records. 7. Issue certificate of TRU Phase I readiness for RDOs with 100% validated records, 21 days before the scheduled rollout. (Refer to Attachment H, Sample of TRU Readiness Certificate) C. The RDO shall : 1. Encode the TRU Phase I TRU Forms of active business taxpayers using the TRU Data Entry Program. 2. Complete the encoding of TRU forms of active business taxpayers 60 days before the RDO rollout date. 3. Validate all encoded TRU Phase I records of the RDO thirty (30) days before the RDO rollout date using the TRU Pre-Upload Validation Program. This program shall be installed in the dedicated personal computer for validation. 4. Generate a list of suspended records for resolution. 5. Log/record the results of the pre-upload validation in the Weekly Status Report on TRU Phase I Pre-Upload Validation (Attachment D) and submit to RO-TRU Team. 6. Resolve post rollout suspended TRU Phase I records using the REG system of the ITS. Refer to the TRU Phase I Suspense Resolution Procedures (Attachment E) for step-by-step procedures on how to resolve suspended TRU Phase I records. 7. Encode corrected/resolved TRU records directly to ITS. 8. Defer the encoding of branches of an existing taxpayer. Encoding of branches shall be done upon REG system rollout. 9. Prepare and submit a weekly status report on TRU Phase I suspense resolution (Attachment F) to the RO-TRU Team. D. The ISOS shall : 1. Install the pre-upload validation program in the dedicated personal computer at RDOs. 2. Receive the diskettes 21 days before the RDO rollout date. 3. Scan diskettes for viruses and return defective diskettes to the concerned RDO. 4. Upload records to ITS using the upload program. 5. Inform the RDC concerned of the date and time of the uploading of records. 6. Prepare and forward to RDOs concerned, thru facsimile transmittal, statistical report on the number of validated and uploaded records. Furnish copy thereof to the NO-TRU Team and the concerned RO-TRU Team and RDC two weeks before rollout. E. The RDC shall : 1. Generate the list of suspended TRU Phase I records during upload. 2. Print the suspense report files sent by ISOS via File Transfer Protocol (FTP). 3. Transmit the list of suspended TRU Phase I records during upload to the RDO for resolution upon REG rollout. 4. Perform uploading post audit to check the number of records uploaded by ISOS. V. REFERENCE MATERIALS The following reference materials shall be used to guide the RDO TRU Team through the TRU Phase I process. 1. TRU Phase I Data Entry System User Guide V. 4.0 Contains detailed procedures on how to use the TRU Phase I Data Entry Program; this shall be used to encode new taxpayers, and to modify taxpayer information during the suspense resolution. 2. TRU Phase I Validation System User Guide V. 2.1 Contains detailed procedures on how to use the TRU Phase I Validation Program; this shall be used to validate taxpayer records. VI. REPORTING REQUIREMENTS 1. The RO TRU Team shall furnish the NO TRU Team copies of reports received from the RDOs. 2. The NO TRU Team shall in turn furnish the Rollout Assistance Unit with a copy of all TRU reports received. 3. ISOS shall furnish the NO TRU Team status report on the number of uploaded records per RDO. VII. REPEALING CLAUSE All revenue issuances and/or portion(s) thereof that is inconsistent with the provisions of this Order are hereby repealed or amended accordingly. VIII. EFFECTIVITY This Order shall take effect immediately. (SGD.) BEETHOVEN L. RUALO Commissioner of Internal Revenue ATTACHMENT A TRU Readiness Questionnaire ATTACHMENT B TRU Readiness Questionnaire Validation Guide ATTACHMENT C TRU Readiness Questionnaire Answer Key ATTACHMENT D Weekly Status Report on TRU Phase I Pre-upload Validation As of _______ ATTACHMENT E TRU Phase I Suspense Resolution Procedures ATTACHMENT F Daily Status Report on TRU Phase I Suspense Resolution For the Week Ending _______ ATTACHMENT G Progress Chart/Timeline ATTACHMENT H CERTIFICATE OF TRU READINESS