TACUA 2010
TEAMMATE EWP R9 ENHANCEMENTS,
IMPLMENTATION BEST PRACTICES,
AND LESSONS LEARNED
April 8, 2010
TeamMate EWP R9 Enhancements
2
Key Functionality
 Use of TeamMate Modules
 Centralized vs. Distributed EWP projects
 Native Support of Risks and Controls
 EWP Replication Process
 Other Items
TACUA Conference 2010
April 8, 2010
Reconsider Use of CCH TeamMate Modules
3
*
 R9 has more tightly integrated the modules making working practices
more streamlined and efficient when all modules are used together
 Introduction of Risk Based Auditing functionality requires the use of
TeamAdmin, TeamStore, TeamRisk, TeamMate EWP and
TeamCentral to fully benefit from this functionality
The Greatest Efficiency Gain:
Assessed risks and controls are automatically
added to EWP projects for testing and are
instantly reportable in TeamCentral.
The Greatest Effectiveness Gain:
Immediate compliance with IIA Standards to
demonstrate that risks scored during your risk
assessment have been tested during audit
work performed.
TACUA Conference 2010
April 8, 2010
TeamMate EWP R9 Enhancements
4
Centralized vs. Distributed EWP Projects
Centralized Model
 EWP projects stored in a central database (SQL, Oracle)
 Explorer tabs pointed to central database
 Explorer tabs filter to show assigned projects (via login
information)
Distributed Model
 Distributed model will be supported
 Master projects will be stored as MS Access databases
 Certain functionality not extended to this model
TACUA Conference 2010
April 8, 2010
Centralized vs Distributed Databases
5

Centralized is the term used when EWP project files are initiated and stored in the same
database as TeamSchedule, TeamRisk, TeamStore and TeamCentral data.
EWP
TeamSchedule
TeamRisk
TeamAdmin
Desktop
Suite
Database
TeamCentral
Reporting
TeamSchedule Web
TeamRisk Web
TEC
Web Server Portal
Work
papers
SQL or Oracle Server
• Highly recommended for medium to large organizations
• Highest performance, data integrity and security
• Enhanced suite-wide reporting features
• Workpapers stored in the backend database or option to store in file system
• Web server also used for replication
TACUA Conference 2010
April 8, 2010
Centralized vs Distributed Databases *
6

‘Distributed’ is the term used that most closely represents how you use TeamMate
EWP today. EWP project files are stored as separate MS Access databases on a file
share. Creating and Sending are still functions required to share data with the
global database.
EWP
MS-Access Databases
TeamSchedule
TeamRisk
TeamAdmin
Desktop
TACUA Conference 2010
TeamCentral
Reporting
TeamSchedule Web
TeamRisk Web
TeamMate TEC
Work
papers
Windows Server
Web Server
Suite
Database
SQL Server or Oracle
April 8, 2010
Centralized vs Distributed
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Feature/ Function
Centralized
Distributed
Reporting on:
• Procedures & Scorecards
• Risks & Controls
• Coaching Notes
Reporting on all these elements is possible
since the data is centralized
Reporting is not possible since these
elements are not contained in the
Send process
360 Reports can be used to
create post-project reports on
current issue status
Since TeamMate EWP has access to the
issues at all times, implementation
actions, revised dates and implementation
dates are available to the rich 360 reports
TeamMate EWP does not have access
to TeamCentral data. Therefore,
post-project reports are not available
Data changes made via
TeamRisk, TeamSchedule, TEC,
TeamCentral and TeamAdmin
are seen immediately
By removing the XML exchange process
to create and send to TC, data is always
real-time
XML exchange is still required and
TeamMate EWP is not updated once
created
Better TeamMate EWP
performance
SQL and Oracle are more robust
databases and application servers are not
required for performance only reasons
MS Access has many of the same
performance limitations as BDE.
SQL Express is slightly better
Manage large TeamMate EWP
projects
SQL and Oracle have no size limitations
on TeamMate EWP projects
MS Access has a 2GB limit. SQL
Express has a 4GB limit
Users will be asked to sign on to the
database - not each TeamMate EWP
project
Users will still be required to log into
each TeamMate EWP project
separately
Single Sign On
TACUA Conference 2010
April 8, 2010
TeamMate EWP R9 Enhancements
8
Native Support of Risks and Controls
 “New” Risk and Control Viewer in the Navigation Bar. Viewer displays:



Risks and Controls as assessed in TeamRisk
Risks and Controls included in a “Get” from TeamStore
Risks and Controls added directly to the EWP project
 Detailed information displayed for each risk and control, including:





General properties
Descriptions
Pre-project ratings
Post project ratings
Hyperlinks to supporting procedures, issues and coaching
notes
TACUA Conference 2010
09
April 8, 2010
Native Risks & Controls
9
Key Suite Functionality Features
 TeamAdmin contains the set up of Terminology & Categories
 TeamStore maintains the Risk Library
 TeamRisk and EWP pull Objectives, Risks, Controls and their linkages from
the Risk Library
 TeamRisk and EWP can “Add Risk and Control information on the fly”
 360 Reports and TeamCentral report upon Risk & Control data
TACUA Conference 2010
April 8, 2010
TeamAdmin - Terminology & Categories
10
TACUA Conference 2010
April 8, 2010
Risk-based
Risk-basedAudit
AuditApproach
Approach
TeamCentral
Workflow
1. TeamStore contains the Risk Library
(moved from TeamRisk Risk Universe)
2.
8. Reporting
EWP
TeamRisk ‘Get’ risks and controls into
assessment or add them directly
3. Risks and Controls copied from TR
4. Get into Project or Add Manually
3.
4.
TeamRisk passes the risks and controls
with pre-audit scoring to EWP
5. Control  Procedure Linking
7. 360 Reporting
EWP can also “Get” risks and controls
into project or add them directly
5.
Procedures can be linked to controls
6.
EWP performs post-audit risk scoring and
control evaluation for reporting
7.
EWP 360 Reports can be created for
project
8.
TeamCentral suite reporting across
projects
TACUA Conference 2010
6. Post Audit Scoring
TeamRisk
2. Get Into Assessment or SelfAssessment or Add Manually
TeamStore
1. Risk &
Control
Library
11
April 8, 2010
TeamStoreRisk
Risk&&Control
ControlLibrary
Library
TeamStore
12
Control Hierarchy
Ability to link controls to risks and this
relationship is understood by TeamRisk & EWP
TeamMate User Forum 2009
April 8, 2010
TeamMate EWP R9 Enhancements
13
Native Support of Risks and Controls
 Auditor can edit any information in the Risk and Control Viewer within EWP
 Projects created from TeamRisk will show:


“Entity” assessed in TeamRisk
Contact identified as “Entity” owner will be shown as the
Primary Owner in EWP. Alternate owners can be selected.
TeamMate User Forum 2009
April 8, 2010
EWP
EWP
Risk
Risk
and
and
Control
Control
Viewer
Viewer
Risk form on top with label customization and hiding
14
• Risk and Control Relationship Tree
• Entity Breakdown
Control form on bottom w/ full customization
Ability to link to procedures
TACUA Conference 2010
April 8, 2010
Replication Choices
15
 The replication engine was rewritten to address Borland DB
weaknesses, performance issues, reliance on applications
servers and one way replication
 The replication scenario you use today is still available, but
the use of synchronization should replace .tmr/ .tmu usage
where ever possible
 Replication does not care what the source and target
databases are – it works between most combinations of
SQL, SQL Express, Oracle, MS Access *
 A third tier has been added to replication which allows a
replica of a replica to be taken
TACUA Conference 2010
April 8, 2010
Basic Replication
16
 Create a Replica from a ‘Master’
 In the Replica – Sync at any time
 Transport/ Update can still be used if no network connection
EWP
TeamMate Web Portal
download
Replication Web Services
Replica
MS-Access
Suite
Database
tmr
Work
papers
Sync
tmu
send
send
send
Replication Local
Desktop
TACUA Conference 2010
Web Server
SQL Server or Oracle
April 8, 2010
Multi-Tier Replication
17
Primary
Region
Desktop
Web Server
EWP
TeamMate Web Portal
Sync
Replica
MS-Access
(tier 2)
SQL or Oracle Server
Replication Web Services
Work
papers
Headquarters
Suite
Database
Remote
Region
EWP
Replica
MS-Access
(tier 3)
Client-server connection
Work
papers
Sync
Replication Web Services
Web Server
TACUA Conference 2010
Regional
Replica
(tier 2)
SQL or Oracle Server
April 8, 2010
TeamMate EWP R9 Enhancements
18
Other Items
Library files have been renamed to “Templates”
Exceptions have been renamed to “Issues”
Administrator has been renamed to “Project Owner”
Unit has been renamed to “Entity”
The “Create Project” wizard allows you to select an
auditor that is creating the project instead of typing in
name.
 An offline TeamStore can be created from the EWP file.
This creates the TeamStore in an Access database for
portability.
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
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TACUA Conference 2010
April 8, 2010
TeamAdmin
19
 TeamAdmin has become central to the
administration of data in R9
 All user management, terminology, categories, delete
functions, import/ export and many policies have
been moved here and are no longer available from
the Admin menus in the individual modules
 This tool is meant for the TeamMate Champion in
your group and not for general installation
TACUA Conference 2010
April 8, 2010
TeamStores
20
 Prior to R9, TeamStore data could be stored in the global
database, but often was stored in external MS Access
databases on file shares for offline use
 Best Practice for R9 is to convert these TeamStore
databases to the global database and use Offline
TeamStores when working distributed
 Offline TeamStores now contain:







Auditors and contacts
Work programs and work papers
Issue write ups
Risk libraries
Templates
Terminology and categories
Security groups
TACUA Conference 2010
April 8, 2010
Templates
21
Libraries (.tml) have been redesigned to better integrate EWP and TeamStore
sharing and to ensure centralized administration of terminology and categories is
honored
 Libraries have been renamed to ‘Templates’ to better reflect what they do and how
they function
 Templates are no longer stored as separate files – they are contained within the
global database and can be taken offline via Offline TeamStore

TACUA Conference 2010
April 8, 2010
Implementation Best
Practices
GETTING THE MOST FROM THE R9
TEAMMATE SUITE
R9 Readiness – Key Documents to begin with
23
Documents to assist you:
• What’s New in TeamMate R9?
• TeamMate R9 Migration Guide
• CCH TeamMate R9 Services Guide
TACUA Conference 2010
April 8, 2010
TeamMate Implementation:
The Big Picture
 What do you want from TeamMate?
Audit Report
Management
Information
Efficiencies and
Standardization
 When customizing TeamMate keep these objectives in mind!
TACUA Conference 2010
April 8, 2010
How to achieve the most from an R9
Implementation:
 Know the goal
 Take time to make decisions that matter
 Invest the time up-front
 Dedicate appropriate staff
 Provide proper training
TeamMate User Forum 2009
April 8, 2010
CCH TeamMate - Audit Management System
TeamMate User Community
Audit Universe
Risk Assessment
Project and Resource
Scheduling
TeamSchedule Web
TeamRisk Web
Time and Expense
Capture
TEC Admin
Project and
Exception
Tracking
Electronic Working Papers
TeamStore Maintenance
TACUA Conference 2010
April 8, 2010
TeamRisk
Audit
Projects
Start
Audit
Projects
Completion
 Create an
assessment
 Self-Assessments
 Score Risks
 Create audit plan
 Create and release
Projects
TeamSchedule
 Create a plan
 Determine projects
 Schedule Projects
 Schedule resources
 Assign Manager and lead
 Add non-chargeable time
 Release the plan
 Check schedule
 Update risk
assessment
based on audit
TEC
 Complete time and
expense reports
 Approval of timesheets
and expense reports
 Run reports
TeamCentral
 Track Issues
 Track projects
 Update status
EWP
 Create Audit
 Get test from
TeamStore
 Perform test
TeamMate User Forum 2009
 Write Issues
 Run Audit report
 Send Issues to TeamCentral
 Finalize Audit
April 8, 2010
TeamMate Project Timeline Example
TeamMate User Forum 2009
April 8, 2010
TeamMate Protocol Document
 The protocol document defines how your audit group will use TeamMate
 Accessed from within TeamMate via Help | Local Guidance
 Protocol document can include any information relevant to the use of
TeamMate in your organization. Examples include:

Project creation policy

Workflow and/or process map

Project review policy

Scanning policy

Documentation policy

Replication policy

Back-up policy

Who to contact if you forget your password

How and where to archive projects
 Template protocol document template included in your
Welcome e-mail
TACUA Conference 2010
April 8, 2010
TeamMate IT Architecture
TeamMate Suite Physical Tiers
Client Applications:
TeamMate EWP
(TeamImage)
TeamRisk
TeamSchedule
TeamStore
TeamMate TEC Admin
Web Server Applications:
TeamRisk
Web Server Applications:
TeamCentral
TeamSchedule WEB
TeamMate TEC
TACUA Conference 2010
`
File Server Data:
TeamMate EWP
Database Server Data:
TeamRisk
TeamSchedule
TeamStore
TeamMate TEC
TeamCentral
April 8, 2010
Importing or Inputting:
 How will you get your current data into
TeamMate?

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Import Resources
Import Projects
Import Risk Universe
Import into TeamStore
Import outstanding issues
Import Audit Universe
 TeamMate Service Offerings
 Assistance in all of the above for a fee.
TACUA Conference 2010
April 8, 2010
TeamMate Installation Best Practices
 Test environment (sandbox)

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Initial customization
Pilot project
Protocol on best use of TeamMate
End user training
Move to production

Migration of environment or repeat setup
 Production environment
 Roll out TeamMate to end users
TACUA Conference 2010
April 8, 2010
TeamMate EWP Implementation Steps
 Determining Core Audit Template Elements
 Defining Your Template
 Defining Policies
 Establishing Default Team Members (optional)
 Determining Project Milestones
 Defining Global Tickmarks
 Defining Standard Planning and Wrap-Up
Programs
TACUA Conference 2010
April 8, 2010
TeamMate User Community
Available to all licensed TeamMate users
 News
 Discussion forums
 Downloads
 Documentation
 FAQ’s
 Error messages and resolutions
 Computer based training
 Log enhancement requests
 Example Audit Programs
 Technical Support: 1.800.449.8112 http://www.teammatecommunity.com
TACUA Conference 2010
April 8, 2010
Lessons Learned
35
 IT Support and planning.
 8.2.2 conversion of projects.
 Convert web server, clients, and databases all at once.
 Errors in conversion with duplicate users who were auditors and





contacts.
Redirect tabs to new central database from the old file share
location.
Some minor differences with EWP transition but what the auditor
sees and works with will be basically the same.
All admin for suite through Tmadmin.
Distributed mode (using both Access and SQL)
Sandbox for testing.
TACUA Conference 2010
April 8, 2010
Summary
36
 R9 provides a great opportunity to re-evaluate how you use TeamMate
and your methodology
 By taking advantage of new functions like TeamAdmin centralized
administration, redesigned Templates and Offline TeamStores, you can
better control your data integrity and spend less time making changes in
multiple locations
 Introduction of replication synchronization means that team members are
better aware of work performed in the project by others and assignment
policies in combination with field level conflict handling mean less file
clean up
 By implementing new features like risk based auditing, TeamCentral
reporting and consolidating to a centralized database, you can increase
your department’s efficiency and effectiveness
TACUA Conference 2010
April 8, 2010
TeamMate R9
37
Questions and Answers
TACUA Conference 2010
April 8, 2010