Annex 1.

TEAMMATE PRINCIPLES AND GUIDELINES

Internal Oversight Division

Updated Version: August, 2014

 Annex 1.1

TABLE OF CONTENTS

1. INTRODUCTION ................................................................................................................. 3
2. ACCESSING TEAMMATE AND THE TEAMMATE EXPLORER ........................................ 4
3. CREATING PROJECTS ..................................................................................................... 6
(A) NAMING THE PROJECT ............................................................................................. 6
(B) TEAMMATE EWP BROWSER ..................................................................................... 7
(C) PROJECT SETTINGS.................................................................................................. 8
(i) Terminology .................................................................................................................. 8
(ii) Categories .................................................................................................................... 9
(iii) Policies ......................................................................................................................... 9
(iv) Auto-backup settings .................................................................................................. 10
4. SELECTING PROFILE, TEAM AND CONTACTS ............................................................ 10
(A) TEAM SETTING......................................................................................................... 11
(i) Security groups........................................................................................................... 11
(B) CONTACTS ............................................................................................................... 12
5. PLANNING FIELD WORK AND REPORTING ................................................................. 12
(A) PLANNING ................................................................................................................. 12
(B) FIELD WORK ............................................................................................................. 13
(C) REVIEW AND SIGN OFF ........................................................................................... 14
(D) REPORTING ON FINDINGS AND RECOMMENDATIONS........................................ 15
(E) CLOSING MEETING - CLIENT ACCEPTANCE OF FINDINGS AND
RECOMMENDATIONS......................................................................................................... 16
6. TEAMMATE EWP PROJECT FINALIZATION .................................................................. 16
7. FOLLOW-UP OF RECOMMENDATIONS - TEAMCENTRAL ........................................... 17
(A) TEAMCENTRAL POLICIES ....................................................................................... 19
(B) DELETING RECOMMENDATIONS ........................................................................... 21
8. SURVEYS ......................................................................................................................... 21
9. TECHNICAL PROJECT SETTINGS ................................................................................. 21
(A) SETTING TEAMMATE PREFERENCES ................................................................... 21
(B) PROJECT LOCATIONS ............................................................................................. 22
(C) STORING THE MASTER FILE DURING THE PROJECT .......................................... 22
(i) LAN-based Storage .................................................................................................... 22
(ii) PC-based Storage (Stand-alone Use)......................................................................... 22
(D) USING REPLICAS ..................................................................................................... 22
(E) MOVING MASTER PROJECTS ................................................................................. 23
10. IOD TEAMMATE CONTACTS ...................................................................................... 23
ANNEXES ................................................................................................................................ 24
 Annex 1.1

1. INTRODUCTION

1. TeamMate is a Windows-based Audit Management System, designed to bring efficiency

and consistency to the entire audit/evaluation process of The Internal Oversight Division (IOD).
At its core, TeamMate is an electronic project management system that facilitates the audit
process from risk assessment to reporting. Since the TeamMate Suite was designed with the
idea of flexibility, the system can be applied to many different types of assignments. The suite
includes the following modules; TeamMate EWP (electronic working papers), TeamCentral,
TeamRisk, TeamSchedule, TeamStore and TeamMate TEC). It also includes a TeamAdmin
module for administrators, used to set user policies. With the modular structure of the Suite,
users can decide which aspects of the suite to use.

2. TeamMate EWP is the central module within the full TeamMate Suite. TeamMate EWP
delivers the following benefits:

(a) A consistent approach to project creation, documentation, and review;

(b) Access to management information and navigable project files;

(c) Efficient remote review of projects; and

(d) Ability to share one or multiple projects amongst a team of people.

3. TeamCentral is the implementation management portion of the TeamMate software suite.

TeamCentral allows access to key historical data related to projects and issues. Features of
TeamCentral include:

(a) Implementation tracking and reporting tool for both audit and operational
management to manage follow-up of recommendations; and

(b) Reporting (including graphical reports) and searching, including across-project

searches for issues and projects

4. IOD has adopted TeamMate EWP as the standard for documenting audits and evaluation
projects; it may also document management implication reports issued following an
investigation. While TeamMate does not replace performing the detailed work, it does provide a
common platform for documenting, reviewing and sharing work during and after the project.
TeamCentral module is used to follow-up on implementation of recommendations created in
EWP. TeamRisk, the module used for mapping risks and controls is in use in IOD since the
2014 oversight plan.

5. The software enables IOD to move towards a paperless environment and bring
efficiencies to planning, fieldwork, review, reporting, and archival processes. Additionally,
TeamMate is expected to improve best practices, communications and productivity and help
ensure consistent application of WIPO’s organizational standards and practices.

6. The following document outlines IOD’s TeamMate principles and protocols and provides
guidance on policy issues such as: planning the project and creating a file in Teammate EWP,
documenting audit and evaluation work, establishing quality control through various review
steps, updating standard programs and templates, using TeamCentral, backing up projects,
storing our project files and getting support.
 Annex 1.1

2. ACCESSING TEAMMATE AND THE TEAMMATE EXPLORER

7. A Team Mate shortcut icon should be visible on your desktop. Clicking on the icon
will take you to the main Teammate launch Pad.

8. The launch pad provides access to the various TeamMate modules (TeamMate EWP,
TeamCentral, TeamRisk, TeamSchedule, TeamStore and TeamMate TEC). Access to any
module is subject to authentication via a username and password.

9. IOD policy is that Login is the first letter of the first name and last name as follows:
‘asmith’. The default password is ‘password1’. New users will be requested to change
theirpassword which should be at least 8 characters and include at least 1 number in line with
WIPO password policy.

10. Following access to TeamMate EWP, the next screen which is the ‘TeamMate Explorer
View’ will show all projects currently created and their status.

11. The TeamMate EWP Explorer is a viewer that displays projects. The TeamMate EWP
Explorer’s principal functions are to create new project files and display a list of available
projects. Multiple tabs can be created to organize projects so that it is easy to find the project
you require.

12. Although by default all projects are displayed in the Explorer, each user will only have
access to those projects on which they are a team member. Common uses of TeamMate
Explorer are:

(a) Opening Existing Projects;

(b) Creating New Projects;

 Annex 1.1

(c) Restoring TeamMate EWP Backups;

(d) Creating, installing and merging Replica Projects;

(e) Organizing Location Tabs;

(f) Deleting Projects; and

(g) Viewing high level information related to the status of schedules via the Dashboard.

13. The Explorer functions are accessed from the ribbon buttons at the top of the EWP
Explorer. Some functions only apply to projects in the central database and some functions
only apply to distributed projects. The ribbon buttons are enabled and disabled accordingly.
Functions available are:

(a) Open – Opens the currently selected project.

(b) New – Creates a new project in EWP.

(c) Delete – Deletes currently selected project. This is only enabled for distributed
projects. Projects in a central database can only be deleted from TeamAdmin.

(d) Restore – Restores a back-up in the selected location. This is only enabled for
distributed tabs as back-ups of a central database are managed by your organization’s IT
department.

(e) Replica – Install a replica in the currently selected tab.

14. Project List - This is a list of all projects in the database. The list can be filtered using the
Explorer filter button if required. The information which can be displayed for each project in the
Centralized Dashboard is detailed below. The Explorer Settings button (denoted by a wrench
icon in the panel top right corner) allows you to show or hide columns to change the information
displayed as necessary:

(a) Project Name – The name of the project.

(b) Project Code – Code defined by IOD’s workplan that identifies projects.

(c) Start Date – The start date of the project.

15. Time Progress – This is a graphical indicator showing actual project time in hours against
either estimated or scheduled project hours as a percentage. Green indicates that the project is
under budget, red indicates that the project is over budget. Hours are taken from the Project
Profile | Schedule tab. See section on Project Profile for more information.

16. Procedure Progress – A graphical indicator composed of two elements. The solid black
line displays the total number of procedures in the project. The line is sized automatically to
allow you to compare the total number of procedures in a project with other projects.

17. The underlying stack chart shows the number of procedures in the project in each
workflow state (not started, in progress, prepared, reviewed and edited since review). The stack
bars are resized based on the percentage of procedures in each workflow state versus the total
procedures in the project.

18. Project Status - A project can be in one of seven workflow states or cancelled/ deferred.
For details on project status, including definitions, see Profile – Status.
 Annex 1.1

19. Finalized - An icon is displayed indicating that the Project is finalized and no further
changes can be made. See section on Finalization for more information.

20. Priority - A graphical indicator composed of two elements. The solid black line displays
the total number of Recommendations in the project. The line is sized automatically to allow
you to compare the total number of recommendations in a project with other projects. The
underlying stack chart shows the number of recommendations in the project by priority
categorization. The stack bars are resized based on the percentage of recommendations in
each category versus the total number of recommendations in the project. The
recommendation priorities and bar colors displayed are user configurable. See the TeamMate
Champions Guide for more information on configuration.

3. CREATING PROJECTS

21. TeamMate EWP projects can be created in two different formats, Centralized and
Distributed. The choice of format is determined when a project is created and can be made on
a per project basis, or standard basis.

22. IOD will use the Centralized approach - These projects are part of a central database - no
data is held locally on the PC. All changes made to the project are reflected automatically in the
central database.

23. All projects in EWP are created from a Template. Templates are a key component of
TeamMate EWP and serve as a “head-start” when creating your project. Templates typically
contain standard items found in every project, irrespective of the client or assignment.
Templates normally include:

(a) A planning checklist,

(b) Notification/engagement letter (fill in the blanks template) or other work paper
templates,

(c) Opening meeting template,

(d) Support Group / Champions as team members,

(e) Global Tick-marks, and

(f) Customized Settings, including Terminology, Categories and Workflow Policies.

(A) NAMING THE PROJECT

24. To create a project, the following steps are required:

25. Step 1: Enter the project information using a standard naming and coding convention to
aid project identification and sorting in the Explorer.

(a) Code - Defined by the annual Oversight plan and appears as either depending on
the Section: IA 201X-0X for Internal Audit reports, EVAL 201X-0X for Evaluation reports,
INV 201X-0X for Investigations’ Management Implication reports, EA 201x-0X for external
Auditors’ reports. EAM 201X-0X for external Auditors’ management reports.

(b) Project Name - As defined in the annual oversight plan.

 Annex 1.1

(c) Audit Plan - Oversight Plan for the year.

(d) Entities - There is only one entity: WIPO.

(e) Project Start Date - Defined as the date when planning commences.

26. Step 2: Select a Template. A template is the basis of all new TeamMate EWP project
files. Templates enable you to include predefined information about the project and its structure
without having to redefine it every time you create a new file.

27. Currently, there is either an EVAL Template or an IA Template. Investigations use a very
simplified template prepared for the purpose of reporting only; investigation working papers are
saved under IOD’s R drive.

(B) TEAMMATE EWP BROWSER

28. The Browser is your starting point within your project file. The Browser is the index or
table of contents, of the project and is the first screen displayed after opening the project.
Everything contained in a TeamMate EWP project file can be accessed through the Browser.
Although the Browser can give access to all Schedules in the Project, it is often easier to use
the ribbon interface and other shortcuts to go directly to the many EWP Viewers and find the
information you require.

29. The Browser is divided into three resizable panes similar to Windows Explorer. The left
pane displays the overall project structure and main folder names, the top right pane displays
the contents of each folder, and the Info View which shows other information about an item
selected in the top right pane.

30. As you move through the folders in the left pane, the right pane will refresh to display the
selected folders contents.

31. At IOD, the TeamMate EWP project files for audits have the following main folders:

(a) Audit Closure (AS Folder) – contains all issues (findings) as well as any
TeamMate EWP generated reports.

(b) Audit Folders (PG Folder) – contains the planning and administration folders, field
work folder which include the work programs and work papers, and the audit summary
and reporting folder.

32. A similar configuration has been developed for the Evaluation Template which holds:
 Annex 1.1

(a) Evaluation closure folder - contains all issues (findings) as well as any TeamMate
EWP generated reports.

(b) Evaluation Folder - contains the planning and administration folders, field work
folder which include the work programs and work papers, and the audit summary and
reporting folder.

(C) PROJECT SETTINGS

33. There are two types of project settings; (1) Technical -setting the location of TeamMate
projects on the network, defining storage and project archiving, and replica, (2) Project
templates - configuring projects policies and terminologies, and options. The TeamMate
Administrator is in charge of these settings and collaborates with the WIPO IT server
administrators. The TeamMate administrator creates bespoke templates used for all Projects.
The technical settings are addressed in part 9 (Technical Project Settings) of this guideline.

34. Including Project Settings in a template helps to ensure consistency, and conformity with
an organization’s best practices and management information requirements. It also reduces the
administrative burden for the user who is setting up the Project. Types of Project Settings which
can be defined at this stage, if required, are as follows:

(i) Terminology

35. Using Terminology, IOD can customize the fields and tabs in TeamMate to match the
words and terms used by the organization. Within TeamAdmin, you can update the labels of
many fields and screen tabs, which will reflect in all of the applicable TeamMate modules
(TeamMate EWP, TeamCentral, TeamRisk, TeamSchedule, TeamStore and TeamMate TEC).
Field names and tab labels are considered Terminology in TeamMate. Fields and tabs that IOD
does not use can be hidden. Label names can be edited and the number of tabs displayed on
certain TeamMate forms can be changed through use of the on/off checkboxes. Although not
all fields can be hidden or customized, there are many options for customization.

36. Terminology that can be modified in TeamAdmin includes:

(a) Project Profile Labels

(b) Issue Labels

(c) Procedure Labels

(d) Coaching Note Labels

(e) Objective, Risk and Control Labels

 Annex 1.1

37. The following WIPO Terminologies have been set in Team Admin and have been
integrated in the templates:

(a) Project Profile - Objectives, Background, Scope and Methodology

(b) Issues – Findings, Conclusions, Impact, Likelihood, Risk, Evaluation criteria.

(c) Recommendation Label – Recommendation, Response, Progress, Priority,

Program, Risk, Source, Category

(d) Recommendation State – Open, Pending, Started, Implemented, Closed verified,

Closed Management accepts the risk, Closed no longer applicable.

(e) Procedures – Record of work done, Conclusion

(ii) Categories

38. Within TeamAdmin, you can also customize the items that appear in field selection lists
(drop down lists). These are referred to in TeamMate as Categories. Using Categories, allows
IOD to customize the fields in TeamMate to match the words used by the organization.

39. Categories that can be modified in TeamAdmin include: Project Profile Categories, Issue
Categories, Procedure Categories, Coaching Note Categories, Objective, Risk and Control
Categories, Resource Categories, Time and Expense Categories, and Schedule Categories.

40. One of the key results of customizing categories is to organize and label information so
that issues can be sorted and reported by the properties important to IOD. By customizing the
terminology and categories within TeamMate, IOD can create projects and reports that fit the
organization. The following Terminologies have been set in Team Admin and have been
integrated in the templates and a full listing is available in Annex 1 of this guideline:

(a) Project Type

(b) Issue Type

(c) Project Location

(d) Origin

(e) Project Source

(f) Issue Type

(g) Likelihood

(h) Impact

(i) Risk

(j) Priority

(k) Evaluation Criteria

(iii) Policies

41. Policies are used in TeamMate EWP to determine security, permissions and workflow in
your TeamMate EWP Projects. These policies are also part of your TeamMate EWP Template
or set up in the individual projects. Policies available include:
 Annex 1.1

(a) Integration Policies – Related to how TeamMate EWP functions with the rest of the
Suite.

(b) Security Policies – Restrict ability to make edits, create replicas, templates and
reporting.

(c) Customization Policies – Ability to Freeze or Hide specific customization and profile
selections.

(d) Workflow Policies – Related to the assignment of work.

(e) Signoff Policies – Restricts/Enables available sign-off capabilities.

(f) Finalize Policies – Select options for project finalization process.

(g) Work paper File Size – Limit the file size of work papers as attachments or to be
included in replicas.

42. A full listing of policies customized for IOD is available in Annex 2 of this guideline.

(iv) Auto-backup settings

43. This determines auto-backup settings which will be used in Distributed or Replica projects.

(a) Auto-back - Whether or not auto-back will run when a Project is closed

(b) Frequency - If auto backup is enabled this determines the frequency with which
EWP will create backups

(c) Number of prior backups to be retained - Allows x number of previous backups to be

retained.

44. If not selected new backups will overwrite those created previously.

4. SELECTING PROFILE, TEAM AND CONTACTS

45. Once a project is named and created in Teammate EWP, we need to provide some
information on the project profile i.e. the project’s team, scope, summary, schedule etc…

46. The profile provides information on the audit/evaluation team members, Schedule for the
audit/evaluation, the Objectives and background of the audit/evaluation, the scope and
 Annex 1.1

methodology and client contacts. The profile is also used to insert the executive summary of
the audit/evaluation and the status of the project with regards to the scheduling.

(A) TEAM SETTING

47. Teams can be set and assigned roles under this tab. The role policy set up for IOD is as
follows:

Title Role
Independent Advisory Oversight Committee TBD
members
Director Project Manager/Preparer/Reviewer
Head of Internal Audit/Evaluation/Investigation Project Lead/Preparer/Reviewer
Senior Auditor/Evaluator/Investigator Preparer/Reviewer
Auditor/Evaluator/Investigator Preparer
Administrative Assistants Preparer
Interns Preparer
Teammate Champion Administrator

48. There is an important difference between the Preparer/Reviewer Role and the Reviewer
Role. Team members with the latter role cannot make any edits to a project file other than
signing documents off and raising coaching notes.

49. A team member, with an Administrator Role, called Teammate Champion is automatically
added to the team of every project created from the libraries.

IOD Policy: The Lead (Head of Section) and Manager (Dir. IOD) are both Preparer
Reviewer. The Project Owner is the staff who created the project or who is the main focal point
for the assignment.

(i) Security groups

50. Within the Teams Tab, there is also the possibility to set Security Group. Security Groups
is the collective name in TeamMate for Implementation Coordinator (IC) groups and Project
Access Groups. In TeamMate EWP these groups can be associated with the project so that
resources who are not members of the project team can have access to data from the project in
TeamCentral. For more information about Security Groups see the TeamMate Champion
Guide.

(a) Project Access Groups - Are used in TeamCentral to give Resources who are not
team members, read only access to project data.
 Annex 1.1

(b) Implementation Coordinator (IC) Groups - Are used in TeamCentral to give

Resources permission to track and action Recommendations from the Project.

(c) Project IC Group - Members of a Project IC Group and its members will have access
to all Recommendations from the Project.

Security Group setup and management takes place in TeamAdmin. Only the Project
Ownership and Administrator can make changes in the Security Group dialog.

51. The following security groups (Project IC Group) have been created in IOD

(a) IOD – All staff of IOD

(b) EVAL – Evaluation Staff only

(c) IA – Internal Audit Staff only

(d) INV – Investigation staff only (used for following up on Management Inception
Reports (MIR)

52. In addition each staff member in IOD has also been assigned an individual
implementation coordinator role to individually follow up recommendations.

(B) CONTACTS

53. Contacts are business contacts for this project; typically these are the management of the
Entity being audited. Contacts will be mostly program managers and process owners. These
contacts would also be given access to TeamCentral and assign different roles in the
management and update of recommendations.

Only the administrator can create contacts. Contacts are only copied into the Profile during
creation if the Project is centralized.

Contacts cannot login or otherwise be given access to Projects in EWP. Associating

Contacts with Projects and Recommendations is done solely to give access to data in
TeamCentral

5. PLANNING FIELD WORK AND REPORTING

54. IOD’s oversight work is organized within the following stages:

(A) PLANNING

55. IOD prepares a plan which outlines the objectives, scope and methodology for audits. A
risk assessment document is also prepared which details the major risks and identifies existing
mitigating controls. An audit program is established with the audit work steps to be undertaken,
based on the risk assessment and the audit plan.

56. For evaluations, an evaluability assessment is performed, followed by the preparation of

terms and references and an inception report to outline the objectives, scope and methodology
to be applied.
 Annex 1.1

57. The above documents are recorded in their corresponding folders within TeamMate EWP.
Further, the procedures, risks and controls are also recorded within the electronic work papers
in TeamMate. Evaluations record procedures, criteria and Questions are outlined in the terms
of references.

(B) FIELD WORK

58. Following the creation of the plan/inception report, risk/evaluability assessment and work-
steps, the project will need to be initialized. Initialization should take place after:

(a) The Admin selection of Team Members,

(b) The Audit/Evaluation Profiles has been defined,

(c) Background documents/Evaluation terms of references have been included in the

appropriate folder,

(d) Risk/ Evaluability assessment performed included in the appropriate folder,

(e) Audit plan/Inception reports prepared and included in a the appropriate folder,

(f) Audit programs/ developed and included in the appropriate folder, and

(g) Any correspondences and meeting notes prepared and included in the appropriate
folder (opening/kick-off meetings).

59. The project manager and the project lead will review all corresponding documentation and
make review notes where appropriate.

60. Documenting the results of work performed is similar to documenting work in a paper-
based environment. The Work Program is used to document the results of testing carried out,
supporting evidence found during the course of the project can be added as Work Papers and
any findings and recommendations are documented as Issues. The primary advantage of an
Electronic Working Paper system is that all the work which is documented in a project is
automatically indexed and cross-referenced so that findings can be easily related back to the
documentation/transaction reviews, interviews, surveys, tests and evidence that was gathered.
 Annex 1.1

61. TeamMate EWP allows IOD to document each stage of its oversight work up to the
recommendation. The teammate work space allows IOD to record all steps and evidence
collected during the course of their work. The record of work done facilitates the link between
findings and evidence and provides a clear audit trail up to the recommendations made. The
record of work done should, for audit and evaluation, tell the story of what was done together
with links to the evidence gathered.

62. The Work space can be used directly as a work paper, or documents can be uploaded
and attached wherein. TeamMate is compatible to Microsoft Office applications and can also
record scanned documents and emails.

During planning and fieldwork, whenever possible, request information in electronic format.
Determine whether information originally created by the client is available in its native electronic
format.

IOD policy is to place priority on documentation to support issues (findings) that are to be
raised in the report. You should scan in documentation what directly supports an issue
(finding). This includes, but is not limited to, contracts, invoices, purchase orders, interviews,
meeting notes, surveys, etc.

(C) REVIEW AND SIGN OFF

63. All Schedules in TeamMate EWP, except Risks and Controls have a workflow state: Not
Started, In Progress, Prepared and Reviewed. Workflow states and signing off Schedules help
to keep track of what has and has not been done, and in a large team environment provides
accountability for reviewers.

64. TeamMate EWP allows the project lead and project managers to access the field work at
any time and perform reviews. These reviews are documented in ‘review notes’ and can be
accessed at any time by auditors/evaluators.

65. Once you have completed your work, you must mark it as prepared, which will allow its
review. TeamMate EWP automatically inserts your initials and date and retain the information in
the edit history. You have two different types of Sign-off in TeamMate:

(a) Signing off individual work papers and exceptions, and entire work programs

(b) Signing off individual procedures

66. Staff members who have been granted the reviewer or preparer/reviewer roles have the
authority to sign off on prepared work papers.
 Annex 1.1

67. As a reminder the following roles have been attributed in IOD

Title Role
Audit Committee members Read-only
Director Preparer/Reviewer
Head of Internal Audit Preparer/Reviewer
Head of Evaluation Preparer/Reviewer
Senior Auditor/Evaluator Preparer/Reviewer
Auditor/Evaluator Preparer
Administrative Assistants Preparer
Interns Preparer
Teammate Champion Administrator

The preparer cannot be the reviewer regardless of whether the staff has both reviewer and
preparer role.

(D) REPORTING ON FINDINGS AND RECOMMENDATIONS

68. Throughout the fieldwork, IOD staff record findings and recommendations through the
‘New Issue’ button on the EWP workspace.

69. IOD records findings and recommendations in the following manner:

(a) Finding – used to record the Audit/Evaluation/MIR issue

(b) Recommendation – used to record the associated recommendation

(c) Conclusion – used by Evaluations to record conclusions

(d) Impact - used to record the impact of the finding and its likelihood

(e) Properties – used by Evaluation to record the evaluation criteria associated to the
finding

(f) Properties – used to provide information on; priority, associated WIPO program, risk,
source and category of recommendation.

70. Findings and recommendations also have to be reviewed and signed off by the reviews
(project lead and project Manager).
 Annex 1.1

(E) CLOSING MEETING - CLIENT ACCEPTANCE OF FINDINGS AND

RECOMMENDATIONS

71. Prior to finalizing an audit, a summary of audit findings and recommendation is prepared
which includes all findings and related recommendations. This document serves as a
discussion paper and is used during the closing meeting held with the client. The same process
occurs during evaluations; a feedback meeting is held after the field work to discuss findings,
conclusions and recommendations. Comments from the client are used to further fine tune the
findings and recommendations and a draft report is subsequently issued to the client.

72. The client has 10 working days to provide comments, action plans, assign owners and
contributors, provide a reasonable timeline for each recommendation implementation.

(a) Owner: this is the person assigned to the recommendation (Lead), in charge of
implementing and providing updates on the recommendation.

(b) Contributor: This person assists the ‘owner’ in implementing the recommendation
and in providing updates on the recommendation. This is also used in cases where the
recommendation cuts across programs/units, staff members from the other contributing
units are given contributor roles.

(c) Approver: this person approves the update provided by the owner if and when
required. This could be an active approver (approval required in TeamCentral) or a
passive approver (approves before the owner updates in TeamCentral).

(d) Observer: Passive role usually allocated to the program manager who is not the
approver. For example in a recommendation involving more than one Program, the
second Program manager could be an observer.

(e) Final Approver: Usually assigned to the Program Manager for final approver.

73. Following receipt of the comments, action plans and owners, a final report is prepared to
be issued to the Director General.

74. In parallel to the above, the findings, recommendations and responses are updated in
TeamMate EWP. The information provided by the client is used to update the following
information in EWP findings and Recommendations views:

(a) Response – used to record the client’s response with regards to the finding and
recommendation. This will include the comments and action plan

(b) Implementation – used to record the client’s estimated implementation date,

progress, and identify the implementation coordinator within IOD that will follow-up on the
issue and recommendation.

(c) Contact – used to identify the designated client contact person responsible for the
implementation of the recommendation (owner), as well as the approver, and contributors.

6. TEAMMATE EWP PROJECT FINALIZATION

75. Project Finalization occurs when the field work and final reports have been issued.
TeamMate EWP contains a finalization process that checks each procedure step, procedure
summary, exception, supporting work paper, and coaching note for prepare and review sign
offs.
 Annex 1.1

76. Then the process converts all team roles to read only. In the unlikely event that changes
to the project file are required after finalization, TeamMate also creates an emergency back-up
copy of the master file that can be restored. Only a team member with Reviewer rights, at
minimum, can perform the finalization process. Prior to finalization, the following needs to be
verified.

It is IOD policy to run the finalization process only after issuance of the project report and
approval from the project manager.

It is also IOD policy to discontinue finalization if, during the finalization process, TeamMate
detects any of the following:

(a) Procedure steps not signed off as prepared or reviewed

(b) Work papers not signed off as prepared and/or reviewed

(c) Exceptions not signed off as prepared and reviewed

(d) Coaching notes not addressed and cleared

As a policy coaching notes are not deleted during finalization of IOD projects.

7. FOLLOW-UP OF RECOMMENDATIONS - TEAMCENTRAL

77. Status tab in

TeamMate EWP is used to
record the various stages
of the project workflow.
 Annex 1.1

78. The issuance of the final report, the finalization of the project and implementation tracking
trigger the release of findings and recommendations to the TeamCentral Module, used to follow-
up on open recommendations.

79. TeamCentral is a web-based recommendations tracking database that accumulates

project information and findings from all of your individual oversight reports. The tool allows
users to track the implementation status of recommendations made by IOD, and WIPO External
Auditors.

80. To access TeamCentral, a user must be assigned a ‘username’ and ‘password’. Users
are IOD staff members, client designated staff members and WIPO External Auditors.

81. Only the TeamMate Administrator can create a username and password for TeamCentral.
IOD staff use the same ‘username’ and ‘password’ assigned for TeamMate EWP to access
TeamCentral.

IOD has provided access to TeamMate access to the External Auditor to upload
management recommendations stemming from performance audits they conduct during the
year. These recommendations will be under the responsibility of the external auditors and IOD
will not be following up on these recommendations. In accordance with its Oversight Charter,
IOD continues to monitor external auditors’ recommendations presented in the reports to the
assemblies.

82. All information provided when recording the issues and recommendations in TeamMate
EWP are carried over to the TeamCentral view when the project is finalized in TeamMate EWP
and the recommendations are tracked. This includes for example; Findings (Issues), Impact,
Properties, Recommendations, Response, Contacts, Implementation Coordinators, Estimated
implementation Date, Progress, Priority, Categories and Risk.

83. In addition to the above, the TeamCentral view provides the following additional tabs:

(a) Status Update – used by the client contacts (owner, contributor, approver) to
provide updates on the implementation of the recommendations, including revised
implementation dates and provide attachments of supporting documents.

(b) Comment – Used by both the client and IOD to exchange information and request
additional information.

(c) Implemented – Only used by IOD implementation coordinator to propose after

review, the implementation of a recommendation.
 Annex 1.1

(d) Closed – Only used by the Director of IOD to confirm that a recommendation has
been implemented, functioning and can be considered as closed.

(e) Open – Used by the Director of IOD to reopen an implemented recommendation if

he/she has determined that there are insufficient proof that the recommendation has been
implemented or is functioning effectively.

84. Recommendations are either ‘pending’, ‘started’, ‘implemented’ or closed. Within the
closed recommendations, the following possibilities are available to IOD:

(a) Closed, verified

(b) Closed, management accepts the risk

(c) Closed, no longer applicable

As a policy, only the Director of IOD can close a recommendation.

(A) TEAMCENTRAL POLICIES

85. TeamCentral allows interaction between IOD, External Auditors and Clients to provide
information on status of recommendations and supporting documentation. This platform
provides an audit trail of recommendations issued up to the implementations and closure of the
recommendations including the timelines.

86. When recommendations are released to TeamCentral, IOD issues an email to clients to
inform them that open recommendations are now accessible via the TeamCentral link.

87. As a reminder, Security groups were assigned in EWP for each issue (finding). As a
member of a security group you will have access in TeamCentral, to all recommendations
assigned to your group, or to you as an individual. The following security groups have been
created in IOD:

(a) IOD – All staff of IOD

(b) EVAL – Evaluation Staff only

(c) IA – Internal Audit Staff only

(d) INV – Investigation staff only (used for following up on Management Inception
Reports (MIR)
 Annex 1.1

88. In addition each staff member in IAD has also been assigned an individual implementation
coordinator role to individually follow up recommendations.

IOD staff members will only view recommendations assigned to them or their group. The
Director of IOD and the Heads of Sections have audit manager roles in TeamCentral and can
therefore view all recommendations.

The administrators have access to all recommendations

89. Email alerts are sent to all staff members assigned to a recommendation under the
following circumstances:

(a) When a status update is performed by an client,

(b) When a recommendation has been reviewed and proposed for implementation by
the implementation coordinator

(c) When the Director of IOD closes or reopens a recommendation

90. The Comment Tab used for requesting additional information or providing comments can
be configured by the user to send only to specific staff members assigned to the
recommendation.

91. Each recommendation has a ‘history tab’ which records all interactions, comments, status
updates made during the lifecycle of the recommendation.

92. The full list of policies established for IOD is available in Annex 3 of this guideline.

As a policy IOD sends a reminder to client for updating status of recommendations one
month prior to each IAOC meeting and prior to the presentation of the annual report to the
WIPO Assemblies.

93. In order to facilitate reporting, TeamCentral provides several configurable reports as

follows:

94. These reports are used to develop the IOD report prepared and presented to the Director
General and to the IAOC.
 Annex 1.1

(B) DELETING RECOMMENDATIONS

95. Deleting a recommendation removes recommendation from the database which means it
will be removed from EWP and TeamCentral in a Centralized environment. In a distributed
environment it will only be deleted from TeamCentral. If the recommendation being deleted is
the only recommendation that is associated with an issue, the Issue will be deleted as well.

Only a user with Administrator access to TeamCentral can perform this function. Currently,
recommendations are not deleted without prior authorization of the Director of IOD.

8. SURVEYS

96. Survey in TeamCentral allows IOD to send our surveys to the client for the purpose of
obtaining feedback. The function is based on TeamCentral, but is available from within
TeamMate EWP if a template has been created first. IOD has developed a template for a client
satisfaction survey which is sent out X days following the issuance of the final report.

97. Once the survey published, the recipient will receive the survey link in their email inbox.
The link is unique to each recipient and is the way survey tracks responses by recipient. By
selecting the link, the Survey will open up in their default web browser. While taking the survey,
they will have two options: SAVE and SUBMIT. SAVE allows them to save their work without
passing the results on to the survey results. SUBMIT allows them to submit their survey. Once
a survey is submitted, it becomes read only and the recipient cannot change their answers.

98. The recipient of the survey is usually the program manager or the Director and is given X
weeks to fill in the survey.

Only the office of the Director of IOD can send out surveys and review responses.

9. TECHNICAL PROJECT SETTINGS

(A) SETTING TEAMMATE PREFERENCES

99. When TeamMate is installed, a few TeamMate preferences are set. We have established
IOD preferences with respect to:

(a) Location of Project Files on the LAN

(b) Location of Backup Files

(c) Frequency of Back-up

(d) Location of Library Files

(e) Location of TeamStores

100. The TeamMate Explorer is a viewer that displays project files by file directory location.
You should think of the TeamMate Explorer as an electronic filing cabinet. Just as an office file
cabinet has multiple “drawers,” the TeamMate Explorer has multiple “tabs.” Each “tab” maps to
a directory on either your local PC drive or the WIPO LAN.
 Annex 1.1

(B) PROJECT LOCATIONS

(a) By default there are 4 tabs installed with TeamMate:

(b) TeamMate - Displays TeamMate Project Master Files that are stored in the
database.

(c) Replicas - This tab is used to view “replica” files stored in a user’s directory. A
Replica is usually a sub-section of the Master project that is accessed remotely.

(d) Recent Projects - Displays (x) number of projects recently accessed, where (x) can
be set in Tools Preferences. This tab is helpful in locating any projects you have recently
worked on.

(e) Backups - Displays TeamMate backup files (*.tmb files)

(C) STORING THE MASTER FILE DURING THE PROJECT

101. There are two available options for storing project files: Local Area Network (LAN) storage
or Standalone (PC-based) storage.

(i) LAN-based Storage

102. When a TeamMate project is stored on the LAN, the entire team can access the file
concurrently. Therefore, when performing project phases in the office, we should store the
master project file on the LAN, in the appropriate TeamMate directory. This would include both
planning and wrap-up phases, if occurring in the office. This is the current default settings.

(ii) PC-based Storage (Stand-alone Use)

103. For phases that take place outside our main office make use of the following storage
method to allow for working in teams.

104. Move (see section below on moving entire audits) the audit from the Home Office LAN
and store it on a team member’s local laptop drive. Out in the field, this team member will
maintain the Master Project and distribute Replicas to, and receive Updates from, other team
members.

105. Team members will document work performed, review work papers, and create review
notes in Replicas and then create Updates for merging work performed in Replicas back into the
Master Audit. Use the PC-based storage method when performing projects in locations where
LAN or WAN connectivity is not possible or reliable.

(D) USING REPLICAS

106. While working in the office, the TeamMate Master Project File is to be stored on the
database via the LAN.

107. Should one or more of the team members need to work away from the office, they are
to take a replica of the Master File (that is on the Network) to their Local Tab for remote use.

108. When the audit team is working out of the office, one team member is to move the
Master File to his or her Laptop (onto their Local Master Tab) and share the file via replicas with
his or her team.
 Annex 1.1

109. Replicas are to be merged back into their Master Files daily – end of day.

110. When the team returns to the office at the end of the assignment, all replicas are to be
merged back into the Master File, and the Master File is to be moved back onto the Network.

(E) MOVING MASTER PROJECTS

111. In order to move a Master Project from one location (e.g., your C: drive) to another
location (e.g., the LAN), perform the following steps (NOTE: these instructions are for moving
the entire Master Project – this is not the method for creating a Replica file that you will use to
work on a portion of the project.):

(a) Before beginning the Move process, back-up the Master file. Also, before moving
the project, you must ensure that no other team member is currently accessing the project
file.

(b) From the TeamMate Explorer, select the audit that you wish to move. Then ensure
that no other team member is working on the project. Create a backup of the project and
copy it to your memory stick. Delete the project on the network.

(c) Install the backup of the project on your laptop. Create replicas for the team. Once
the field work is completed, merge all updated replicas. Run backup of the updated
project. Copy the backup on the memory stick.

(d) When returning to WIPO HQ, reinstall the project on the LAN from your backup.

Work performed on two separate master files cannot be merged together. You do not want
two master files of the same project in existence.

10. IOD TEAMMATE CONTACTS

For assistance on TeamMate, do not hesitate to contact your administrators:

Alain Garba
Tel: 8382
E-mail: [email protected]

Sashidhar Boriah
Tel: 7388
Email: [email protected]

Tuncay Efendioglu
Tel: 8958
Email: [email protected]
 Annex 1.1

ANNEXES

Annex I. Categories
Annex II. Policies
Annex III. TeamCentral Policies
 Annex 1.1

ANNEX I

Titles WIPO Categories Titles WIPO Categories

Project
Project Type
Location

Project
Project Origin
Scope

Project Type Project Source

Issue Type Issue Impact

Likelihood Risk

Evaluation
Priority
Criteria
 Annex 1.1

ANNEX II

Titles WIPO Policies

Integration Policies

Security Policies

Customization
Policies

Workflow Policies

Finalize Policies
 Annex 1.1

ANNEX III