TeamMate EWP R9 Enhancements, Implmentation Best Practices, and Lessons Learned

1. TACUA 2010 TeamMate EWP R9 Enhancements, Implmentation Best Practices, and Lessons Learned

2. TeamMate EWP R9 Enhancements 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

3. Reconsider Use of CCH TeamMate Modules * • 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

4. TeamMate EWP R9 Enhancements 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

5. Centralized vs Distributed Databases • 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 Suite Database • TeamCentral • Reporting • TeamSchedule Web • TeamRisk Web • TEC Work papers Desktop Web Server Portal 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

6. Centralized vs Distributed Databases * • ‘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. • TeamCentral • Reporting • TeamSchedule Web • TeamRisk Web • TeamMate TEC EWP Suite Database MS-Access Databases TeamSchedule TeamRisk TeamAdmin Work papers Web Server SQL Server or Oracle Windows Server Desktop TACUA Conference 2010

7. Centralized vs Distributed TACUA Conference 2010

8. TeamMate EWP R9 Enhancements 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

9. Native Risks & Controls 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

10. TeamAdmin - Terminology & Categories TACUA Conference 2010

11. Risk-based Audit Approach Risk-based Audit Approach TeamCentral 8. Reporting Workflow TeamStore contains the Risk Library (moved from TeamRisk Risk Universe) TeamRisk ‘Get’ risks and controls into assessment or add them directly TeamRisk passes the risks and controls with pre-audit scoring to EWP EWP can also “Get” risks and controls into project or add them directly Procedures can be linked to controls EWP performs post-audit risk scoring and control evaluation for reporting EWP 360 Reports can be created for project TeamCentral suite reporting across projects EWP 3. Risks and Controls copied from TR 4. Get into Project or Add Manually 6. Post Audit Scoring 5. Control  Procedure Linking 7. 360 Reporting TeamRisk 2. Get Into Assessment or Self-Assessment or Add Manually TACUA Conference 2010

12. TeamStore Risk & Control Library TeamStore Risk & Control Library Control Hierarchy Ability to link controls to risks and this relationship is understood by TeamRisk & EWP TeamMate User Forum 2009

13. TeamMate EWP R9 Enhancements 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

14. EWP Risk and Control Viewer EWP Risk and Control Viewer Risk form on top with label customization and hiding • Risk and Control Relationship Tree • Entity Breakdown Control form on bottom w/ full customization Ability to link to procedures TACUA Conference 2010

15. Replication Choices • 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

16. Basic Replication • Create a Replica from a ‘Master’ • In the Replica – Sync at any time • Transport/ Update can still be used if no network connection EWP Suite Database TeamMate Web Portal download Replica MS-Access Replication Web Services transport tmr Work papers Sync send tmu send send Replication Local Web Server Desktop SQL Server or Oracle TACUA Conference 2010

17. Multi-Tier Replication Primary Region Desktop Web Server SQL or Oracle Server EWP Headquarters Suite Database TeamMate Web Portal Replica MS-Access (tier 2) Sync Replication Web Services Work papers sync Remote Region Regional Replica (tier 2) EWP Client-server connection Replica MS-Access (tier 3) Sync Replication Web Services Work papers Web Server SQL or Oracle Server TACUA Conference 2010

18. TeamMate EWP R9 Enhancements 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. TACUA Conference 2010

19. TeamAdmin • 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

20. TeamStores • 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

21. Templates • 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

22. Implementation Best Practices Getting the most from the R9 TeamMate Suite

23. R9 Readiness – Key Documents to begin with • Documents to assist you: • What’s New in TeamMate R9? • TeamMate R9 Migration Guide • CCH TeamMate R9 Services Guide TACUA Conference 2010

24. Audit Report Management Information TeamMate Implementation: The Big Picture • What do you want from TeamMate? • When customizing TeamMate keep these objectives in mind! Efficiencies and Standardization TACUA Conference 2010

25. 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

26. 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

27. TeamRisk • Create an assessment • Self-Assessments • Score Risks • Create audit plan • Create and release Projects • Update risk assessment based on audit • TeamSchedule • Create a plan • Determine projects • Schedule Projects • Schedule resources • Assign Manager and lead • Add non-chargeable time • Release the plan • Check schedule Audit Projects Start • TEC • Complete time and expense reports • Approval of timesheets and expense reports • Run reports Audit Projects Completion • 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

28. TeamMate Project Timeline Example TeamMate User Forum 2009

29. 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

30. TeamMate IT Architecture Web Server Applications: TeamRisk TACUA Conference 2010

31. Importing or Inputting: • How will you get your current data into TeamMate? • 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

32. TeamMate Installation Best Practices • Test environment (sandbox) • 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

33. 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

34. 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

35. Lessons Learned • 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

36. Summary • 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

37. TeamMate R9 Questions and Answers TACUA Conference 2010