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TeamMate AM

TeamEWP User Guide

Product Version: Last Updated: January 30, 2018


TeamMate AM 12.2
Table of Contents
Table of Contents ii
Introduction to TeamEWP 9
Installing TeamEWP 11
Getting Started with TeamEWP 12
TeamEWP Basics 12
TeamEWP Concepts 13
Data Privacy Feature 14
Accessing TeamEWP 15
TeamEWP Explorer 16
Filtering for Partitions 16
Centralized and Distributed Projects 17
Explorer Functions 17
Location Tabs 19
Centralized Project Dashboard 20
Distributed Project Explorer 23
Standard Dashboard 24
Creating a New Project 25
About TeamEWP Templates 25
Creating a New TeamEWP Project 25
Initiating a Project in TeamEWP from the Centralized Database 27
TeamEWP Browser, Ribbon Interface and Navigating a Project 30
Browser 30
Ribbon Workflow Interface 33
Navigating a Project 35
Status Bar 35
Search 36
TeamMate Ribbon 36
Go-To 37
History Bar 38
Planning a Project in TeamEWP 39
Management Tasks 40
Project Settings 40

ii
Profile 40
General tab 41
Entity Details tab 44
Team tab 45
Schedule tab 55
Risk tab 55
Text tabs 55
Contacts tab 56
Summary tab 59
Status and Milestones tab 59
Custom Properties tab 62
Global Tickmarks 63
Project Planning Tasks 65
Smart Projects 65
Risks and Controls 67
Work Programs 79
Assigning Work 84
Freezing Programs 85
Schedule Tickmarks 86
Import Project 86
Initialization 87
Fieldwork 87
Survey Manager 88
Signoff Workflow 93
Workflow States 93
Signoff Options 94
Procedures 98
Procedure Viewer 98
Perspectives 101
Procedure Editor 108
Using Scorecards 116
Formatting 118
Using Tickmarks 122
Work Papers 124
Work Paper Compression and Size Limits 124

iii
Adding Work Papers 125
Other Work Paper Options 128
Microsoft Word and Excel Integration 133
3rd Party Workpapers 138
Issues 140
Issue Viewer 140
Issue Viewer: View Options 143
Issue Viewer Filter 143
Moving Issues 145
Delete Issues 145
Protecting Issues 146
Add Issues 146
Issue Editor 148
Implementation Tracking in TeamCentral 153
Hyperlinks and Bookmarks 159
One-Way Hyperlinks 159
Two-Way Hyperlinks 159
Hyperlink Labels 160
Bookmarks 161
Other Hyperlink Options 164
Review and Wrap Up 166
Summary Viewers 166
Tips for Review Approaches in TeamEWP 167
Documenting Your Review 167
Change Acting Role 167
Team Review Mode 168
Survey Manager 169
Notes 169
Reporting 173
Run Reports 173
Export Report 173
Importing Report Changes 174
Restricting the Import 175
Standard Report Templates 175
Project Completion 178

iv
Project Summary 178
Milestones 178
TeamStore Sharing 179
Finalization 180
Replication (Working in Teams) 181
Creating Replicas 182
Working in a Replica 183
Synchronization 184
Update/Merge 185
Managing Conflicts 186
Managing Replicas 189
Tools and Utilities 190
Tools 190
Backups 191
Creating a Backup 191
Restoring a Backup 191
Appendix: Project Settings and Customization 193
Terminology in TeamEWP 193
Categories in TeamEWP 193
TeamEWP Policies 194
Other Project Settings 195
Save as Template 196
Project Roll Forward 196
TeamEWP Workpaper Recycle Bin 200
Appendix: Physical Limits 203
Folders and Schedules 203
Database Size Limitations 203
Hyperlinks 204
Appendix: User Preferences 205
File Locations 205
Reminders 206
Appearance 206
Editor 207
Autotext 207

v
Explorer 207
Language 207
Advanced 207
Appendix: Exporting XML and Exchanging Data with GRC Applications 208
Exporting 208
Application Exchange 208
Appendix: TeamImage 209
Scanning 209
Add Images 209
Add PDF, TIF, or Other Files 209
Capturing Images 210
Current View Mode and the Size of Annotations 210
Hyperlinks 211
Hiding and Showing Annotations 211
Lock Function 211
Working with Multiple Pages 212
Document Imaging Recommendations 212
Appendix: Data Privacy 214
Appendix: TeamEWP Icons Legend 216
Browser Reference Link Icons 216
Signoff Buttons 216
TeamEWP Shortcut Keys 217
TeamEWP Glossary 220
Index 223
TeamMate Support 226
TeamEWP - Documenting Work 1
Entering Narratives 1
Creating Tables 1
Adding Supporting Workpapers 2
Signing Off Workpapers 2
TeamEWP - Hyperlinks & Bookmarks 1
Creating Hyperlinks 1
Editing Hyperlinks 2
Creating Bookmarks 3

vi
TeamEWP - Procedure Viewer 1
Viewing the Procedures 1
Creating Custom Views 5
Using the Procedure Filtering Options 6
TeamEWP - Replication & Synchronization 1
Replicating Audits 1
Merging Replicas 2
Replicating for Groups 3
Synchronizing Replicas 3
TeamEWP - Reviewing 1
Reviewing with the Snapshot 1
Reviewing with the Navigation Toolbar 1
Reviewing with the Dashboard 2
Changing Your Role 3
Creating Review Notes 4
Panel Buttons 6
TeamEWP - Templates (Admin) 1
Creating TeamEWP Templates 1
Utilizing Multiple Project Templates 3
TeamEWP - Accessing AuditNet Content in TeamCloud 1
Accessing TeamMate Content - Hosting Environment 1
TeamEWP Reader - Distribution 1
Distributing the TeamEWP Reader 1
Creating Replicas 1
Installing Replicas 2
TeamStore - Accessing AuditNet Content 1
Downloading the Database File 1
Connecting the Database File to TeamStore 1
TeamStore - Linking Content 1
Linking Risks and Controls 1
TeamEWP - Using TeamStore 1
Using the Risk and Controls Viewer 1
Getting Programs from the TeamStore 3

vii
TeamEWP - Workpaper Recycle Bin 1
Opening the Workpaper Recycle Bin 1
Recovering a Workpaper from the Recycle Bin & Permissions 2
Permissions when Recovering a Workpaper 4

viii
Introduction to TeamEWP
TeamEWP is a Windows-based Audit Management System, designed to bring efficiency and
consistency to the entire audit process. At its core, TeamEWP 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 concept of flexibility starts at the highest level and permeates throughout the Suite. With the
modular structure of the TeamMate Suite, you can decide which aspects of the suite to use in addition
to TeamEWP (TeamMate Electronic Working Papers). The integrated data flow inherent to the
TeamMate Suite enables you to capture, compile, and report on all aspects of the complete audit
process.

TeamEWP is the central module within the full TeamMate Suite. TeamEWP delivers the following
benefits:
l A consistent approach to project creation, documentation, and review
l Access to management information
l Navigable project files
l Efficient remote review of projects
l Automatic and comprehensive report generation

TeamEWP User Guide 9


l Ability to share one or multiple projects amongst a team of people
l Allows users to focus on adding value vs. documenting

TeamEWP excels in highlighting issues and summarizing results, without enforcing or pushing upon
the user a particular approach or methodology. TeamEWP has been designed from the ground up on
the premise that it is flexible enough to suit any department's needs.
TeamEWP converts ALL aspects of the project process - workpaper preparation, review, report
generation, and storage - into an electronic format. The TeamEWP project file is accessible to multiple
users in diverse locations, helping teams work together even when members work remotely.
TeamEWP enhances quality, productivity and cost effectiveness.
As part of the TeamMate Suite, TeamEWP integrates with the other modules to add efficiencies to the
audit process. Information about planned projects can be imported when creating the TeamEWP file.
Once created, the concept of “smart auditing” can be employed to bring risks, controls, and test
procedures into the project all at once. Finally, results of your project can be accessed in TeamCentral
to facilitate issue tracking and reporting. Information from all projects can now be accumulated,
processed, and reported on in meaningful terms.

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Installing TeamEWP
TeamEWP is installed as part of the TeamMate Audit Management System Suite. MS-Access for
distributed installations and SQL Server for centralized installations. This guide assumes installation
has been completed for you. If not, consult your TeamMate Champion.

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Getting Started with TeamEWP
To help as you begin working in TeamEWP, this section will provide you a basic explanation of
TeamEWP and of the TeamEWP project structure and components. Deeper in this guide, you will find
a more detailed walkthrough of the concepts introduced at this time.

TeamEWP Basics
l TeamEWP Explorer: The first screen you come to in TeamEWP is the TeamMate Explorer. The
Explorer screen has a tab structure that organizes your projects based on filters you can choose
to set. From here you enter a project by double-clicking on the project title you want to access.
l Project Template: A template acts a model or blueprint for all projects. A template contains
standard audit procedures, the basic file structure, terminology and categories, and business
rules.

See "About TeamEWP Templates" on page 25 for more information.

l TeamEWP Projects: A project in TeamEWP is typically a single audit or assignment. The pro-
ject contains all of the related Procedures, attached Work Papers, Issues, and reports for that
project. To ensure consistent settings across projects, they are created from a template.
l TeamStore: The TeamStore is a knowledge base containing Work Programs, which are col-
lections of Procedures, Issues, Work Papers as well as the Risk and Control Library. Many users
populate the TeamStore with standard issues and work papers that are used for repetitive pro-

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jects. Once a project has been created, Work Programs can be brought into the project through
a system interface referred to as “Get”.
l User Preferences: Additional personal settings such as file locations, default fonts and dic-
tionaries. Standardized Preference settings can be applied to all user’s computers using an .ini
file. Instructions of how to create and apply the .ini file are located in the TeamMate Installation
and Technical Configuration Guide.

TeamEWP Concepts
Within a TeamEWP project, there are additional concepts that you should understand to get the most
out of the application. This section will serve as an introduction to many of those concepts. In this and
other TeamMate guides, you will find more detailed information on each of these concepts.

l Workflow Interface (Ribbons): Navigation through a TeamEWP project is organized in Ribbons


to logically guide you to the functionality you want to use.
l Configuration: One of the many strengths of TeamEWP is the ability to configure certain aspects
of the module. Through configuration, you can add terminology and categories that can later
drive reporting information. Configuration is covered in detail in the TeamMate Champions
Guide.
l File Structure and ARC: TeamEWP projects are organized with a basic file structure that is
numbered with a system-driven referencing system called ARC (Audit Reference Code).
l Project Work Flow / Status and Milestones: To mark the major stages a project goes through,
TeamEWP projects include the ability to capture dates. These dates are both system defined
and user defined.

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l Cross Referencing: All Work Papers, Issues and Notes are automatically referenced when
added to a project. In addition, hyperlinking can be included in the procedures and work papers
to further cross reference all work and testing results.
l Sign-off and Review: To evidence the sign-off and review process, TeamEWP has built in sign-
off functionality that applies the preparer of the work, the reviewer’s initials, and a time stamp to
work papers and procedures. Preparer and Reviewer roles defined in the Team Roles in
TeamEWP.
l Top Down Review: As a reviewer, you need to get to information in projects quickly. TeamEWP
has summary views with grouping and filtering options, as well as open search functions, to take
you to specific information efficiently.
l Replication: For those times when a user cannot be connected to the database, a TeamEWP
project can be replicated. Replication is the process of creating a local copy of a project which is
then accessible without having access to a corporate network or the internet. This allows you to
carry on working and periodically sync back to the master version of the project when con-
nectivity is available.
l TeamStore: The TeamStore acts as a knowledge base for Work Programs, Work Papers,
Issues, and the Risk Library. In TeamEWP you have the option to get and send information to
and from the TeamStore.
l TeamImage: TeamImage allows users to scan hard copy documents directly into your project.
Additionally you can choose to associate Adobe PDF documents with TeamImage. TeamImage
allows the user to annotate the document, highlight and redact data, and other useful tools.
l Distributed vs. Centralized: Projects in TeamEWP can be either distributed, located on a net-
work drive, or centralized, included in the central database. The centralized model is recom-
mended.

Data Privacy Feature


TeamMate supports the concept of data privacy, which will segregate who has access to data based
on Partions set up in TeamAdmin. This is enabled by a global policy setting in TeamAdmin ‘Use
Partions to manage access to Audit Plans, Risk Assessments and Projects’. Features in TeamEWP
that utilize this feature are indicated in this guide as follows: “When the ‘Use Partions’ policy is enabled
...”
See "Data Privacy Policies" in the AM Champions Guide for more information.

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Accessing TeamEWP
To launch TeamEWP:
From Windows, select Start | Programs | TeamMate I TeamEWP
-OR-
From your desktop, click the TeamEWP icon.
The TeamEWP Explorer opens.

NOTE: When first using TeamEWP or using a new version of TeamEWP, the
program may take a few extra seconds to launch

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TeamEWP Explorer
The TeamEWP Explorer is a viewer that displays projects. The TeamMate 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. 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:

l Opening Existing Projects


l Creating New Projects
l Restoring TeamEWP Backups
l Installing Replica Projects
l Organizing Location Tabs
l Deleting Projects
l Viewing high level information related to the status of schedules via the Dashboard

Filtering for Partitions


When the TeamAdmin policy "Use Partitions" policy is enabled, the partition field will be displayed on
the Dashboard. When an Auditor accesses TeamEWP, the application will be able to determine to
which partition(s) the user has access.
A Staff Auditor is allowed to see and open Projects across all partitions even if he is not assigned
directly to the Partition in TeamAdmin.

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Centralized and Distributed Projects
TeamEWP 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, although your
organization may require you to follow a standard.

l Centralized: These projects are part of your organization’s central database: no data is held loc-
ally on your PC. All changes you make to the project are reflected automatically in the central
database, so for example reports in TeamCentral will always include the current project Status
or Milestones. Centralized projects also benefit from enhanced performance and data integrity
over distributed projects and are recommended for all organizations, which have an IT infra-
structure, to support a central database.
l Distributed: These projects are not part of your organization’s central database. Each project is
a separate database in MS Access format. These databases may be in a specific directory,
either on your PC or on your network. As these projects are not part of a central database, any
changes made in TeamEWP need to be ‘pushed’ to the central database for these to be viewed
in other modules. Distributed projects can be consolidated into a central database at any point if
required.

See "Consolidating Projects" in the AM Installation and Technical Configuration Guide for more
information.

Explorer Functions
Explorer functions are accessed from the ribbon buttons at the top of the TeamEWP 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:

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l Open: Opens the currently selected project. Projects can also be opened by double-clicking
using the left mouse button.
l New: Creates a new project in TeamEWP.

See "Creating a New Project" on page 25 for more information.

l Delete: Deletes currently select project. This is only enabled for distributed projects. Projects in a
central database can only be deleted from TeamAdmin.

See "Deleting Projects" in the AM Champions Guide for more information.

l 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.

See "Backups" on page 191 for more information.

l Replica: Install a replica in the currently selected tab.

See "Replication (Working in Teams)" on page 181 for more information.

l Filter: Allows you to filter the list of projects for the currently selected tab. Filters can only be
applied to a Centralized tab but different filter settings can be applied to different tabs allowing
you to create multiple tabs to better organize your work. For example, you could have one tab
which shows all projects starting in the current audit year and a second tab showing all project
where you are a team member. When the TeamAdmin ‘Use Partitions’ policy is enabled, you
can also use the Filter to set up tabs by partition. Filter settings are saved as part of your
TeamEWP user preferences and will be retained the each time you log into TeamMate. Filter
options available include:
o Group: Display the list of possible values for user selection.
o Type: Display the list of possible values for user selection.
o Location: Display the list of possible values for user selection.
o Audit Plan: This option allows the user to view a list of projects that are part of an Audit Plan.
Open and Closed Audit Plans are displayed in this drop down.
o Project Status
n Planning
n Fieldwork
n Draft Report
n Responses Accepted
n Issued
n Implementation Tracking
n Closed
o Show:
n Finalized
n Canceled
n Deferred

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n (Projects) Assigned to Me
n (Projects) Assigned to My Security Group
o Projects starting between two dates
l Organize: Allows you to Add, Edit or Remove Location tabs from the Explorer. Organize is also
used to move Distributed projects from one file location to another. This option is only enabled for
distributed projects and they can only be moved to another distributed tab.

See "Location Tabs" on page 19 for more information.

l Refresh: Refreshes the list of projects for the currently selected tab.
l Tools: This includes three options:
o Open with Login: This allows you to login to the currently selected tab as a different user.
This is useful if your organization includes a Guest User account in projects. This is only
enabled for Centralized tabs.
o Compact & Repair: This is a maintenance utility for distributed projects.
o Validate database: This is a maintenance utility for distributed projects.
l Dashboard: Shows and hides the Explorer dashboard.

See "Centralized Project Dashboard" on page 20 for more information.

l Close: Closes the TeamEWP Explorer.

Location Tabs
TeamMate Explorer includes location tabs to organize TeamEWP projects. Tabs can be created to
organize distributed projects, in which case they point to a specific directory and display all projects
saved in that location. Tabs can also be created to organize projects in the central database. In this
case, the tab points to the database and will be denoted with a database icon. In addition to these tabs,
TeamEWP has two special tabs, Recent Projects and Backups.
Upon installation TeamEWP includes four standard tabs: Recent Projects, Master, Local, and
Backups. Tabs can be customized by clicking on the Organize button from the TeamMate Explorer
toolbar. Consult your TeamMate Champion for your department’s tab preferences.

l Recent Projects: Displays up to 25 of the users most recently accessed projects. This can be
changed in User Preferences.
l Replica: This tab is used to view replicas of master projects. A replica is a copy of either the
entire or a subsection of the master project that is used when working remotely without access to
your LAN.
l Backups: Displays TeamMate backups (.tmb files). The default location for backups is
C:\...\My Documents\Teammate\backup.

For example, the TeamEWP Explorer tabs showing all standard tabs and two additional Centralized
tabs to view projects in the central database by audit year. Note the database icon for the 2010 and
2011 Project tabs.

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Adding or Modifying Location Tabs

To add or modify location tabs:

1. Click the Organize icon.


2. Select Insert Location tab or Edit Location tab.
3. If name change desired, enter the new name of your location tab.
4. Select the database location:

l Centralized: Browse to the location where your connection file is saved and select a con-
nection title from the drop down menu. This will determine which database the tab is con-
nected with.
l Distributed: Browse to the location on your PC or Network where your distributed projects
are saved.

5. Select the Services Location. This is the location of the web services used for functions like rep-
lication. Select the service location closest to the data (database or LAN directory).

NOTE: For the Distributed tab, select <Local> as the Service Location.

6. Click OK.

See "Connection File Options" in the AM Installation and Technical Configuration Guide for more
information.

Deleting Location Tabs

To delete location tabs:

1. Click the location tab to ensure you are in the location tab you need to remove.
2. Click the Organize tab.
3. Select Remove Location Tab. You will receive a warning message, asking if you are sure you
want to remove the tab.
4. Select Yes.

NOTE: Deleting the location tab will not delete the projects or the tab for other
TeamEWP users. It will only remove the tab from your TeamMate Explorer.

Centralized Project Dashboard


A tab which is mapped to a central database includes an option to use an enhanced Dashboard which
is enabled by default on installation.
The enhanced Dashboard includes all project information available in the standard Explorer but also
includes extended project information and a selection of dashboard panels with information about

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personal work assignments across all projects, and detailed information about currently selected
projects.

Project List
This is a list of all projects in the database. The list can be filtered using the Explorer filter button if
required. When the TeamAdmin ‘Use Partitions’ policy is enabled, the list can further be filtered by
projects for a specific partition. 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.

l Project Name: The name of the project.


l Project Code: Code defined by your department that identifies your projects. This code can con-
tain alpha, numeric, and special characters.
l Start Date: The start date of the project.
l Time Progress: A graphical indicator showing actual project time in hours against either estim-
ated 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.

TIP: Hold the mouse over the progress bar to view hours used in the
calculation without opening the project.

l Procedure Progress: A graphical indicator composed of two elements. The solid black line dis-
plays 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. The underlying stack
chart shows the number of procedures in the project in each workflow state (Not Started, In Pro-
gress, 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.

TIP: Hold the mouse over the bar chart and line to view the underlying data
used in the calculation without opening the project.

l Project Status A project can be in one of seven workflow states or canceled / deferred.

See "Status and Milestones tab" on page 59 for more information.

l Finalized: An icon is displayed indicating that the Project is finalized and no further changes
can be made.

See " Finalization" on page 180 for more information.

l 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 com-
pare the total number of recommendations in a project with other projects. The underlying stack

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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 dis-
played are user configurable.

TIP: Hold the mouse over the bar chart and line to view the underlying data
used in the calculation without opening the project.

Extended Project Information


Projects listed in the Centralized Explorer have a plus symbol next to them. Clicking on the plus symbol
will display additional information without having to open the project.

l Project Manager: Shows the name of manager responsible for the project from the Profile |
Team tab.
l Project Lead: Shows the lead auditor responsible for the project from the Profile | Team tab.
l Audit Plan: Shows the audit plan to which the project belongs from the Profile | General tab.
l Entities: Shows the entity or entities included in the scope of the project from the Profile | Gen-
eral tab.
l Last Modified: Shows the date when a project was last edited.

Enhanced Dashboards
The lower part of the Centralized Explorer has three dashboards which include additional information
in about projects in the list. The Dashboard button on the Explorer ribbon can be used to show or hide
dashboards as necessary. If dashboards are enabled, the mouse can be used to select a different
dashboards in the Explorer.
My assignments display:

l Work Papers and Procedures that are assigned to the currently logged in user and either Not
Started or In Progress. Prepared signoff clears these items from this view. Clicking on any of the
Assignments will open the Project and navigate to the selected item.
l The dashboard includes the following information for Workpapers and Procedures:
o Assignment Type: Icon indicating whether it is a Workpaper or Procedure.
o Workflow State: Icon indicating progress (Not Started, In Progress).
o Age: The number of days since the item was added or the workflow state was changed.
o Title: Name of Workpaper or Procedure. Clicking on the title will open the project and display
the Procedure or Workpaper.
o Project: The project to which the assignment belongs.

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l Notes where the current user is either the Author or a Recipient and the Note is Open. When a
Note is Closed it will be cleared from this view. Clicking on any of the Notes will open the Project
and navigate to the selected Note in TeamTalk.
l The dashboard includes the following information for Notes:
o Subject: The Note subject.
o Origin: The origin of the Note, either the Project Name or Global if it is a non-project Note.
o Author: The name of the Note Author.
o Priority: The Note priority rating.

Project Snapshot: The Project Snapshot displays a graphical overview of progress for the currently
selected project. The stackbar chart shows the number of Issues, Work Programs, Procedures and
Work Papers in each workflow state (Not Started, In Progress, Prepared, Reviewed or Edited Since
Review). Double-click any of the stack chart segments and the project will be opened to the
appropriate and filtered viewer.
Project Milestones: This dashboard shows Milestones for the currently selected project. Milestone
data is taken from the Profile | Status and Milestones tab. Aging is calculated based on the Estimated
or Revised Date compared to the current date. If the milestone is not due the age will display in green, if
it is due today it will display in orange and if it is overdue it will display in red.

Distributed Project Explorer


The tab for distributed TeamEWP projects has a standard TeamEWP Explorer. The standard Explorer
includes a Project List and Dashboard but does not include all of the information or features included in
the Enhanced Dashboard detailed in the previous section. The Standard Explorer can be used for
centralized Explorer tabs, if preferred, by going to User Preferences | Explorer and deselecting Use
Dashboard for Centralized Explorer.

Project List
A distributed tab displays a list of all projects saved in the network location or local file path that the tab
is mapped to. The project information displayed in TeamMate Explorer includes:

l Project Code: Code defined by your department that identifies your projects. This code can con-
tain alpha, numeric, and special characters.
l Project Name: The name of the project
l Unit: Generally an organizational unit name that the project is associated with. Accessed from
the Profile | General tab | Unit text field
l Start Date: The start date of the project
l Edit Date: The date of the most recent edit to the project
l Status: A project can be in one of seven workflow states or canceled or deferred.

See "Status" on page 59 for more information.

l Finalized: An icon is displayed indicating that the Project is finalized and no further changes
can be made.

See " Finalization" on page 180 for more information.

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l Sent to Central: Displays the most recent date that your project was sent to TeamCentral.

Standard Dashboard
The Standard Explorer displays a dashboard in the lower part of the Explorer window. The dashboard
is similar to the Snapshot Viewer and provides a statistical overview of how the project is progressing. It
can be used to identify how much work, by item, is in Not Started, In Progress, Prepared, Reviewed,
Edited Since Review or Added Since Freeze state.
There is no click through from this dashboard into the project as with the Enhanced Dashboard but
upon opening the project the Snapshot Viewer is available which gives users the same functionality as
the Centralized Dashboard. The Dashboard button on the Explorer ribbon can be used to show or hide
dashboards as necessary.

TeamEWP User Guide 24


Creating a New Project

About TeamEWP Templates


All projects in TeamEWP are created from a Template. Templates are a key component of TeamEWP
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 include:

l Planning checklist
l Notification/engagement letter (fill in the blanks template) or other workpaper templates
l Opening meeting template
l Support Group / Champions as team members
l Global Tickmarks
l Customized Settings, including Terminology, Categories and Workflow Policies

Effective use of a TeamEWP Template not only can save you a tremendous amount of time during the
planning process, but helps standardize your projects. Standardizing projects ensures that all of your
department's planning and wrap up best practices are included in each and every project.
See "Save as Template" in the AM Champions Guide for more information.
See "Updating Templates" in the AM Champions Guide for more information.

Creating a New TeamEWP Project


To create a new project that does not originate from TeamRisk, TeamSchedule or TeamAdmin:

1. Open the TeamMate Explorer.


2. Click to select the Location Tab in which you want to create the new project:

l Centralized: If you select a Location tab which has a database icon your project will be cre-
ated in a Centralized format.

l Distributed: If you select a Location tab without a database icon your project will be created in
a Distributed format.

3. Select the New button from the TeamMate Explorer toolbar at the top. The New Project Wizard
opens:

TeamEWP User Guide 25


a. Enter the project information (using your organization’s standard naming and coding con-
vention) to aid project identification and sorting in the Explorer.
Required information:

l Project Code
l Project Name
l Audit Plan (defined in TeamAdmin)
l Entity (selected from the Organization Hierarchy associated with the Audit Plan selected)
l Start date

When the "Use Partition" policy is enabled, a partition will be required to be entered. This will
filter the list of Audit Plans to those assigned to the partition.
External Resources can only create projects in the partition they are assigned to in TeamAdmin.
Staff Auditors can create projects in any partition.

b. Select a Template. A template is the basis of all new TeamEWP project files. Templates
enable you to include predefined information about the project and its structure without hav-
ing to redefine it every time you create a new file.

TeamEWP User Guide 26


c. For distributed Projects only you will be prompted to select a user from the database as Pro-
ject Owner.

After completing the New Project Wizard, your new project will be created based on the
TeamEWP Template file selected.

Initiating a Project in TeamEWP from the Centralized Database


If your organization uses TeamRisk, TeamSchedule, or TeamAdmin to create planned projects, you
can initiate a project in TeamEWP by selecting the appropriate module and selecting the project you
want to initiate. When the TeamAdmin ‘Use Partition’ policy is enabled, the lists will be filtered to those
assigned to the partition selected in Step 1 of the New Project Wizard.

To initiate a project in TeamEWP from the centralized database:

1. Open the project to the TeamMate Explorer.


2. Click to select the Location Tab in which you want to create the new project. The options are the
same as for Creating a New Project (see section above).
3. Select the New button from the TeamMate Explorer toolbar at the top.
4. Select the Select a Planned Project from the TeamMate Centralized Database option.
5. Select the module where the desired project was planned.

TeamEWP User Guide 27


l Audit Plan: Projects planned in TeamRisk, TeamSchedule or TeamAdmin belonging to the
audit plan selected.

NOTE: Only projects which you are allowed to create will be displayed in the
list available to create. This list will be filtered based on your user role and
project creation policies selected by your TeamMate Champion.

l TeamSchedule Schedules: Projects planned using TeamSchedule module. Use the drop-
down to select the Schedule.
o This list includes only projects which have been scheduled in a released TeamSchedule

schedule. This list may be filtered based on your user role as described above.

See "Releasing a Schedule" in the TeamSchedule User Guide for more information.

l TeamRisk Assessments: Projects planned using TeamRisk module. Use the dropdown to
select the appropriate Risk Assessment.
o This will include both projects which have been planned in TeamRisk and released to

TeamEWP and projects planned in TeamRisk which have been scheduled in a released
TeamSchedule schedule. This list may be filtered based on your user role described
above.

See "Releasing Projects to TeamSchedule or TeamEWP" in the TeamRisk User Guide for
more information.

TeamEWP User Guide 28


l Administrator Created: Projects planned or imported using TeamAdmin.

6. Select Project Filter:

l Filter projects based on Group, Type, Location and planned Start Date.
l If the number of planned projects in your database exceeds the limit set in TeamEWP User
Preferences a dialog will be displayed automatically prompting you to select a filter.

7. Click Get and select the desired project from the list provided, and then click OK.
8. Enter the remaining project information and press Next. When creating a new project, you are
required to provide the following information; however, some or all of this information may have
been pre-populated during the planning process:

l Code
l Name
l Audit Plan (defined in TeamAdmin)
l Entity (selected from the Organization Hierarchy associated with the Audit Plan selected)
l Start Date

9. Select your desired Template, and then select Next. The new project will be created based upon
the information entered during planning in the TeamMate suite and the TeamEWP Template file
selected.

TIP: TeamMate includes a Smart Auditing option which automatically


populates the project with procedures and work papers which are linked to
controls in the TeamStore. This can be turned off by unchecking the Additional
Options tickboxes in the wizard.

TeamEWP User Guide 29


TeamEWP Browser, Ribbon Interface and Navigating a Project
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
TeamEWP 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 TeamEWP Viewers and find the information you require.

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

The typical TeamEWP project file has the following main folders:

l Planning and Administration (PA Folder): typically contains planning documents and admin-
istrative information. Some organizations choose to omit the PA folder. This folder is optional
and may have been removed from your template(s).

l Audit Summary (AS Folder): contains all issues (findings) as well as any TeamEWP generated
reports.

TeamEWP User Guide 30


l Program Groups (PG Folder): contains the work programs and work papers. Unless programs
are contained in your template, the PG folder will initially be empty.

Like Windows Explorer, double-clicking on a file or folder will open that file or folder. If the project file or
Schedule selected is not a TeamEWP schedule (for example, a Microsoft Word document),
TeamEWP will launch the schedule’s native application.
The position in which schedules are added to the Browser will depend on the type of schedule being
created, and to which area of the project the schedule applies. Based on its position in the project file,
TeamEWP will then automatically assign an Audit Reference Code (ARC) to the schedule.
TeamEWP refers to all documents, spreadsheets, and other files as “schedules.” The right-hand
Browser window reveals important information about each individual schedule. Each schedule is
assigned an ARC that serves as the number scheme in TeamEWP.
ARCs are the equivalent of cross-references and page numbers in paper-based project files.
TeamEWP automatically generates and maintains ARCs. ARCs ensure that related work is always
referenced consistently and appropriately, and that your references point to the correct location.
Symbols in the State column indicate the last sign-off action of each item:

Icon Description
Not Started
There has been no action.
In Progress
The last action was an edit.
Prepared
The last action was a preparer’s signoff.
Reviewed
The last action was a review signoff. ‘2’ and ‘3’ may appear in this icon to indicate a
second or third review of a schedule.
Edit Since Review
The last action was an edit after review.
Conflict
A replication conflict caused by edits being made to the same document in separate
replicas or a master and a replica.
Add Since Freeze
The procedure was added to a frozen work program. This symbol will appear “inside”
a work program at the new procedure, at the TeamMate Explorer snapshot, or at the
Snapshot when the project file is opened.

TIP: Use the Snapshot or Summary Viewers to quickly find information. While
the Browser might seem like the most logical way to find information in the
project file, the Snapshot or Summary Viewers are typically more efficient
methods.

TeamEWP User Guide 31


Additional Browser Icons include:

Icon Description
The schedule contains one or more Issues. Clicking on the Issue icon opens the Issue Editor so that
details of the Issue and its associated recommendations can be seen.
The schedule contains one or more Notes. Clicking on the Note icon opens the Note viewer so that
details of the Note can be seen.
The schedule was replicated.

The schedule is frozen.

The schedule is marked as confidential.

File Structure and the ARC


Each Folder and Schedule within the file has a unique ARC that is used to identify and store each
Schedule and Folder in its correct place in the Browser. For TeamEWP Schedules, the ARC will be
displayed in the Windows Title Bar.
An ARC can be evaluated from left to right to determine its location in the Browser. For example, a
hypothetical ARC "A.1.4" denotes:

l The first portion of the ARC - A - denotes the Section of the Browser where the Schedule exists.
The letter "A" represents the first Program Group in the project file (which may equate to your
work program areas) created in the "Program Groups" parent folder.
l The second portion of the ARC - “.1” denotes the sub-folder within the Program Group folder. In
the above example, the first Program added to Program Group A will be assigned the ARC A.1.
o The last portion of the ARC, “.4” denotes the number of the schedule that exists within the A.1
folder. In this case, .4 represents the 4th workpaper created in Program Folder A.1.
l In addition to determining where in the Browser the schedule is stored, the ARC also identifies
the type of schedule being stored. Examples of different types of schedules include:
o PRG denotes a Program.
o ISS denotes an Issue.

Info View
The Browser includes an optional info view. When the info view is enabled it displays additional
information about the schedule which is currently selected in the Browser. The additional information
includes statistics, workflow state, last edit date, created date etc. It also shows all related schedules.
The info view is a useful tool for seeing what Issues and Notes have been linked to a schedule.
An example of Info View showing statistics and related schedules for Work Program B.4.PRG

TeamEWP User Guide 32


To turn the Info View on or off go to the View ribbon | Show panel and click the Info View ribbon button.

Ribbon Workflow Interface


TeamEWP utilizes a ribbon user interface which will be familiar to users of Microsoft Office products.
Each view or ‘screen’ in a project has its own Home ribbon which includes all of the functionality and
features available to a user in that screen.
Each ribbon is then sub-divided into different panels so that the features are organized logically.
Depending upon your user role or project status some features may not be available to you, if this is the
case the ribbon button will be disabled accordingly. If you are unsure what a particular button is used
for, simply hover the mouse over the button and a tooltip will provide additional information about the
feature.
Below is an example of the Browser Home ribbon.

The Browser Home ribbon has the following panels:

TeamEWP User Guide 33


l Close panel: Close button. Closes the Browser (and also therefore the Project)
l New panel: The buttons on this panel are used to add new content to the Project, Work Pro-
grams or Work Papers.
l Edit panel: The buttons on this panel allow you to make changes to schedules in the Browser,
assign users, delete, rename, etc.
l Actions panel: The buttons on allow you to document Issues, add Notes, view Notes or sign-off
on completed work.
l Replication panel: The buttons on this panel allow you to create and manage TeamEWP rep-
licas.

The other ribbons are common across all the views, meaning that no matter which view you are
working, the same ribbons are available. The common ribbons have been carefully designed so that
the features you require at each stage in the audit are easily located. As with the Home ribbon, each of
the common ribbons are sub-divided into individual panels. More information about the specific
features available in each of these ribbons can be found in the appropriate section of the user guide.
The common ribbons in TeamEWP are:

l Planning ribbon
l Review ribbon
l View ribbon
l Go To ribbon
l Admin ribbon
l TeamMate Ribbon

Main Menu and Quick Access Bar

In addition to the common ribbons the top left hand side of the screen in every view in TeamEWP also
has the Main Menu button and a Quick Access tool bar.
The Main Menu button, the “round TeamEWP” button, gives access to user preferences, help files and
utilities.
See "Tools and Utilities" on page 190 for more information.
The Quick Access Bar to the right of the Main Menu button includes short cuts to the most commonly
used features in TeamEWP. The drop down arrow next to the Quick Access Bar allows you to hide
unused short cuts and also allows you to minimize the ribbon interface so that ribbons are only
displayed when you click the ribbon name. This is useful if you are working on a small screen or if the
screen resolution is poor.

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Navigating a Project

Although the Browser can be used to navigate to all the schedules in your TeamEWP Project it can be
time consuming to locate the information you require.
To improve efficiency, TeamEWP Projects have a number of tools to help you navigate and find the
information you require quickly including Summary Viewers which allow you to immediately access the
data you require. More information about the features available in each of the individual Viewers can be
found in the relevant section of this guide.
Forward and Back buttons allow you to move through a Project in the same way you might navigate a
website. The Go-To and Search options provide you with other efficient ways of finding your data fast
while the Browser Home button returns you instantly to the Browser ‘home page’ of the Project.
The tools are all accessible from the Go-To ribbon and the Viewers can be also be accessed the Go-To
toolbar at the bottom of the screen.

Status Bar

Another useful feature available in all TeamEWP views are the Status Bar and Go-To bar which are
found at the bottom of the screen. These toolbars are enabled by default but can be hidden by going to
the View ribbon | Show panel.

l Go-To bar: This bar has short cuts to each of the main TeamEWP Viewers. It also includes a
‘Home’ button which takes the user directly back to the Browser Home screen from any location
in the Project.
l Status Bar: This bar displays useful information about the status of the project, current project
and whether or not there is a database connection. Information displayed in the status bar is as
follows:
o Project name.
o Project code.
o Whether the project is a Master file or Replica.
o Project status.
o Finalized – If a project is finalized or not.
o Initials and role of the current user.
o Database connection status - connected or disconnected.
o Filer – whether or not a filter has been applied and a count of filtered items vs. total number of
items in view.
o Name of the Organization the project belongs to if using the data partitioning policy.

TeamEWP User Guide 35


Search
TeamEWP includes a powerful search feature which allows you to perform a full text search through
the entire project.

To search the project:

1. From the Go-To ribbon | Navigation panel select Search (F3) or alternatively select Search from
the Quick Links bar at the top of the screen.
2. Enter the text you wish to search for.
3. Additional optional filters can be applied by selecting the ‘Actioned by Date or User’ checkbox.
This allows filtering by Date Range, User Actions (Edit, Prepared, Reviewed, and Created) or
for actions made by a specific team member.
4. Set the scope of the search by selecting the appropriate checkbox (Issues, Procedures, Work
Papers (titles only, not document contents) or Notes.
5. Click Search Now.
6. To go to a schedule, click the item in the search results.

TeamMate Ribbon
The TeamMate ribbon allows you to navigate to other TeamMate web modules directly from your
TeamEWP Project. The TeamMate ribbon includes the following links:

l Dashboards: Opens your personal TeamCentral dashboard which allows you to view any
TeamCentral dashboards defined by your organization, or personal dashboards.
l Suite reports: Opens the TeamCentral report homepage which allows you view and run all
reports defined by your organization in TeamCentral reporting.
l Tracking: Opens the TeamCentral implementation tracking inbox where you can view or action
all tracked recommendations you are responsible for.
l Scheduling: Opens the TeamSchedule web homepage which allows you to view all scheduled
assignments, non-work events and admin time.

TeamEWP User Guide 36


l Time and Expense: Opens the TEC homepage which allows you to enter time and expense
reports, also view time and expense reports.
l Risk Assessment: Opens the TeamRisk web homepage and allows you to participate in any
risk self-assessments that have been assigned to you.
l Survey: Opens Audit Survey home page and allows you to view or create new surveys.

Clicking on a button in the TeamMate ribbon will open the appropriate web module. If you use basic
(forms) authentication to access TeamMate modules you will be prompted to enter a password, if you
use Windows Authentication the module will open automatically.
The TeamMate ribbon links are enabled by adding the correct URL for each TeamMate web module in
user preferences.
See "Appendix: User Preferences" on page 205 for more information.

NOTE: Even if the buttons in the TeamMate ribbon are enabled access to the
web modules is based on the user roles you have been assigned. If your user
account does not allows you to work in a particular module you will not be able
to gain access to the website.

Go-To
TeamEWP includes a Go-To feature which allows you to quickly navigate to different Schedules
without using the Browser or Viewers.

TeamEWP User Guide 37


To use the Go-To feature:
From the Go-To ribbon | Navigation panel press the Go-To button.
The Go-To dialog displays your personal browsing history in the Project, clicking on any of the
schedules will open it.
From the Go-To dialog, you can also browse the Project folder hierarchy, Project Bookmarks and
search for ARC titles.

TIP: Enable the checkbox ‘Auto-search when typing in the Browser’ to


automatically launch the Go-To text search dialog whenever you type in the
Browser.

History Bar
In TeamEWP for all views the top right hand side of the screen has a History bar. The history bar is
similar to the recent documents history in Microsoft Word or Excel. It shows you the recently visited
schedules in the current Project. To re-open a Schedule simply click the Schedule name in the History
Bar.

TeamEWP User Guide 38


Planning a Project in TeamEWP
When projects / assignments are properly planned in TeamEWP, you can expect:

l A more efficient and effective use of planning time.


l A standard, consistent approach to planning that requires the auditor to attest to completion of
the required procedures.
l A project that automatically contains your department’s best practices as they relate to planning.

Two different types of activity are normally required when planning a project in TeamEWP.
Management tasks and audit planning tasks. Management tasks typically involve updating or entering
high level project information in the Project Profile and reviewing Project Settings. Audit planning tasks
typically involve adding Risks and Controls and Work Programs. All of the TeamEWP features
required to support you in this process are available from the Planning ribbon.
The specific tasks which you may need to complete during planning are discussed in more detail later in
this section. Depending upon the configuration and use of TeamEWP in your organization, the
template you used to create your project may have included some or all of the settings and information
for you automatically.

TeamEWP User Guide 39


Management Tasks
Management tasks are setup options that will typically be carried out by the auditor in charge of the
project prior to any detailed planning or other audit work being started. Depending on your
organization, some or all of the management tasks below will already be completed when the project is
created in TeamEWP as the necessary information could have been entered in TeamRisk,
TeamSchedule or TeamAdmin. Default settings could also have been set automatically by the
Template used to create the Project.

Project Settings
Project settings include TeamEWP configuration options that are typically determined in advance by
your TeamMate Champion and included in the template used to create all Projects. 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:

l Terminology
l Categories
l Policies
l Auto-backup settings
l Suite integration settings
l Advanced settings

See "Appendix: Project Settings and Customization" on page 193 for more information.

Profile
The Profile page is used to record information specific to the project. This includes the team of auditors
working on the project, the entities being audited and management contacts, the schedule and budget
for the project, its status and any milestone dates. It is also used to record summary information at the
end of the Project. All of the data in the Profile can be viewed and reported in TeamCentral.

To access the Profile form:

l From the Planning ribbon | Management panel | Profile button.

-OR-

l From the Go-To ribbon | Summary Viewers panel | Profile button.

TeamEWP User Guide 40


The Profile section is broken down into different tabs. A detailed description of features and
functionality in each tab is detailed below:

l General
l Entity Details
l Team
l Schedule
l Risk
l Text
l Contacts
l Summary
l Status and Milestones
l Custom Properties

If your project has been created from the TeamMate Centralized database, some information in the
profile may already exist, but additional information can be entered if required. In some cases Policies
may prevent changes from being made in specific tabs. Where these policies exist, they are detailed in
the relevant sections of this guide and in the TeamEWP Policies.

NOTE: Policies that affect the overall TeamMate suite are detailed in the
TeamMate Champions Guide.

If the TeamEWP policy ‘Restrict Profile Editing to the Project Ownership team’ is enabled then only the
Project Ownership team (Manager, Lead or Project Owner) will be able to make changes to the Profile.
All other users will have only read only access to data in the Profile.
The Profile itself is read only when the Project Status is Issued or above, or the Project is Finalized,
Deferred or Canceled. The only exception is Get and Edit user in the Profile | Team tab. New users can
be added to a Project when the Project itself is read only. This allows users to be added with read only
access to review prior project, conduct QAR reviews etc.

General tab
The General tab includes detailed information which can be used to classify and categorize the Project
to track or report on Projects in TeamCentral. Some of the drop-down categories can also be used to
filter information in the TeamEWP Explorer.
If the policy ‘Restrict Profile Editing if Created from the Centralized Database’ is enabled then the
General tab will be read only for all users including the Project Ownership team.
The following fields are available:

l Project Code: Text field populated when the project was created. Normally used by organ-
izations in accordance with their own classification system to capture important information
about the project for example the year of the project or type of project being undertaken.

TeamEWP User Guide 41


l Partition: When the ‘Use Partition’ policy is enabled, this field will be displayed. It shows the par-
tition the project is assigned to.
l Project Name: Text field populated when the project was created. Normally used by organ-
izations to record the full name of the project or the title of the report.
l Audit Plan: Audit Plan selected when the Project was created. Audit Plans make it easy to
report on the status of multiple projects belonging to the Audit Plan in TeamCentral. You can
change the Audit Plan, if required, using the Get button. This option is disabled if:
o The Project was created in TeamRisk or TeamSchedule in order to preserve the integrity of
the risk assessment or schedule.
o Any of the Entities associated with the Project have been linked to a Risk, Control or Recom-
mendation.
o You are working in a Replica Project, or the Master Project has an unmerged Replica

If an Audit Plan is changed, the Entities from the old Audit Plan will be cleared from the Project
and you cannot close the Profile until at least one Entity has been selected from the new Audit
Plan.

l Entities: This shows the Entity or Entities associated with the Project along with the ‘entity bread-
crumb’ (a breadcrumb is a list all parent entities linked to the Entity in the Organization Hierarchy)
and an icon to denote in which TeamMate module the Entity was added to the Project. Entities
can be linked to Risks, Controls and Recommendations, which makes it easy to report on organ-
izational Risks and Controls or Issues across multiple projects.

You can View the Organization Hierarchy and Add or Remove Entities from a Project by clicking
on the Organization Hierarchy button (shown below).

TeamEWP User Guide 42


This will display the Organization Hierarchy linked to the Audit Plan. Entities can be removed or
added by selecting or de-selecting the checkbox. This option is restricted and the entity denoted
with a ‘no entry icon’ if:
o The Entity was added to the Project in TeamRisk or TeamSchedule.
o The Entity is linked to a Risk, Control or Recommendation.
o When working in a Replica Project, or the Master Project has an unmerged Replica.

Every Project must have at least one Entity; if all Entities are deselected you cannot close the
Profile until at least one Entity has been selected. If the Project is read only or you have read only
access to the Profile, no entity changes can be made. However, you can still view the
Organization Hierarchy.
Clicking on the name of the Entity will open the Entity Details tab window. The Entity Details window is
similar to a permanent file. It is a read only view of detailed information about a specific entity from the
Organization Hierarchy and can include text, management contacts and attachments.
See "Entity Details tab" on page 44 for more information.

TeamEWP User Guide 43


l Unit: Text field that can be used to capture any additional required information.
l Group: Category field that can be used to classify the Project. Available as a filter in the
TeamEWP Explorer. Can be pre-populated in TeamRisk, TeamSchedule or TeamAdmin.
l Type: Category field that can be used to classify the Project. Available as a filter in the
TeamEWP Explorer. Can be pre-populated in TeamRisk, TeamSchedule or TeamAdmin.
l Location: Category field that can be used to classify the Project. Available as a filter in the
TeamEWP Explorer. Can be pre-populated in TeamRisk, TeamSchedule or TeamAdmin.
l Scope: Category field that can be used to classify the Project. Can be pre-populated in
TeamRisk, TeamSchedule or TeamAdmin.
l Origin: Category field that can be used to classify the Project. Can be pre-populated in
TeamRisk, TeamSchedule or TeamAdmin.
l Staff Type: Category field that can be used to classify the Project. Can be pre-populated from
TeamSchedule or TeamAdmin.

Entity Details tab


To view more detailed information about each of the entities included in the Project, click the name of
the Entity in General tab. This will open the Entity Details window which includes comprehensive
information about the entity being audited from the organization hierarchy. Entity Details are not
editable within TeamEWP.

General tab
l Title: Name of the entity.
l Code: Code used to identify the entity.

TeamEWP User Guide 44


l Last Audit Date: This date is set either automatically or manually. If the entity was included in a
previous TeamEWP Project the date selected for Issued Status is automatically set as the last
audit date. Alternatively last audit date can be manually updated from TeamAdmin.
l Cycle time: Indicates how frequently the entity should be audited.
l Location: Category field used to identify the location of the entity. If the Project has only one
Entity associated with it the Project Location defaults to the Entity Location, unless a different
Location was specified for the Project in TeamAdmin, TeamRisk or TeamSchedule or in the
TeamEWP Template.
l Description: Short description of the entity.

Contributors tab
l Auditors: Auditors assigned to the entity in TeamAdmin or TeamRisk for risk assessment pur-
poses.
l Contacts: Contacts associated with the Entity. By default these Contacts are added to the Pro-
ject Profile Contacts tab as Project Contacts.

See "Contacts tab" on page 56 for more information.

Text tabs
There are up to three text tabs available in the Entity Profile (labeled Background, Objective, Scope, by
default). These are text fields will typically be used to record any relevant information about the Entity.
By default the contents of these tabs are copied into the Profile Text tabs. If more than one Entity is
associated with a Project the text will be preceded by the name of the entity.

Attachments tab
This tab includes any attachments added to the entity. Attachments are any electronic documents.
Clicking on the attachment will open the document providing the user has the required application
installed on their workstation.

NOTE: To manage the database size entity, attachments are not copied into
distributed or replica TeamEWP projects.

Team tab
The Team tab is a list of all auditors (also known as resources) who are part of the Project team along
with their role on the Project. Once a project has been created, one of the first initial steps is to give
other team members access to the project file. If your organization is using TeamSchedule, team
members may already have been added to the Project. Team members can also be added to the
Project from the Template.

TeamEWP User Guide 45


NOTE: Any team member can Add or Edit team members with a role up to,
and including their own Role and Level. For this reason, many clients prefer to
restrict Profile editing to the Project Ownership team by policy.

NOTE: Users can be added to the Team tab when the Project itself is read
only. This allows users to be added to a project so that prior year audits can be
reviewed, QAR reviews conducted, etc.

NOTE: If the TeamEWP policy ‘Restrict getting of team members and contacts
to the Project Ownership team’ is enabled then only the Project Ownership
team (Manager, Lead or Project Owner) will be able to add team members.

Team Roles
Each Project Team Member is assigned a Role and a Level. Roles determine permissions within the
project. Roles are usually assigned during the planning phase, but can be changed during the project.
Role should not be confused with Title. The Title is informational only and does not impact access to
functionality in TeamEWP.
Each team member can be assigned one of five different roles. The role assigned to them will
determine what functionality is available to them in the Project.

TeamEWP User Guide 46


Icon Team Role Description
Read Only
Has read only access to everything in the project file except schedules marked as
‘confidential’. A Read Only user can open and view but cannot Add, Edit, Delete or Signoff.
This role is traditionally assigned to 3rd-party reviewers and department members not on
the direct project team, but needing to see project details. A Read Only user cannot be
given a Level.
Preparer
Can Add, Edit, Delete (subject to certain controls) and Signoff schedules. This role is
traditionally assigned to those team members who are executing the fieldwork.
Reviewer Only
Is able to Signoff schedules as Reviewed. They can Add, Edit, Clear and Delete Notes,
but cannot Edit or Add other types of schedule. This role is traditionally assigned to those
team members who do not need or wish to modify the project file – rather, they prefer to
sign-off and request changes through Notes.
Preparer/Reviewer
Combines the abilities of the Preparer and Reviewer Only roles. A Preparer / Reviewer can
Signoff schedules as both Prepared and Reviewed. They can Add, Edit and Delete
(subject to controls) all types of schedule.

NOTE: If the user is only reviewing, do not select this


combined role out of convenience. Since reviewing
documents essentially opens them in Word, the user’s
“Recent Documents” list can fill with documents they have
only reviewed. While typically this is only an irritation, select
the role that applies to the user.

Project Owner
Is sometimes known as a Project Administrator. They have all of permissions associated
with a Preparer / Reviewer but they can also change Project Policies (unless Template
policies restrict policies from being changed). A Project Owner cannot be given a Level. A
Project Owner is automatically a member of the Project Ownership team.

NOTE: Although a default role is assigned to a user in the


Centralized database these roles can be set on a per
project basis.

In addition to the above roles, additional permissions can be applied to users who have with certain
roles:

l Restrict Export of Project Information: This can be applied to users with a Read Only role and
prevents exporting data and generating reports.

TeamEWP User Guide 47


l Cross-Referencing Mode: This permission can be assigned to any user role, except Read Only.
When this permission is enabled (Review ribbon | Review panel | Cross reference mode) the
user can create hyperlinks to cross reference schedules in a Project without changing the signoff
history (edit history is updated though).

NOTE: The Cross-reference mode permission can only be assigned by the


Project Owner.

Role and Level Hierarchy


In addition to a Role each team member can be assigned a Level. Levels are a numeric value ranging
between 1 (low) and 100 (high) and are used in TeamEWP to create a hierarchy amongst team
members who have the same role. This hierarchy or Roles and Levels is used to determine whether or
not a user has permission to perform certain actions in the Project by comparing the current user with
the user who last signed off a schedule, created a Note etc.
The hierarchy of users is as follows (low to high): Read Only, Preparer, Reviewer Only/
Preparer/Reviewer, and Project Owner.

NOTE: Reviewer Only and Preparer/Reviewer are treated as the same level
as both roles have Reviewer capabilities.

Example:
A Reviewer Only Level: 10 would be senior to a Reviewer Only Level:1, a Preparer Level:5 would be
senior to a Preparer Level:1, and a Reviewer Only Level:10 would be senior to a Preparer / Reviewer
Level:1.
More detailed information about the specific features and how these rules apply are detailed in the
relevant section of this user guide, but the following actions use a comparison of Roles and Levels
when determining whether or not the action can be completed:

l Delete Schedules
l Replace Work Paper
l Un-Freeze
l Protect
l Change assignments

Project Ownership Team


In TeamEWP you can define a Project Ownership team. This is the collective term for users who in
addition to their normal project role have been designated as either the Manager or Lead Auditor. In
addition to the Manager and Lead Auditor any user with a Project Owner role is also considered part of
the Project Ownership team.
The Project Ownership team in TeamMate is useful in TeamEWP as a number of policies can be
enabled restricting certain functions to only these users, for example Save as Template or editing the
Profile.

TeamEWP User Guide 48


To assign a Manager or Lead role simply select the user from the drop down fields above the team list.
The user selected will be designated with either a 1 or 2 respectively. Only a member of the Project
Ownership team can change these designations.

NOTE: If your organization uses TeamSchedule Manager and Lead Auditor


assignments may be pre-populated for you when the Project is created in
TeamEWP.

Get Resources
It is recommended that all auditors working in your organization are added to the database by using
TeamAdmin as this helps to ensure consistency and accuracy of Resource details. If Resources are
already included in the database then they can be added to the Project by selecting Get.

To add resources from the Project Team tab:

1. Click Get.
2. Click Search.
3. This will open a new dialog which will include the following options:

l Get: This option allows you to search the Centralized database.


l Get from Offline or Other TeamStore: This allows you to Get resources if working remotely
without access to the Centralized database. If needed, select the TeamStore or connection
file.

Both of these options will open a Search dialog which allows you to search by First name, Last
name, email address or Entity.

TeamEWP User Guide 49


4. Select one or more Resources using the mouse and the Shift or Ctrl keys.
5. Click OK to add the selected Resources to the Project.

NOTE: When the ‘Use Partitions’ policy is enabled, a checkbox is included to


limit the search to team members ‘Assigned to Partition Only’. This will only
return Resources who are directly assigned to the partition in TeamAdmin. If
the user performing the add is an External Resource, this checkbox cannot be
deselected. If this checkbox is not selected, the search will return Resources
assigned to the partition plus all non-external resources.

Add Resources
If the resource you require has not already been added to the Centralized database you can create a
new user directly in TeamEWP.

TeamEWP User Guide 50


NOTE: If policy ‘Restrict adding of Team Members to only those defined in the
Centralized database or Offline TeamStore’ is enabled you will not be able to
Add a new Resource in TeamEWP.

If this policy is not used in your organization there are two ways a user can be created in TeamEWP,
both of which are detailed below. In both cases the following minimum information is required when
adding a new user in TeamEWP:

l First name: Users first name.


l Last name: Users last name.
l Email address: This must be unique and have a valid format for an email address.
l Initials: Not the user’s middle initials. This field allows up to 5 characters and does not have to be
unique. TeamEWP uses the initials entered here when recording sign-offs information or track-
ing edits to TeamEWP schedules so it is recommended that each user be given a easily iden-
tifiable initials, for example Jenny Anne Rose could be JAR.
l Login name: The login name used to access TeamMate. If Your organization uses Windows
Authentication to login to TeamMate this should be the user Windows login.
l Password: This is the password that will be used by the new user to login to the database. This
is a minimum of 6 characters but enhanced password complexity requirements can be set up in
TeamAdmin.

Two ways that a new user can be created:

1. From the Get button: If you are connected to the Centralized database it is recommended that
you create a new Resource using this method. This option also allows for a search in your Organ-
ization’s Active Directory for users.

See "Configuring Active Directory" in the AM Champions Guide for more information.

l Get: This options the Search dialog.


l Search: Clicking this enables the Add User button in the left corner of the dialog.
l Active Directory: (if configured) Search Active Directory and select the user required. This
then opens the Add User dialog with all information available in from Active Directory pre-pop-
ulated in the dialog.
l Add New User: Opens the Add User dialog.
l Enter all required and optional information by following the 4 step wizard.

2. From the New button: This method of adding users is only available in distributed or replica pro-
jects and is recommended only when working in a disconnected environment, when the Cen-
tralized database is not available. Users added in this way will be added to the Centralized
database on Send to TeamCentral or, if working in a Replica when the Project is synced with the
Master.

TeamEWP User Guide 51


NOTE: The option to create users with the New button is only available in a
distributed project or replica.

Edit Resources
Changes can be made to existing members of the Project team. This is done by selecting the team
member in the list then clicking the Edit button. The following business rules apply when editing a
Resource in TeamEWP:

l A team member can only edit and make changes to a user who is the same Role / Level or lower
(subject to other policies restricting Profile editing)
l A user cannot change the role of another user to make them more senior than themselves. So
for example a Preparer could not promote a Read Only user to Reviewer Only.
l Only a member of the Project Ownership team can make changes to the personal details of
another user (name, email address etc.)
l No user can change the password of another user.
l A user can always edit their own personal details (name, email address etc.)

NOTE: When editing a user in TeamEWP always remember to click Save


when you finish as you will be prevented from closing the Profile until changes
have been saved.

Password Reset
If a user forgets their password or is locked out after too many incorrect login attempts, passwords can
be reset in two ways:

l Reset Password in Centralized TeamEWP Projects: For users with TeamEWP Projects in a
centralized database passwords can be reset by a TeamMate Champion from TeamAdmin via
the User Maintenance | Edit User option.

See "Editing a User Account" in the AM Champions Guide for more information.

l Reset Password in distributed and replica TeamEWP Projects: Where the project is not part
of a centralized database the password in a TeamEWP Project cannot be reset directly from
TeamAdmin | User Maintenance. In this case a ‘daily’ password for TeamEWP can be gen-
erated from the TeamAdmin via User Maintenance | Temporary Password option.

The temporary password is a string of characters, valid for 24 hours, generated randomly based
on the login name of the user. This can be emailed to the affected user which when entered in
the TeamEWP login screen prompts the user to enter a new password and then gives them
access to the project. On next sync/send to TeamCentral this password change would then be
updated in the central database.

TeamEWP User Guide 52


NOTE: When a password is reset in a distributed or replica Project using this
method the change is applied only to the current project, not to all projects
where the user is a team member.

Cancel Resources
If a user is no longer working on the Project team it is possible to cancel their access to prevent them
from logging into the Project. The same business rules detailed above relating to editing Resources
also apply to canceling a Resource.

To cancel a resource:

1. Select the team member in the list.


2. Click the Edit button.
3. Select the checkbox ‘Restrict Access to Project (cancel user)’.
4. Click Save.

Depending on the Project Status when the user is canceled the following actions will occur in the
Project:

l In Planning Status canceling a user will delete them from the Project completely
l In Fieldwork Status or above canceling a user will restrict their access to the Project but will not
delete them and a ‘no entry icon’ next to their name in the list to indicate that they have been can-
celed. This is in order to preserve the signoff and edit history in the Project.

Security Groups
Security Groups is the collective name in TeamMate for Implementation Coordinator (IC) groups and
Project Access Groups. In TeamEWP 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 and TeamEWP.
See "Security Groups" in the AM Champions Guide for more information.
Implementation Coordinator (IC) Groups are used in TeamCentral to give Resources permission to
track and action Recommendations from Projects. There are two types of Implementation Coordinator
groups:

l Project Default Implementation Coordinator Group: Members of a Project IC Group will have
access to all Recommendations from the Project in TeamCentral.
l Recommendation Implementation Coordinator Groups: Other IC groups are considered
Recommendation IC Groups and can be assigned to specific Recommendations in the Issue
Editor. Members of a Recommendation IC group will see only the specific Recommendations
which their Group is assigned to, not all Recommendations from the Project.

See "Recommendation Coordinator Groups" on page 155 for more information.


Project Access Groups are used in TeamEWP and TeamCentral to give Resources who are not
team members read only access to project data. Project Access groups have three sub-types, the type

TeamEWP User Guide 53


of group determines what data group members have access to:

l TeamCentral: Members of TeamCentral project access groups have access to Project data in
TeamCentral reports, dashboards and tracking views. They cannot login to TeamEWP Projects
and do not have access to project data in TeamEWP.
l TeamEWP: Members of TeamEWP project access groups have access to Project data in
TeamEWP only. TeamEWP security group members can login to TeamEWP Projects and have
access data and functionality in the Project equivalent to a Read Only user who is a team mem-
ber on a project.
l TeamEWP and TeamCentral: Members of an TeamEWP and TeamCentral project access
groups have permissions of the two previous groups combined. Members can login to
TeamEWP projects and view project data, they can also login to TeamCentral and view project
data in reports, dashboards and tracking views.

Security groups are created and maintained in TeamAdmin, including adding and removing members,
projects and templates. Security groups are associated with Projects in TeamEWP or in TeamAdmin.
In TeamEWP, Members of the Project Ownership team can add or remove groups from a Project. In
TeamAdmin, a champion can assign Security Groups to Projects and active Templates, including
projects that are Closed or Finalized.
Only users with Auditor roles can be included in an Access Group or IC group.

NOTE: In TeamEWP distributed Projects, only the TeamCentral access group


can be linked to the project. This is because other groups require login details
to be synchronized between the centralized database and Project, which is not
possible when working in distributed TeamEWP Projects. All types of access
group can be linked to centralized TeamEWP projects.

To add a security group to a TeamEWP Project:

1. From the Team tab, click the Security Groups button which will open the TeamCentral Security
Groups list.
2. Select Get to search for Project Access or Implementation Coordinator groups. In a centralized
database this option allows you to select groups from the current database. In distributed or rep-
lica projects it allows you to select a connection file and search for groups in a centralized data-
base or Offline TeamStore:

a. Select one or more security groups.


b. Click OK to add them to the Project.
c. To designate an Implementation Coordinator group as a Project IC Group select the Group
in the Project Default Implementation Coordinator pull down category list.

To associate a security Group from a TeamEWP Project:


Select a group in the list and press the Delete button to remove the group from the Project.

TeamEWP User Guide 54


NOTE: To remove a Project Default Implementation Coordinator group from
the project first deselect the group as default by selecting None in the pull down
category and then follow the steps above.

Schedule tab
The Schedule tab lets you enter estimated, scheduled, and actual start or end dates and estimated,
scheduled, and actual project costs and hours. Estimated, Scheduled and Actual Dates from this tab
are included in the TeamCentral Project Status View allowing for easy reporting across multiple
projects.
If TeamRisk or TeamSchedule is used set up your project, some of this information will be completed
for you. Typically estimated budgets and dates are entered in TeamRisk, whereas Scheduled budget
and dates are entered in TeamSchedule. Actual dates and budget figures are typically entered in either
TeamEWP or TeamTEC.

l If the policy ‘Restrict Profile editing if created from the Centralized database’ is enabled, the
Estimated and Scheduled date and budget fields will be read only in TeamEWP.
l If the policy ‘Restrict editing of Profile actual costs and actual start date’ is enabled then the
Actual Start Date and Actual budget fields will be read only in TeamEWP. Actual effort and costs
will be calculated using TeamTEC timesheets and expense forms submitted.

Risk tab
The Risk tab lets you enter a pre-project risk rating and risk scores. If the project was created in
TeamRisk the risk rating and scores will have been added from the risk assessment.

l If the Project is from TeamRisk this tab will be read only


l If the policy ‘Restrict Profile editing if created from the Centralized database’ is enabled the Estim-
ated and Scheduled date and budget fields will be read only in TeamEWP
l The tab can be hidden by changing the appropriate customization policy in Project Settings |
Policies if TeamRisk is not used by your organization or if you do not use pre-project risk ratings.

Text tabs
There are up to five text tabs available in the Project Profile (labeled Background, Objective, Scope,
User Text 1 and User Text 2 by default). These are text fields which can be used to enter any required
information about the project or entity being audited. All 5 tabs can be renamed if required or hidden if
not used. How these tabs are used varies from organization to organization and you should refer to
your TeamMate Champion or TeamMate Protocol document for more information about how they are
used in your organization.
The first three tabs (from left to right) are available in TeamRisk, TeamSchedule or TeamAdmin and
may already have been completed for you. Text in these fields may also originate from your template
file.
When creating a new Project in TeamEWP (not from one of the other modules) any text from the entity
details is copied automatically into the Profile for you. If you select multiple entities in the Create Project

TeamEWP User Guide 55


Wizard, the text from each entity will be pre-fixed by the name of the entity. If the template used to
create your project also contains text this will be appended after the text from entity details.

Contacts tab
Contacts are business contacts for this project; typically these are the management of the Entity being
audited. Contacts can be used in TeamMate in a variety of ways. In some organizations they are
identified for information purposes or to populate automatically the distribution list for an audit report
generated using the TeamEWP reporting engine. Other organizations give Contacts explicit
permission to log into TeamCentral to view data or even actively participate in the Recommendation
tracking process.
See "Data Privacy Policies" in the AM Champions Guide for more information.

NOTE: Contacts cannot login or otherwise be given access to Projects in


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

There may be any number of Project Contacts in the Profile. If your Project was created using
TeamRisk, TeamSchedule or TeamAdmin then Contacts may have been added to the Profile.
If the project was created in TeamEWP, Entity Contacts from all the Entities associated with the
Project will be automatically copied into the Profile during Project creation.

NOTE: Contacts are only copied into the Profile during creation if the Project is
Centralized. No Contacts are copied into Distributed Projects.

l Only users who have permission to make edits in the Profile can make changes in the Contacts
tab.
l All other users have read only access only.

Project Primary Contact


One of the Contacts can designated as the Project Primary Contact by selecting their name from the
drop down menu above the Contact list. A check mark will appear next to their name in the Contact list
and a Primary Contact designation applied.

l By default, the primary contact becomes the owner of any new Recommendations added to the
Project
l If Contacts are given access to data in TeamCentral a Primary Contact will always be given
access to all Recommendations from the Project. If you do not want a Contact to have this level
of access you should not select a Primary Contact

If your Project was created using TeamRisk, TeamSchedule or TeamAdmin the Primary Contact may
already be designated in the Profile. If the Project is created in TeamEWP, and there is only one Entity
associated with the Project, the Entity Primary Contact will automatically be designated as the Project
Primary Contact. If multiple Entities are selected during Project creation then no Primary will be

TeamEWP User Guide 56


assigned as there can be only one Project Primary Contact and TeamEWP does not know which Entity
Primary Contact should be Project Primary.

Get Contacts
It is recommended that all Contacts working in your organization are added to the database by using
TeamAdmin as this helps to ensure consistency and accuracy of Contact details. If Contacts are
already included in the database then they can be added to the project by selecting Get.

To add contacts from the Project Profile Contacts tab:

1. Click Get.
This will open a new dialog which will include the following options:

l Get: This option allows you to search the Centralized database


l Get from Offline or Other TeamStore: This allows you to Get Contacts if working remotely
without access to the Centralized database (if needed select the TeamStore or connection
file). Note a connection file, sometimes known as ‘.tmc file’ is a file created by your IT team to
give you access to your Centralized database.

Both of these options will open a Search dialog which allows you to search by First name, Last
name, email address or Entity

2. Select one or more Contacts using the mouse and the Shift or Ctrl keys.
3. Click OK.

NOTE: If the TeamEWP policy ‘Restrict getting of team members and contacts
to the Project Ownership team’ is enabled then only the Project Ownership
team (Manager, Lead or Project Owner) will be able to add contacts, and the
contacts must be assigned to the project’s partition.

Add Contacts
If the Contact you require has not already been added to the Centralized database, you can create a
new user directly in TeamEWP.

NOTE: If the policy ‘Restrict adding of Contacts to only those defined in the
Centralized database or Offline TeamStore’ is enabled you will not be able to
Add a new Contact in TeamEWP.

If this policy is not used in your organization, there are two ways a user can be created in TeamEWP,
both of which are detailed below. In both cases the following minimum information is required when
adding a new user in TeamEWP:

l First name: Users first name.


l Last name: Users last name.
l Email address: This must be unique and have a valid format for an email address.

TeamEWP User Guide 57


Other user information below is only required if adding a Contact who will be given access to
TeamCentral. This entry of this information is enforced if adding a Contact directly to the
Centralized database as detailed in option 1 below.

l Login name: The login name used to access TeamMate. If your organizations uses Windows
Authentication to login to TeamMate this should be the user Windows login.
l Password: This is the password that will be used by the new user to login to the database. This
is a minimum of 6 characters but enhanced password complexity requirements can be set up in
TeamAdmin.

There are two ways that a new user can be created:

1. From the Get button:

If you are connected to the Centralized database and you are planning to give a Contact access
to data in TeamCentral it is recommended that you create a new Contact using this method. The
new user is automatically added to the database and you have all the options available when
creating a new user in TeamAdmin for use in across TeamMate modules. This option also
includes an option to search your Organizations Active Directory for users.
See "Configuring Active Directory" in the AM Champions Guide for more information.

l Click Get in the Contacts tab – This options the Search window.
l Click Search: Pressing this enables the Add User button in the left corner of the dialog.
o Active Directory: (if configured) Search Active Directory and select the user required.

This then Opens the Add User dialog with all information available in from Active Directory
pre-populated in the dialog.
o New User: Opens the Add User dialog

o Enter all required and optional information by following the 4 step wizard.

2. From the New button.

This method of adding users is only available in distributed or replica projects and is
recommended only when working in a disconnected environment, when the Centralized
database is not available. Users added in this way will be added to the Centralized database on
Send to TeamCentral or, if working in a Replica when the Project is synced with the Master.

NOTE: The option to create users with the New button is only available in a
distributed project or replica.

Edit Contacts

To edit contacts from the Project Profile Contacts tab:

1. Select the Contact in the list.


2. Click the Edit button.
3. Make changes as required and click Save to finish.

TeamEWP User Guide 58


NOTE: When editing a user in TeamEWP always remember to click Save
when finished as you will be prevented from closing the Profile until changes
have been saved.

Delete Contacts
If a Project Contact is no longer required they can be deleted.

To delete a contact from the Project Profile Contacts tab:

1. Select the Contact in the list.


2. Click Delete.

Delete will only remove the Contact from the Profile, it does not delete the Contact from the
database.
If you Delete a contact that is used in Recommendations, the Contact will only be removed from
the Project Contacts list and will remain in the Recommendation Contacts list.

Summary tab
The Summary tab lets you enter information about the final project results. The cost savings and cost
avoidance fields may be automatically calculated for you.
You can select Final Risk and Opinion from your project lists. You can enter summary conclusion text
and, if used, update the scorecard information.

Status and Milestones tab

Status
Project Status is used to control workflow in TeamEWP and for Project Tracking in TeamCentral.
Project Status are system defined unlike Milestones which are user defined (covered in the next
section). Project Status determines what edits can be made in the Project and functionality is available
to a user.

TeamEWP User Guide 59


In addition to determining what actions are available in the Project, Status dates are key dates that
record the progress of the project and can be monitored in the TeamCentral Project Tracking view.

To change a Project Status:

1. Check the checkbox in the Status tab. This will automatically default the date to the current date.
If required, click the calendar icon to select another date.
2. If required the Project Status can be moved back a previous status, if for example the Project is
in Post Fieldwork but a workpaper needs to be added to the PRG folder. The Project Status can
never be changed back to Planning as signoffs and other edits may have taken place.

The following business rules apply when changing Project Status:

l Only a member of the Project Ownership team can change Project Status.
l Project Status can only be changed in the Master Project they cannot be not be changed if work-
ing in Replica.

The following Project Statuses are used in TeamEWP:

l Planning: Also known as Created. Set automatically when the project file is created and cannot
be changed.
l Fieldwork: Also known as Initialized. Prevents the deletion of team members, categories and
editing of global Tickmarks. Enables the signoff workflow and edit history. Typically organ-
izations change the status to Fieldwork when planning tasks have been completed and team
members are ready to begin signoff of work completed.
l Post Fieldwork: Also known as Draft Report. A quality assurance check is performed when this
status is selected. The project file will be scanned to check that all schedules and procedures
have been signed off in accordance with the signoff policies used, and that Notes do not remain

TeamEWP User Guide 60


open. After the scan schedules in the PRG folder will be set to read only. Issues and reports in
the AS folder, risks and controls, profile and Notes will remain editable. Typically organizations
use this status to indicate that documentation of the audit is complete and a draft report issued to
management contacts. Work continues on issues and recommendations, while risk and control
post audit scores and ratings are determined.
l Responses Accepted: Issues, reports in the AS folder and risks and controls are set to read
only. Notes and profile remain editable. Typically organizations use this status to indicate that
management contacts have responded to recommendations made in the project.
l Issued: Also known as Final Report. Sets the entire project as read only. All issues and recom-
mendations are included in TeamCentral reports but are not yet released to TeamCentral Imple-
mentation Tracking. Typically organizations use this status to indicate the project is complete and
the final report has been issued.
l Implementation Tracking: Will change all tracked recommendations to pending state and they
will be available in the TeamCentral Implementation Tracking view. If the project is distributed
changing this status will automatically launch the ‘Send to TeamCentral Wizard’.

See "Implementation Tracking in TeamCentral" on page 153 for more information.

TIP: Clicking on the More Info button in the Status tab will display a dialog in
Project which details workflow changes associated each status.

Milestones
Milestones are additional key dates that can be used to track progress of the project. Unlike project
statuses, Milestones are user defined. Typically organizations use Milestones when they have targets
or Key Performance Indicators which they want to track that are not covered by any of the system
defined TeamEWP project status. Milestones can be viewed and reported on in TeamCentral reports
and dashboards. Milestones can also be viewed from the Explorer Enhanced dashboard.

Custom milestones are normally added to the project on creation from the template; however,
Milestones can be set up in either TeamAdmin or TeamEWP project settings.
Milestones have the following attributes:

TeamEWP User Guide 61


l Name
l Estimated date
l Revised date
l Actual date
l Comments

Any user who with permission to make edits in the profile can change Milestone dates.

To enter a milestone date or comment:

1. Select the milestone from the list.


2. Click Edit.
3. Enter the required dates and a comment if required.
4. Click OK.

Custom Properties tab


Many organizations need to record additional information about a project or entity when working in
TeamMate. If there is not already a field available, custom properties can be included in the profile.
These custom properties can be used in TeamEWP reports or can be viewed in TeamCentral cross
project reports. Custom fields can be created in TeamEWP or they can be defined in TeamAdmin.
Custom Properties are typically included in the Template used to create the Project.
Custom properties have a name, data type and value. The data types available are:

l Text
l Date
l Yes / No
l Numeric

The following actions are available when working with Custom Properties:

l Get: Allows you to Get Custom Properties which have been defined previously in TeamAdmin
and are part of the centralized database.
l Add: Allows you to add new Custom Properties to your project where they do not already exist in
the centralized database. Newly created Custom Properties are automatically added to the data-
base if the project is centralized. If a Custom Property is added to a distributed project, it is added
to the centralized database on ‘Send to TeamCentral’.

See "Send to TeamCentral" on page 178 for more information.

l Delete: Permanently removes a Custom Property and its value from the project. It does not
delete the Custom Property from the database. This can however be done from TeamAdmin.
l Edit: Allows you to edit the value associated with the custom property.

The following Policies apply to Custom Properties:

TeamEWP User Guide 62


l If the policy ‘Freeze Custom Property Names’ is enabled the Get, Add and Delete options will be
disabled. The only action available will be to edit the Custom Property value.
l In all cases if the profile is read only or the user is not allowed to make edits in the profile the Edit
button will be substituted for the View button to allow users to see Custom Property values.
l The Custom Properties tab can be hidden by changing the appropriate customization policy in
Project Settings | Policies if it is not used by your organization.

Global Tickmarks
Global Tickmarks are a standard set of tickmarks that can be applied to all work papers within the
project file. Using electronic tickmarks in TeamEWP is the equivalent of using the pen to tickmark a
hardcopy workpaper.
Global Tickmarks can be assigned standard meanings and are useful for indicating common project
actions on work papers. Global tickmarks may be defined in the Template, making them available for
use on each project created using that Template.

Tickmarks can be used in integrated workpaper types (MS Excel, MS Word and via TeamImage in
scanned documents and Adobe .pdf documents).

To add a Global Tickmark:

TeamEWP User Guide 63


1. Select a Tickmark symbol.
2. Click the Add Tickmark ribbon button or double click with the mouse on the symbol.
3. Add a definition.

To delete a tickmark:

1. Select the Tickmark to be deleted.


2. Click the Delete Tickmark ribbon button.

NOTE: Global Tickmarks can only be deleted before your project is initialized.

TIP: An alternate set of Tickmark symbols is available. The alternate Tickmark


symbols can be enabled in Project Settings under the Advanced Options
menu.

TeamEWP User Guide 64


Project Planning Tasks
After completing the management tasks required, the next stage in planning a Project involves detailed
audit planning. The specific tasks that need to be completed will vary from organization to organization,
but typically involve identifying and evaluating Risks and Controls that are assessed against the Entity
being audited, and then identifying Work Programs to test these Risks and Controls.
Depending on your organization, some or all of the Audit Planning tasks below will already be
completed when the project is created.

Smart Projects
Smart Projects offers a quick way to start pre-planning for projects. Holistic audit approaches can be
created in TeamStore and then automatically applied to all projects that originate from a risk
assessment. Projects can be identified in TeamRisk, and then created in TeamEWP including the risks
and controls linked in TeamStore.

TeamEWP User Guide 65


When using ‘Get’ to import Objectives or Risks into an Assessment, the Get option allows for the import
of linked items. This will more quickly add objectives, risks and controls to an Assessment if those
linkages have been created in TeamStore.

TeamEWP User Guide 66


When selecting the project for initiation in TeamEWP, you can choose to import linked procedures and
work papers to kick start project planning.
The results of your selections in the Project Wizard are immediately available in the Risk & Control
Viewer. The layout shows the procedures necessary to test and conclude on control effectiveness and
efficiency and the management of identified risks.

Risks and Controls

The TeamEWP Risk and Control viewer is used to document all Risks and Controls identified during
the course of a project. If TeamRisk is used by your organization, both the Entities and the Risks and
Controls identified and rated in the assessment will automatically be included in the Risk and Control
Viewer. If TeamRisk is not used, Risks and Controls can be imported from the TeamStore Risk Library
or new Risks and Controls can be added directly in TeamEWP and linked to the Entities selected when
the project was created.
TeamEWP allows auditors to link Risks and Controls to the procedures that test the existence and
strength of the Control and whether a Risk is adequately eliminated or mitigated. Issues identified and
associated recommendations can then be linked via the procedure back to Risks and Controls.
TeamEWP report templates and TeamCentral reports can then report on these relationships giving
Audit Management a detailed understanding of the risk landscape within the organization.

TeamEWP User Guide 67


NOTE: Risks and Controls can be linked within the TeamStore before bringing
them into TeamEWP.

See "Linking Objectives, Risks, and Controls" in the AM Champions Guide for more information.

Risk and Control Viewer


The Risk and Control viewer allows users to view and work with all Entities, Risks, and Controls
identified in the project.

The left hand side of the screen displays a tree showing Entities, Risks and Controls. These are
denoted by the following icons:

l Entity

l Risk

l Control

The right hand side of the screen is split horizontally with the top half of the screen showing details of
the currently selected Risk. The lower half of the screen shows the currently selected Control. If a
Control is linked to a Risk selecting the Control will automatically display the parent Risk. You can

TeamEWP User Guide 68


adjust the amount of space used by each element in the form by dragging the splitters which divide the
screen.
The following business rules apply to the Risk and Control Viewer:

l Risk and Control Viewer is editable by all user roles except Read Only and Reviewer Only.
l The Risk and Control Viewer itself is read only to all users when the Project Status is Responses
Accepted or above.
l Risks and Controls can be added, edited, moved or deleted by any user role except for Read
Only and Reviewer Only.
l Risks or Controls denoted with this icon came from a TeamRisk assessment. To preserve the
integrity of the Risk Assessment these Risks and Controls cannot be deleted or moved and the
Properties and Pre-Audit Ratings cannot be changed.
l All risks and Controls are read only when the Project is in Responses Accepted Status.

The following relationship hierarchy is honored in the Risk and Control Viewer:

l Entities can be associated with child Risks or Controls.


l Risks can be associated with a parent Entity or child Control.
l Controls can be associated with a parent Entity.

Risk and Control Viewer: View Options


The Risks & Controls Viewer layout can be changed to optimize the level of detail displayed on screen
depending on the task being performed by the user. Three views are available:

l Full Grid View: Hides the detail panes and shows only the grid. This view is useful for the Aud-
itors to review the pre audit risk scoring of a project that has been created in TeamRisk, and also
allows them to do the post audit risk scoring in TeamEWP. If the project was not created in
TeamRisk then the scoring metrics will not be displayed in this view.
l Split View: The default layout shows the grid on the left side of the screen and detail panels on
the right. This is useful when detailed information about the selected Entity, Risk or Control is
needed as well as summary information about other Risks or Controls.
l Details Pane View: Hides the grid on the left hand side of the screen and displays only the detail
panes for the selected Risk or Control. This view is useful when documenting detailed test res-
ults and information about other Risk or Control.

To switch between the three views, use the buttons on the top right side of the Risks and Controls
Viewer grid.

Entities
Entities that are displayed in the Risk and Control Viewer are added to the Project on creation or in the
Profile. Detailed information about the Entity can be viewed from the Profile.
See "Profile" on page 40 for more information.

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TIP: From the Risk and Control Viewer select the Entity and click the Entity
icon to view the Organization Hierarchy. Entities linked to the Project will be
shown in bold text.

Risks
How risks are documented in TeamMate will vary from organization to organization. For more detailed
instructions you should refer to your TeamMate Champion or TeamMate Protocol document for more
specific information. The following details the tabs which are available to document risks in TeamEWP.
However, when configuring TeamEWP your Champion may have renamed or hidden fields and
therefore may be different in your Project.
By default the risk form in TeamEWP consists of the following fields:

l Risk Name: Text field. Typically used to document the name of the Risk.
l Category: pull down field typically used to classify different types of risk for reporting and man-
agement information purposes.
l Code: Text field. Typically used to record the code for the risk from the organizations Risk
Library.
l Description: Text field. Typically used to document detailed information about the Risk.
l Properties: Three category fields, two numeric fields and two checkboxes. These are typically
used to classify the Risk in accordance with the organizations risk methodology.
l Rating: If the Project was created in TeamRisk this tab will include pre and post audit risk scoring
metrics as used in the TeamRisk assessment. If TeamRisk is not used then no scoring metrics
will be displayed in this tab.
l Notes: Text field. Typically used to record additional information about the Risk or notes about
the results of testing.
l Refs: All hyperlinks created to cross-reference Risks with Procedures will be displayed in this
tab.

Controls
How Controls are documented in TeamMate will vary from organization to organization. For more
detailed instructions you should refer to your TeamMate Champion or TeamMate Protocol document
for more specific information. The following lists the tabs which are available to document Controls in
TeamEWP. However, when configuring TeamEWP, your Champion may have renamed or hidden
fields and therefore may be different in your Project.

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By default the Control page in TeamEWP consists of the following fields:

l Control Name: Text field. Typically used to document the name of the Control.
l Category: pull down field typically used to classify different types of Control for reporting and
management information purposes.
l Code: Text field. Typically used to record the code for the control from the organizations Risk
Library.
l Description: Text field. Typically used to document detailed information about the Risk.
l Properties: Seven pull down category fields, one numeric fields and two checkboxes. These are
typically used to classify the Risk in accordance with the organizations risk methodology.

NOTE: The TeamCentral dashboard includes a Key Control filter. For this to
be used Key Controls must be designated by using the Yes/No1 checkbox in
this tab.

See "Using Scorecards" on page 116 for more information.

l Rating: If the Project was created in TeamRisk this tab will include pre and post audit Control rat-
ings as used in the TeamRisk assessment. If TeamRisk is not used, then no rating fields will be
displayed in this tab.
l Notes: Text field. Typically used to record additional information about the Control or notes
about the results of testing.
l Owner: This tab is used to identify the Contact within the Entity who has responsibility for the
Control. To associate a Contact with a Control click the Get button and select one of the fol-
lowing:
o Project Contact: list will allow you to select any Project Contacts from the Profile.

See "Contacts tab" on page 56 for more information.


o Centralized database: will allow you to search the database for existing Contacts or add a
New Contact.
o Offline TeamStore: will allow you to search an Offline TeamStore for existing Contacts when
working offline without connectivity to the Centralized database (if needed select the
TeamStore or connection file)

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NOTE: A connection file, sometimes known as ‘.tmc file’ is a file created by
your IT team to give you access to your Centralized database.

NOTE: When the ‘Use Partition’ policy is enabled, the user will be limited to
only selecting from Project Contact.

After finding the Contact, click OK to add them as the Control Owner.
To Delete a Contact simply click the Delete button. Note that this will delete the Contact from
the Control tab but not from the Profile or the database.

l Refs: All hyperlinks created to cross-reference Controls with Procedures will be displayed in this
tab.

Get Risks and Controls


If Risks and Controls, already exist in your organizations TeamStore Risk Library they can be added to
the project from the Risk and Control viewer by using the options in the Home ribbon | New panel.

To Get Risks or Controls from the TeamStore Risk Library:

1. Select an Entity on the left pane of the Risk and Control Viewer.
2. Click the Get Risks or Get Controls button on the Home ribbon | New panel.
3. Choose either the Get from current Centralized Database or Get From Offline or Other
TeamStore options.
4. If needed select the TeamStore or connection file.
5. After the Get dialog opens, use the checkboxes to select one or more risks or controls.
6. Click Get in the top left of the TeamStore screen.
7. Selected Risks and Controls will appear in the Risk and Controls Viewer beneath the highlighted
Entity.

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Including linked Controls, Procedures and Work Papers
If your TeamStore includes links between Risks, Controls, Procedures and Work Papers these will be
added to the Project by default when Getting Risks or Controls from the TeamStore. TeamEWP will
automatically bring linked Controls, Procedures and Work Papers, create the required Work Program
folders and automatically create hyperlinks between them.
By default the following linked items will be imported into TeamMate:

l Controls (only if performing a Get Risk operation).


l Procedures linked to Risks or Controls.
l Work Papers linked to Procedures.

The import process will automatically create Program Group and Work Program folders in the Browser
to match the folder hierarchy established in your TeamStore.
If you do not want to include linked Controls, Procedures and Work Papers use the Additional; options
checkboxes in the first dialog of the Get from TeamStore dialog to deselect the items which are not
required.

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Adding Risks or Controls
Where the desired Risks and Controls do not already exist in your TeamStore Risk Library, new Risks
and Controls can be created directly in the Risk and Control Viewer. At the end of the project these
new Risks and Controls can be sent to the TeamStore so that they can be used in future TeamRisk
assessments or TeamEWP projects.
See "TeamStore Sharing" on page 179 for more information.

To Get Risks or Controls to the Risk and Control viewer:

1. Select an Entity on the left pane of the Risk and Control Viewer.
2. Click the Add Risk or Add Control icon on the Home ribbon | New panel.
3. Fill in the required details for the new Risk or Control in the main window of the Risk and Control
Viewer.

Linking and Copying Risks and Controls


By default Risks and Controls are automatically linked together when they are added to the Risk and
Control Viewer. If required these links can be changed by moving Risks and Controls and associating
them with different Entities or Risks therefore changing the hierarchy in the left hand pane of the Risk
and Control Viewer. It is even possible to create copies or ‘clones’ of existing Risks and Controls.

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NOTE: Links between Risks, Controls and Entities are not displayed in the
Refs tabs in the same way as hyperlinking to Procedures. The links are inferred
by hierarchy in the left hand side of the Risk and Control Viewer

Risks and Controls can be moved or copied using the buttons in the Home ribbon | Edit panel.

To move Risks or Controls:

1. Select the Risk or Control in the left hand tree.


2. Select Cut.
3. Select the Entity or Risk where you want the object to move to.
4. Select Paste. The Risk or Control will be moved.

NOTE: If the Risk or Control came from a TeamRisk assessment the move
option will be disabled to preserve the integrity of the risk assessment. In this
case the Risk or Control can only be copied.

To copy Risks or Controls:

1. Select the Risk or Control.


2. Select Copy.
3. Select the Entity or Risk where you want the copy to be created.
4. Select Paste. The Risk or Control will be Copied.

NOTE: Procedure links will be deleted when the Risk or Control is copied

TIP: Risks and Controls can also be copied and moved by dragging and
dropping with the mouse or by using the right click context menu.

Reorder Risks and Controls


To reorder Risks and Controls in the Risk and Control Viewer without changing the links to their parent
Entity or Risk use the Move Up or Move down buttons in the Home ribbon | Edit panel.

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NOTE: Using Move Up or Down can only move the object up or down in the list
it cannot be used to move the Risk or Control to a different Entity or Risk.

Delete Risks and Controls


Risks or Controls can be deleted from the Risk and Control Viewer by any user who can make edits in
the project. To delete a Risk or Control, use the Delete button in the Home ribbon | Edit panel. You will
be prompted to confirm the action, selecting yes will permanently delete the item currently selected.
The only restriction is that Risks or Controls denoted with this icon , which came from a TeamRisk
assessment. To preserve the integrity of the Risk Assessment these Risks and Controls cannot be
deleted.

Export to Excel
The Export to Excel button available in the Home ribbon | Tools section is enabled only when the Full
Grid View is selected.
Only the columns that are visible in the grid are exported to Excel.
The exported file will display Initials and Dates from the Prepared, Reviewed, and Edited columns in
two separate columns and an extra column named "Object Type" will be added to allow filtering and
sorting by different items.

Column Manager
Column Manager allow users to select which columns are displayed in the grid.

To work with the Column Manager:

1. Select the Full Grid View.


2. With this view selected, a button with a wrench icon is available on the top right side of the Risks
& Controls Viewer grid. Click this icon to change the view to a backstage area.

The backstage displays a list of properties that can be displayed in the grid:

l Title: Title of Entity, Risk or Control.


l Code: Code of the Entity, Risk or Control.
l Category: This is the Risk Category.
l In Conflict: Does the Risk or Control have a replication conflict.
l Procedure: Does the Risk or Control have any Procedures.
l Risk Type: Risk Category Type.
l Sub-Risk Category: Risk Sub-Risk Category.
l COSO Rating: Risk COSO Rating.
l Classification: Control Classification Category.
l Frequency: Control Frequency Category.
l Control Type: Control Type Category.

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l Method: Control Method Category.
l Assertions: Control Assertions Category.
l Control Activity: Control Activity Category.

NOTE: The labels for Risks and Controls categories will be determined by the
configuration of your global terminology defined in TeamAdmin.

Show and Hide Columns


To show a property as a column in the Risks and Controls Viewer, either select the checkbox next to
the property name or select the desired Property and press the Show button.
To hide a property in the Risks and Controls Viewer columns, either uncheck the checkbox next to the
property name or select the desired Property and press the Hide button.
The only properties that cannot be hidden is Title.

NOTE: If Properties are not available because of the configuration of


TeamAdmin, they are displayed in the backstage view but are not selectable.

Reorder Properties
It is also possible to change the order that the properties are displayed in the Full Grid View.
To change the order of columns, select a Property and press either Move Up or Move Down.
Properties at the top of the list are displayed on the left side of the grid, properties at the bottom of the
list are displayed on the right side of the grid.

NOTE: The Title has to be the left most column and cannot be reordered. The
risk scoring columns cannot be reordered; they must come after all properties.

To view changes, press the wrench icon in the top right side of the backstage view.

NOTE: You can revert back to the default column and order by pressing the
Reset to Default button.

Filter
A comprehensive filter and text search function is available in the Risks and Controls Viewer. The filter
window includes a number of powerful filtering options allowing you to select Risk or Control
properties, or even text strings to display a list of items which match your selected criteria.
To access the Advanced Filter, click the Filter button in the grid.
When selecting multiple criteria in the Filter, an implied AND condition is used so only records that
include all selected criteria will be displayed. If a mixture of Risk and Control criteria exist, the Risk

TeamEWP User Guide 77


criteria are applied first, followed by Control criteria. If the selected criteria exclude a Risk from the
filtered because it does not match the parameters selected, then its child Controls will not be displayed
even if some or all include matches for the criteria selected in the filter dialog.
When filter criteria are selected, the list of available filter options is automatically updated to show only
filter criteria that are available in the remaining records. This makes it easier to select multiple criteria
when filtering large numbers of Risks and Controls.

NOTE: If only Control criteria are selected as filter option, parent Risk will still
be displayed in the viewer if any of their child Controls match the filter
parameters selected.

When a filter option is selected, the Risks and Controls Viewer grid is automatically filtered to show only
records that match the selected criteria.
The Filter panel can be closed by pressing the filter button. When closed, any filter criteria selected in
the panel are still applied.
The selected criteria filter is displayed at the top of the Risks and Controls Viewer grid.
To clear filters, either click the red x button next to the filter criteria, or alternatively, reopen the filter
panel and either uncheck individual filter options or press Clear All.

NOTE: The options available in the filter will be determined by the


configuration options selected in TeamAdmin. If a property was hidden in
configuration, then it will not be displayed in the filter.

Text Filter
Risk Title and Control Title text fields. These filters will display a list of Risks or Controls and
Filters that include the search criteria in the Title field. Displays a list of all Risks and Controls
which include the search criteria.

Risks and Controls Filters


The following criteria can be used to filter Risk:

l Risk has controls: Shows Risks that have child controls.


l Risk has procedures: Shows Risks that are linked to Procedures.
l Control has procedures: Shows Controls that are linked to Procedures.
l Risk has issues: Shows Risks that are linked to Issues through Procedures.
l Control has issues: Shows Controls that are linked to Issues through Procedures.

Risk Properties filter options

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NOTE: If the user defined category fields have been hidden in
configuration they will not be displayed in the filter dialog.

l Risk Type: This option displays a filtered list of Risk by the Type category.
l Sub-Risk Category: This option displays a filtered list of Risk by the Sub-Risk category.
l COSO Rating: This option displays a filtered list of Risk by the COSO Rating category.
l SOX Risk: This option displays a filtered list of Risks by the user configurable checkbox on
the Properties tab.
l Affects Strategic Objective: This option displays a filtered list of Risks by the user con-
figurable checkbox on the Properties tab.
l Potential Cost of Risk: This option displays a filtered list of Risks by the values entered on
this property.
l Weight: This option displays a filtered list of Risks by the values entered on this property.

Control Properties filter options

NOTE: If the user defined category fields have been hidden in


configuration they will not be displayed in the filter dialog.

l Classification: This option displays a filtered list of Controls by the Classification category.
l Frequency: This option displays a filtered list of Controls by the Frequency category.
l Control Type: This option displays a filtered list of Controls by the Control Type category.
l Method: This option displays a filtered list of Controls by the Method category.
l Assertions: This option displays a filtered list of Controls by the Assertions category.
l Control Activity: This option displays a filtered list of Controls by the Control Activity cat-
egory.
l Control Test Types: This option displays a filtered list of Controls by the Control Test
Types category.
l Key Control: This option displays a filtered list of Risks by the user configurable checkbox
on the Properties tab.
l SOX Control: This option displays a filtered list of Risks by the user configurable checkbox
on the Properties tab.
l Control Cost: This option displays a filtered list of Risks by the values entered on this prop-
erty.

Work Programs
Work Programs are the heart of an TeamEWP project. Work Programs are a container for the
individual procedures, or tests, that need to be completed during the project. Depending on how your
organization uses TeamEWP, Work Programs could have been added to the project automatically on

TeamEWP User Guide 79


creation either from the template or because of linkages in TeamStore between Risks, Controls and
Work Programs.

Work Program Folder Hierarchy


l PG Folder: All Work Programs are created in the Browser under the PG folder. The PG folder is
by default called Program Groups but a different name may be used in your Organization. The
PG folder is the location in a project where all programs, administrative tasks and work papers
are saved.
l Program Group Folder: Sub-folders created under the PG folder are called Program Groups.
Think of Program Groups as areas or sub-sections of the project, for example, Project Admin-
istration, Finance, IT Systems, etc.
l Each Program Group folder can be given a name and is automatically assigned an identifying
index letter: A, B, C, D etc. The system will allow you to create up to 72 Program Group folders
(A – ZZZ).
l Work Program Folder: Sub-folders created under a Program Group folder are called Work Pro-
gram folders. Each Work Program folder has one Work Program. Think of Work Programs as a
way of dividing Program Groups into different areas or sections. For example, you might wish to
subdivide Project Administration into Planning and Wrap-Up.
l Each Work Program folder can be given a name and will be automatically assigned an identi-
fying alpha-numeric code based upon the parent Program Groups folder. For example Work Pro-
gram folders could be indexed as A.1, A.2., B.1, B.2 etc. The system will allow you to create up
to 99 folders in each Program Group (for example A.1 to A.99).
l The Work Program and all work papers linked to a Work Program will be automatically assigned
an Audit Reference Code (ARC) which links them back to their parent Work Program folder.
o Work Programs will be assigned the same code as the folder with a .PRG suffix.
o Work Papers will be assigned the same code as the folder with an additional numeric iden-
tifier A.1.1 for the first Work Paper, A.1.2 for the second Work Paper in the folder.
l Procedures: Each Work Program is divided into individual Procedures, these procedures are
the individual tests and tasks that need to be completed during the project. Think of a Procedure
as being a set of instructions and space for the auditor to describe the work carried out.

See "Fieldwork" on page 87 for more information.

Below is an example of the Work Program folder hierarchy shown in the Browser:

l Note that the PG folder is subdivided into six sub-folders A to F.


l Program Group folder C is further sub-divided into two Work Program folders C.1 and C.2.
l Work Program folder C.1 has a Work Program C.1.PRG and three linked Work Papers C.1.1,
C.1.2 and C.1.3.

From the Browser it is not possible to view the individual Procedures which make up Work Program
C.1.PRG. Double clicking on the Work Program will open the Work Program so the Procedures can be
viewed and edited.

TeamEWP User Guide 80


NOTE: Work Program folders cannot be moved or re-ordered within a Project
to preserve the integrity of the Audit Reference Codes used.

Considerations for Organizing Work Program Folders


It is recommended that the planned audit tasks be divided up and broken down into different Work
Programs. Sub-dividing you project in this way has several benefits:

l Replication: It makes it easier to assign individual sections of the project to different team mem-
bers. This is particularly beneficial when working in Replicas. This means you can easily create a
discrete replica for each team member containing only the Work Programs and work papers
they require, dramatically reducing the size of replica databases. This approach can also help to
minimize the requirement to have multiple team members working in the same section of the pro-
ject, which can cause replication conflicts.

See "Replication (Working in Teams)" on page 181 for more information.

l Concurrent Usage: Team members are less likely to experience situations where a colleague is
working in a section of the project, and therefore it is locked preventing them from making edits.
l Performance: Data is only loaded when a Work Program is opened. Although each Work Pro-
gram can have up to 9999 procedures including all Procedures in a single Work Program can
impact performance as TeamEWP has to load all the data when the Work Program is opened.
l We have also optimized the performance of several lookup queries for Procedures. This should
improve performance when searching large dataset for Procedures.

Get Work Programs


Work programs can be created in a number of ways by:

TeamEWP User Guide 81


l Creating Program Group and Work Program folders manually and adding programs and pro-
cedures,
l Importing programs and procedures from a TeamStore, or
l Using a template that contains Work Programs and Procedures.

To get programs from the TeamStore:

1. From the Planning ribbon (available in all views) or from the Browser Home ribbon click the Get
Programs, which will open the first step in the wizard.

2. Choose either the Get from current Centralized Database or Get From Offline or Other
TeamStore options.
3. If needed, select the TeamStore or connection file.
4. After the TeamStore opens, use checkboxes to select one or more Work Programs and/ or Pro-
cedures.

NOTE: You can view TeamStore content by clicking on plus sign next to
Cabinets and Folders prior to making your selection.

5. Click the Get button in the top left of the screen.


6. The next step in the Wizard allows you to determine how and where the Work Programs and Pro-
cedures will be copied into the project, either Batch (applying to all Work Programs and Pro-
cedures being copied) or Prompt (deciding individually) and which Advanced options are
required.

l Batch options:
o Specified folder below: All programs will be copied to the highlighted folder.

o Matching folders in the browser: TeamEWP will copy programs to matching folders if

they exist. If they do not exist new folders will be created.


o Newly created folders in the browser: New folders will be created and programs copied.

o Assign to: The team member who the Work Programs and Procedures should be

assigned to.
l Prompt options:
o As above but it is possible to change each of the above settings for each Work Program

folder from TeamStore which is included in the Get Process.


l Advanced options:

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o Skip Procedures already imported in a matching folder: This option will not add a Pro-
cedure to the project if it is already present in the Work Program folder specified during the
import process. This is enabled by default. If you want duplicate Procedures, deselect this
option.
o Add missing categories to this Project from the TeamStore: If the TeamStore Pro-
cedures have categories associated with them which do not exist in the project this option
will add these categories. This is disabled by default.
o Create separate copies of Work Papers which may be linked to multiple Procedures:
TeamStore can have Work Papers which are linked to multiple Procedures. If these Pro-
cedures are included in the Get process this option allows you to determine whether mul-
tiple copies of the workpaper will be created.

7. To complete the process, click Finish.

Adding Work Programs

To create a new Work Program:

1. In the Browser select the PG (Program) folder in the left hand navigation pane.
2. Go to the Home ribbon | New panel, and then click the Add Folder button.
3. Enter a name for the Program Group folder and the Work Program subfolder.
4. If desired, assign the folder to a team member. A new Work Program folder and Work Program
(.PRG) are created.
5. Additional Work Program folders and Work Programs can be created by selecting the required
Program Group folder and clicking the Add Folder button.

NOTE: When creating completely new Work Programs no Procedures are


created.

See "Fieldwork" on page 87 for more information.

Renaming Work Programs


Folders and Work Programs can only be renamed from the Browser. To rename Folders or Work
Programs simply select the item you wish to rename and from the Browser Home ribbon | New panel
press the Rename button. Alternatively you can use the F2 keyboard shortcut.

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TIP: By default when creating a new Work Program folder both the folder and
the Work Program will have the same name. If you wish to rename the folder
and the Work Program, they have to be renamed separately.

Deleting Work Programs


Folders and Work Programs can only be deleted from the Browser.

To delete a Work Program:

1. Select the Work Program folder in the left hand side of the screen.
2. From the Browser Home ribbon | New panel press the Delete button. Alternatively you can use
the keyboard Delete key. This will delete both the Work Program and the Work Program folder.

The following business rules apply when deleting Work Programs:

l A Program Groups folder cannot be deleted until all the Work Program sub-folders are deleted.
l The Work Program folder and Work Program cannot be deleted if it has any Work Papers,
Notes or Issues, these items must be deleted before the Work Program itself can be deleted.
l Cannot delete a Frozen Work Program.
l Cannot delete a Replicated Work Program.
l A Reviewed Work Program can only be deleted by a team member who has the same or higher
Role/Level as the last Reviewer.

See "Role and Level Hierarchy" on page 48 for more information.

Assigning Work
Automatic Assignment and Policies:

l There are two workflow policies that can be set to automatically assign procedures and work
papers to team members. For details, see the TeamMate Champions Guide.
l For procedures, if a Work Program has already been assigned to a team member, then any new
procedures added by Project Owner, Manager or Lead will also be assigned to the same team
member.
l Team members are automatically assigned to any new procedures they add.

TIP: Assignment policies will also affect who can edit a procedure or
workpaper once it is assigned. If your group is using Assignment Policies,
ensure that your TeamMate Champion has explained these to your group.

TeamEWP User Guide 84


Freezing Programs

After Work Programs and Procedures have been added you can chose to freeze them. This prevents
Work Programs and Procedures from being deleted or the Procedure instructions from being changed.
It is possible to Freeze all Work Programs in a Project or Freeze individual Work Programs.

To Freeze all Work Programs in a Project:


Go to the Planning ribbon | Planning panel and select Freeze Programs button.

NOTE: Freeze Programs is restricted to the Project Ownership team


(Manager, Lead, Owner).

To Freeze an individual Work Program:

1. From the Browser, select the Work Program you wish to Freeze.
2. On the Home ribbon | Edit panel select Protect.
3. Then select the Freeze check box and click OK.

NOTE: Freeze all Programs can only be done by a Project Owner, Project
Manager, or Project Lead.

NOTE: Only users with a Reviewer Only, Preparer / Reviewers or Project


Owner can freeze programs.

Freezing a Work Program changes the following:

l Frozen Work Programs will be identified with an icon in the Procedure Viewer and Editor.
l Prevents edits from being made to text and categories in the Procedures in the Work Program.
This is frozen because the tabs are used to document the work which the team has to carry out.
Freezing gives Audit Management assurance that the procedures approved during planning
have not been changed by the team.
l Prevents Procedures and Work Programs from being deleted.

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l Procedures added to an existing Work Program after it is frozen are designated with an icon
so that Audit management know that they were added after the test plan was approved and
frozen. The Added After Freeze icon is displayed until the Procedure is signed off as Reviewed.
l New Procedures added to a Project from the TeamStore are not designated with the Added
After Freeze icon but the documenting work tabs of the Procedure are frozen. This allows for
additional approved Procedures to be added from the TeamStore without having to un-freeze
the project.

NOTE: When opening a procedure that has been frozen, certain edits are
allowed such as work program title, work program assignment, work program
notes, work program scorecard rating, procedure assignment, and procedure
results section.

To Freeze all Work Programs in a Project:


Go to the Planning ribbon | Planning panel and select Freeze Programs button.

To un-Freeze selected work programs:

1. From the Browser select the Work Program you wish to Freeze or un-Freeze.
2. From the Home ribbon | Edit panel and select Protect
3. Then de-select the Freeze check box and click OK.

NOTE: Un-freeze can only be done by a user with the same or higher role /
level as the user who originally froze the Work Program.

See "Role and Level Hierarchy" on page 48 for more information.

Schedule Tickmarks
Schedule Tickmarks are similar to Global Tickmarks but different Tickmarks can be defined for each
schedule in the project. The Schedule Tickmark View allows you to see the definitions given to all
Schedule Tickmarks that have been created in the project.
See "Using Tickmarks" on page 122 for more information.

Import Project
For organizations which use 3rd party Enterprise Risk, Governance Risk Compliance or other planning
tools, Import Project is an option which allows XML data to be imported into the project.
See the XML File Specification Guide for more information. (Contact TeamMate Support for more
information.)

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NOTE: This is to prevent the creation of duplicate Issues and
Recommendations in TeamCentral Issue Tracking. Additionally, the import
does not support links between procedures.

Initialization

When Risks and Controls and Work Programs have been developed and the team is ready to start
documenting work in the TeamEWP Project, it is time to prepare the file for field work. The last
preparatory step to perform is Field Work Initialization.
Initialization is an indication that planning is complete, and prevents certain changes from being made.
Initializing a Project will enable edit history and sign-off workflow. After initialization, the following
actions are restricted:

l Deletion of team members (however, canceling is allowed).


l Deletion or editing of global tickmark definitions (new global tickmarks can still be added).
l Deletion of category entries that are in use.

To Initialize a project:

l Go to the Planning ribbon | Planning panel and select Initialize Project.

NOTE: You will also be prompted to initialize the project if you attempt to sign
off a work program, procedure, workpaper or issue while the project is still in
Planning status.

Fieldwork
Documenting the results of your work 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 audit findings can be
easily related back to the tests and evidence that was gathered.

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Survey Manager
The TeamEWP Survey Manager allows you to view and create surveys directly from your TeamEWP
Projects using the TeamMate web based survey tool. For detailed information on Survey setup
options, and working with surveys, see Audit Surveys in the TeamCentral User Guide.

The Survey Manager is accessible to all project team members in all project statuses to allow survey
data to be viewed. The Survey Manager lists all survey created previously which are linked to the
current project and includes the following information:

l Title: Title of the survey. The title is also a link which allows users to open the survey home page
where more detailed information about the survey can be viewed, including recipients, ques-
tions, and responses.
l Status: Status of the Survey. Surveys can be Created, Published or Closed.
o Created: The Survey has been created but no emails sent to recipients.
o Published: Emails have been sent to recipients.
o Closed: The survey has been closed and no additional responses can be submitted.
l End Date: End date of the survey. Final date for survey responses to be submitted. After this
date the survey will be closed automatically.
l Close Date: Date that the survey was closed.

NOTE: The Survey Manager can be accessed from either the Planning ribbon
or Wrap-up ribbon and is only enabled in Centralized TeamEWP projects. For
users working in distributed projects or replicas, the Survey Manager is not
available in TeamEWP but the web survey tool can still be accessed from the
TeamMate ribbon.

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Create Survey
The Survey Manager in TeamEWP allows users to create surveys directly in TeamEWP. These
surveys are based on Survey Templates which are created and maintained in the TeamCentral survey
tool.
The Create Survey button opens a simple 3 steps wizard which allows users to quickly and easily
publish surveys.

NOTE: The Create Survey option in TeamEWP is only enabled for members
of the Project Ownership team.

Step 1 – Select Template

l Template: Allows you to select from any of the Templates previously defined in TeamCentral

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NOTE: When the ‘Use Partitions’ policy is enabled the list of templates will be
filtered to those assigned to the partition for the project.

l Template Description: Any description associated with the Template will be displayed here.
This is informational only and is not included in the surveys which are published.
l Survey Title: Title for the survey, by default this will be the Project Name and Template name
but this can be changed manually. This is a required field.
l End Date: The final date for submission of survey responses, after this date the survey is
Closed. If the Template has a defined duration (e.g. 30 days, 60 days etc.) the End Date will be
auto calculated from the Template selected. This can be changed manually using the date picker
or by typing directly in the field. Cannot pre-date the creation date of the Survey. Not a required
field.
l Allow anonymous: Allows for the survey recipient to be able to take the survey anonymously.

Step 2 – Select Recipients

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l If the Survey Template selected in Step 1 included Contact Groups the contact checkboxes in
this step will be pre-selected and the list of contacts pre-populated. Otherwise the checkboxes
can be used to select groups of contacts from the Project based upon their association to the Pro-
file or with Recommendations.

l Project Primary Contact: Adds contact with role of Primary Contact defined in Profile | Contacts
tab as recipients for the survey.
l All Project Contacts: Adds all contacts which have been added to the Profile of a project via the
Profile | Contacts tab as recipients for the survey.
l Recommendation Owners: Adds all contacts who have been assigned the role of Recom-
mendation Owner for one or more recommendations as recipients for the survey.
l All Recommendation Contacts: Adds all contacts who have been associated with a recom-
mendation as recipients for the survey.
l Get: The Get button allows you to add Contacts as recipients from the TeamMate global data-
base even if they are not associated with the Project.

NOTE: If multiple Contact Groups are selected and a Contact belongs to more
than one group they will only receive one survey invitation.

TIP: Individual users can be removed as recipients for the survey if required by
deselecting the checkbox by their name.

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Step 3 – Summary

This screen displays a summary of all selections made in the previous two steps of the wizard. Pressing
Publish will create a survey and invitation emails will be sent to recipients.

NOTE: Depending on the number of recipients selected there may be a short


delay while emails are processed.

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Signoff Workflow
Changing a project to Fieldwork status initializes signoff workflow and edit history in the project. All
Schedules in TeamEWP, 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.

NOTE: TeamMate has a number of user configurable workflow policies that


can change the behavior of workflow states and signoffs in projects. For more
information on signoff workflow in your organization, refer to your TeamMate
Champion or Protocol document.

Workflow States
Icon Description
Not Started
Indicates that no edits have been made to a Schedule.
In Progress
Indicates that edits have been made to a Schedule.
All user roles except Read Only and Reviewer Only can edit a Schedule to change
the state to In Progress.
Prepared
Indicates that the Schedule has been signed off as Prepared. Each schedule can be
signed off multiple times. Prepared signoff will display only the initials of the last user
to signoff the schedule; however all preparer signoffs are retained in the signoff
history.
Users with a role of Preparer, Preparer / Review or Project Owner can use the
Prepared Signoff buttons.

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Icon Description
Reviewed
Indicates that the Schedule has been signed off as reviewed. Review signoff has up
to three distinct levels. This is designated by Review, Review Level 2 and Review
Level 3 icons. Subsequent reviewer sign-off after level is retained in signoff history.
Reviewed will be displayed when a Schedule is signed off as reviewed
Review Level 2 will be displayed when a Reviewed schedule is reviewed again by a
different user with Reviewer role.
Review Level 3 will be displayed when a Reviewed schedule is reviewed a 3rd time
by a different user than the previous review action with Reviewer role.
Users with a role of Reviewer Only, Preparer / Reviewer and Project Owner can use
the Review sign-off buttons.

NOTE: Signoff policies can be used to dictate that a


Schedule must be signed off as Prepared before it can be
signed off as Reviewed.

NOTE: Signoff policies can be used to dictate that a


Reviewer cannot be both the Preparer and Reviewer of the
same schedule.

Edited Since Review


If a Reviewed Schedule is edited by a user, other than the last Reviewer, it will
change the state to Edited Since Review. This makes the Reviewer aware that the
Schedule has been changed since their Review took place.

NOTE: By default the Schedule will remain Edited Since


Review until it is Reviewed again; however, using signoff
policies this can be changed so that a subsequent Prepared
signoff changes the state from Edit Since Review to
Prepared.

Added After Freeze


Procedures added to a Work Program after it is Frozen will be marked with the
Added After Freeze icon. This icon will remain until a Procedure has been signed off
as Reviewed.

Signoff Options
The following buttons are used in TeamEWP to allow users to signoff work or to view the edit history of
the Schedule. These buttons are available directly in various applicable views in TeamEWP. They can

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also be accessed from:

l Review ribbon | Review panel


l Home ribbon of applicable views

Option Description
Sign off ribbon button which activates the signoff dialog and displays
buttons shown below.

Preparer sign off.

Reviewer sign off.

Displays the initials and date of the last edit. Clicking on this button in the
Issue Viewer and Procedure Viewer will display Edit History for the
selected item.
View the Edit History for the selected item.

NOTE: By default, Edit History is deleted upon


Prepared or Reviewed Signoff; however, policies
can be set to retain this history.

TIP: TeamMate can prompt users to signoff whenever a Work Paper or Issue
is closed. To enable this feature, click the TeamEWP button and navigate to
Preferences | Reminders tab, and select ‘Display Signoff option when closing
Work Paper and Issue schedules.'

Right Click Signoff


We have added the ability to Signoff by right clicking on a link in the Ref Tab of the Procedure/Issue
viewer or editor. This will allow you to sign off on one way and two way hyperlink in a Procedure/Issue.

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Undo Signoff
Undo Signoff is also available in TeamEWP. To undo a signoff, simply right click with the mouse on the
signoff button.
The following rules determine if undo signoff is available:

l Undo signoff is only available to the last user which signed off the schedule.
l If you are the last preparer and the schedule has not been reviewed, you can unprepared.
l If you are a reviewer, you can unreview, but if you are the only reviewer, the schedule goes back
to Prepared.

Batch Signoff
If your organization allows batch signoff you can signoff multiple Work Papers at once using the Batch
signoff feature. It is not possible to use the batch signoff feature to signoff Work Programs or Issues.
To batch signoff Procedures see section in this user guide on Multi-edit.

To use batch signoff:

1. Open the Browser.


2. Select the Program Group Folder or Work Program with Work Papers to be signed off.
3. Click the Signoff button on the Review ribbon | Review panel.
4. Use the checkboxes to select and deselect the Work Papers you wish to signoff.
5. Select either Prepare or Review button to complete the batch signoff operation.

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This action will batch signoff selected items; however, other signoff policies may override this action if
signoff policies would otherwise prevent a user from signing off the Workpaper.

NOTE: The signoff policy ‘Allow batch signoff of work papers’ must be
enabled.

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Procedures
The Procedure form is used to in TeamEWP to record the detailed tasks which the team has to perform
to document the results of the work which has been carried out.
Procedures are a sub-set of the Work Program so typically a Work Program will contain all the
individual tasks relating to a section of the project.
See "Work Programs" on page 79 for more information.
For example, a General Accounting Work Program might have Procedures for Reconciling the
General Ledger, Reviewing Access to Accounting System etc.
In TeamEWP Procedures can be assigned to team members, and scorecards are available to support
balanced scorecard methodologies. They can be categorized to enable easy searches and reporting
and supported by full electronic sign-off workflow.

Procedure Viewer
The Procedure Viewer provides a detailed read only view of all Work Programs and Procedures in the
project. This view is useful for users who are managing the project and want an overview of the status
of all work in the project.
As it is easy to find Procedures in this view, using the Group By, Filter and full text search features it is
more efficient for auditors to use this view to find the Work Programs Procedures they are working on
than it is using the Browser view. Even though the Procedure Viewer is a read only screen, users can
still sign-off work, rate checklist Procedures, create Notes, Issues or even hyperlinks.

To open the Procedure Viewer:

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1. Click the Procedure Viewer button in the Go To bar at the bottom of the screen (across all
views).
2. Alternatively from the Go To ribbon | Summary Viewer panel click the Procedure Viewer button.

The ability to search and filter data quickly and easily is one of the great strengths of a database driven
tool and thought should be given to configuring user defined categories (pull down lists) to take
advantage of the Snapshot, Group By and Filter options.

Procedure Viewer Layout


The Procedure Viewer is divided into two sections:

l The left side of the screen is a grid which shows the current Work Program and all Procedures in
the Work Program.
l The right side of the screen is a detail panel which show data specific to the item selected in
upper grid. There are 3 detail panes:
o Work Program: The Work Program detail pane is displayed when a Work Program is selec-
ted in the grid. This typically includes details which are specific to the whole Work Program.
o Procedure Detail: The upper pane displayed when a Procedure is selected is the Procedure
detail pane. This is typically used to document the work which is required to be completed, the
instructions to the auditor.
o Procedure Results: The lower pane displayed when a Procedure is selected is the Pro-
cedure Results pane it is typically used to document the work which is carried out by the aud-
itor.

The benefit of this layout is that it allows the user to display the audit instructions in the upper-pane
while simultaneously documenting the results of the testing in the lower-pane, or display the overall
Work Program instructions alternatively.
The Procedure Viewer layout can be changed to optimize the level of detail displayed on screen
depending on the task being performed by the user. Three views are available:

l Split View: The default layout shows the grid on the left side of the screen and detail panels on
the right. This is useful when detailed information about the selected Work Program or Pro-
cedure is needed as well as summary information about other Work Programs and Procedures.
l Full Grid View: Hides the detail panes and shows only the grid. This view is useful for the Pro-
ject Ownership team to review progress and status of all Work Programs and Procedures but do
not need to see the detailed Procedure or Work Program information.
l Details Pane View: Hides the grid on the left hand side of the screen and displays only the detail
panes for the selected Procedure or Work Program. This view is useful when documenting
detailed test results and information about other Procedures and Work Programs is not required.

To switch between the three views, use the buttons on the top right side of the Procedure Viewer grid.

Procedure Viewer Grid


The listing grid displays the following information for Work Program:

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l Work Program icon: Indicates that the row on the grid is a Work Program.
l ARC: Audit Reference Code of the Work Program.
l Title: Name of the Work Program.
l State: Icon indicating workflow state of the Work Program.

See "Signoff Workflow" on page 93 for more information.

l Replicated icon: Indicates that the Work Program has been included on a Replica.

See "Replication (Working in Teams)" on page 181 for more information.

l Frozen icon: Indicates that the Work Program has been Frozen. See section on Freezing Pro-
grams for more information.
l Conflict icon: indicates that the Work Program has a replication conflict.
l Note icon: Indicates that a Note has been linked to the Work Program. Clicking on the icon will
open the Note editor to display the details. If multiple notes have been linked to the same Work
Program clicking on the icon will display a list allowing different Notes to be selected.

See "Notes" on page 169 for more information.

l Issue icon: Indicates that an Issue has been linked to the Work Program. Clicking on the icon
will open the Issue Editor to display the details. If multiple Issues have been linked to the same
Work Program clicking on the icon will display a list allowing different Issues to be selected.

See "Issues" on page 148 for more information.

l Prepared signoff button: Allows users to signoff the Work Program as Prepared.

See "Signoff" on page 108 for more information.

l Reviewed signoff button: Allows users to signoff the Work Program as Reviewed.

See "Signoff" on page 108 for more information.

l Edited button: Displays the date of last edit and initials of the user who made the edit. Clicking on
the button will display a full history of edits and signoffs for the Work Program.

The Procedure Viewer grid the following information for Procedures across all Perspectives.
Perspectives can be used to display additional data in the grid.

l Procedure icon: Indicates that the row on the grid is a Procedure.


l Title: Name of the Procedure.
l State: Icon indicating workflow state of the Work Program.

See "Signoff" on page 108 for more information.

l Note icon: Indicates that a Note has been linked to the Procedure. Clicking on the icon will open
the Note editor to display the details. If multiple notes have been linked to the same Procedure
clicking on the icon will display a list allowing different Notes to be selected.

See "Notes" on page 169 for more information.

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l Prepared signoff button: Allows users to signoff the Procedure as Prepared.

See "Signoff" on page 108 for more information.

l Reviewed signoff button: Allows users to signoff the Procedure as Reviewed.

See "Signoff" on page 108 for more information.

l Edited button: Displays the date of last edit and initials of the user who made the edit. Clicking on
the button will display a full history of edits and signoffs for the Procedure.

See "Procedure Editor" on page 108 for more information.

TIP: If you only want to see Work Programs in the Procedure Viewer listing
Procedures can be hidden by clicking on the triangle next to the ARC label.

Perspectives
Perspectives are available in the Procedure Viewer and are used to change the data that is displayed
in the listing grid for Procedures. It can be useful to change the Perspective displayed based on the
tasks you are performing. Three Perspectives are available in the Procedure Viewer and can be
selected in the from Home ribbon | Perspective panel.

Procedure Summary Perspective


This is the default perspective and displays the following information in addition to the basic information
listed above.

l Procedure Type: User defined category.

Procedure Checklist Perspective


This view is used when performing checklist type audits. In addition to the basic information listed
above it includes the following:

l Response: Options that allow the recording of a simple Yes, No or Not Applicable (N/A)
response for each Procedure.

See "About Terminology and the Checklist Perspective" in the AM Champions Guide for more
information.

Custom Perspective
This view displays the custom perspective created by users. Custom perspectives allow users to select
which columns are displayed in the grid.

To create a custom perspective:

1. Select the Full Grid View.

(See "Procedure Viewer Layout" on page 99 for more information.).

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2. With this view selected, a button with a wrench icon is available on the top right side of the Pro-
cedure grid. Click this icon to change the view to a backstage area.

The backstage displays a list of properties that can be displayed in the grid:

l ARC: Audit Reference Code of Work Program.


l Title: Title of Work Program or Procedure.
l Response: Procedure checklist Yes, No, N/A options.
l State: Signoff state of Procedure or Work Program.

See "Signoff Workflow" on page 93 for more information.

l Is Replicated: Is the Work Program and its child Procedures included in a Replica.

See "Replication (Working in Teams)" on page 181 for more information.

l Is Protected: Is the Work Program and its child Procedures Frozen.

See " Freezing Programs" on page 85 for more information.

l Has Conflict: Does the Work Program or any of its child Procedures have a replication con-
flict.

See "Replication (Working in Teams)" on page 181 for more information.

l Issues: Does the Work Program or Procedure have any Issues.


l Notes: Does the Work Program or Procedure have any Notes.
l Prepared: Allows users to Signoff Work Program or Procedure as Prepared.
l Reviewed: Allows users to Signoff Work Program or Procedure as Reviewed.
l Edited: Shows the User initials and Date of last edit to the Procedure or Work Program.
l Assign: Shows the initials and role icon of the user assigned to the Procedure or Work Pro-
gram.
l Type: Procedure Type category.
l Location: Procedure Location category.
l User Category : Procedure Category
l Frequency: Procedure Frequency category.
l Category 4: Procedure category 4.
l Category 5: Procedure category 5.
l Category 6: Procedure category 6.

NOTE: The labels for Category 4, 5, and 6 will be determined by the


configuration of your TeamEWP template.

See "Project Settings" on page 40 for more information.

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See "Appendix: Project Settings and Customization" on page 193 for more information.
Show and Hide Properties
To show a property in the Procedure Viewer Custom Perspective, either select the checkbox next to
the property name or select the desired Property and press the Show button.
To hide a property in the Procedure Viewer Custom Perspective, either select the uncheck checkbox
next to the property name or select the desired Property and press the Hide button.
The only properties that cannot be hidden are ARC and Title.

NOTE: If Properties are not available because of the configuration of your


TeamEWP Template, they are displayed in the backstage view but are not
selectable.

Reorder Properties
It is also possible to change the order that the properties are displayed in the Custom Perspective.
To change the order of columns, select a Property and press either Move Up or Move Down.
Properties at the top of the list are displayed on the left side of the grid, properties at the bottom of the
list are displayed on the right side of the grid.

NOTE: The ARC and Title have to be the left most column and cannot be
reordered.

To view changes, press the wrench icon in the top right side of the backstage view.

NOTE: You can revert back to the default column and order by pressing the
Reset to Default button.

Move Work Programs


Work Programs can be moved up or down in the Procedure Viewer list (re-ordered). When Work
Programs are re-ordered the order is saved to the database and used whenever the Procedure Viewer
or is opened. The order defined in the Procedure Viewer is also used when generating TeamEWP
reports which include Procedures.

To reorder Procedures:

1. Open the Procedure Viewer.


2. Select the desired Work Program.
3. Go to the Home ribbon | Edit panel and then click Move Up or Move Down buttons in the Home
ribbon.

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NOTE: Work Programs cannot be re-ordered when filter, Sort, or Group By
has been applied in the Procedure Viewer. To re-order, simply clear the
options above to display Work Programs in their natural order and then the
Move Up and Down options will be enabled.

Procedure Viewer: View Options


The Procedure Viewer allows you set the areas of the screen that are visible. This can be useful, for
example if reviewing a large amount of text in one tab and you do not wish to scroll.
If you select a Work Program in the grid, by default, the Detail pane on the right side of the screen will
expand displaying only the Work Program.
If you select a Procedure in the grid, by default, the Detail pane will show both Procedure Details panel
and the Procedure Results panel for the selected item and the Work Program panel will be collapsed;
however, the panels can be changed by clicking the Full Grid View, Split View, and Details Pane View
in the grid of the Procedure Viewer itself.

TIP: You can also change the height and width by dragging the tab splitter to
determine how much area is available for each window.

Export to Excel
The Export to Excel button in the Home ribbon | Tools section is enabled only when the Full Grid View
is selected.
The columns that are visible in the grid are exported to Excel.
The exported file will display Initials and Dates from the Prepared, Reviewed, and Edited columns in
two separate columns and an extra column named 'Object Type' will be added to allow filtering by
different items.

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Group By
The Group By option in the top left of the screen allows users to Group Work Programs in the list by any
of the following options:

l Work Program State: Not Started, In Progress, Prepared, Reviewed, Edited Since Review, etc.
l Assign: Resource assigned to the Work Program.
l Prepared by: User who signed off the Work Program as Prepared.
l Reviewed by: User who signed off the Work Program as Reviewed.
l Edited by: User who last edited the Work Program.

Filter
A comprehensive filter and text search function is available in the Procedure Viewer. The filter window
includes a number of powerful filtering options allowing you to select Work Program or Procedure
properties, or even text strings to display a list of items which match your selected criteria. The filter also
includes sort options which allow you to display the Work Programs and Procedures in a different
order.
Another powerful feature of the filter is that when generating an TeamEWP report which includes Work
Programs and Procedures from the Procedure Viewer, is that the report will by default include only
filtered items. In this way you can use the filter to quickly and easily select data to be included in the
report so that manual edits do not need to be made later outside of TeamEWP.

To access the Advanced Filter, Sort by and Text search options, either:

Click the Filter button in the grid.

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When selecting multiple criteria in the Filter, an implied AND condition is used so only records which
include all selected criteria will be displayed. If a mixture of Work Program and Procedure criteria in the
filter Work Program criteria are applied first, followed by Procedure criteria. If the selected criteria
exclude a Work Program from the filtered because it does not match the parameters selected then its
child Procedures will not be displayed even if some or all include matches for the Procedure criteria
selected in the filter dialog.
When a filter criteria is selected the list of available filter options is automatically updated to show only
filter criteria that are available in the remaining records. This makes it easier to select multiple criteria
when filtering large numbers of Procedures and Work Programs.

NOTE: If only Procedure criteria are selected as filter option, parent Work
Programs will still be displayed in the viewer if any of their child Procedures
match the filter parameters selected.

When a filter option is selected, the Procedure Viewer grid is automatically filtered to show only records
that match the selected criteria.
The Filter panel can be closed by pressing the filter button. When closed, any filter criteria selected in
the panel are still applied.
The selected criteria filter are displayed at the top of the Procedure Viewer grid.
To clear filters, either click the red x button next to the filter criteria, or alternatively, reopen the filter
panel and either uncheck individual filter options or press Clear All.
The following options are available in the Procedure Viewer filter by default.

NOTE: The options available in the filter will be determined by the


configuration options selected in your project. If a property was hidden in
configuration then it will not be displayed in the filter.

Text Filter
Program Title and Procedure Title text fields. These filters will display a list of Work Programs and
Filters that include the search criteria in the Title field. Displays a list of all Work Programs and
Procedures which include the search criteria. If multiple words are entered in the Text Filter, these are
searched as individual words joined by AND criteria. So, for example, a search for Fraud Risk would
include all records which include the words Fraud AND Risk not just sentences including ‘Fraud Risk’.
Work Program Filters
The following criteria can be used to filter Work Programs:

l Program Assigned: This option displays a filtered list of Work Programs by users assigned to
Work Programs.
l Program Prepared: This option displays a filtered list of Work Programs by the last user to
signoff a Work Program as Prepared.

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l Program Reviewed: This option displays a filtered list of Work Programs by the last user to
signoff a Work Program as Reviewed.
l Program Edited: This option displays a filtered list of Work Programs by the last user to edit a
Work Program.
l Program State: This option displays a filtered list of Work Programs by the Work Program state.
l Rating: This option displays a filtered list of Work Programs by Scorecard Rating.

See "Using Scorecards" on page 116 for more information.

l Program Has Refs: Shows Work Programs with or without hyperlinks.

Procedure Filters
The following criteria can be used to filter Procedures:

l Procedure Assigned: This option displays a filtered list of Procedures by users assigned to Pro-
cedures.
l Procedure Prepared: This option displays a filtered list of Procedures by the last user to signoff a
Procedure as Prepared.
l Procedure Reviewed: This option displays a filtered list of Procedures by the last user to signoff
a Procedure as Reviewed.
l Procedure Edited: This option displays a filtered list of Procedures by the last user to edit a Pro-
cedure.
l Procedure State: This option displays a filtered list of Procedures by the Procedure state.
l Procedure Has Refs: Shows Procedures that do not have any hyperlinks.

Procedure Properties filter options

NOTE: If the user defined category fields have been hidden in configuration
they will not be displayed in the filter dialog.

l Type: This option displays a filtered list of Procedures by the Type category.
l Response: This option displays a filtered list of Procedures by the checklist Response rating
selected for the Procedure.
l Properties: Location category field and five user defined category fields. If the user defined cat-
egory fields have been hidden in configuration they will not be displayed in the filter dialog.

Procedure Scorecard filter options

NOTE: If the scorecard has been disabled during configuration none of the
options below will be displayed. If individual category fields were hidden during
configuration they will not be displayed.

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l Rating: This option displays a filtered list of Procedures by the Scorecard rating selected for the
Procedure.
l Pass/Fail: This option displays a filtered list of Procedures by the user configurable Pass/Fail cat-
egory on the Scorecard tab.
l Retest Required: This option displays a filtered list of Procedures by the user configurable check-
box on the Scorecard tab.
l Test Results: This option displays a filtered list of Procedures by the Control Test Results cat-
egory on the Scorecard tab.

Work Program Sort


To sort data in the Procedure Viewer, simply click on any of the column headers. This will sort data
from high to low. Clicking on the column header again will sort from low to high. Clicking a third time will
clear the sort order and return records to their natural order.

NOTE: When sorting in the Procedure Viewer, the selected sort order is
applied first to the Work Programs and then child Procedures within the Work
Program.

Procedure Checklist
This view is used when performing checklist type audits which require simple Yes, No, Not Applicable
(N/A) responses for most tests. This Perspective is only enabled when the Response option is
enabled. With the Response option enabled in the Project and the checklist perspective selected each
Procedure will have radio buttons in the grid allowing a Yes, No, N/A response to be selected directly in
the Viewer. In addition to the radio buttons in the grid a combo in Procedure Results panel also displays
the Response value selected.
See "About Terminology and the Checklist Perspective" in the AM Champions Guide for more
information.

Signoff
Both Procedures and Work Programs can be signed off as either Prepared or Reviewed in the
Procedure Viewer using the buttons in the grid.
See "Signing Off Workpapers" on page 2 for more information.
In the Procedure Viewer it is important to note that Work Programs and Procedures are displayed in a
hierarchy with Procedures being children of a Work Program. Edits or signoffs made to a Procedure
will record an edit in the parent Work Program. It is important to note however that signoff of
Procedures and Work programs are independent of each other. So signoff of all Procedures does not
automatically signoff the parent Work Program, nor does signoff at the Work Program level signoff all
Procedures belonging to the Work Program.

Procedure Editor
The Procedure Editor allows users to view and edit all Procedures in an individual Work Program. This
view is used primarily by auditors who are responsible for carrying out fieldwork as they can view all

TeamEWP User Guide 108


procedures and instructions while documenting the work carried out.
The difference between the Viewer and the Editor is that in the Viewer users cannot edit Procedures.

To open the Procedure Editor:

l From the Procedure Viewer, locate the Work Program to edit and either double-click or click the
underlined blue ARC shortcut.
l From the Browser, navigate to the Work Program folder and double-click the Work Program to
open the Procedure Editor.

TIP: You can also open the Procedure Editor from the Search View, History
Bar or Snapshot.

The layout of the Procedure Editor follows the same format as the Procedure Viewer. The same
Perspective, View, Filter, Group By and Signoff options in the Procedure Viewer are available in the
Procedure Editor.
See "Procedure Viewer" on page 98 for more information.

Procedure Editor Business Rules


The following business rules apply to the Procedure Editor:

TeamEWP User Guide 109


l The Procedure Editor is read only when the project status is Post Fieldwork or higher, or Fin-
alized.
l The Procedure Editor is read only if the current user role is Read Only or Reviewer Only.
l A Procedure is read only if the workflow policy ‘Restrict Procedure Editing based on assignment
is enabled’ and the Procedure is assigned to a user with a higher Role / Level than the current
user.
l A Procedure is read only irrespective of user Role and Level if the workflow policy ‘Additionally
restrict editing to assignee is enabled’ and the Procedure is assigned to a different user.
l When a Work Program is frozen, the following sections of the Procedure Editor are read only:
o Work Program panel. The 3rd tab (default name Notes) and Scorecard remains editable to
allow users to record overall conclusions about the Work Program. The other tabs are read
only.
o Procedure Details panel is read only.
o Procedure Results panel is editable to allow users to record test results.

See " Freezing Programs" on page 85 for more information.

Work Program Detail


Work Program Detail is displayed when a Work Program is selected in the Procedure Editor detail
panel. The Work Program detail pane allows you to capture general information about the Work
Program. For example a General Accounting Work Program might contain a number of individual
Procedures each relating to verification of balance sheet accounts while the Work Program Summary
section allows you to provide an overview as to why or how you would verify balance sheet accounts.
The Work Program Summary screen by default has the following tabs available:

l Title: Text field. Typically this is the name of the Work Program.
l Assign: This is the resource assigned to the Work Program.

See "Assigning Work" on page 84 for more information.

l Overview: Text tab.


l Objective: Text tab.
l Notes: Text tab.
l Scorecard: See "Using Scorecards" on page 116 for more information.
l Refs: All hyperlinks created to cross-reference Work Programs will be displayed in this tab.

NOTE: The tabs are configurable so both the tabs and the labels used in your
organization may be different from the defaults listed here.

TeamEWP User Guide 110


NOTE: Each text field tab has an black arrow icon. When clicked, that will
change the display and show the selected tab in full view mode. This is useful
when documenting or reviewing large amounts of text.

Procedure Detail
Procedure Detail is the upper pane when a Procedure is selected in the Procedure Editor detail panel.
The Procedure Detail pane is typically used to record details of the testing that needs to be carried out
along with any guidance the auditor may need.
The Procedure Detail pane has the following fields available:

l Title: Text field. Typically this is the name of the Procedure.


l Type: Category pull down field typically used to classify different types of Procedure to easily fil-
ter and search data, for example Planning, Fieldwork or Wrap-up.
l Assign: This is the resource assigned to the Procedure.

See "Assigning Work" on page 84 for more information.

l Audit Step: Text field. Typically used for the detailed instructions that the auditor needs to follow.
l Guidance: Text field.
l Objective: Text field.
l Testing text 4: Text field.
l Testing text 5: Text field.
l Properties: Location category field and five user defined category fields. These are typically
used to classify the Procedure to easily filter and search data.

NOTE: These tabs are customizable so both the tabs and the labels used in
your organization may be different from the defaults shown here.

NOTE: Each text field tab has an black arrow icon. When clicked, that will
change the display and show the selected tab in full view mode. This is useful
when documenting or reviewing large amounts of text.

Procedure Results
Procedure Results is the lower pane when a Procedure is selected in the Procedure Editor detail
panel. The Procedure Results pane is typically used to record the results of the testing that needs to be
carried out along with any conclusions and notes.
The Procedure Results panel has the following tabs available by default:

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l Record of Work Done: Text field. Typically used for the auditor to record the detailed results of
the testing or work they carried out.
l Conclusion: Text field.
l Results Text 3: Text field.
l Results text 4: Text field.
l Scorecard: See "Using Scorecards" on page 116 for more information.
l Response: Category field which displays the results of a checklist test either Yes, No or Not
Applicable (N/A)
l Refs: All hyperlinks created to cross-reference Procedures will be displayed in this tab.

NOTE: These tabs are customizable so both the tabs and the labels used in
your organization may be different from the defaults shown here.

NOTE: Each text field tab has an black arrow icon. When clicked, that will
change the display and show the selected tab in full view mode. This is useful
when documenting or reviewing large amounts of text.

Adding Procedures
New Procedures can be created in TeamEWP or can be imported from the TeamStore.

To create new Procedure:

1. Open the Procedure Editor.


2. From the Home ribbon | New panel click the Add Procedure button. This will insert a new Pro-
cedure at the end of the list.

-OR-
From the Home ribbon | New panel click down arrow below Add Procedure, this displays an
Insert Procedure button this will Add a new Procedure in the current list above the one which is
currently highlighted.

Get Programs
You can bring in Procedures from the TeamStore into an existing Work Program using Get Programs.
By default when the Get Programs button is used in the Procedure Editor the wizard will by default
copy the selected Procedures into the current Work Program appending them to the end of the
Procedure list.
See "Get Work Programs" on page 81 for more information.

Copy Procedures
Existing procedures can be copied and pasted within a Work Program to a different Work Program or
even to a different project.

TeamEWP User Guide 112


To copy procedures:

1. Open the Procedure Editor.


2. Go to the Home ribbon | Edit panel Copy and click the Copy Procedures button.
3. A dialog is opened showing all Procedures in the current Work Program. Select those you wish
to copy using the checkboxes or by clicking on the Select All button.
4. Navigate to the destination Work Program.
5. Go to the Home ribbon | Edit panel and click the Paste Procedures button.
6. This will display a dialog which allows you to either:

l Append the pasted Procedures to the end of the Work Program Procedure list.
l Insert the pasted Procedures above the currently selected Procedure.
l Choose whether to Include Results fields. If left unchecked only the text in the Procedure
Details pane will be copied. The text in the Procedure results pane, will not be copied.

NOTE: Copied Procedures will never include sign-offs, edit history or


hyperlinks.

TIP: Procedures can be pasted into different Projects. This is an easy way to
copy Procedures from a prior year Project to the current Project where the
same tests need to be repeated.

Moving Procedures
Procedures can be moved up or down in the Procedure Viewer/Editor list (re-ordered). When
Procedures are re-ordered the order is saved to the database and used whenever the Procedure
Viewer or Editor is opened. The order defined in the Procedure Viewer/Editor is also used when
generating TeamEWP reports which include Procedures.

To reorder Procedures:

1. Open the Procedure Viewer/Editor.


2. Select the desired Procedure.
3. Go to the Home ribbon | Edit panel and then click Move Up or Move Down buttons in the Home
ribbon.

NOTE: Procedures cannot be re-ordered when filter, Sort or Group By has


been applied in the Procedure Editor. To re-order simply clear the options
above to display Procedures in their natural order and then the Move Up and
Down options will be enabled.

TeamEWP User Guide 113


Delete Procedures
To permanently delete a Procedure, open the Procedure Editor, select the desired Procedure in the
left hand list then and either use the Delete button in the Home ribbon | Edit panel.
The following business rules determine whether or not a user can delete a Procedure:

l A user is prevented from deleting if the Procedure is Reviewed and the last reviewer is a higher
Level / Role than the current user.
l If the Work Program is frozen none of the Procedures in the Work Program can be deleted
(except for Procedures added after freeze which can still be deleted).
l A user is prevented from deleting if the workflow policy ‘Restrict Procedure Editing based on
assignment is enabled’ and the Procedure is assigned to a user with a higher Role / Level than
the current user.
l A user is prevented from deleting completely irrespective of user Role and Level if the workflow
policy ‘Additionally restrict editing to assignee is enabled’ and the Procedure is assigned to a dif-
ferent user. In this instance the deletion could only be carried out by the assigned user or by chan-
ging the assignment so that the current user is assigned.
l A user is prevented from deleting a Procedure if there are any linked Issues or Notes. The Issues
or Notes must be deleted before the Procedure can be deleted.

Multi-Edit
Multi-edit can be used in the Procedure Editor to perform batch actions across some or all of the
Procedures in the Work Program. This is particularly useful for example if a large number Procedures
need to be reassigned to a different user or you wish to sign-off multiple Procedures as Prepared or
Reviewed.

TeamEWP User Guide 114


Multi-edit can be used to perform the following batch operations:

l Assign: Set the resource assigned to a Procedure.


l Change the category values for all Procedure category fields:
o Type
o Location
o All of the user configurable categories from the Procedure Details Properties tab.
o Signoff Procedure as Prepared.
o Signoff Procedure as Reviewed.

NOTE: This multi-edit dialog includes user configurable options so the labels
and options shown above may be different in your project.

To use multi-edit:

TeamEWP User Guide 115


1. Open the Procedure Editor.
2. Press the Multi-edit button on the Home ribbon | Edit panel.
3. A dialog is opened showing all Procedures in the current Work Program. Select those you wish
to copy using the checkboxes or by clicking on the Select All button.
4. Select whether to apply the batch action to All Procedures or only those selected in the Pro-
cedure Editor.
5. Select the options you wish to apply.
6. Click OK.

NOTE: Business rules which restrict editing and signoff also apply when using
Multi-edit to make batch changes. If your role or the Project Status does not
allow you to make changes then selections in the multi-edit dialog will not be
applied to Procedures in the Editor even if they were selected.

Using Scorecards
TeamEWP supports teams that use a balanced scorecard approach to rate Procedures, Work
Programs and Projects. In TeamEWP each Procedure has a scorecard tab, each Work Program has a
scorecard tab and the Project itself has a scorecard tab.
Scorecard ratings are user-defined from a pull down category. A typical example of scorecard rating
might be Pass, Fail, and Not Tested. Team members can use the scorecard rating pull down to score
each of the Procedures they test.
The Work Program Detail pane has a scorecard tab that includes an automatic calculation of the
number of Procedures in that Work Program that have been assigned each rating. The team can then
use these Procedure ratings as the basis for providing a scorecard rating for the overall Work Program,
using the same scorecard rating options.
The Project Profile | Summary tab has a scorecard tab that includes an automatic calculation of the
number of Work Programs in the Project that have been assigned each rating. This can then be used
by the team to determine an overall scorecard rating for the Project using the same scorecard rating.

NOTE: Scorecards are turned on by default in TeamEWP but for


organizations which do not wish to use the feature they can be turned off using
TeamEWP configuration policies.

The Procedure Scorecard tab has the following options available:

l Rating: User defined pull down category. This pull down category is the rating which rolls up to
the Work Program scorecard.
l Sample size: Numeric value. Typically used to record the sample size tested.
l Pass Fail: User defined pull down category.

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l Retest Required: Checkbox.
l Test Results: Radio buttons.

See "TeamCentral Risk and Control Dashboard" on page 117 for more information.

NOTE: The tabs are customizable so both the tabs and the labels used in your
organization may be different from the defaults shown.

To rate a Procedure:

1. Open the Procedure Editor and select the desired Procedure.


2. Click the Scorecard tab in the right hand Procedure Results panel.
3. Select the Rating for the Procedure.

To rate a Work Program:

1. Open the Procedure Editor and select the Program button (also known as Program ‘iceberg’)
button.
2. Click the Program iceberg to view the Program Details section.
3. Click the Scorecard tab. The tab summarizes of all of the ratings assigned to all Procedures in
the Work Program.
4. Select the Rating for the Work Program.

To rate the Project:

1. Open the Profile by selecting the Profile button on the Go-To ribbon | Summary viewer panel or
from the Planning ribbon | Management panel
2. Click the Summary tab.
3. Click the Scorecard tab. The tab summarizes of all of the ratings assigned to all Procedures in
the Work Program.
4. Select the Overall Rating for the project.

TeamCentral Risk and Control Dashboard


The Procedure Scorecard includes a non-configurable radio button ‘Test Results’ which has three
options: Pass, Fail, Not Tested. This option is available for TeamCentral users who wish to use Top 10
Risks and Tested Controls dashboards. Both these dashboards report on Risks and Controls tested in
TeamEWP and can provide a powerful overview of Enterprise Risks which can add value to the
Internal Function.

l Tested Controls Dashboard: Displays all Controls with a linked Procedure. Test status is based
on the Test Results field on the Scorecard tab of the Procedure. If a Control is linked to more
than one Procedure, the results are consolidated (hence the Partially Passed and Partially
Failed thermometers). This dashboard includes a Key Control filter. Key controls must be des-
ignated by using the Yes/No1 checkbox on the Control.

TeamEWP User Guide 117


l Top 10 Risks Dashboard: Displays the highest rated risks from TeamRisk. It also displays if any
Controls linked to the Risk were tested in TeamEWP, with test results and if any Issues were
linked to the procedure. The Test Results field in the TeamEWP Scorecard is used to determine
whether or not the Control was tested in TeamEWP and the calculation of test results.

Formatting
TeamEWP uses a text editor to provide a feature rich interface to allow documentation of work
completed in a manner that is ready for reporting. The TeamEWP text editor supports: hyperlinks, spell
checking, numbered and bulleted lists, tables and auto text. Default formatting options can defined in
TeamEWP Preferences.
Formatting of specific text can be changed from the format menu embedded in each text field. The
following features are available in the TeamEWP text editor:

l Clipboard panel for Cut, Copy, and Paste operations.


l Undo and Redo.
l Font panel for font settings.
l Paragraph panel for paragraph settings.
l Table panel for table settings.
l Tools panel for other ad-hoc editor options and formatting options.

In addition to using the format embedded editor toolbar, you can also change any of these options by
using the right-click context menu.

IMPORTANT: Only formatting options in the TeamEWP Preferences Editor


tab apply to all text fields. These options are Font Family, Font Size, Font Color
,and Right to Left Reading order. All other formatting options are per text field
and cannot be set by default.

Copy Paste HTML


TeamEWP supports Cut, Copy, and Paste operations both within a project, between different
TeamEWP projects or form external sources.
Features available in the Clipboard panel or from the clipboard right click context menu:

l Paste: Pastes contents of the clipboard. By default, it pastes as RTF. Clicking the down arrow
will launch a paste special dialog which includes an additional option which allows as plain text
and HTML.

TIP: When copying from external sources, it is recommended to paste as RTF.


Copying HTML from 3rd party sources such as web pages can result in
differences between the appearance of text in the source document or web
page and the data in the TeamEWP editor.

TeamEWP User Guide 118


l Cut: Cuts the current selection of text to clipboard and is ready to paste.
l Copy: Copies the current selection of text to clipboard and is ready to paste.

NOTE: Copying text in a TeamEWP Project that includes a TeamMate


hyperlink does not copy the hyperlink. When text is pasted, the TeamMate
hyperlink is not pasted.

IMPORTANT: Copy and Paste does not include images and cleans MS Word
and MS Excel HTML tags by stripping the source HTML.

Undo and Redo


l Undo: Reverts back the last edit operation.
l Redo: Reverts the last undo operation.

Font Styles
TeamEWP supports a wide range of common formatting options. The following features are available
in the embedded format toolbar or from the right click 'Font' context menu:

l Font family: Change font style to any available from operating system.
l Font size: Change font size. Note minimum font size 8pt.
l Bold: Change selection to Bold text.
l Italic: Change selection to Italic text.
l Background color: Set the background color for text.
l Text color: Set the font color for selection.
l Effects: Strike-through, superscript, and subscript.
l Underline: Multiple underline styles.

NOTE: If the font family, size and other options display blank or in Properties
dialog read ‘Not Set’ it indicates either the selection includes more than one
type of formatting, no formatting has been set, or that the HTML originated
form an external source and the TeamEWP Editor does not recognize the
HTML tags.

Text Search
Full text search in the current text field.

Paragraph Settings
TeamEWP supports a wide range of common paragraph formatting options. The following features
are available in the embedded format toolbar or from the right click 'Paragraph' context menu:

TeamEWP User Guide 119


l Bullet: Creates a bulleted list.
l Numbered list: Creates a numbered list.
l Multi-level list: Creates a list with multiple levels.
l Left align paragraph: Left aligns the current paragraph.
l Center align paragraph: Center aligns the current paragraph.
l Right align paragraph: Right aligns the current paragraph.
l Indentation: Allows the paragraph borders to be set for the left and right side of the editor includ-
ing the option to indent only the first line of paragraph.
l Spacing: Allows line spacing to be set.
l Tabs: Allows tab spacing to be defined.
l Paragraph background color: Allows background color to be set for the paragraph.
l Reading order: Allows the reading order to be changed from the default to Right to Left for lan-
guages like Arabic.

TIP: To indent text, use the keyboard tab key. This will indent text based upon
the Tab settings defined.

NOTE: If the Paragraph settings in Properties dialog read ‘Not Set’ or are
blank, it indicates either the selection includes more than one type of
formatting, no formatting has been set, or that the HTML originated form an
external source and the TeamEWP Editor does not recognize the HTML tags.

Tables
TeamEWP allows users to create basic tables to capture testing and summarize information. The table
options in TeamMate allow for a variety of tables to be created but should you require particularly
complex formatting it is recommended that you create your table externally in MS Word or Excel and
copy paste into TeamMate.
The following features are available in the embedded format toolbar or from the right click context
menu:

l Insert table: Inserts a new table (see below for detail of options available).
l Select table: Selects table and allows properties to be edited.
l Insert Row: Insert row above or below current selection.
l Insert Column: Insert column to the left or right of the current selection.
l Column Width: Increase or decrease the width of columns by selecting with mouse and using
left click to drag and resize.
l Delete: Delete currently selected table, row or column.

Table properties:

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l Table options tab:
o Table size
o Table width in pixels or percentage
o Table height in pixels or percentage
o Table background color
o Table alignment, center, left or right
o Cell padding
o Cell spacing
l Border options tab (table selected):
o Show border (all or none)
o Border color
l Border options tab (cell selected):
o Cell border style
o Cell border color
o Cell border width
l Cell options tab:
o Background color
o Wrap text
o Text vertical alignment. Top, Centre and Bottom.

NOTE: The table properties dialog is context sensitive so different options will
be displayed and / or enabled depending upon the current selection.

NOTE: Nested tables (inserting a table within a table) are not supported in the
TeamMate Text Editor. Including nested tables in HTML may cause issues
rendering HTML, particularly in TeamCentral reports.

TIP: To change table options easily, use the table select button before
selecting table properties.

AutoText
TeamEWP includes an AutoText editor which allows you to create and insert standard wording, a user
name, or timestamps into any text field. AutoText entries are defined and inserted from the AutoText
manager. The manager can save up to 20 personalized auto-text phrases as well as including your
own personal text signature (user name/initials and/or date).

TeamEWP User Guide 121


l To open the AutoText manager go to the embedded toolbar and select the AutoText button.
l To insert AutoText select the option desired, a preview of the AutoText will be displayed in the
Preview pane.
l Press the Insert button to add the AutoText entry in the current text tab.

Text Direction
Allows text direction to be changed from Left-to-Right to Right-to-Left.

Using Tickmarks
Schedule Tickmarks and Global Tickmarks can be inserted into integrated Work Paper types (MS
Excel, MS Word and via TeamImage in scanned documents and Adobe .pdf documents).
Global Tickmarks are defined and used project wide but additionally TeamMate allows users to define
different Tickmarks for each Schedule in the project. As the name implies, a Schedule Tickmark will
only exist in the Schedule for which it was created, and the definition only applies to the Schedule in
which it is used. The Schedule Tickmark view allows you to view the definitions given to all Schedule
Tickmarks that have been created in the project.
See "Global Tickmarks" on page 63 for more information.
See "Schedule Tickmarks" on page 86 for more information.

NOTE: Schedule tickmarks differ from global tickmarks, which apply across all
projects and are maintained by the TeamMate Champion.

NOTE: Greek alphabet characters denote Schedule Tickmarks, whereas


Global Tickmarks are abstract graphical symbols.

Inserting Tickmarks

To insert tickmarks:

1. Place your cursor where the tickmark is to be added.


2. Select the Tickmark Palette on the TeamMate ribbon.
3. Select the tickmarks needed, and then click Put.

TIP: More than one tickmark can be inserted at a time by selecting multiple
tickmarks in the palette.

Creating Schedule Tickmarks


If a suitable tickmark has not been defined globally, you can create specific schedule tickmarks.

To create a schedule tickmark:

TeamEWP User Guide 122


1. Select the Tickmark Palette on the TeamMate ribbon.
2. Click New.
3. Type a Description.
4. Click OK.

Deleting Tickmarks

To delete tickmarks from a text tab or workpaper :

1. Select the Tickmark icon


2. Press Delete on the keyboard.

NOTE: Deleting a tickmark does not delete it from the Global or Schedule
tickmark lists it simply removes it from the text field or workpaper.

TeamEWP User Guide 123


Work Papers
Work Papers are in TeamEWP are defined as being any electronic file that is added to a project. Work
Papers are typically added as supporting evidence that procedures were completed or as support for
findings and recommendations.
Work Papers are also used in TeamEWP in circumstances where it is not efficient to document the
results of your work on the procedure. For instance, you may wish to include a process diagram
created in MS Visio or a detailed analysis of numbers where the functionality of a MS Excel
spreadsheet is required.
When a Work Paper is added to TeamEWP a copy of original document is created and added to the
TeamMate database. The document is compressed and encrypted to ensure that non-Project
members cannot open the file even if they are able to access the Work Paper (in cases where Work
Papers are stored outside the database).
Finally the documents are automatically indexed with an Audit Reference Code (ARC) and cross
referenced back to the Work Program where they were are created.
Any kind of electronic files can be added to a project but TeamMate offers advanced integration with
MS Word and MS Excel giving you access to TeamEWP functionality like Hyperlinks, Issues, Notes
and Tickmarks while working in a Word document or Excel spreadsheet.
For audit teams who scan hard copy documents or who work extensively with Adobe PDF files,
TeamEWP includes TeamImage which allows users to take advantage of the same deep TeamMate
integration while working in scanned documents or PDF files.

Work Paper Compression and Size Limits


When adding Work Papers, TeamEWP uses compression technology to attempt to compress files to
save disc space. The Work Paper compression rate varies, depending on many factors. The typical
compressed size of a file may be approximately 50%-70% of the original size, meaning the size savings
would typically be 30%-50%.
There is no system imposed limitation on file size for Work Papers although Policies can be used to
control the size of Work Papers that are permitted. In addition, the type of database platform used by
your organization and server space may restrict you from adding very large Work Papers. For
example, an MS Access database has a 4 gigabyte size limit.

To limit Work Paper size, perform the following as Project Owner or TeamEWP Administrator:

1. Open any TeamEWP project.


2. On the Planning ribbon, select Settings.
3. Go to Policies.
4. At the bottom of the dialog, you can change the size settings for:

l Work Papers added to a project.


l Work Papers added to a replica.

5. Click OK.

TeamEWP User Guide 124


NOTE: The separate setting for replica Work Papers is to ensure that
replication processes complete in a reasonable time frame. If you experience
frequent timeouts on replicas and you notice large Work Papers, decreasing
this size restriction may be of benefit.

Work Paper Encryption


TeamEWP automatically encrypts all Work Papers to AES256 encryption standards.

Adding Work Papers


You can create a workpaper in the Browser, in a Procedure or another workpaper. It is best practice to
add the workpaper directly in the Procedure. If your cursor is in a text field, a hyperlink to the new
workpaper will automatically be inserted within the text field; however, you can also create a workpaper
directly in the ‘Refs’ tab.

To add a new workpaper:

1. Select a Work Program, Procedure or workpaper.


2. Click the Add Workpaper button from the Home ribbon | New panel.
3. This opens the Add Workpaper which includes several different options: Standard Template,
Custom Template, Import from File, Get from TeamStore or Copy from Project. All options are
explained below.

TeamEWP User Guide 125


Standard Templates
The Standard Templates tab allows you to add blank documents without any additional text as a Work
Paper directly in the project. This is useful for example where you need a spreadsheet to perform
calculations as part of a Procedure. The document types available will depend upon the applications
you have installed on your PC.

To use a standard workpaper template:

1. Select the Standard Templates tab.


2. Choose the document type that you wish to add.
3. Add an optional title.
4. Assign to a team member, if required.
5. Select Add or Open.

NOTE: We have added back Visio Templates to the Standard Workpaper


options.

Custom Templates
Custom templates are Work Papers with predefined content. Most departments now include these
within the TeamStore.

To use a custom workpaper template:

1. Select the Custom Templates tab.


2. Select the template required (if no templates are displayed you can use the Browse button to loc-
ate them).
3. Add an optional title.
4. Assign to a team member, if required.
5. Click Add or Open.

Import from File


Import from file is useful when you have been given a workpaper by third parties or the auditee during
the project. This option allows you to browse for those files and add them to your project in the same
way that you would if you were adding an attachment to an email.

To import a workpaper from a file:

1. Select the Import from File tab.


2. Use the Browse button to search your PC or network for the required document.
3. Add an optional title.
4. Assign to a team member if required.
5. Click Add or Open.

TeamEWP User Guide 126


TIP: When importing an HTML document, a new message is displayed asking
the user if the document being imported is a web page. It is recommended to
first save these as a .MHT file (HTML archive format) which includes all sub-
directories necessary to open a web page.

Get from TeamStore


It is also possible to Get Work Papers from the TeamStore. Many organizations use the TeamStore as
a repository for standard templates that are used repeatedly across many different projects, for
example, a spreadsheet for performing journal reconciliation.

To Get work papers from TeamStore:

1. Select the Import from File tab.


2. Browse to your required TeamStore or connection file.
3. Click Get.
4. Expand the cabinets and folders to view the Work Papers.
5. Select one or more work papers.
6. Click Get.
7. Add an optional title.
8. Assign to a team member if required.
9. Click Add.

Copy from Project


If a workpaper already exists within your project you can create a new copy.

To copy from a project:

1. Select the Copy from Project tab.


2. Browse to the required document.
3. Select the document.
4. Add an optional title.
5. Assign to a team member if required.
6. Click Add or Open.

Drag and Drop Add Work Papers


In addition to using the Add Workpaper dialog, it is possible to add files by dragging them directly from
your PC (i.e. desktop) using the mouse and dropping them into the Browser Program Group folder or
directly into a Procedure text field. This is particularly useful if Microsoft Outlook is used, as emails can
also be dragged directly from Outlook into your project and will be automatically referenced as a
supporting workpaper.

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TIP: If multiple documents are selected, they will be dropped in the same
folder.

TIP: After adding work papers to the Browser using drag & drop you can
quickly cross-reference to them from a Procedure by using the Link to ARC
option.

Other Work Paper Options

Freezing Work Papers


Work Papers can be frozen in the same way that Work Programs or Procedures can be frozen. A
frozen Work Paper opens in read only mode for all users.

To protect a Work Paper:

1. Open the Browser.


2. Select the required Work Paper.
3. From the Home ribbon | Edit panel or from the right click context menu select Protect.
4. From the Protect dialog select the Freeze checkbox.
5. Click OK.

To un-freeze a Work Paper follow the steps above and deselect the Freeze checkbox.
The following business rules apply to freezing Work Papers:

l To unfreeze a Work Paper a user must be the same Role / Level or higher than the user who
froze the Work Paper.
l A frozen Work Paper cannot be edited or deleted.

Confidential Work Papers


Work Papers can be marked as confidential. A confidential Workpaper can only be opened or edited by
a user who is the same or higher role than the user who marked it as confidential. This allows teams to
include Work Papers in TeamEWP even though not all team members are allowed to view them. This
can be useful if carrying out an HR audit or fraud investigation.

To mark a workpaper as confidential:

1. Open the Browser.


2. Select the Workpaper.
3. From the Home ribbon | Edit panel or from the right click context menu select Protect.
4. From the Protect dialog select the Confidential checkbox.
5. Click OK.

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To un-freeze a workpaper follow the steps above and deselect the Confidential checkbox.
The following business rules apply to confidential Work Papers:

l Only users with a Reviewer Only, Preparer / Reviewers or Project Owner can freeze a work-
paper.
l To unfreeze a Work Paper a user must be the same Role / Level or higher than the user who
froze the Work Paper.
l A frozen Work Paper cannot be edited or deleted.

NOTE: A Work Paper can be Frozen or marked as Confidential but not both.

NOTE: Unlike Work Programs any user role apart from Read Only can Freeze
or mark Work Papers as Confidential.

Replacing Work Papers


If you have a Work Paper in your project which needs to be substituted with a different one, this can be
done using Replace Work Paper. This is useful, for example, if you have exported a Work Paper from
your project to be edited or updated by your non-TeamMate user, you can import the updated Work
Paper replacing the existing one.
Work Papers can only be replaced by another Work Paper of the same type (e.g. a Word document
with another Word document), even when replacing Work Papers of the same type this feature should
be used with caution. Replacing a Work Paper will also replace any hyperlinks to Procedures, Issues,
etc. as well as tickmarks you may have previously added to the Work Paper.

To replace a workpaper:

1. Open the Browser and select the Work Paper to be replaced.


2. From the Home panel | Edit ribbon or from the right-click context menu select Replace Work
Paper button.
3. Click Yes, in response to the message, and then browse to and select your new workpaper.
4. Click Open.

The following business rules are applicable when replacing Work Papers:

l A user is prevented from replacing a Work Paper if the Work Paper is Reviewed and the last
Reviewer is a higher Level / Role than the current user.
l If the Work Paper is frozen or confidential.
l A user is prevented from replacing a Work Paper if the workflow policy ‘Restrict Work Paper Edit-
ing based on assignment is enabled’ and the Work Paper is assigned to a user with a higher
Role / Level than the current user.
l A user is prevented from replacing a Work Paper completely irrespective of user Role and Level
if the workflow policy ‘Additionally restrict editing to assignee is enabled’ and the Work Paper is

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assigned to a different user. In this instance the replacement could only be carried out by the
assigned user or by changing the assignment so that the current user is assigned.

NOTE: The new Work Paper must be of the same file type as the replaced
Work Paper so a MS Word 2007 document (.docx) cannot be replaced by a
MS Word 2003 document (.doc).

NOTE: When importing an existing workpaper into your TeamEWP project,


the Work Paper is copied at that point in time and included in the project.
Subsequent updates to the Work Paper outside of TeamEWP will NOT update
the contents of the Work Paper in the TeamEWP project. From the time the
Work Paper is copied into TeamEWP, they become two separate Work
Papers.

Editing Workpapers
All Workpaper editing takes place in the native application associated with the Workpaper type. For
example an MS Word Workpaper will open with and be edited in MS Word. A Visio diagram will open
with and be edited in MS Visio. For a user to be able to open and edit a workpaper, they must have the
correct application installed on their PC. When working in workpaper, the Project Code and ARC will
be displayed in the title bar of the application.

NOTE: It is not necessary to have the native application installed in order to be


able to add Work Papers, only to open and edit them.

To open and edit an existing workpaper:

1. Click the ARC or the hyperlink to open the workpaper.


2. Make your changes in the workpaper.
3. Close the workpaper when finished.

NOTE: Closing any workpaper in TeamEWP automatically encrypts,


compresses (zips) and saves the changes within the project.

Read Only Work Papers


Work Papers in TeamEWP can be read only for a number of different reasons, the Project itself may be
read only, the current user may have a read only role, the workpaper itself may be read only or a user
could optionally decide to open a work papers as a read only document (for example when a
workpaper is reviewed an option is given to open it in read only mode to prevent inadvertent edits from
being made). In all cases when a workpaper is opened in read only mode it will be opened as a read
only document in the file system and changes cannot be saved to the TeamMate database.
The following changes will apply if a workpaper is opened in read only mode:

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l In addition to the ARC and Project Code the text [Read Only] will be displayed in the document
title bar.
l Editing will not be restricted in the native application any changes that are made will not be saved
to the project.
l Any edits made to a read only workpaper will be discarded when the workpaper is closed.
l When closing an edited read only workpaper users will be given an option to save a copy of the
document outside the TeamMate database.

Delete Workpaper
To delete a workpaper, open the Browser, and select the desired Workpaper and either use the Delete
button in the Home ribbon | Edit panel or from the right click context menu.

NOTE: If the Customization Policy "Use Workpaper Recycle Bin in the


centralized database" is turned ON, the deleted workpaper can be recovered
from the Recycle Bin, otherwise deleting a workpaper will permanently delete it
from the Project.

See "TeamEWP Workpaper Recycle Bin" on page 200 for more information.
The following rules determine whether or not a user can delete a workpaper:

l A user is prevented from deleting if the workpaper is Reviewed and the last Reviewer is a higher
Level/Role than the current user.
l If the workpaper is frozen or confidential it cannot be deleted.
l A user is prevented from deleting if the workflow policy ‘Restrict Workpaper Editing based on
assignment is enabled’ and the workpaper is assigned to a user with a higher Role/Level than
the current user.
l A user is prevented from deleting completely irrespective of user Role and Level if the workflow
policy ‘Additionally restrict editing to assignee is enabled’ and the workpaper is assigned to a dif-
ferent user. In this instance the deletion could only be carried out by the assigned user or by chan-
ging the assignment so that the current user is assigned.
l A user is prevented from deleting a workpaper if there are any linked Issues or Notes. The
Issues or Notes must be deleted before the workpaper can be deleted.

NOTE: Unless the workpaper deleted was the last one added to the Work
Program when it is deleted, its Audit Reference Code (ARC) will not be
reused. This can leave a ‘gap’ in Work Program ARC’s. This gap is a control so
that team members can tell if a workpaper has been deleted. If the workpaper
is the last one to be added in the Work Program, the ARC will be reused.

Exporting Workpapers
Work Papers included in TeamEWP projects can easily be exported so that they can be accessed
outside of TeamEWP. In fact, because TeamEWP automatically encrypts all project Work Papers, this

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is the only way to save an unencrypted version of the document outside of TeamEWP.

To export a Work Paper:

1. Open the Browser and select the desired Work Paper.


2. From the Home ribbon | Edit menu or from the right click context menu Select Export Work
Paper.
3. Save the Work Paper to any available location.
4. When the exporting work paper process starts the mouse pointer changes to "Busy".
5. When the exporting process ends the following message is displayed: "Work paper(s) suc-
cessfully exported".

NOTE: All users, including Read Only can export Work Papers from a Project.
To restrict Read Only users from exporting Work Papers they should be
assigned Restricted Read Only status.

TIP: Excel Work Papers can include the ARC and Project Name in the
document footer.

To use custom footers in Excel:

1. Open the Work Paper in Excel.


2. Select Page Layout.
3. Select Print Titles. The Page Setup window opens.
4. Select Header/Footer, and then select Custom Footer.
5. Include the ARC and Project File name:

l Click the Center section box.


l Click the Insert Filename icon.

6. Click OK, and then Save your changes.

The custom footer will be included in at the bottom of all pages printed from the file.

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Orphaned Work Papers
Orphaned work papers are work papers that are not tied to a procedure.

To identify work papers not tied to a procedure:

1. Click the Signoff Status icon on the Navigation Toolbar. This will launch the Signoff Status
Viewer.
2. Use the options at the bottom to filter on work papers with vitals of Without References.

Microsoft Word and Excel Integration


Although TeamEWP Work Papers can be from any 3rd party electronic application enhanced
TeamEWP functionality is available with Microsoft Word, and Microsoft Excel files.
The benefit of having deep integration with these Work Paper types is that you can utilize TeamEWP
functionality while working in the native, or original, application. The functionality in MS Word and MS
Excel is accessed from the TeamMate ribbon. This additional ribbon is available in Word and Excel
when you are working in a Word or Excel workpaper. When working in Word or Excel documents
which are not part of the TeamMate database this ribbon will not be displayed.

TeamMate Ribbon in Microsoft Office

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The following functionality is available from the TeamMate ribbon in Word and Excel Work Papers:

l Cancel: Closes the current document without saving any changes.

TIP: Some actions in Microsoft Word and Excel can record an edit when no
changes have been made. To avoid unwanted changes to the workpaper
signoff state Cancel can be used to close the workpaper without an edit being
added to the TeamMate edit history.

l Add Work Paper: Adds a new Work Paper.

See "Adding Work Papers" on page 125 for more information.

TIP: This option allows you to add an additional workpaper when working in a
workpaper. For example if you need an Excel spreadsheet to perform
calculations while working with source data in a Word or TeamImage Work
Paper. The newly added Work Paper will always be added to the same
Program Group folder as the Work Paper you are currently working in.

l Add Issue: Add a new Issue.

See "Issues" on page 148 for more information.

l Notes: Allows you to Add or View Notes. The default action is to view all Notes linked to the cur-
rent Work Paper, the arrow below the main button allows you to select either Add Note or View
Notes.

See "Notes" on page 169 for more information.

l Tickmarks: Inserts tickmarks and allows Schedule tickmarks to be defined.

See "Using Tickmarks" on page 122 for more information.

l Signoff: Opens signoff dialog. Allows users to signoff the current Schedule.

See "Signoff Workflow" on page 93 for more information.

l Copy Hyperlink: Marks the current selection in the document to start the hyperlinking process.

See " Hyperlinks and Bookmarks" on page 159 for more information.

l Paste Hyperlink: Completes the hyperlinking process by creating a 1-way link at the point cur-
rently selected in the workpaper.

See " Hyperlinks and Bookmarks" on page 159 for more information.

l Paste as 2-way Hyperlink: Completes the hyperlinking process by creating a 2-way link at the
point currently selected in the workpaper.

See " Hyperlinks and Bookmarks" on page 159 for more information.

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l Bookmark: Creates a bookmark.

See " Hyperlinks and Bookmarks" on page 159 for more information.

l Edit Hyperlink: When a hyperlink is selected, this option opens a dialog to allow a custom hyper-
link label to be defined.

See "Hyperlink Labels" on page 160 for more information.

l Delete Hyperlink: Deletes the currently selected hyperlink from the workpaper and from the
database. If the link is a 2-way link, this action will delete the hyperlink in both locations.

You may also delete a Hyperlink from the Ref Tab of either the Procedure or Issues viewer or
editor. By right clicking the hyperlink in the Ref tab, you will see an enable drop-down that allows
you to delete the link.

NOTE: Deleting a hyperlink by selecting the label and using the backspace or
delete key will only remove the label from the workpaper it will not delete it from
the database.

TIP: To select a hyperlink for deletion with the mouse right-click the hyperlink
label.

l Refresh Hyperlinks: By default, when a document is opened, hyperlinks will be loaded from the
database with current information about workflow state and schedule titles. The reload button
forces a manual refresh of hyperlinks updating the workflow state and schedule titles. This is typ-
ically used in the case where a document has a very large numbers of hyperlinks (several hun-
dred or more) that can cause performance issues when the document is opened and a registry
setting can be used to prevent hyperlinks from loading on open (contact the TeamMate Help-
desk for more information). When this setting is used, the reload button allows users to update
the hyperlinks in the document.

l Go To: Opens the Go-To dialog.

See "Go-To" on page 37 for more information.

TIP: All functions available on the TeamMate ribbon can be added to the Quick
Access Toolbar in Word or Excel so they are available easily without having to
change ribbons. Note if TeamMate functions are added to the Quick Access
Toolbar in Office they will be displayed in all documents, both TeamMate work
papers and non-TeamMate documents.

Office 2016 features:

l Microsoft Office 2016 is fully complaint with Version 12.2.


l Added a Custom Task pane per document when using Excel with Office 2016.

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l Enable the Save As function in Excel 2016 for work papers that are in a read-only state. This
allows the user to make changes and save these changes externally to TeamEWP.

File Save As in Word and Excel Work Papers


When working in Word and Excel work papers all options native options in Word or Excel to save a
copy of the document are restricted. This is to prevent users from saving a copy of the document
outside the database where any changes made will not be saved in the TeamEWP Project.
If a copy of the workpaper is required, it is recommended that a copy is created using the Add
Workpaper | Copy from Project option.
The following options in Word and Excel work papers are disabled:

l File save as (all options)


l Send
l Publish

Read Only Word and Excel Work Papers


Read only Word or Excel work papers follow the same business rules described in the section for Read
Only work papers. Additionally in read only Word or Excel work papers a task pane is displayed in
Microsoft Office to alert users to the fact they are working in a read only document.

Dead Connection in Word and Excel Workpapers


When working in Word or Excel work papers if the connection to the database is lost a task pane will be
displayed in the workpaper to alert users that they are disconnected and that their edits will not be
saved.
Working in a disconnected workpaper the following changes apply:

l TeamMate Ribbon: The TeamMate ribbon will be disabled to prevent users from attempting to
use functionality which would require a connection to the TeamMate database
l Disconnected Task Pane: A task pane on the right is displayed advising them that the work-
paper is disconnected
l Reconnect: If a connection to the TeamMate database can be restored it is possible to recon-
nect to the database using the Reconnect button on the disconnected task pane. Selecting this
option will attempt to reconnect to the database, if successful the task pane will be closed auto-
matically and the TeamMate ribbon re-enabled. If unsuccessful the user will be advised.
l Avoiding Loss of Work When Disconnected: To avoid possible loss of work when work papers
are disconnected from the database the File Save As options in Word and Excel are enabled to
allow users to save any changes that they have made outside of the TeamMate database.

TIP: If a workpaper has been saved outside of TeamMate because loss of


connection occurred this can be added back into the project when connectivity
has been restored either by using Replace Workpaper or by copy pasting.

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NOTE: When working in multiple projects in more than one database (for
example a project in a centralized database and distributed replica project) it is
possible to have a loss of connection to one database but not to the other
database(s). In this case if a loss of connectivity is detected in one database all
work papers from all databases are treated as disconnected.

Supported File Types


Documents with the following file extensions will have the TeamMate ribbon available if the document
is added to a TeamEWP Project.

l DOCX
l DOCM
l DOTX
l DOTM
l XLSX
l XLSM
l XLTX
l XLTM

NOTE: Office documents can include functionality (for example Macros) that
interfere with the correct operation of the Add-ins which allow integration
between TeamMate and the Office document. Also certain types of
functionality available in Word or Excel may not work correctly when a
document is added to the TeamMate database for example if a document has a
link to an external file the link may not be able to resolve correctly.

Integration with PDF and Scanned Documents


TeamEWP includes a third-party scanning software package called TeamImage. TeamImage is fully
integrated with TeamEWP and allows users to take advantage of TeamMate features when working in
PDF and scanned documents.
TeamImage is easy to use, but it is important to note that once a document has been scanned into
TeamImage, you cannot edit the original scanned document. You can annotate the scanned document
and place objects on top of the scanned image, but as a TeamEWP feature, you cannot edit the image
itself, which preserves the image's integrity. The steps for scanning a document into TeamImage will
differ depending on the scanner you use. Contact your TeamMate Champion for instructions on
scanning into TeamEWP.
The following functionality is available from the tool bar in TeamImage:

l Navigation back: Go back to previous Schedule


l Navigation forward: Go forward to the next Schedule

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l Add Work Paper: Adds a new Work Paper.

TIP: This can be used to Add Work Papers in another Work Paper.

l Add Issue: Add a new Issue.

See "Issues" on page 148 for more information.

l Notes: Adds or View Notes.

See "Notes" on page 169 for more information.

l Signoff: Opens signoff dialog. Allows users to signoff the current Schedule.

See "Signoff" on page 108 for more information.

l Bookmark: Creates a bookmark.

See " Hyperlinks and Bookmarks" on page 159 for more information.

l Hyperlink: Creates hyperlinks or allows a link to existing bookmark to be created.

See " Hyperlinks and Bookmarks" on page 159 for more information.

l Tickmarks: Inserts tickmarks and allows Schedule tickmarks to be defined.

See "Using Tickmarks" on page 122 for more information.

l Go To: Opens the Go-To dialog.

See "Go-To" on page 37 for more information.


See "Appendix: TeamImage" on page 209 for more information.

IMPORTANT: TeamImage supports only TWAIN-compliant scanners. When


purchasing a scanner, ensure that it is TWAIN compliant and has TWAIN
compliant software drivers.

3rd Party Workpapers


Although TeamEWP offers deep integration with Word, Excel, PDF and scanned document types, any
electronic file from any application can be added as a work paper in a TeamEWP Project. These other
document types are referred to as 3rd party work papers. The key difference between a 3rd party work
paper and an integrated work paper is that no TeamMate functionality is available in 3rd party work
papers.
The other consideration is that for a user to open a 3rd party work paper they need to have an
application installed on their PC that will open that file type. These 3rd party work papers are included in
the TeamMate database but no TeamMate functionality is available when working in these documents.
When 3rd party documents, such as PPT, are opened in TeamMate, they are temporarily saved to the
Windows file system. If they are already opened in the 3rd party application, they cannot be opened

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again in TeamMate. A message is displayed to the user that the document cannot be opened. So, the
user must use the task bar to maximize the already opened document. When the document is saved
and closed, the changes are saved to TeamMate and the temporary file is removed for the Windows
file system.

NOTE: As there is no integration between TeamEWP and 3rd party work


papers, changes made in these documents are only saved when the following
instructions are executed:

To Save changes in a 3rd Party Work Paper do the following:


1. Save the changes done in the 3rd party program.
2. Close the 3rd party program.
3. Click on Save or Save All button in the TeamEWP Home menu.

To export 3rd Party Work Papers (ie. PDF, Visio) do the following:
1. Close the editing 3rd party Program (only the instance editing the Work
Paper, no need to close all instances). If the Save As Popup window
shows, then overwrite the current file (do not save the file in a different
location, ie. Adobe Acrobat XI 11.0.3.)
2. In TeamEWP, go to EWP file menu, then click on Save All.
3. Now export the Work Paper, and the result has the latest changes.

TIP: When closing 3rd party work papers TeamEWP gets no notification from
the application that the document is closed. If a user closes a Project and
another document that uses the same application is open a message will be
displayed to the user. This is a reminder that the document needs to be closed
so that changes are saved back to the database correctly.

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Issues
Issues are items that are identified during the project to be reported to management, included in the
audit report or that you wish to track as part of project findings.
Issues are automatically assigned an Audit Reference Code and cross-referenced to the point in the
project where it was created Each Issue consists of a single finding but an Issue can have an unlimited
number of recommendations. Each Recommendation can have its own action plan, owner and dates.
Upon completion of a Project in TeamEWP Recommendations can be tracked in TeamCentral until
they are remediated.

Issue Viewer
The Issue Viewer provides a detailed read only view of all Issues and Recommendations in the Project.
This view is useful for auditors who are responsible for reviewing the project as they can start by
reviewing Issues and Recommendations and then review detailed procedures and associated work
papers as necessary by using the hyperlinks created automatically by TeamEWP to cross-reference
schedules.
The Issue Viewer also allows users to reorder Issues, which is useful as the Issue order is honored
when TeamEWP reports are generated. For example, to draw management’s attention to the most
critical Issues they may be placed first in the list so that it is the first issue in the audit report.
The Issue Viewer also has allows Issues to be grouped, filtered and sorted to allow for easy analysis of
the projects findings and there is a full text search which makes it more efficient for auditors to find
Issues than in the Browser view. In addition, even though the Issue Viewer is a read only screen, users
can still sign-off work, create Notes, Issues or even create hyperlinks.

The Issue Viewer is divided into three areas. The left side of the screen is a listing of all issues and
Recommendations in the project. The right side of the screen is used to display detailed information

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about the Issue and Recommendation currently selected in the list. Each of these areas can be
expanded or collapsed completely to give users an optimal view of the information they require.

To open the Issue Viewer:


Click the Issue Viewer button in the Go To bar at the bottom of the screen (across all views).
-OR-
From the Go To ribbon | Summary Viewer panel, click the Issue Viewer button.
Issues are displayed in the listing with their associated ‘child’ Recommendations below. Although
displayed in a single grid different data will be displayed for Issues and Recommendations.
The listing displays the following information for Issues:

l Audit Reference Code (ARC): The ARC for the Issue and in brackets the number of Recom-
mendations associated with it.
l Issue Title: Name of the Issue.
l Issue Workflow State: In Progress, Prepared, Reviewed etc.

See "Signoff Workflow" on page 93 for more information.

l Issue Tracked State: Indicates whether or not an Issue has been released to TeamCentral for
tracking.

See "Realtime Issue Tracking" on page 156 for more information.

l Prepared signoff button: Allows users to signoff on the Issue as Prepared. Displays the user ini-
tials and date when last when last Prepared.
l Reviewed signoff button: Allows users to signoff on the Issue as Prepared. Displays the user ini-
tials and date when last when last Reviewed.
l Edited: Displays last edit date. Click the button to display full edit history for the Issue.
l Type: Displays user defined Type category assigned to the Issue.
l Levels: Displays user defined Levels assigned to the Issue.

The listing displays the following information for Recommendations:

l Denotes a Recommendation.
l Recommendation Title: Name of the Recommendation.
l Recommendation State: Open, Pending, Implemented, Closed etc.

See "Issue Editor" on page 148 for more information.

l Priority: Displays User defined Priority category assigned to the Recommendation.

See "Issue Editor" on page 148 for more information.

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TIP: If you only want to see Issues in the Issue Viewer listing
Recommendations can be hidden by clicking on the triangle next to the ARC
label.

The ability to search and filter data quickly and easily is one of the great strengths of a database driven
tool and thought should be given to configuring user defined categories (pull down lists) to take
advantage of the Group By and Filter options.
The following options are available in the Issue Viewer.

Export to Excel
The Export to Excel button available in the Home ribbon | Tools section is enabled only when the Full
Grid View is selected.
Only the columns that are visible in the grid are exported to Excel.
The exported file will display Initials and Dates from the Prepared, Reviewed, and Edited columns in
two separate columns and an extra column named 'Object Type' will be added to allow filtering and
sorting by different items.

Group By
The Group By option in the top left of the screen allows users to Group in the list by any of the following
options:

l Title: Name of Issue.


l Issue State: Not Started, In Progress, Prepared, Reviewed, Edited Since Review etc.
l Category: User defined category.
l Type: User defined category.
l Issue Impact: User defined category.
l Location: User defined category.
l Risk: User defined category.
l Systemic Issue: User defined category.
l Process: User defined category.
l IT System: User defined category.
l Likelihood: User defined category.

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l Prepared by: User who signed off the Issue as Prepared.
l Reviewed by: User who signed off the Issue as Reviewed.
l Edited by: User who last edited the Issue.

NOTE: That the Group By options described above as user defined are user
configurable so the options available in your Project may be different to the
defaults shown here.

Issue Viewer: View Options


The Issue Viewer has a number of options to allow you to determine which areas of the screen are
visible. This can be useful, for example if reviewing a large amount of text in one tab and you do not
wish to scroll.
If you select an Issue in the Issue Listing, by default the Detail pane in the right side of the window will
show up to display both the parent Issue and the Recommendation selected. Three views are available
at the top of the Issue Viewer grid:

l Full Grid View: Hides the detail panes and shows only the grid. This view is useful for the users
to review the Issues and signoff on the them.
l Split View: The default layout shows the grid with the list of Issues and Recommendations on
the left side of the screen and detail panels on the right.
l Details Pane View: Hides the grid on the left hand side of the screen and displays only the detail
panes for the selected issue and/or Recommendation. This view is useful when documenting
detailed test results and information about the items selected.

TIP: You can also change the height by dragging the splitter to determine how
much area is available for each window.

Issue Viewer Filter


The Issue Viewer includes a comprehensive filter and text search feature. The filter panel allows you to
filter by any of the Issue and Recommendation user defined Categories fields, and can also be used to
perform a text search across all of the Issues and Recommendations titles.

To access the Filter, click the Filter button in the grid.

Text Filter
Issue Title and Recommendation Title text fields. These filters will display a list of Issues or
Recommendations and Filters that include the search criteria in the Title field. Displays a list of all
Issues and Recommendations, which include the search criteria.

Issues and Recommendations Filters

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NOTE: If the user defined category fields have been hidden in configuration
they will not be displayed in the filter dialog.

Issue Filters

l Type: User defined Issue category.


l Issue Impact: User defined Issue category.
l Likelihood: User defined Issue category.
l Regulatory Impact: User defined Issue checkbox.
l Recurred: User defined Issue checkbox.
l Location: User defined Issue category.
l Category: User defined Issue category.
l Risk: User defined Issue category.
l Systemic Issue: User defined Issue category.
l Process: User defined Issue category.
l IT System: User defined Issue category.
l Issue State: Issue workflow state, In Progress, Prepared, Reviewed, etc.
l Levels: Issue multi-select user defined category.
l Prepared: This option displays a filtered list of Issue by the last user to signoff an Issue as Pre-
pared.
l Reviewed: This option displays a filtered list of Issue by the last user to signoff an Issue as
Reviewed.

Recommendation Filters

l Priority: User defined Recommendation category.


l Legal Action Required: User defined Recommendation category.
l Department: User defined Recommendation category.
l Affects SOX Control: User defined Recommendation category.
l Recommendation Source: User defined Recommendation category.
l User Status: User defined Recommendation category.

Issue Sort
To sort data in the Issue Viewer, simply click on any of the column headers. This will sort data from high
to low. Clicking on the column header again will sort from low to high. Clicking a third time will clear the
sort order and return records to their natural order.

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NOTE: When a filter is applied the Issue Move Up and Down options will be
disabled as it is not possible to reorder a filtered list.

NOTE: The filter options described above as user defined are user
configurable so the options available in your Project may be different to the
defaults shown here.

Moving Issues
Issues can be moved (or reordered) in the Issue Viewer. When Issues are added to a project they are
assigned an Audit Reference Code (ARC) which is based on the order they are added and the ARC is
used to determine the order Issues are displayed in the Browser.
In the Issues Viewer, users can determine their own order moving Issues up and down. This is useful,
for example, to have critical Issues at the top of list and low priority Issues at the bottom.
The order defined in the Issue Viewer is the default order used when TeamEWP Issue reports are
generated.

To move Issues up or down in the list:

1. Open the Issue Viewer.


2. Select the Issue you wish to move.
3. From the Home ribbon | Edit ribbon panel use the Move Up or Move Down buttons to change
the order.

TIP: Issues and Recommendations can be reordered in the Issue Viewer.

Delete Issues
To delete Issues:

1. Open the Issue Viewer or the Browser.


2. Select the Issue you wish to Delete.
3. From the Home ribbon | Edit panel press the Delete button, or press delete on the keyboard.

The following business rules determine whether or not a user can delete an Issue:

l A user is prevented from deleting if the Issue is Reviewed and the last Reviewer is a higher Level
/ Role than the current user.
l A user is prevented from deleting the Issue if it is Frozen.

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l A user is prevented from deleting an Issue if the Recommendation Tracking workflow has star-
ted in TeamCentral and a follow up action has taken place for any of the Issues child Recom-
mendations.

See "Implementation Tracking in TeamCentral" on page 153 for more information.

NOTE: If an Issue is deleted any Notes will also be deleted.

NOTE: Unless the Issue deleted was the last one added to the project when it
is deleted its ARC will not be reused. This can leave a ‘gap’ in Issue ARC’s.
This is a control so that team members can tell if an Issue has been deleted. If
the Issue is the last one to be added in the Work Program the ARC will be
reused.

Protecting Issues
Issues can be Frozen in the same way that Work Programs, Procedures or Work Papers can be
frozen. A frozen Work Paper opens in read only mode for all users.

To protect an Issue:

1. Open the Browser.


2. Select the required Issue.
3. From the Home ribbon | Edit panel or from the right click context menu select Protect.
4. From the Protect dialog select the Freeze checkbox.
5. Click OK.
6. To un-freeze an Issue follow the steps above and deselect the Freeze checkbox.

NOTE: Unfreeze is restricted to users that are the same level or than a higher
Role / Level than the user who froze the Issue.

Add Issues
New Issues are automatically linked to the Schedule where they are created. Issues can be created in
Work Papers, either from the Browser or directly in an MS Word, MS Excel or TeamImage Workpaper.
Issues can be linked to a Work Program or directly to a specific Procedure. As a best practice, it is
recommended that the Issue be created in the Procedure which represents the test where the Issue
was identified. The Procedure can then in turn be linked in the related Risk and/or Control and also to
any workpaper evidence which supports the auditor’s conclusions.
This approach has two benefits:

TeamEWP User Guide 146


l A Reviewer can always begin with the Issue/ Recommendations.
l The chain of evidence is easily reviewed by following hyperlinks from the Issue to a workpaper or
Procedure (test) and from there to a Risk and/or Control (reason for test).

To create a New Issue:

1. Select a Procedure, Workpaper or Work Program and select the New Issue button from the
Home ribbon, Actions panel.
2. Click the New Issue tab.
3. Enter a Title.
4. Optional. Select an Issue Type from the drop-down list, and click OK
5. This will open the Issue Editor where you can complete all elements of your write-up required by
your organization.

See "Issue Editor" on page 148 for more information.

Get Issue from TeamStore


Your TeamStore can contain standard issue write-ups for commonly-found issues, organized in
cabinets. Importing a standard write-up will both speed up the documentation process and help ensure
that best practices are followed.

1. Select a Procedure, Workpaper or Work Program and select the New Issue button from the
Home ribbon, Actions panel or from the TeamMate.
2. Click the Get from TeamStore tab.
3. Browse to your required TeamStore or connection file.
4. Click OK.
5. Open the required cabinet, and then select the desired issue and click GET.
6. This will open the Issue Editor with the Issue and Recommendation pre-populated from the
TeamStore, from here you can add and amend the elements of your write-up as required.

Link to an Existing Issue


Where an Issue has already been created in a project this option will create a cross reference to the
existing Issue. This is useful if during the testing a recurring problem is identified but only one Issue is
required in the Audit Report or for Implementation Tracking purposes, while still being able to cross
reference to all tests where the Issue was identified.

To Create Hyperlink to an existing Issue:

1. Select a Procedure, Work Paper or Work Program and select the New Issue button from the
Home ribbon, Actions panel
2. Click Create Hyperlink to Existing tab.
3. Select the existing issue from the list.
4. Click OK.
5. This creates a cross-reference to the Issue selected.

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Issue Editor
The Issue Editor allows users to view and edit an individual Issue and all of its associated, or child,
Recommendations. The difference between the Viewer and the Editor is that in the Viewer users can
see all Issues and Recommendations in the project but in the Editor they can make changes to the
selected Issue its Recommendations. However, users can have multiple instances of the Issue Editor
open at the same time in a single project.
See "Issue Viewer" on page 140 for more information.

To open the Issue Editor:

1. From the Issue Viewer double click with the mouse or click the underlined blue ARC shortcut
2. From the Browser navigate to the AS1 folder and double click the Issue to open the Procedure
Editor

TIP: You can also open the Issue Editor from the Search View, History Bar,
Snapshot or by clicking on a hyperlink which links to an Issue.

The Issue Editor is read only when the following conditions are met:

l User has a Read Only or Reviewer Only role.


l Project status is Responses Accepted or higher.
l Issue is Protected.
l Recommendation Tracking has started in TeamCentral.

Issues
An Issue is a single finding, sometime called an Exception or an Observation. All Issues created in a
Project are saved in the Browser | AS1 folder and an automatic cross-reference is made to the point in
the project where the Issue was created. This link is displayed in the Issue Refs tab.
Although each Issue can have multiple Recommendations, signoff workflow and edit history is always
at the Issue level not at the Recommendation level. For example editing a Recommendation or
creating a link to a Recommendation will update the Issue edit history and Refs tab. This is because
Recommendations have to be associated with a parent Issue.
Issues have an extensive number of text fields to record facts and other information about the Issue.
Issues also have many user defined drop down categories that can be used to classify and categorize
Issues for management information purposes.
All these fields are available in TeamCentral reporting reports. When documenting Issues in
TeamEWP the following fields are available:

l Title: Text field. Normally used for the name of the Issue.
l Type: User defined category. This field is available in the dialog when an Issue is first created so
is typically used to denote the type of Issue for example, Material Weakness, Compliance etc.

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l Level: Multi-select user defined category. This multi-select field is useful when more than one
selection is required. For example it could be used to indicate whether an Issue needs to be
included is for management information only, to be included in the audit report detail, or in the
report executive summary, or all three.
l Finding: Text field. Normally used to describe in detail the Issue that was identified. Can be des-
ignated as an Extract field in TeamEWP reports.

NOTE: Extract fields allow text to be imported back into TeamEWP from a
TeamEWP report.

See " Reporting" on page 173 for more information.

l Exception Text 2: Text field. Can be designated as an Extract field in TeamEWP reports.
l Exception Text 3: Text field. Can be designated as an Extract field in TeamEWP reports.
l Exception Text 4: Text field. Can be designated as an Extract field in TeamEWP reports.
l Exception Text 5: Text field. Can be designated as an Extract field in TeamEWP reports.
l Impact: The impact tab has several user defined categories, numeric fields and checkboxes.
o Impact: User defined category. Typically used to document the Impact of the Issue.
o Likelihood: User defined category. Typically used to document the Likelihood of the Issue
occurring.
o Cost Savings: Numeric field. If the policy ‘Automatically calculate tracked Issue costs’ is
enabled sum of the all Issue Cost Savings fields will be calculated automatically and dis-
played in the Project Profile | Summary tab.
o Cost Avoidance: Numeric field. If the policy ‘Automatically calculate tracked Issue costs’ is
enabled sum of the all Issue Cost Savings fields will be calculated automatically and dis-
played in the Project Profile | Summary tab.
o Regulatory Impact: Checkbox.
o Recurred: Checkbox.
l Properties: Six user defined drop down category fields. The category fields are typically used to
classify and categorize Issues for management information reporting purposes.
l Refs: The Refs tab includes links to all Work Papers or Procedures that have been linked to the
Issue or any of its child Recommendations.

NOTE: The Terminology used in Issue Editor is customizable so the tabs


detailed above may be hidden if not used in your organization and/or the labels
changed from the default. For more information about the specific fields used in
your organization, refer to your TeamMate Champion or protocol document.

Recommendations
When an Issue is added a Recommendation is automatically created; however, users can add an
unlimited number of Recommendations after the Issue is created.

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Each Recommendation has a number of text tabs and user defined categories in order that the team
can fully document all required information about the Recommendation.
As most Recommendations made by Audit are not implemented by the time the project is complete,
Recommendations that are created in TeamEWP can be monitored through to implementation and
closure in TeamCentral.
To support this workflow Recommendation have extensive options available to record information
required during the follow up process including the Contacts responsible, for example Owner and
Approver, Estimated and Actual dates and a Recommendation tracking workflow state.
When documenting Recommendations in TeamEWP the following fields are available:

l Title: Name of the Recommendation. In TeamCentral Recommendation Tracking this name will
be the primary identifier for the Recommendation.
l State: The Recommendation State is used to monitor the Status of the Recommendation in
TeamCentral.
l Entity: The Entity associated with the Recommendation. Can select from any Entity that has
been associated with a project. Each Recommendation can be associated with different Entity.

NOTE: If the Entity required is not available in the list new Entities can be
added in the Project Profile.

l Recommendation: Text field. Typically used to record the recommendations made by the audit
team. Can be designated as an Extract field in TeamEWP reports.

NOTE: Extract fields allow text to be imported back into TeamEWP from a
TeamEWP report.

See " Reporting" on page 173 for more information.

l Response: Text field. Typically used to record the management response to the audit teams
recommendations. Can be designated as an Extract field in TeamEWP reports.
l Implementation: This tab is used primarily to document information required in the imple-
mentation tracking process.
o Estimated Date: Date field. This is typically used as the date when the audit team expects
their recommendations to be implemented by. Data validation applies to this field if Recom-
mendations are tracked in TeamCentral.
o Actual Date: Date field. This is typically used as the date when the Recommendations have
been implemented. Data validation applies to this field if Recommendations are tracked in
TeamCentral.
o Progress: Numeric field between 1 and 100. Typically used as a progress indicator to indic-
ate in percentage how much work had been towards implementing the Recommendation.
o Coordinator: Implementation Coordinator Group. This field displays a list of Implementation
Coordinator groups associated with the Project in the Profile.

See "Implementation Tracking in TeamCentral" on page 153 for more information.

TeamEWP User Guide 150


o User Status: User defined category
o Action: Text field. Typically used to record any actions that the business / auditee have taken
towards implementing a Recommendation.

IMPORTANT: When using TeamCentral to track Recommendations, the


Action text field in TeamEWP will display the text from the latest Status Update
for the entry made in TeamCentral.

o Track in TeamCentral: This checkbox is enabled by default if policy ‘Recommendations are


Tracked in TeamCentral is enabled’. If this policy is not enabled in the Project, the checkbox is
not displayed.
l Contacts: This tab is used to record all Contacts who are stakeholders in the Implementation of
the Recommendation. There is no limit to the number of Contacts that can be associated with a
Recommendation but only one Contact can be designated as Owner and only one Contact can
be designated as Final Approver. To designate a Contact as Owner or Final Approver from the
appropriate drop down menu select a Contact from the list.

To Add a Contact to the Recommendation Contact list:

1. Click the Get button.


2. Select either Project Contact list, Centralized database or Offline TeamStore

l Project Contact list will allow you to select any Project Contacts from the Profile.
l Centralized database will allow you to search the database for existing Contacts or add a
New Contact.
l Offline TeamStore will allow you to search an Offline TeamStore for existing Contacts when
working offline without connectivity to the Centralized database. If needed, select the
TeamStore or connection file.

NOTE: When the TeamAdmin ‘Use Partitions’ policy is enabled, the user will
be limited to only selecting Project Contact.

See "Contacts tab" on page 56 for more information.

3. After finding the Contact click OK to add them as the Control Owner.
4. To Delete a Contact simply click the Delete button.

NOTE: This will delete the Contact from the Contacts tab but not from the
Profile or the database.

TeamEWP User Guide 151


TIP: The Contacts designated as Owner and Final Approver will always be
moved to the top of the Recommendation Contact list.

l Notes: Text field. Can be designated as an Extract field in TeamEWP reports.


l Recommendation Text 3: Text field. Can be designated as an Extract field in TeamEWP
reports.
l Recommendation Text 4: Text field. Can be designated as an Extract field in TeamEWP
reports.
l Properties: This tab includes five user defined categories and two numeric fields. Typically
these are used to classify and categorize Issues for management information reporting pur-
poses. To make best use of TeamCentral Issue reports it is recommended that the first cat-
egory field in this tab, default label Priority, be used to classify Recommendations with a
priority or criticality rating. This category is used in the TeamEWP Dashboard to display
counts and ratings of Recommendations in a Project.
l Attributes: This tab includes twelve additional fields that can be used to further document
detailed information about a recommendation. The following fields are available:
o Numeric x 2

o Date x 4

o Yes/No x 2

o Text x 1

TIP: From the Issue Viewer or Editor to view the Organization Hierarchy which
the Recommendation Entity belongs to click the OH button. Entities linked to
the Project will be shown in bold text.

Adding Multiple Recommendations


When an Issue is created a Recommendation is automatically created. Where additional
Recommendations are required, they can be added in the Issue Editor.

To add additional Recommendations to an Issue:

1. From the Browser or Issue Viewer select the Issue required and double click to open the Issue
Editor.
2. Select the Add Recommendation button form the Home ribbon | New panel.
3. This will create a new Recommendation where you can complete all elements of your write-up
required by your organization.

Move Recommendations
Recommendations can be moved (or reordered) in the Issue Editor. This is useful, for example to have
high priority Recommendations at the top of list and low priority Recommendations at the bottom. The
order defined in the Issue Editor is the default order used when TeamEWP Issue reports are
generated.

TeamEWP User Guide 152


To move Recommendations up or down:

1. Select the Issue you require from either the Browser or the Issue Viewer.
2. Open the Issue Editor.
3. Select the Issue you wish to move.
4. From the Home ribbon | Edit ribbon panel use the Move Up or Move Down buttons to change
the order.

Delete Recommendations
Recommendations can be deleted from the Issue Editor. As each Issue must have at least one
Recommendation this option is disabled if the Issue has only one Recommendation.

To delete a Recommendation:

1. Select the Issue you require from either the Browser or the Issue Viewer.
2. Open the Issue Editor.
3. From the Home ribbon | Edit panel select the Delete button.
4. The recommendation will be permanently deleted.

Implementation Tracking in TeamCentral


Issues and Recommendations are created in TeamEWP but typically the actions required to
implement these Recommendations are not completed before the end of the project. To facilitate the
follow up of Recommendations after the project is complete, TeamMate has a fully integrated web
based Recommendation Tracking tool, TeamCentral. Issues and Recommendation can be released
when the audit is complete, or alternatively while the audit is still in progress using the Realtime Issue
Tracking feature.
TeamCentral can be used by the audit team, or dedicated Implementation Coordinator teams to follow-
up Recommendations and record actions and close Recommendations, or even to give
Recommendation Owners and other Contacts in the business direct access to TeamCentral to update
actions taken towards implementation of a Recommendation. As TeamCentral is a web-based
module, no software installation is required and no additional user licenses are required to give
business users access to the follow-up tracking tool.

IMPORTANT: To track Recommendations in TeamCentral ensure the


TeamEWP policy ‘Recommendations are tracked in TeamCentral’ is enabled.

NOTE: If this policy is turned on, an additional checkbox is available in the


Recommendation | Implementation tab ‘Track in TeamCentral’. There is also
an additional data validation check to ensure fields required for the
recommendation tracking are populated correctly. Below are details of the
Recommendation fields required for Implementation Tracking and the data
validation rules.

TeamEWP User Guide 153


See "Implementation Tracking" in the TeamCentral User Guide for more information.
TeamEWP Fields used in TeamCentral Implementation Tracking module:

l Track in TeamCentral checkbox: Select this option to include the Recommendation to be


tracked in TeamCentral.

TIP: A project, or even an individual Issue, can include a mixture or tracked and
non-tracked Recommendations. Even if not tracked, Recommendations from
TeamEWP can be viewed in TeamCentral reports for management
information purposes if required.

When the track in TeamCentral checkbox is enabled the following fields are required and must be
populated before the Project is moved to Implementation Tracking status:

l Recommendation Title: This defaults to ‘Recommendation Title’ when a Recommendation is


added, but it is suggested that this be changed to something which enables the recommendation
to be easily identified in TeamCentral.
l Estimated Date: In the Recommendation | Implementation tab. A red box around the date field
indicates that this is a required field. The Estimated Implementation Date cannot predate the
Issue creation date. If a Date is entered which precedes the Issue creation date, a red box
around the field indicates that the date is not valid.
l Recommendation Contact: With an Owner role in the Recommendation | Contacts. A warning
message indicates that the "Contact owner is required when releasing to TeamCentral". Val-
idate each recommendation's contact list to ensure at least one contact is an Owner.
l Actual Date: In the Recommendation | Implementation tab. This field is only required if the
Recommendation is set to a state of Implemented or Closed. The Actual date cannot precede
the Issue creation date. If a Date is entered which precedes the Issue creation date a red box
around the field indicates that the date is not valid.

If this field is null when the Project Status is changed to ‘Implementation Tracking’ the date will be
defaulted to either the Estimated Date if available, or the date when the Project Status was
changed to Implementation Tracking status if no Estimated Date has been entered.

NOTE: Text entered in the Action field on the Implementation tab will not be
visible in TeamCentral until after the recommendation has been implemented.

Recommendation Contacts
Recommendation contacts are business contacts who are associated with a Recommendation for
either informational purposes or because they will have a direct role in the Implementation Tracking
process in TeamCentral.
This role could be active or passive depending upon the usage of TeamCentral in your organization.
See "Implementation Tracking Workflow" in the TeamCentral User Guide for more information.

TeamEWP User Guide 154


l The Recommendation | Contacts tab can be used to record all business contacts that will / may
be involved in the remediation action. By default the Recommendation Owner will be the Project
Primary contact as defined in the Profile | Contacts tab. Additional contacts be designated with
various roles including:
o Observer
o Contributor
o Approver
o Required Approver
o Final Approver
l Adding an issue contact is the same as adding a project contact. You can get a contact from the
Project | Profile, from the Database, or from your Organizations email directory (if this option has
been enabled by your organization.

Recommendation Coordinator Groups


The implementation coordinator will for a recommendation will be, by default, the project IC group.
Where a specialist Implementation Coordinator group is required this can be changed by going to the
Recommendation | Implementation tab, and a different IC group can be selected from the list.
Implementation Coordinator groups are set in the Profile | Team tab.
See "Security Groups" on page 53 for more information.
See "Implementation Coordinator (IC) Groups " in the AM Champions Guide for more information.

Recommendation States
Recommendation states are used to monitor the progress of Recommendation Implementation
workflow in TeamCentral. Typically by the end of a project Recommendations will not have been
started so the default state of Open is applicable and does not need to be changed.
If, however, Contacts have already taken action towards implementing it is possible to indicate the
current state by selecting the appropriate option from the State drop down in the Recommendation
form.
The Recommendation States available are:

Icon Description
Open
This is the default state when a Recommendation is created
Pending
This indicates that the Recommendation is in TeamCentral ready for Recommendation
Tracking Workflow to start. All tracked Recommendations will change to Pending State
when the Project Status is changed to Implementation Tracking.
Pending Started
This indicates that work has started and actions have been recorded in TeamCentral
towards implementing a Recommendation.

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Icon Description
Implemented
Indicates that Recommendations have been implemented and the Recommendation is
awaiting verification by the audit team or responsible Implementation Coordinating group.
Closed Verified
Indicates that the actions taken to implement a Recommendation have been verified by
the audit team and the Recommendation is closed.
Closed not Verified
Indicates that the Recommendation has been closed by the audit team but no verification
took place.
Closed Management Accepts Risk
Indicates that the Recommendation has been closed by the audit team but the
Recommendations have not been implemented by the business.
Closed No Longer Applicable
Indicates that the Recommendations have been closed by the audit team but the
Recommendations have not been implemented by the business because they are no
longer applicable.

NOTE: Recommendation States are user definable Terminology items, so


states detailed above may be hidden if not used in your organization and/or the
label changed from the default. For more information about the specific fields
used in your organization, see your TeamMate Champion or protocol
document.

Releasing Issues to TeamCentral


Issues are normally released for follow up tracking when the audit is complete. In some cases audits
can take place over an extended period of time and Issue might need to be released before the audit is
complete. Both approaches are supported in TeamMate.
Implementation Tracking Status
To release Issues and tracked Recommendations to TeamCentral for tracking when the Project is
complete, simply change the Project Status to ‘Implementation Tracking’.
See "Milestones" on page 178 for more information.
Realtime Issue Tracking
Realtime Issue Tracking allows users to release Issues to TeamCentral before the end of the Project.
Realtime Issue tracking is only available if the TeamEWP Policy ‘Allow Realtime Issue Tracking is
enabled. This activates a button on the Issue Viewer | Home ribbon and the Review ribbon (available
across all views) which launches a Realtime Issue Tracking Manager. The manager allows users to
selectively release Issues to TeamCentral.

TeamEWP User Guide 156


The Manager displays basic Issue information including:

l ARC
l Title
l State
l Type
l Level(s)

TIP: The Realtime Issue Tracking manager displays all Issues in the Project
which have one or more tracked Recommendations. If an Issue has a mixture
of tracked and un-tracked recommendations it will be displayed.

To release Issues, check the checkbox next to the Issue(s) to be released and click OK. A confirmation
message will be displayed confirming the release and a Released icon displayed in the State column of
the Issue Viewer and in the Realtime Tracking manager.
To unrelease Issue(s), uncheck the checkbox next to the Issue to be unreleased and click OK. A
confirmation message will be displayed and the Released Icon will be cleared.
Data Validation For Tracked Recommendations
Before the Implementation Tracking process commences in TeamCentral, a data validation check will
be carried out automatically in TeamEWP for all Recommendations where the Track in TeamCentral
checkbox is enabled. If Recommendations are not Tracked no validation takes place as they are not
included in the TeamCentral implementation tracking process.
There are two types of validation check, the first check ensures that Recommendations include all
information required by TeamCentral tracking workflow. The following validations takes place for all
tracked Recommendations:

TeamEWP User Guide 157


l Recommendation Title: This is required and cannot be blank.
l Estimated Implementation Date: This is required and cannot be blank. Cannot be less the
Issue creation date.
l Actual Implementation Date: If set, cannot be less than the date the Issue was created.

If the required information detailed above is missing, the tracking process will not commence and a
warning will be displayed. This operation cannot be completed until valid data has been entered for all
Tracked Recommendations.
If the TeamEWP policy, "Allow Recommendation estimated date to precede Issue creation date" is
turned on, the estimated implementation date and actual implementation date can be set to dates prior
to the Issue Create date.
Optionally, if the TeamEWP policy ‘Prevent Implementation Tracking for Issues Not Reviewed’ is
enabled an additional validation check takes place to verify Issues have been Reviewed. With this
policy enabled the release operation cannot be completed until Issues have been signed off as
Reviewed.

Implementation Tracking Status


After Issue have been released to TeamCentral an icon is displayed in the Issue Viewer grid and in the
Realtime Issue Tracking dialog. This indicates that ownership of the Issue has passed to TeamCentral
and it is ready for implementation tracking workflow to commence.
After an Issue has been released to TeamCentral it will no longer be possible to Delete or Edit the
Issue or any of its child Recommendations. This preserves data integrity in the database. If changes
are required the Issue can be edited in TeamCentral, or alternatively it can be unreleased from
TeamCentral so that further edits can be made in TeamEWP. The unrelease takes place either by
changing the Project Status back from Implementation Tracking Status, or alternatively by unreleasing
using the Realtime Issue Tracking manager.
After implementation tracking workflow has started in TeamCentral (status update or other
implementation action, edit, or reminder email) it is not possible to unrelease the Issue from
TeamCentral. All future edits or deletions must be made in TeamCentral. In this case the
Implementation Workflow Started icon will be displayed in TeamEWP Issue Viewer and Realtime
Issue Tracking manager.

Released
Icon displayed in Issue Viewer after successfully releasing Issues and Recommendations to
TeamCentral.
Implementation Workflow Started:
Icon displayed when tracking workflow has commenced in TeamEWP.

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Hyperlinks and Bookmarks
TeamEWP automatically creates a cross reference whenever an Issue, Workpaper or Note is created.
In addition to these automatic references many teams create additional hyperlinks to further cross
reference Schedules in a project.
There are a number of ways to cross-reference work, including bookmarks and hyperlinks. Using the
options on the Hyperlink ribbon panel you can quickly create one or two-way links from one location to
any other location in the project.
Having created hyperlinks it is easy to navigate between different related parts of the project by simply
clicking on the hyperlink label.
The hyperlink types available in TeamMate are:

l 1-way hyperlink
l 2-way hyperlink
l Bookmarks
l ARC links

One-Way Hyperlinks
One way hyperlinks, also known as ‘Point to Schedule’ hyperlinks are a way of creating a one way link
from a specific location to a another schedule. When created a one way link the hyperlink label will only
appear at the end location (e.g. where the link is pasted).
One-way links are handy for informational references, such as “see memo on policy at...”

To create a one way to Hyperlink:

1. Open the Schedule you wish to create a hyperlink to.


2. Select the Copy for Hyperlink button in the Home ribbon | Hyperlink panel.
3. Open the Schedule you wish to link from.
4. Place the cursor in the Schedule where you wish the Hyperlink label to appear.
5. From the Home Ribbon | Hyperlink panel select Paste Hyperlink.
6. This creates a one-way hyperlink link in text field from the location selected when you used Paste
Hyperlink. Clicking on this link will open the location selected when you used Copy for Hyperlink.
This also creates a link in the Refs tab of the Schedule.

NOTE: If the Schedule where Paste as link is selected is read only (not
editable) the link will be created in the Refs tab of the Schedule not in the text
field selected.

Two-Way Hyperlinks
Two-way hyperlinks, also known as point-to-point references refer to the ability to hyperlink between
specific points in a Schedule. Whereas a one-hyperlink creates the link only in the Schedule where the

TeamEWP User Guide 159


link is pasted a two-way hyperlink creates links in both schedules.
This allows you to navigate between specific points in two schedules simply by clicking on the hyperlink.
This powerful feature is useful for example to link to exact points in different MS Word Work Papers or
between specific cells in MS Excel Work Papers or even between two points in the same Work Paper.

To create two-way hyperlink:

1. Open the Schedule where you wish to create a hyperlink.


2. From the Home ribbon | Hyperlinks panel, select the Copy for Hyperlink button.
3. Open the second Schedule you wish to link to.
4. Place the cursor in the Schedule where you wish the Hyperlink label to appear.
5. From the Home ribbon | Hyperlinks panel, select Paste as 2-Way Hyperlink.

A hyperlink link is created in the text field in both schedules. Clicking on this link will open the
location selected when you used Copy for Hyperlink. This also creates a link in the Refs tab of
both Schedules.

NOTE: For a 2-way link to be created, both schedules do not need to be open.
If a schedule is closed or read only mode, TeamEWP can create a 2-way
hyperlink.

NOTE: If either Schedule selected is read-only (not editable) the link will be
created in the Refs tab of the Schedule, not in the text field selected.

Hyperlink Labels
When new hyperlinks are created, the label displayed in the text field – workpaper or Refs tab – will
display with the Title of the Schedule or the ARC Code of the Schedule depending on the user
preference selected.
See "Appearance" on page 206 for more information.
Users can choose to add change the default label and instead specify a custom hyperlink label. This is
useful when there are multiple hyperlinks between the same schedule and you wish to differentiate
between the different hyperlinks so a Reviewer knows what the hyperlink cross references to.

To create a custom Hyperlink label:

1. Right click on a hyperlink.


2. Select edit hyperlink label.
3. Enter a custom label.
4. Press OK to save changes.

TeamEWP User Guide 160


To clear a custom Hyperlink label:

1. Right click on a hyperlink.


2. Select edit hyperlink label.
3. Press Reset.

NOTE: For 2-way hyperlinks, this changes the label for the selected side of the
hyperlink only. It does not change the label for the other side of the hyperlink.
This allows different labels to be created for each side of a 2-way hyperlink.

When a custom label is selected, this is displayed instead of an ARC even if the user Preference 'Use
title instead of ARC' is deselected and ARCs would normally be shown.

Bookmarks
Bookmarks work in much the same way as in other applications, such as a web browser. A TeamEWP
Bookmark permanently marks a word, section, or page in a Schedule so that you can easily reference it
using a one-way hyperlink.
This feature is particularly useful if you are referencing to different sections of the same workpaper
multiple times in a Project. For example, if you carrying out a Compliance audit you may wish to
reference different sections of a policy document. The policy document can be added as a workpaper
and Bookmarks created in each of the relevant sections.
Whenever you wish to reference the policy document the Link to Bookmark option can be used to
create a one way Bookmark which navigates directly to the section required.

NOTE: Bookmarks must be created in a field that is open in edit mode, not
read only mode. Navigation to the bookmark is only possible if the bookmark
was created in edit mode.

Creating Bookmark

To create a permanent bookmark:

1. Open the Schedule you wish to Bookmark.


2. Click the Bookmark button on the Home ribbon | Hyperlink panel.
3. Type the bookmark label, and then click OK.

Linking to Bookmarks

To link to a bookmark this has been created previously:

TeamEWP User Guide 161


1. Open the Schedule where you want the link to be created.
2. From the Home ribbon | Hyperlink panel select To ARC or Bookmark button.
3. Select the Link to Bookmark tab.
4. Select Bookmark you wish to link to.
5. Click Insert. This creates a one-way hyperlink in the Schedule you selected to the Bookmark

Organize Bookmarks
Organize Bookmarks allows you to view and manage Bookmarks by labels and deleting Bookmarks
from Project.

To open the Organize Bookmarks dialog:

1. From the Admin ribbon | Admin panel select Organize Bookmarks.


2. Edit Bookmark labels or delete Bookmarks as necessary.

NOTE: Deleting a Bookmark will also delete all hyperlinks created where that
Bookmark has been used to create the hyperlink. If deleting the Bookmark from
a WorkPaper the Bookmark will remain , but be inactive. Also any edits to a
existing Bookmark done in the Admin Ribbon will not update the Bookmark
inside a WorkPaper.

Bookmark labels are different than Hyperlinks and are edited in a different manner than Hyperlinks the
behavior will not be similar.

Link to ARC
The link to ARC (Audit Reference Code) option in TeamEWP allows you to create one-way links to any
Schedule in Project. This is useful for example when you have Work Papers in the Project which are
from applications which are not closely integrated with TeamEWP and the TeamMate toolbar is
unavailable.
Link to ARC allows you to reference those Work Papers by creating a one-way link from a Schedule to
the Work Paper.

To link to an ARC in the project:

1. Open the Schedule where you want the link to be created


2. From the Home ribbon | Hyperlink panel select To ARC or Bookmark button
3. Select the Link to ARC tab
4. Select the ARC of the Schedule you wish to link to
5. Click Insert. This creates a one-way hyperlink in the Schedule you selected to the ARC

Valid Hyperlinks
Below is a list of valid hyperlink combinations. If attempting to create a link which is not included in this
list the Paste as Link or Paste as 2-way link will not be available. The Link to ARC or Bookmark option

TeamEWP User Guide 162


will also be restricted.

Schedule Selected when Copy for Hyperlink Valid Schedule for Paste as Hyperlink
Issue Procedure
Work Program
Excel Work Paper
Word Work Paper
TeamImage Work Paper
Procedure Issue
Procedure*
Work Program
Excel Work Paper
Word Work Paper
TeamImage Work Paper
Risk
Control
MS Word or MS Excel Work Paper Issue
Procedure
Work Program
Excel Work Paper
Word Work Paper
TeamImage Work Paper
TeamImage Work Paper Issue
Procedure
Work Program
Excel Work Paper
Word Work Paper
TeamImage Work Paper
Risk Procedure
Work Program
Control Procedure
Work Program

NOTE: You cannot link a Procedure to itself, only to a different Procedure.

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Other Hyperlink Options

Cross Referencing Mode


This is an additional attribute which can be assigned to any user role, except Read Only. With this role
enabled, the user can open Schedules and create hyperlinks without changing the sign off state of the
Schedule. This action will register an edit in the edit history which can be viewed when the Schedule is
next opened.

NOTE: If a Schedule or Work Program is in a fully Reviewed state when


opening for cross-referencing, you will need to select the option to open for
editing in order to create hyperlinks.

This feature is useful when additional cross referencing of the project is required after the review
process has taken place. For users who have been assigned a cross-reference role they can activate
cross reference mode from the Review ribbon | Review panel and selecting the Referencing Mode
button.
To deactivate cross reference mode simply press the button again.

NOTE: While in Cross Reference mode a user cannot create Issues or Notes.

See "Team Roles" on page 46 for more information.

Using Title or ARC for Hyperlink Labels


Users can determine decide whether to use the Title or alternatively to display the ARC of the schedule
being linked to in the hyperlink label. This is determined by the ‘Use Title vs. ARC’ user preference. The
option is only applicable to Schedules which have an ARC:

l Work Program
l Procedure (uses ARC of the parent Work Program)
l Issue
l Recommendation (uses ARC of the parent Issue)
l Work Paper

Other schedules types will display only a Schedule Title irrespective of the user preference.
See "Appendix: User Preferences" on page 205 for more information.

Link to External Electronic Files


You can directly link the TeamEWP project to any external website URL (i.e. company Intranet or
Internet Websites).
Be aware that when linking to an external website, if the target of the link is deleted or changed the link
in TeamMate will not be updated. If linking to a page on an external website an alternative is to save the
page as an .mht (web archive) file and add this as a Work Paper to the Project.

TeamEWP User Guide 164


To create a one-way link to an external website:

1. Open the Procedure, Issue, Risk or Control where you wish to create the link and place the
cursor in a text field where you want the link to be created.
2. Enter a valid Web URL (use the following standard protocol. For example,
http://www.webaddress.com.)

To create a one-way link to an external electronic file:

1. Open the Procedure, Issue, Risk or Control where you wish to create the link and place the
cursor in the text field where you want the link to be created.
2. Select the option Insert Hyperlink from the embedded editor toolbar or right click menu.
3. Enter a label for the link, this is the label that will be displayed in the text field for the hyperlink.
4. Select radio button 'Existing file or web page'.
5. Enter the file path for the location or file prefixed with file:///.

NOTE: When referencing external files and Users must have permission to
access the location. If they do not have permission the link will not work.

IMPORTANT: The file path needs to use / to denote folders. Any spaces in
the folder or file names need to be replaced by %20. Any special characters in
the file name needs to be replaced with the appropriate Percent-Coding
character (examples below).

For example, to create a link from TeamEWP to the TeamEWP Help Guide, the syntax for the link
would be as follows:
file:///C:/Program%20Files%20%28x86%29/TeamMate/Help/TeamEWP%20User%20G
uide.pdf

TeamEWP User Guide 165


Review and Wrap Up
TeamEWP was designed to facilitate a top down or high-level review using the Snapshot and
Summary Viewers. TeamEWP contains Summary Viewers for Issues, Risks and Controls,
Procedures, Work Papers and Notes, which can be used to focus your review.
Almost all work created is automatically linked together in TeamEWP, making it very easy to begin your
review at a high level and then drill down to the details in the Work Program, supporting Work Papers
or even Notes.
Depending on the policies set you may, or may not be required to mark all documents as Reviewed.

Summary Viewers
Summary Viewers show an overview of items in TeamEWP. There are seven summary viewers, in
addition to the main Browser. All views show ARC reference, status indicators and titles for each
document.
Each view can be filtered and sorted from the View ribbon | Data panel | Filter button.
The summary views focus you on specific document types. They allow you to group, sort and filter
specific documents. In the summary views, you can:

l set appropriate filters,


l search and sort the list, and
l focus on items that have been Prepared or Edited Since Review.

Even though the content of Issues and Procedures cannot be changed directly in the viewers, you can
still mark documents as Prepared and Reviewed. To edit content, click the ARC at the top of the screen
to open the Schedule for editing.
The viewers are:

l Issues: A list view showing all Issues.


l Procedures: A list view showing all Procedures.
l Notes: Opens TeamTalk and displays a list of all Notes for the current project.
l Signoff Status: A table view showing all Work Papers, Issues and Work Programs.
l Risks and Controls: A working view showing all Risks and Controls associated with the project.
l Conflict Resolver: A view showing all Conflicts created by replication and/or sync processes.

Summary Viewers have the following features:

l All list views can be grouped by a variety of types and filtered by state. The Procedures View can
also be filtered by assignment.
l Issue/Procedure Viewers show in read-only format. To edit Issues or Procedures from these
views you can double-click the issue/procedure title.
l All table views show the initials and dates for edit, Prepared and Reviewed status as well as
assignment details, issues and Notes.

TeamEWP User Guide 166


l All columns in the table views can be sorted by clicking on the column headers and each table
view has quick filter lists at the bottom of the table.

To open a Summary Viewer:


The Go To ribbon | Summary Viewers panel includes buttons for all TeamEWP viewers. Alternatively,
the Go To Bar at the bottom of the screen includes shortcuts to each viewer. For example, to view a
summary of issues, click the Issues icon.

Tips for Review Approaches in TeamEWP


Your current audit methodology usually determines the approach you take to reviewing within
TeamEWP. Set out below are some tips to help you with this:

Top Down, Risk Based Review


l Start with the Snapshot
l Focus on Issues and supporting documentation
l Concentrate first on Prepared or Edited Since Review
l Look over in progress issues but do not mark as Reviewed
l Prepare Notes as required

Traditional Area Reviews


l Start in the Browser
l Open each Program group in turn
l Open the Work Program
l Focus on items that have been Prepared or Edited Since Review
l Review line by line
l Consider the use of filters
l Use the multi-edit option to sign of all Procedures at once if required

Documenting Your Review


To document your review, follow the basic guidelines outlined in the Signoff Options, except use the
Review signoff.

Change Acting Role


Team members can change their current acting role to a lesser role at any time. The two most common
occurrences of changing acting role are:

l Project Owners changing to a lesser role when they are also assigned to work on the project but
do not want the rights/privileges of their Ownership role to supersede the usual rights of an aud-
itor.

TeamEWP User Guide 167


l Any auditor that wants to look at work done in other sections of the project but does not want to
accidentally make edits to what is viewed changing their role to read only.

After downgrading your role, you can continue to work in the TeamEWP project with the rights of that
new role. When ready, you can promote yourself back to your original role, but no higher.

To change acting role on any screen in TeamEWP:

1. Click the Review ribbon | Review panel and select Change Role.
2. If demoting your role, in the dialog, choose any lower role than your current role.
OR
If promoting back to your role, in the dialog, choose your previous role.

Team Review Mode


Team Review allows two team members to use the same PC during the review process by allowing a
second team member to login to the project. Team Review mode toggles on and off when you select
the option.

To turn on Team Review Mode:

1. Select Team Review mode from the Review ribbon | Review panel.
2. When the session is finished selecting Team Review mode from the Review ribbon | Review
panel to turn off Team Review Mode.

NOTE: If you are currently logged in as a Preparer, TeamEWP will display a


list of any Reviewers that can log into the project. If you are currently logged in
as a Preparer/Reviewer, TeamEWP will ask you to identify yourself as either a
Preparer or Reviewer (while in Team Review Mode, you cannot act as both).

NOTE: Depending upon which role you select, TeamEWP will then display a
list of either Preparers or Reviewers.

NOTE: During Team Review Mode, when the preparer signoff button is
selected, the Preparer’s initials are recorded; when the reviewer signoff button
is selected, the Reviewer’s initials are recorded.

NOTE: If Windows Authentication is used Team Review Mode can only be


used if users have been assigned a Forms Authentication password. This
password is used to authenticate the second user into TeamEWP when
TeamReview mode is selected.

TeamEWP User Guide 168


Survey Manager
Post audit surveys can be sent to project Contacts using the TeamMate Audit Survey tool. Surveys can
be viewed and created using the TeamEWP Survey Manager.
See "Project Planning Tasks" on page 65 for more information.

Notes
During your review, you may want to ask questions or write comments to other team members working
on the Project. In TeamEWP these are called messages are called Notes.
Notes are also known as Coaching Notes or Review Notes and are typically used by senior member of
the audit team to provide feedback to a junior team member. They are however just messages
between team members working on the same Project and as such could be used by a junior team
member seeking advice from a senior, to exchange ideas or even just as a personal reminder.
Although Notes are created in TeamEWP and can be linked to specific schedules in a Project (Work
Program, Issue, Work Paper etc.), Notes are actually viewed in TeamTalk. TeamTalk allows you to
view and respond to all Notes from all Projects in a single place. TeamTalk even allows you to send
Notes that are not linked to a Project, these Notes are referred to as Global Notes.
See the TeamTalk User Guide for more information.

Note Workflow
The following represents a typical workflow for a Note in TeamEWP:

l Add a Note and select the desired team members as a Recipient.


l The recipients see the new Note in TeamTalk as an unread message.
l The recipient(s) respond to the Note adding comments.
l The author of the Note sees in TeamTalk that the Note has an unread comment.
l Conversation continues in TeamTalk until the author or senior team member determines that the
conversation is concluded.
l The Note is Closed.
l Optionally the Note can also be deleted.

NOTE: Your TeamEWP template may have a policy that Notes cannot be
deleted. Consult your TeamMate Champion for details about your
organization’s policy selections.

Types of Note
There are two types of Note that can be created in TeamEWP, a Schedule Note and a Project Note.

l Schedule Note: A Schedule Note is linked to both a specific schedule in the Project. When view-
ing the Note Detail pane a schedule Note will have link to the Project and a Ref link indicating the
specific Schedule that the Note is linked with. Notes can be linked to the following schedules in

TeamEWP User Guide 169


TeamEWP.
o Issue: A Note can be added to either an Issue one of the Recommendations that belong to
the Issue.
o Work Program: A Note can be added to either a Work Program or one of the Procedures
belonging to the Work Program.
o Work Paper: A Note can be added to a TeamEWP workpaper, for example Word, Excel or
TeamImage workpaper.
l Project Note: A Project Note is linked to Note which is linked to a Project but not to a specific
schedule in the Project. A Project Note will have a link to the Project but no link to a specific
schedule in the Project (no Refs link).
o Profile: A Note added in the Profile of a Project is a Project Note.

Notes can be added in TeamEWP in any of the following areas:

l Browser
l Issue Viewer and Editor
l Procedure Viewer and Editor
l Signoff Status Viewer
l Profile
l Word Work Paper
l Excel Work Paper
l TeamImage Work Paper

View Notes List


In TeamEWP it is possible to open and view a list of Notes for either a specific Schedule or alternatively
to view all Notes for the entire Project.

NOTE: Additional filters can be applied in TeamTalk, which can further filter
the number of Notes displayed.

To view All Notes for the current Project:

1. From the Browser or from the Go-To ribbon (All Views).


2. Click the Notes button.
3. TeamTalk will be launched displaying a filtered list showing only the Notes for the current Pro-
ject.

To view a list of Notes for a specific Schedule:


With the schedule selected, click the Notes button in the Home ribbon or Review ribbon (depending on
the Schedule you are working in).
TeamTalk opens displaying a filtered list showing only the Notes for the current Schedule.

TeamEWP User Guide 170


See Also:
See "Filter Options" in the TeamTalk User Guide for more information.

View Notes
From TeamEWP it is possible to directly open and view the details of a specific Note directly in
TeamTalk, it is also possible to open and view specific Notes from the TeamTalk List View.

l Starting in TeamEWP, the following actions are available, depending on your current selection in
TeamEWP:
o From a TeamEWP Schedule, click on a Note link from the text field or workpaper.
o From the Refs tab of a TeamEWP Schedule, click on a Note link.
o From the Browser Info View pane, click on a Note link.
o From the TeamEWP Explorer Centralized dashboard, click on a Note link.
l Starting in TeamTalk, click the subject text of a Note.
l In all cases, the selected Note will be opened and displayed in TeamTalk.

Add Note
New Notes can be added in both TeamTalk and TeamEWP. Notes added in TeamTalk can be either
Project Notes or Global Notes. Notes created in TeamTalk will have a link to the Schedule, but not to a
specific point in a text field or workpaper.
The advantage of adding Notes directly in TeamEWP is that a link will not only be linked to the current
Schedule, but a link will also be added directly in the text field or workpaper.
The type of Note created is determined by the Context in the Note List header.

To add a new Note:

1. From the Home ribbon or Review ribbon (depending on the Schedule you are working in), click
the down arrow below the Note button.

-OR-
From the Note List pane,

2. Click Add Note .

l TeamTalk opens and displays the Note Detail pane.


l The origin and reference are pre-populated from the information shown in the Note List
header context.
l The current user is automatically added as Note author.
l The Recipient will be set by default using the following logic:
o The user who last signed off on the TeamEWP schedule as Prepared, or

o If not Prepared the last user to edit the schedule, or

o If not Prepared, or edited, or the user who last prepared or edited is canceled no default

Recipient will be assigned.

TeamEWP User Guide 171


3. Add a Note Subject and other Note properties.
4. Add Recipients.
5. Add text to the Note text field. Entering text in the comment field will enable the Post button.
6. Click Post to complete the process of adding a new Note and saving it to the TeamMate data-
base.

l A link to the Note is added in the Refs tab of the current Schedule in TeamEWP.
l If the selection was an editable text field or workpaper, a link will also be added in the text field
or workpaper.

NOTE: Adding a Note to a Recommendation, the Refs link will be shown in the
Refs tab of the parent Issue.

NOTE: Adding a Note in the Profile will create a Project Note that has no any
link to a specific Schedule in the Project.

See also:
See "Working with Notes" in the TeamTalk User Guide for more information.
See "Global Notes" in the TeamTalk User Guide for more information.

TeamEWP User Guide 172


Reporting
Reports in TeamEWP are created in Microsoft Word format. When a team member runs a report,
TeamEWP sends the selected data to a MS Word template. A Word document is created from the
TeamEWP data and template formatting/logic to create a report which is saved into AS2: Reports
folder.
When running the report, you can select a different folder, or to save it as an external Word document
that can be distributed to other members of your department or to the auditee.
The most common TeamEWP report produced is the Issues Report. The Issues Report produces a list
(or table) of Issues in a report format that can be used as a basis for your Draft and/or Final Report.
You can customize the report formats supplied with TeamEWP to meet the needs of your organization.
Your TeamMate Champions will do this using the TeamEWP Report Writing Guide.

Run Reports
To run a report:

1. Choose Generate Report from the Review ribbon | Reports panel.


2. Select the report template that you wish to run. If the report is not listed you may use the browse
option to search for it.
3. Set the appropriate filters and sort options.
4. Select the items that you want to appear in your report.
5. Choose whether to save the report in your project file, or as an external Word document.
6. Click OK.

NOTE: In summary viewers, you can pre-filter and sort the documents before
running the report. Additionally, issues can be re-ordered in the Issues Viewer
to correspond with the order you expect them in the report. This will allow you
to predefine the order of Issues in the report.

Export Report
To export a report:

1. Select the report you want to export from the AS: Reports folder.
2. On the Home ribbon | Edit panel select Export Workpaper.
3. Select a location to save the file to, or email it directly to a recipient.

NOTE: If you plan to use Track Change functionality in Word, turn this on in the
report before exporting.

TeamEWP User Guide 173


NOTE: If using extract tags, ensure that the recipient is aware of how to turn on
bookmarks in MS Word so they know where to enter their responses.

See "Authoring Commands" in the TeamEWP Report Writing Guide for more information.

To turn on bookmarks in MS Word:

1. Go to the Home button.


2. Select Word Options.
3. Go to Advanced | Show Document Contents.
4. Select Show Bookmarks.

The same report can be edited by many people before it is returned to your department for importing
back into TeamEWP.

Importing Report Changes


Some fields can be set to allow contacts to enter or update text for Issues in a TeamEWP report. This
information can then be imported back into your project file. These fields must be set up as extract fields
in the report template. See the TeamEWP Reporting Guide for details.
Importing a report can be performed multiple times.

To import a report:

1. Select Import Report from the Review ribbon | Reports panel.


2. Browse to the file location.

NOTE: if you have imported the report as a Work Paper, select it and choose
Action | Import Report.

3. Confirm you have selected the correct report.


4. If there are changes, the Wizard will display all issues with a change.
5. Check the box to the left of each Issue that you want to import. You can use the ‘Select All’ button
at the bottom left of the form.
6. Click OK.

NOTE: If an Issue has been released to TeamCentral it is no longer possible to


make edits in TeamEWP. In this case changes made in a TeamEWP report
using Extract fields are not be imported into the Project. This is indicated in the
Import wizard.

TeamEWP User Guide 174


Restricting the Import
Given that the full edit history of fields will not be maintained in TeamEWP when data is imported from
MS Word (for example, we cannot know who made the change in MS Word when the report was
exported to management), you may want to restrict who can import reports and accept any changes
made by management/clients.
By default, the security policy only allows the Project Owner, Project Manager or Project Lead to
perform changes from TeamEWP Reports. There is a security policy to allow TeamEWP Report
Import by normal users. Note that this excludes Read Only or Reviewer Only roles.
In addition, no user can import a report in a replica. This restriction prevents master data from being
overwritten unintentionally.

Standard Report Templates


TeamEWP includes pre-formatted Word reports that can be run from within the TeamEWP Reports
menu. The reports provide standard information for each report format.

l TeamEWP Engagement Letter: sample template engagement letter that includes Contacts,
Team members and details from the Profile text tabs.
l TeamEWP Planning Memo: sample template planning memo that includes Contacts, Team
and details from the Profile text tabs. It also includes Project Milestones and Dates.
l TeamEWP Procedure Report: sample Procedure listing which includes all Procedures in the
Project grouped by Work Program with test details and results details.
l TeamEWP Project Status: sample Project Status listing which includes details from Profile text
fields, counts of Procedures in each workflow state and signoff details for each Procedure.
l TeamEWP Recommendation Listing: sample Recommendation listing which includes details
of each Finding and associated Recommendations.
l TeamEWP Attributes Report: sample Recommendation listing containing Attribute values for
all Recommendations in Project.
l TeamEWP Draft Report: sample template draft audit report. Includes a distribution list from the
Profile Contacts, team members, Project Summary and Rating from Profile Summary tab. All
details from Profile text tabs. Full details of all Issues in the Project.
l TeamEWP Executive Summary: sample template audit report executive summary. A sum-
marized version of the draft report including only high priority Recommendations.

NOTE: This report template uses example category value ‘High’ for
Recommendation Priority. If your organization does not use this category value
the template will need to be modified before use.

l TeamEWP Final Report: sample template final audit report including all information from the
Draft Report template detailed above.
l Action History Report: details all audit action history for each work program section and dis-
plays action, team member, member title, and date.

TeamEWP User Guide 175


l Notes Report: report provides details of all Notes including:  creation date, routed to, author, pri-
ority, done by, cleared by, subject, detail, and response.
l Combined Issues Report: this report provides details on project and issue information including: 
all information in the project profile tab and information from all issues. Specifically, it provides all
the data elements in one report.
l Combined Procedures Report: this report provides details on project and procedure inform-
ation including: all information in the project profile tab and information from all or selected pro-
cedures.
l Controls Report: details each control selected to reported on from the identified project. Inform-
ation includes the controls details and all attribute properties.

l Entities Report: the report displays the project details and the entity structure defined from the
Risk viewer. Specific information includes the project code, name, unit, group, type, location,
scope, origin, and entity structure.
l Issue Contacts Report: this report provides details on each project contact and the cor-
responding issue they are responsible for in resolving. Information detailed in the report include: 
issue title, owner, approver, final approver, required approver, contributor, and observer.
l Issue States Report: this report lists all issues from a project and their current status.
l Procedures To Issues Report: this report will display the all or selected audit procedures and
corresponding issue for the procedure tested.
l Procedures To Work Papers Report: this report will display the audit procedures (all or selec-
ted) and corresponding workpaper completed for the procedure tested.
l Profile Report: this report details information from all tabs and properties from the project profile.
l Programs Report: the report displays results of each program section including: rating, sum-
mary, and overview.
l Project Summary Report: this report documents the general project information attributes,
along with project summary information, procedure attribute summary, and issue detail sum-
mary.

NOTE: This report template uses example category values for Issue Type
‘Material Weakness, Reportable Condition, Compliance’ and example
category values for Recommendation Priority ‘High, Medium, Low’. If your
organization does not use these category values the template will need to be
modified before use.

l Risk Matrix Report: the report will detail risks (all or selected) from a project including: risk title,
risk code, risk description, risk category, inherent & residual score, control, procedure tested,
issue title, recommendation priority, and recommendation owner.
l Risk Scores Report: this report displays all or selected risks from a project and corresponding
pre & post scores.
l Risks Report: this report provides information on all or selected risks from a project including
title, code, description, notes, and all risk properties.

TeamEWP User Guide 176


l Schedule Status Report: details the same information shown in the Signoff Status View for the
project.
l Work Papers Report: details all workpaper results information including workpaper section,
workpaper title, creation date, Prepared and Reviewed initials/date, and Edit initials/date.

See also:
See "How to Create a Report Template" in the TeamEWP Report Writing Guide for more
information.

TeamEWP User Guide 177


Project Completion
When testing is complete and all Issues have been documented, there are typically a few completion
steps that each Audit Group does to ensure completeness of the file and that a final report can be
issued.

Project Summary
The Profile Summary tab lets you enter information about the final project results. The cost savings and
cost avoidance fields may be automatically calculated for you.
You can select Final Risk and Opinion from your project lists. You can enter summary conclusion text
and, if used, update the scorecard information.

Milestones
The Profile | Status and Milestones tab should be reviewed to ensure all milestones being tracked for
the project have actual dates entered.

Project Status
The last step, once all field work is completed, is to move the project to a completed status. Depending
on the methodology of your group, you may skip one or more of the statuses detailed below.

l Post Fieldwork (Draft Report): the project file will be scanned to check that all Schedules and
Procedures have been signed off and Notes do not remain open. If Schedules and Procedures
are not signed off, or Notes remain open, a warning will be displayed listing the items not meet-
ing the scan criteria.

As the scan is optional, regardless of the scan status, once complete or skipped, the project will
be changed to read only status except the AS folder.

l Responses Accepted: sets the actual date for this status. If Post Fieldwork was skipped, this
status will also change the project to read only status except the AS folder.
l Issued (Final Report): sets the actual date for this status. Changes the entire project to read only
including AS folder. All Issues are included in TeamCentral reports but are not yet released to
TeamCentral Implementation Tracking.
l Implementation Tracking: will change all tracked recommendations to pending state and will
release Issues to TeamCentral for Implementation Tracking.

To change the Project Status:

1. Select Status from the Review Ribbon | Wrap-up panel.


2. Check the box next to the desired status.
3. Optional. Change the Actual Date which will default to today.

Send to TeamCentral
Sending projects to TeamCentral is only required if projects are distributed. This final send will update
project information for Audit Plan/ Project Tracking and Issues/Recommendations for Implementation
Tracking.

TeamEWP User Guide 178


To send to TeamCentral:

1. From the Review ribbon | Wrap-up panel select Send to TeamCentral.


2. Click Next.
3. Choose appropriate filter and sort options.
4. Deselect any Issues that are not to be sent.
5. Click Next.
6. Choose which method you will use for the TeamCentral Send.

l Send to Web Service: This is the recommended approach for performance reasons. This
requires a valid service configuration file on the local machine set up by your local TeamMate
Champion or Information Technology department. Once set up, the user simply selects the
service name.
l Send to Database: Requires the location of the database or connection file.
l Send to XML: creates an XML file that can be imported into TeamCentral.

NOTE: When a project status is set to Implementation Tracking, a Send to


TeamCentral is triggered.

NOTE: The send process does not send Procedures, Risks and Controls,
Work Papers or Notes to TeamCentral. If your group would like to report on
this information across projects, either change to centralized mode or
consolidate projects after they are completed. Information on both options can
be found in the Installation and Technical Configuration Guide.

TeamStore Sharing
TeamMate can help to promote consistency and improve efficiencies by allowing you to share
information between teams and projects. This is done through the TeamStore.
To make Work Programs, Work Papers, Issues, Risks and Controls available to other teams and
projects it is recommended that at the end of the project you send these schedules to your TeamStore.

To send to TeamStore:

1. Go to the Review ribbon | TeamStore Sharing panel and then select Send Programs, Send
Work Papers, Send Issues, Send Risks or Send Controls.
2. Complete the selections in the TeamStore Send Wizard. You can select All or include only the
items you need. Click Next to page through the options.
3. Select the Destination. Options include the current database, or an offline database.
4. Select the replace Options at the bottom of the page and then click Finish.

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Finalization
Once your project is completed, you have the option of cleaning up the file by Finalizing the project.
The Finalize process prepares the project file for archiving purposes. It is not a mandatory process.
Project files should only be finalized when the work has been completed and no more changes are
necessary, as once the project file has been finalized it will be marked as Read Only to everybody –
regardless of their role
The Finalization process:

l Checks the status of work papers and schedules.


l Optional. Removes Notes.
l Optional. Removes Edit Histories of work papers.
l Makes the project file ‘Read-Only’.
l Marks the project file as ‘Finalized’.

The Finalize Wizard will guide you through the multi-step process. The wizard performs a number of
checks on the project and, depending on the policies set, allows the finalization process to continue or
not continue.
For example, if your organization has established a policy that a project shall not be finalized until all
Issues have been signed off as ‘Reviewed’, then the Finalization process will stop if it finds Issues that
are not reviewed. More information about these policies can be found in the TeamMate Champions
Guide.
To Finalize a project go to the Review ribbon | Wrap-up panel and select Finalize.

NOTE: The TeamEWP policy ‘Restrict Finalize to Project Ownership team’


can be used to restrict this feature to users with a Manager, Lead Auditor or
Project Owner role.

NOTE: Finalization can be reversed by an Administrator using TeamAdmin.

NOTE: In TeamMate Explorer, a (checkered flag) next to the status


indicates the Project is Finalized.

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Replication (Working in Teams)
Replication is the process of sharing a TeamEWP project among Team members. The method of
sharing / replicating the project will vary based upon your department needs and IT infrastructure.
Contact your TeamMate Champion for more information on the replication method being used by your
department.
TeamEWP allows more than one team member to work on the project at the same time and uses
Master files and Replica files to facilitate information sharing:

l Master files are the main, central copy of the project. Many or all team members can work in a
master at the same time.
l Replicas contain the Master files and are typically used when a user needs to work while dis-
connected from the database, such as when working in locations with no or poor Internet con-
nectivity. Users can also choose to create and work on replicas even if they still are connected to
the database.
l Replicas are essentially a special copy of the Master file that contains one or more elements
from the Master file. When elements are included in replicas they are not removed from the mas-
ter file. They are identified as replicated to assist in preventing accidental editing which might
cause conflicts. The user can either open in read only mode, or open to edit with the under-
standing that any user who has a replica may also be editing the same data element. The data
element is defined at the field or record level depending on specific field being edited.

Replication is used in TeamEWP as a way to work on projects offline. For many clients, either their
existing technical infrastructures, or their need to work when not connected, make it impossible to
assume auditors can work directly on a master project at all times.
Replication provides reviewers a way in an office to continuously review projects underway by staff
outside the office.
Replication also provides users the ability to create full or partial (discrete) replicas of a TeamEWP
project, perform work on that replica while disconnected, and then sync/merge their changes back into
the master. When a user is connected, they can perform a bi-directional sync (which will apply the
replica changes to the master, and the master changes to the replica) and keep working with their
updated replica. In environments where auditors are never connected to the office (for example, they
only have access to email), someone in the office can create a replica file (.TMR) and email it to them,
they can install the replica and work on it remotely, and when done, they can create one or more
update files (.TMU) and email back to the office where someone can merge their changes for them.
Replica/Update files are often larger than email systems allow, so the files are often shared using flash
drives, shared data servers or ftp sites. Replica/Update files are encrypted and compressed and can
only be opened by the TeamEWP application.
TeamEWP also supports the concept of multi-tier replication scenarios up to 2 levels. Specifically, this
means that one can create a replica (considered tier 2) of a replica (considered tier 1). In this case, one
can only merge or synchronize to the immediate parent of the replica such that a tier 2 replica can only
merge into the tier 1 replica, and not directly with the master.
For those using multi-tier replication, there is an automated process that can be set up to auto sync the
replicas from the tier 2 replica to the master project.
See "Replication Auto Sync Settings" in the AM Champions Guide for more information.

TeamEWP User Guide 181


NOTE: The .tmr and .tmu replication files are encrypted using AES 256
standards.

Creating Replicas
To create a Replica from the Master:

1. Log into the Master project.


2. From the Browser select the Replicate option on the Home ribbon | Replication panel.
3. Select the Discrete or Full option. The Discrete setting allows selection of sections to replicate.

l If Full is selected the entire project will be included in the Replica and no further choices are
required in this screen.
l If Discrete is selected then use the checkboxes to include Schedules in the replica. Selected
sections must show in right box; only items in the Selections box will be replicated.

4. Click Next.
5. Select the destination.

l Default is Download directly to a Replica location will install the replica in the location determ-
ined in your preferences.
l Alternatively Create a Replica Transport (.tmr) file will create a file that can be sent to the
intended recipient and installed. The .tmr file uses a naming convention of Project Code and
the initials of the user the replica was created for.

6. Click Finish

TIP: When creating a discrete replica you can automatically select all
Schedules assigned to a specific user. This is an easy way to create discrete
replicas for each team member.

NOTE: Policy settings in TeamEWP may restrict the size of work papers to be
included in a replica.

See "Policies Properties" in the AM Champions Guide for more information.

NOTE: Create discrete replicas when appropriate. Using discrete replicas


reduces replica size and improves performance. Discrete replicas can save
time on large projects with very large Work Papers, or large numbers of Work
Papers. Use discrete replicas when you only need to work on a small part of
the project at a time.

TeamEWP User Guide 182


NOTE: Plan projects so that for the most part, only one person needs to work
in a folder at a time. This will help delineate responsibility and facilitate usage of
discrete replicas.

To create a Replica from a Replica:

1. Log into the Tier 1 Replica. This is indicated by the replica numbering. A hierarchical replica num-
bering system is used. Replica 1 would have child replicas of 1.1, 1.2, etc. Replica 2 would have
child replicas of 2.1, 2.2, etc.
2. Go to the Browser and select the Replicate button from the Home ribbon | Review panel.
3. Follow steps 3 to 6 to Create a Replica from the Master.

NOTE: Only items contained in the parent replica can be included in a tier 2
replica.

To install a Replica (.tmr):

1. Launch TeamEWP and open the TeamMate Explorer.


2. Select a tab in the Explorer.
3. Click Replica Icon.
4. Select or Browse to find the .tmr file.
5. Click Next and then Next again.
6. Select the destination TeamMate Explorer tab for the replica.

NOTE: A replica cannot be installed in a Centralized database. Replica


databases can be created for regional or remote offices that contain more than
one Tier 1 replica. If replica databases are used, a tab on the TeamEWP
Dashboard will have to be set up to display these replica projects (see Adding
and Modifying Location Tabs for instructions). The TeamMate Champions
Guide also contains additional guidance on when replica databases should be
used.

Working in a Replica
For the most part, working in a replica file is no different to working in a master. Essentially, full
functionality is available on a replica including the following:

l It is possible for multiple team members to work in a replica if it is placed on a network drive or in
a replica database. This option might be used where there are teams working on the same pro-
ject in geographically dispersed office.

TeamEWP User Guide 183


l A Project Owner, Project Manager or Project Lead can edit profile fields except Status and Mile-
stones. Other edits may be prevented based on TeamEWP edit policies.
l A Project Owner, Project Manager and/or Project Lead can add team members to a replica.

However, the following actions cannot be performed in a replica:

l Schedules that were not replicated cannot be opened


l Save as template
l Send to TeamCentral
l Import XML
l Import TeamEWP report
l Upgrade Office documents
l Freeze programs
l Application exchange (GRC)
l Finalize
l Add/edit global tickmarks
l Edit terminology
l Protect schedule (freeze/confidential)
l Delete user
l Change project status
l Edit audit plan and entities
l Edit advanced project settings
l Edit policies

Synchronization
Bi-directional synchronization (sync) allows work carried out on a replica to be sent to the Master
Project, while work carried out on the Master is downloaded to the Replica. Synchronization keeps the
master and replica in sync and allows for the continuation of working without taking another replica.

To sync a replica with a master:

1. Open the Replica project.


2. Go to the Browser and select the Sync button from the Home ribbon | Replication panel.
3. Wait until the sync process completes, and then click OK.
4. Review any conflicts, and then click Close.

See "Resolving Conflicts" on page 187 for more information.

TeamEWP User Guide 184


NOTE: Plan your synchronization schedule. If you are syncing more frequently
than daily, or less frequently than weekly, consider adjusting your schedule.
Because synchronization is a processing intensive operation, you should use it
whenever you need to share your changes with other team members, or you
need to get other team member changes. Avoid using synchronization as a
“Save” button to make the best use of your resources.

Update/Merge
If sync is not available, for example because a good connection to the Master project is not available
then an update file (.tmu) can be used to merge the work carried out on the replica to the Master.
Unlike sync, the Update file will not download work carried out on the Master to the Replica.

To create an Update File:

1. Open the Replica project.


2. From the Browser and select the Create Update File option from the Home ribbon | Replication
panel.
3. A summary of changes in the replica is displayed for informational purposes.
4. Click Next.
5. Select the destination such as a drive, USB key or email recipient. By default the Update file will
be created in the location determined in your preferences.
6. To continue working in the replica, ensure that the checkbox ‘Continue working with this rep-
lica’ is selected.
7. Optional. Select the ‘Create cumulative update file’ option. This option is required when a pre-
viously created .tmu from a user is lost or cannot be merged. A cumulative .tmu includes all the
changes since the update file was created or since last successful sync. These .tmu files can be
large and lengthy to merge and are therefore only suggested where previous .tmu’s cannot be
merged.

NOTE: If the ‘Continue working with this replica’ option is not selected it will no
longer be possible to continue working in the replica. This is indicated in the
Explorer with a red arrow icon.

To merge an Update File:

1. In the master, from the Browser select Merge option from the Home ribbon | Replication panel.
2. Select the replica to be merged. You can browse to find if not in the default directory.
3. Review the merge information carefully, and then click Next.
4. Click Finish.
5. Resolve Conflicts, if any, and then click Close.

TeamEWP User Guide 185


NOTE: Merged replicas will display with a red icon in TeamMate Explorer.

Managing Conflicts
A conflict occurs where two users have made changes to the same schedule in a project while working
in a replica. TeamEWP cannot determine whose work is correct and therefore identifies the twice-
edited item as a conflict. In this case, TeamEWP retains both users work until the team reviews the
changes which were made by each user and selects which work should be kept.
Whenever merge or sync operations occur, if there are any conflicts detected, they are flagged and
stored until resolved. An indicator is displayed for items which are currently in conflict, and they may be
resolved in the conflict viewer, which presents the fields in conflict side-by-side for review and
resolution with the click of a button. Conflicts are shown with an icon.

Actions that Cause Conflicts


l Edits made to the same workpaper in the Master and a Replica or sibling Replicas or par-
ent/child Replicas.
l A change to the same field for an Issue, Procedure, Risk or Control in the Master and a Replica
or sibling Replicas or parent/child Replicas.
l A reviewer creates and anchors a Note to a workpaper on a Replica while a preparer edits the
same workpaper on the Master or sibling Replicas or parent/child Replicas.
l Changing the sort order of Issues, Risks and Controls or Procedures in the applicable viewer in
both Master and Replica.

Actions that do not Cause Conflicts


l Conflicts are field level specific for Issues, Procedures, Risks and Controls. This means that if
one field changes in the Master but a different field changes in the Replica, the item is not in con-
flict, the edits are merged back into the Master.
l Editing or adding comments to a Note.
l Workpaper signoff in a Replica and an edit to the same workpaper in the Master.
l Work Program: An edit is made to a Procedure in a Replica and an edit is made to a different
Procedure in the same Work Program in the Master. Similarly, if a Procedure is added to a Work
Program in a Replica and a Procedure is added to the same Work Program in the Master,
TeamEWP will merge all new and changed Procedures together and not report a conflict.
l Schedule Tickmarks: If the same tickmark is added on the Master and Replica, TeamEWP will
keep copies of both tickmarks.

TeamEWP User Guide 186


Minimizing Conflicts
Good working protocol will minimize the number of conflicts. Two team members should not edit the
same document at the same time.

l Use the workflow policies to restrict editing to assignee.

See "Assigning Work" on page 84 for more information.

l Reviewers should only sign-off on schedules that have been prepared or edited since review. In
progress schedules will change and reviewer sign-off may cause a conflict.
l When working in a Master or Replica if the user does not want to make changes they can tem-
porarily change their role to Review Only or Read Only by selecting Change Acting Role from
the Browser Home ribbon | Review panel. This prevents changes from being made inad-
vertently.
l Preparers should not edit documents that have been prepared since they might be under review.
l Team Members should pay attention to all warning screens that show documents are in use or
have been reviewed. These reminders can be configured by going to the TeamEWP button |
Preferences and selecting the Reminders tab.
l Use ‘Display Save Confirmation’ user preference to prevent accidental edits being saved. This
allows Signoff changes to be saved without an edit being recorded.
l Use ʻDisplay Signoff option when closing Work Paper and Issue schedulesʼ user preference to
prevent accidental edits being saved. This allows Signoff changes to be saved without an edit
being recorded

Resolving Conflicts
When Replication conflicts appear, use the Conflict Resolver to resolve them.

To view and resolve conflicts using the Conflict Resolver:

1. From the Browser select the Conflict Resolver option from the Home ribbon | Replication panel.
2. In the top left, select the name of the replica you wish to view/ resolve conflicts for.
3. Select the conflict to view / resolve.
4. All conflicting fields will display on the right side of the screen. Replica values display in the left
columns and master values in the right columns.
5. Actions you can perform:

l Select Replace All at the top or Replace for only the items where the replica values should
replace the master values
l Select an item and click Append to add the child information to the parent item
l Select only specific text in the replica value to copy/ paste to a selected point in the master
value
l After replace, or instead of replace, type additional text in the master value
l Do nothing, which will promote the master value

TeamEWP User Guide 187


6. When all changes are complete, click Accept and move to the next conflict item.
7. Close the Conflict Resolver when conflicts are resolved.

TeamEWP User Guide 188


NOTE: The Conflict Resolver can also be opened from the Navigation bar at
the bottom of the screen.

If the schedule in conflict is a Work Paper, both Work Papers (parent and child
versions) will show up in the Conflict Resolver; however, you will need to open
the attached Work Papers and compare these.

The same rules apply between a parent replica (Replica 1) and a child replica
(Replica 1.1). Also child replicas can never be merged or synced directly with
the master.

All conflicts must be resolved in the parent.

The replica conflict value will always appear in the Conflict Resolver in both the
parent and child; however, if viewing the conflict item in other ways (i.e,
Browser, Work Program, etc.), it will show the parent value until the conflict is
resolved.

Resolve conflicts as quickly as possible, so everyone sees the updated


information.

Managing Replicas
From the Browser select Replica History from the Home Ribbon | Replication panel. This shows all
replicas, the team member that they were assigned to, and if they have been merged or synced, and
the actions taken on merging. The dates of replication and merger are shown.

l Review this list on a regular basis to make sure that replicas are not left outstanding for a long
time.
l If a replica is lost, that replica can be discarded to unlock the schedules in the master project file.
l Replicas can only be merged if they have no outstanding replicas themselves.
l Project Owners have the ability to delete a replica on a database if there are no unmerged child
replicas.

TeamEWP User Guide 189


Tools and Utilities
If you are a TeamEWP Administrator or Project Owner, there are certain other functions in TeamEWP
that may occasionally be used to diagnose or fix problems in TeamEWP project.

Tools
Tools are located by clicking on the TeamEWP icon on the top left corner of the application and then
clicking on Tools near the bottom of the list:

l Reconnect: This option can be used by any user to attempt to reconnect to the TeamMate data-
base where a connection has been dropped. Note this is only enabled when a data connection
has been lost.
l Validate Database: This function cleans up orphaned data records in the database and
removes any invalid work papers from the project (work papers that appear greyed out in the
Browser). This function should only be run when all other team members are logged out of the
project and all replicas have been merged for the final time.

NOTE: This tool is only available in TeamAdmin. Validate Database Schema is


found in TmDbAdmin.

l Create TeamMate Project Diagnostic: This will create a copy of the master project into a zip file
that can be sent to TeamMate Support. This file cannot be used as a way to extract a project,
restore as distributed or to consolidate it into another database. Options allow Work Papers and
HTML text fields to be removed in the case the project contains sensitive data.

NOTE: This tool is available in both TeamEWP and TeamAdmin.

l Manage HTML Fields: This option converts and compresses the project text fields to, either
HTML or plain text depending on the option selected.

NOTE: This tool is only available in TeamEWP.

l Upgrade Office Documents: This upgrades MS Word and MS Excel Work Papers from
Microsoft Office 2003 or below to Microsoft 2007. The file extensions are changed from .doc to
.docx for MS Word, and from .xls to .xlsx.

NOTE: This tool is only available in TeamEWP for distributed projects. In a


Centralized database this option will be disabled in TeamEWP but is available
in TmDbAdmin.

TeamEWP User Guide 190


Backups
If your TeamEWP project is centralized, then back-ups are covered by your organization’s IT backup
procedures and the TeamEWP backup feature will be disabled; however, if you are working in a
distributed Master project or replica, it is important that you backup your project files on a regular basis,
in accordance with your organization’s IT policy.

Creating a Backup
To perform a Backup:

1. From the TeamEWP File Menu select the Backup menu option.
2. Select a location where the backup is to be saved. This can be any location, such as your LAN, a
flash drive, zip drive, etc. If a project backup already exists in the backup location, TeamEWP will
ask whether it should be replaced with your new backup.

NOTE: TeamEWP can create auto backup for you at predefined intervals and
to predefined locations. These backup options are normally set in your
TeamEWP template. If preferences have not been set, select Settings from the
Admin ribbon and open the Auto Backup tab to set defaults as necessary.

Restoring a Backup
To restore a backup:
The TeamEWP can restore a backup of the project file when necessary. There are three steps in the
Wizard. The Wizard will guide you through the process. To restore a backup using the Restore Wizard:

l In TeamMate Explorer, click the Restore button to begin:


l Select a backup file. Utilize the browse function if backup file is not displayed.
l Select the contents of the backup file.
l Select the Location tab where the backup should be restored

NOTE: It is not possible to overwrite the Master project with a backup. If you
wish to replace a Master with a Backup either delete the Master first or select a
different Location tab.

TeamActivity
TeamActivity is available from the TeamEWP Admin ribbon. TeamActivity allows users to view who is
currently logged into a Project and also the last login date / time for each user. The following
information is available in TeamActivity

l Team member: Name of team member.


l Number of Logins: Number of times a user has logged into the Project.

TeamEWP User Guide 191


l Last login: Date and time of last login.
l Last log out: Date and tome of last logout. Will show ‘Active’ if the user is currently logged in.

If an unexpected event occurs and a user is shown as being logged into a Project when they are not in
fact logged in this login can be cleared by clicking the reset button.

TeamEWP User Guide 192


Appendix: Project Settings and Customization

Terminology in TeamEWP
If the Template you created your project from is locked, no further changes can be made to your
TeamEWP project; however; if it was not locked, you can perform the following 3 procedures:

To show or hide Terminology (tabs):

1. Click Project Settings on the Admin ribbon.


2. Select the Terminology tab.
3. Select or deselect the checkbox next to the desired terminology.

To edit Terminology:

1. Click Project Settings on the Admin ribbon


2. Select the Terminology tab.
3. Select Terminology you wish to edit.
4. Click the Edit button on right.
5. Type your edits, and then press Enter.

To use Global Terminology (set up using TeamAdmin):

1. Click Project Settings on the Admin ribbon.


2. Select the Terminology tab.
3. Click the Get button.
4. Select Yes to continue.

NOTE: Selecting the Get option will replace all existing template and/or project
terminology with the template terminology; however, you can select global
terminology instead. To view and set up Template and Global Terminology,
use TeamAdmin. For more details on Template and Global Terminology see
the TeamMate Champions Guide.

Categories in TeamEWP
If the Template you created your project from is locked, no further changes can be made to your
TeamEWP project; however, if it was not locked, you can perform the following.

To add Categories (selection lists):

1. Click Project Settings on the Admin ribbon.


2. Select the Categories tab.

TeamEWP User Guide 193


3. Select the list you wish to add Categories to by clicking with the mouse.
4. Click Add on the right.
5. Type the Category name, and then press Enter.

To edit or delete Categories:

1. Click Project Settings on the Admin ribbon.


2. Select the Categories tab.
3. Select the category to edit or delete by clicking with the mouse.
4. Click Edit or Delete on the right.
5. Type or select your changes, and then press Enter.

NOTE: If the Project is in Fieldwork or higher status you cannot delete


categories.

To use Template or Global Categories (set up using TeamAdmin):

1. Click Project Settings on the Admin ribbon.


2. Select the Categories tab.
3. Click the Get button on right.
4. Select Yes to continue for template categories.
OR
Select Global and then Yes to select global categories.

NOTE: Selecting the Get option will replace all existing template and/or project
categories with the template categories by default; however, global can be
selected. To view and set up Global Categories use TeamAdmin.

NOTE: New Categories created in TeamEWP are added to the Global


Categories immediately if the TeamEWP Project is centralized or upon Send to
TeamCentral if distributed.

TeamEWP Policies
Policies for the project can be set in the Template or set up in the individual projects.
Policies available in TeamEWP include:

l Integration Policies: Related to how TeamEWP functions with the rest of the Suite.
l Security Policies: Restrict ability to make profile edits, discard replicas, templates & reporting.
l Customization Policies: Ability to Freeze or Hide specific customization and profile selections.

TeamEWP User Guide 194


l Workflow Policies: Related to the assignment of work.
l Signoff Policies: Restricts/Enables available sign-off capabilities.
l Finalize Policies: Select options for project finalization process.

To edit policies for an individual project:

1. Select the Settings button from the Admin ribbon.


2. Click to check (turn on) or uncheck (turn off) the checkboxes for the policies.
3. Optional. Adjust the file size limitation for work papers as attachments or to be included in rep-
licas by clicking the checkbox to activate the limitation and typing the KB limit. You can select
both Limit workpaper attachment size and Limit replication workpaper size. Suggested limits
for workpaper attachments are 50 MB or less.
4. Click OK.

See "Policy Properties" in the AM Champions Guide for more information.

Other Project Settings


In addition to Terminology, Categories and Policies the following Project Settings can also be set up
and included in a Template. These settings can be viewed or changed by selecting Settings from the
Admin ribbon and then selecting the appropriate tab.

Auto Backup
Determine auto backup settings which will be used in Distributed or Replica projects.

l Auto Backup: Whether or not auto backup will run when a Project is closed.
l Frequency: If auto backup is enabled this determines the frequency with which TeamEWP will
create backups.
l Number of prior backups to be retained: Allows x number of previous backups to be retained. If
not selected new backups will overwrite those created previously.

Suite Integration
Set the location of the dbconnect (also known as .tmc file) which is used to connect to the Centralized
database.

Advanced
Determine the following advanced settings for the Project.

l Tickmark style: Select either Classic Tickmark symbols or the alternate Extended Tickmark
symbols (Greek letters) for use in the Project.
l Browser Reports: Select a default folder for TeamEWP reports (by default, TeamEWP uses the
AS2 folder).
l Security: Determine whether database encryption and / or Workpaper encryption will be used in
the Project.

TeamEWP User Guide 195


NOTE: Security cannot be changed after the Project has been created.

l Clear Cache: Clears the cache of Terminology and Categories used in the Project.

Save as Template
All of the configuration options listed above, along with functional elements of a configuration such as
Folders, Work Programs, Work Papers, team members, Global Tickmarks can be included in a
Template. When a Template is used to create a Project all of these configuration options are applied to
the new Project automatically.

To create a Template:
Select Save as Template option from the Admin ribbon.
See "Templates in TeamMate" in the AM Champions Guide for more information.

Project Roll Forward


This process is only available in a Centralized database. The option is found on the Admin ribbon and is
enabled only for the project ownership team (project owner, project lead, and project manager) when
the ‘Restrict the Save as Template to Project Ownership team’ is enabled; otherwise, it is available for
all team members. It is used to split projects and retain all assignments and edit history. It is also
provides users, which carryout recurring audits of the same entities, the ability to roll forward prior
audits to create new projects containing all prior year data.

IMPORTANT: This process locks the database. It is advised to run this


process when no one is accessing the centralized database. The length of the
lock depends on a couple factors, but is mainly tied to the size of the project
being rolled forward.

IMPORTANT: If you roll forward or split a project in TeamEWP that originated


from TeamRisk, the entities, risks, and controls added will not be included in
the Risk Assessment when doing a roll forward in TeamRisk. Additionally, the
post audit scores from the roll forward project will not be included in Risk
Assessment. Clients using TeamRisk may not want to perform the project roll
forward in TeamEWP as this severs the relationship back to the Risk
Assessment for the new (rolled forward) project.

NOTE: The Template cannot be changed. The Roll Forward project must use
the same template as the parent project.

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NOTE: Workpapers that were sent to the Recycle Bin in the Original Project
are not included in the roll forward process, therefore the rolled forward project
does not have those workpapers.

To perform a Project Roll Forward:

1. From within a project, select the Roll Forward option from the Admin ribbon.

A warning message displays: “This process may take a long time and prevent other users from
working as it will lock database tables. Please consider completing this action off hours”.

2. If open replicas exist, you will be prompted: “Open replicas exist. If the replicas are not merged or
synced, the replica information will not be included in the rolled forward project. Do you want to
continue?” Click OK to proceed with the roll forward.
3. In the Roll Forward Wizard – Step 1 of 3:

l Modify the Code, Name, Audit Plan, Entities and Start Date for the new project being created.
l The Audit Plan and Entities from the original Project will be selected by default.
l If you change the Audit Plan, TeamEWP tries to match the entities from the parent project to
the newly selected Audit Plan. Unmatched entities will be removed, including all links to the
entities (i.e. risk, controls, and recommendations).
l Entity Contacts from the Organization Hierarchy are added to the Profile.
l The Start Date defaults to Today. It cannot be changed to a date earlier than the create date
of the original project.

4. Click Next.
5. In the Roll Forward Wizard – Step 2 of 3:

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a. Select a Reason for Roll Forward:

l Copy for Next Cycle: If this option is selected, the following processes occur in the new
rolled project:
o Status of the rolled project is set to Planning if the Edit History and Signoffs option is

not selected.
o Status of the rolled project is set to Fieldwork if the Edit History and Signoffs option is

selected and the Fieldwork date is set to Current Date.


o All dates fields in the Profile > Schedule tab are not copied to the rolled forward pro-

ject if the Edit History and Signoffs option is selected or not, and they are set to Cur-
rent Date.
o Status of Issues, Programs, Procedures and Work papers are copied a long as the

Edit History and Signoffs option is selected.


o Risks and Controls are copied as long as the Include Risks and Controls option is

selected.
o Risk scores and control rates are not copied to the roll forward project.

o The state of the recommendations are not copied.

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o Notes are copied to the rolled project as long as the Notes option is selected.
l Split Project: If this option is selected, the following processes occur in the new rolled pro-
ject:
o Status of the rolled project is copied regardless of the whether the Edit History and

Signoffs option is selected or not.


o All dates fields in the Profile > Schedule tab are copied to the rolled forward project.

o Status of Issues, Programs, Procedures and Work papers are copied as long as the

Edit History and Signoffs option is selected.


o Risks and Controls are copied as long as the Include Risks and Controls option is

selected.
o Risk scores and control rates are not copied to the roll forward project.

o The state of the recommendations are not copied.

o Notes are copied to the rolled project as long as the Notes option is selected.

b. Select Project Vitals options:

Users: If this option is selected, all the users in the project are copied to the new project. This
includes contacts, security group, and team members that are not canceled.

l Assignments: If this option is not selected, the programs, procedures, and work papers
assignments are not copied to the rolled forward project.
l Edit History and Signoffs: If this option is selected, the following processes occur in the
new rolled project:
o Schedules signoff states are copied.

o The history of all schedules (Programs, Procedures, Issues and Work papers) in the

project are copied.


l Notes: If this option is selected, all the project Notes are copied to the new project.
o Signoff states for Notes are not copied in the new rolled project.

c. Select from Schedules:

l PA: Planning and Administration: is selected by default. This folder contains planning
documents and administrative information, all its content will be copied to rolled project if
this option is selected.

If this option is not marked, the existing documents in these folders (Original project)
are not copied in the new rolled project.

l AS: Audit Summary: is selected by default. This folder contains all the issues created in
the original project. They will be copied to the rolled project if this option is selected.

If this option is not marked, then existing documents and issues in these folders
(Original project) are not copied in the new rolled project.

l PG: Program Groups: is selected by default. This folder contains all the programs, pro-
cedures and work papers which will be copied to the new project if this option is selected.
o Include Procedure results is not selected by default. If this option is selected, the pro-

cedures results are carried over to the rolled forward project.

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o Include Work Papers: This option is not checked by default. If this is not checked, the
Roll Forward process will not include Work Papers in the rolled project.

d. Select Risks and Controls:

l Include Risks and Controls: If the option is selected, all risks and controls are copied to
the new rolled project, and all links must be copied; however, if the option is not selected,
risks and controls are not copied, and all links to risks and controls are also not copied.

6. Click Next.
7. In the Roll Forward Wizard – Step 3 of 3, verify options selected.
8. Click Finish.

TeamEWP Workpaper Recycle Bin


To use the Workpaper Recycle Bin, turn on the policy: "Use Workpaper Recycle bin in the centralized
database" in Project Settings | Customization Policies.

Example: Use Workpaper Recycle Bin in the centralized database policy option

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l When this policy is OFF, workpapers are permanently deleted from the project if a delete action
occurs on them. If this policy is ON, the workpapers are sent to the Recycle Bin and they can be
recovered from it later.
l When a workpaper is sent to the Recycle Bin, the links to it are NOT deleted immediately.
l If a workpaper is sent to the Recycle Bin, it does not show up in the following sections: browser
list, export of project to XML, create replica, generate report, explorer dashboard, signoff status,
roll forward.
l The delete/recover actions are saved in Signoff Edit History of the workpaper.

Opening Workpaper Recycle Bin


In Project | Admin ribbon, a button is available named "Workpaper Recycle Bin". This button is
enabled when the policy "Use Workpaper Recycle bin in the centralized database" Project Settings |
Customization Policies is checked.

The following rules apply to the Workpaper Recycle Bin:

l When the user clicks on this button, a dialog is displayed with a list of deleted workpapers.

Example: Workpaper Recycle Bin with deleted workpapers

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l The information displayed for each deleted workpaper is: ARC, Title, Location (folder path),
State, Size, User, Date, Download.
l A checkbox is displayed on each row.
l A select all option is available which toggles to Unselect all.
l The dialog also has options to: "Permanently Delete", and "Recover".
l A document that has been deleted cannot be opened from the Recycle bin. It must be restored
first to its original location.
l Multiple workapers can be selected to be permanently deleted.
l When a workpaper is permanently deleted, it is removed from the project along with all the links
to it and cannot be recovered.
l When Recover Workpaper is selected, all workpapers are visible in their original locations.
l If the original location folder path has been deleted for the workpaper, a warning icon is dis-
played in the location column indicating "Parent folder removed". The row will have an Export
option to download the deleted workpaper.
l Recover workpaper does not perform any action if the parent folder has been removed.
l The Administrator, Project Owner, Project Lead, or Project Manager can permanently delete
workpapers and recover workpapers.
l A team member can only recover the workpapers that they have deleted.
l For a team member, the Permanently Delete button is not enabled.
l When a project is finalized, all deleted workpapers and links to them are deleted from the project.

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Appendix: Physical Limits

Folders and Schedules


PA folder

l Maximum folders in PA area = 99(folders numbered PA1 to PA99).


l Maximum Work Papers in PA folder = 78 (ARC codes PAx.a to PAx.zzz).

NOTE: If template includes PA folders then PA1 and PA2 are system required
and cannot be deleted.

AS folder

l Maximum folders in AS area 99 (folders numbered AS1 to AS99).


l Maximum Issues in AS1 folder 999 (ARC codes ISS.1 to ISS.999).
l Maximum work papers in other AS folders 78 (ARC codes ASx.a to ASx.zzz.

NOTE: AS1 and AS2 are system required folders and cannot be deleted.

PG folder

l Maximum folders in CG area 78 (A to ZZZ).


l Maximum Work Program subfolder in CG area 99 folders per parent (e.g. A.1.PRG to
A.99.PRG).
l Maximum work papers in Work Program subfolder 999 (e.g. A.1.1 to A.1.999).
l Procedures: No limit
l Risks per project: No limit.
l Controls per project: No limit.
l Notes per project: No limit.

NOTE: That although there are no system restrictions on the number


performance may be impaired if very large numbers are added.

Database Size Limitations


l Access Database has 4 gig size limitation.
l Non-Access Database size depends on hard-drive space of their server.

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Hyperlinks
There are no limits on Hyperlinks within TeamMate. However, when embedding links in a workpaper
or text field, exceeding 20-30 hyperlinks will impact the time it takes to open that schedule.
Right-clicking to select Hyperlink for deletion in a Workpaper will now delete the Hyperlink from the
TMLINKS Table in the Database.

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Appendix: User Preferences
In addition to configuration options TeamEWP includes a number of settings that can be determined
per user.

To change user preferences:

1. From the TeamEWP File menu select Preferences.


2. Type or select the options you prefer.
3. Click OK.

User Preferences include:

File Locations
This tab includes the mapping for project files related to the Explorer tabs, reporting and TeamStores.
As a best practice, this mapping should be consistent for all users.

l Offline TeamStore: Default location used when creating for offline TeamStores. This would nor-
mally be a location on the users laptop local drive so that the TeamStore can be accessed when
working offline.
l Local Replica: Default location used when creating replica projects. This would normally be a
location on the users laptop local drive so that the replica can be accessed when working offline.
l Replica Transfer: Default location used when creating a replica transport file. This would nor-
mally be a location on the users laptop local drive so that the file can be accessed when working
offline.

See "Replication (Working in Teams)" on page 181 for more information.

l Update Transfer Files: Default location when used when creating a replica update file. This
would normally be a location on the users laptop local drive so that the file can be accessed when
working offline.
l Backup files: Default location for project backup files to be saved. This would normally be a loc-
ation on the users laptop local drive so that backups can be created when working offline.
l Standard Workpaper Templates: Location for templates used to create TeamMate work
papers. This is set by default and should not be changed unless a non-standard installation
options are selected.
l Custom Workpaper Templates: Location for any custom templates created by your organ-
ization to create TeamMate work papers. This is set by default and should not be changed
unless a non-standard installation options are selected.
l Report Files: Default location for TeamEWP report templates.
l Import and Export Files: Default location used by TeamEWP when importing or exporting data
from a project.
l Help Files: Default location for Help documents included in the TeamMate installation.

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l Working Directory for 3rd Party Documents: Overrides default working directory used by 3rd
party applications when opening work papers.
l Local Guidance: File path or URL for any 3rd party guidance or protocol document created by
your organization. If this preference is set users will be able to access the Protocol document or
help files from the TeamEWP Home menu.
l Web Addresses for TeamMate modules: URL’s for TeamMate web modules should be
entered here. These web addresses entered here allow users to open the TeamMate web mod-
ules from the TeamMate launch pad and TeamMate suite ribbon. If no web addresses are
entered here these options will be disabled.

Reminders
User can select whether to see specific warnings or system messages and features.

l Display snapshot: Snapshot viewer is displayed automatically when Project is opened.

l Check for Outstanding Replicas: When opening master project a check for unmerged replicas
will take place. If open replicas are found an option will be displayed allowing users to merge
changes back into the Master

l Check for Unresolved Replication Conflicts: If the project has unresolved replication conflicts
a message will be displayed.

l Display warning when opening Reviewed schedule for edit: If a schedule is reviewed a mes-
sage will be displayed and an option given to open in Read Only mode.

l Display warning opening Replicated schedule for edit: If a schedule is replicated a message is
displayed. This can help to minimize replication conflicts from occurring.

l Display warning when opening a Frozen schedule: If a schedule is frozen a message is dis-
played alerting the user.

l Display Signoff option when closing Workpaper and Issue schedules: If edits have been
made this preference allows users to signoff when the schedule is closed.

Appearance
Users can determine appearance settings and hyperlink options.

l Colors and Fonts options: Determine the color scheme to be used, the font style and size used
by system menus and also whether or not negative numbers will be displayed in red.

l Hyperlinks: Select whether Hyperlinks in Procedures and Work Papers will use the ARC or
Schedule name in the label (defaults to name).
o Use title instead of ARC as the default label for Procedures, Work Papers, and Issues. This
option allows you to select either ARC or Schedule title as the display label for TeamMate
hyperlinks.
o Transitive links are denoted by a chain icon over the normal icon. A transitive link is created
automatically when an Issue is linked to a Procedure, and the Procedure is in turn linked to a
Risk or Control. The Refs tab in Risk and Control will display the Issue link in addition to the

TeamEWP User Guide 206


Procedure link. The system will also display transitive links in Procedure Refs tab if an Issue is
linked to a Work Paper, and the Work Paper is in turn linked to the Procedure.

Editor
Users can determine default options relating to Editor font style and size, indents, copy and paste
options.

l Default font: Sets default font settings used in HTML editors.


l Automatically create external hyperlinks: If a valid web address or file path is typed in a HTML
field it will be converted to a navigable link.
l Use right to left reading order: Changes text direction from left to right to right to left.

Autotext
Users can manage autotext entries.
See " AutoText" on page 121 for more information.

Explorer
Users can determine preferences relating to TeamEWP Explorer

l Display Backup tab: Uncheck to hide backup tab in the Explorer


l Display Recent Projects tab with: Set the number of projects to be displayed in Recent Pro-
jects tab
l Prompt for Filter After: Threshold for number of projects to be loaded in the Explorer before
prompting to apply a filter.
l Show message after Project is created and immediately closed
l Use Centralized Dashboard: Enables the enhanced Centralized dashboard in Explorer.

Language
Users can determine which TeamMate language to use and which dictionary should be used for spell
checking.

Advanced
Advanced settings related to networks and backups. These settings should only be altered at the
instruction of TeamMate Support or your IT department.

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Appendix: Exporting XML and Exchanging Data with GRC Applic-
ations
Information can be imported into TeamEWP from XML formats. XML files are sometimes used for
interoperability with other applications.

Exporting
To create an XML export file from TeamEWP select Export Project from the Admin ribbon |
Maintenance panel. This includes options to choose to export some, all or no programs and some, all or
no issues to the XML file. You then choose the specific XML format to use along with an export location.

Application Exchange
Another advanced method of exchanging data through the XML processes defined above, is to do a
real-time transfer with a GRC (Governance, Risk, and Compliance) application. To perform this action,
select GRC Exchange from the Admin ribbon.
TeamMate has established the industry standard and is able to work with several GRC vendors. This
feature will either export data out of TeamEWP directly into the GRC application or import directly into
the project file. Information can be imported into TeamEWP from XML formats. Information that can be
transferred include procedure results, any issues associated with those procedures, and also work
papers that are associated.
When importing data from other GRC applications into TeamEWP this can only take place when the
project is in Planning and Fieldwork status. Exporting from TeamEWP to other GRC applications can
take place at any time.

TeamEWP User Guide 208


Appendix: TeamImage
TeamEWP has a built in imaging tool, TeamImage, which allows you to scan documents, add images
from disk and capture screenshots. All TeamImage work papers are saved with a .TIF extension.

Scanning
If “Open” is selected, the following image will appear on the empty screen. TeamImage will note that
the workpaper is empty and will prompt you to scan or add an image.
File | Scan New or select the Scan button.
Say Yes to append the image

Add Images
Digital pictures can be included into a TeamImage workpaper. No special steps are required, simply
select Page | Insert or Page | Add. The page is then saved within the workpaper.

NOTE: In multiple page documents, choosing Page | Insert will insert the new
page before the current page, while Page | Add will append the new page to
the end of the document. Select Save | Close.

Add PDF, TIF, or Other Files


Option 1:

1. Select Add Workpaper. The New Workpaper window opens.


2. Select the Import from File tab.
3. Select Browse and map to the PDF or TIF file that you want to import.
4. After selecting the file, use the drop down arrow next to Associate With to select TeamImage
File.
5. Click Add.
6. The PDF or tiff file will automatically be added as a TeamImage file.

Option 2:

1. Select Add Workpaper. The New Workpaper window opens.


2. Select TeamImage Image, and then click Add. A blank TeamImage workpaper is added to your
project.
3. Double-click the blank TeamImage icon. TeamImage opens.
4. Select Page | Add.
5. Browse for the file and then click OK.

TeamEWP User Guide 209


6. If the file contains multiple pages, you’ll have the option of adding just the first page or the entire
file. Select the option you need, and then click OK.
7. Select Save, and then Close.

TIP: PDF documents can be rotated in TeamImage, but cannot be saved in the
rotated format. TeamImage cannot save changes to a native Adobe document.
If a rotated image is desired, save it as a TIFF first, or if you have access to
Adobe Writer, rotate it in that application and save before attaching it as a
TeamEWP workpaper.

Capturing Images
You can snag portions of a desktop or application screen and insert the image into TeamImage.

To capture an image:

1. Select Tools | Capture.


2. Choose the preferred capture option.
3. Press F11 to begin the capture process.

The following Capture Modes are available:

l Full Screen: captures what your screen currently is displaying.


l Active Client: captures the image of the full application that is active (all except the frame bor-
ders of the application).
l Active Window: same as the Active Client but includes the frame borders (title bar, edges).
l Selected Object: allows you to select objects such as toolbars, status bars, and buttons when
activated, via F11. Objects are highlighted by border outlines.
l Selected Area: allows you to select pieces of your screen by left clicking and dragging to select
an area you want to snag.

You can choose to enable Immediate Capture, in which case you will not be required to press F11 to
begin the process. You may also alter the capture settings by selecting Capture Options from the
Capture Menu.
If you are currently editing a .TIF file, you will be provided with the option to append the captured image
to the current image. The only exception will be for Selected Area which is always placed into a new
window.
See "Document Imaging Recommendations" on page 212 for more information.

Current View Mode and the Size of Annotations


TeamImage opens .TIF files with the current view setting of "Fit to Window" in order to allow the full
page to be seen within the window. As a result, TeamEWP hyperlinks can appear very small.

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To see the actual size of the image, click the Actual Size button on the toolbar or use the View | Fit |
Normal menu.
The TeamImage view mode can be set permanently by setting your preferences within TeamImage.

To set the view mode:

1. Open a TeamImage file and select Tools | Preferences.


2. Select the .TIF Files tab and select Fit to Window or Fit to Width.
3. Select the .PDF Files tab and select Fit to Window or Fit to Width.
4. Select the Annotations tab:

a. Select the Text Radio button.


b. Select Font
c. When the Font window opens, use the Scroll Bar to adjust the size of the text in the annota-
tions. Size 36 is recommended.
d. Repeat steps a-c to adjust the font size for Note and Rich Text.

The preference changes will take affect once you close the TeamImage file and reopen it.

Hyperlinks
Hyperlinks appear in the top left corner of the TeamImage document and within the TeamEWP
Hyperlink Preferences window.
You can move the hyperlink to other areas within the document. To move, ensure that the annotation
function is turned on, click the image, hold the mouse button and drag the image to the desired location.

NOTE: Once the hyperlink is created, you must de-select the annotate button
to activate the hyperlink.

You can use any annotation as a hyperlink. Select an annotation, right-click the image and select
Properties from the menu dropdown. Select hyperlink, which launches the hyperlink wizard.
Within the hyperlink wizard, select either the Run Program or Go to web page options.

Hiding and Showing Annotations


You can Hide or Show annotations by selecting Annotations | Hide All Annotations To show hidden
annotations, select Annotations | Hide All Annotations a second time.

Lock Function
Lock prevents changes being made to an annotation. Select Annotations | Lock Annotations, or right-
click the annotation and select Lock.
This can be used to redact sections of a document by highlighting sections in black and then locking the
highlight.

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NOTE: There is no password reset option for lost passwords.

Working with Multiple Pages


More than one page can be created within a TeamImage document by using the Page | Insert or Page |
Add options.

NOTE: To delete individual pages within a document, navigate to the desired


page and select Page | Delete.

l A TeamImage document containing only one page may be deleted by choosing the workpaper
within the TeamEWP Browser.
l If PDF documents are unclear, you should open TeamImage with no image shown and select
Tools | Preferences, PDF Files tab. There are 3 resolution options available. Select the option
that best displays your PDF documents.
l A default view can also be changed for .TIF documents using the first tab under preferences.
l TeamImage may be used outside of TeamEWP to capture images on files. To open TeamImage
separately, go to C:Program files\Teammate\bin\teamimage.exe.
l You may also install a short cut by going to Windows Explorer, finding the teamimage.exe and
dragging it on top of your desktop Start button.

Document Imaging Recommendations


Scanning documents legibly across a wide variety of images while keeping file sizes reasonably small
is a process that requires experimentation to achieve the best results for your group. A scanned image
is only useful if it is legible, so ultimately, legibility is more important than file size. However, it is still
important to keep file sizes as small as possible, because large ones take up more space and reduce
system performance. By following these guidelines in this section, you can balance these competing
objectives and have greater success with your document imaging efforts.
Note that one specific configuration of scanning options may not be applicable to all types of documents
that you scan. Low-end scanning (resolution and color depth) will produce small files, but they may not
always be legible, whereas high-end scanning will almost always be legible, but will always produce
large files. For the majority of images, a low-end scan would have sufficed. Consider the following table
which shows comparative image file sizes based on certain scanner settings:

DPI Black & White Grayscale Color


96 1.0 8.0 24.0
150 2.4 19.5 58.6
300 9.8 78.1 234.4

The two most important factors in image file size are the scanning resolution (dots-per-inch or dpi) and
color depth (number of colors). When considering color depth, keep in mind that grayscale is 8 times
larger than black and white, and color (red-green-blue or RGB) is 24 times larger than black and white

TeamEWP User Guide 212


for the same resolution. Because of this, avoid scanning in color unless the color differentiation is
essential for interpreting the image. Note that a 150 dpi image is almost 2.5 times larger than a 96 DPI
image, a 300 dpi image is almost 10 times larger than a 96 dpi image, and a color image at 300 DPI is
over 230 times larger than a black and white image at 96 dpi.
Scan a representative sample of documents at different resolutions using the scanning hardware and
software available to auditors in your environment to establish your own best practices. In addition to
resolution and color depth, scanner optics vary based on manufacturer and model, so for the same
document, it may be legible at 150 dpi on one scanner, but unreadable at 150 dpi on another scanner.
Your scanner software may have additional settings such as type of image (such as text or line art,
illustration, photograph, etc.). You may find that some settings produce images which are much more
legible than others at a certain resolution, so you will want to adjust your settings accordingly. If your
scanning software supports it, save the recommended settings as default settings to increase the
likelihood of getting an ideal balance of size vs. legibility, and reduce the need to rescan.
As a rule of thumb, start with 150dpi black and white. This should be legible for the vast majority of
images, and will produce reasonably small files. Depending on the type of documents you typically
scan, make adjustments accordingly for legibility. If a particular image is difficult to read, increase the
resolution, or switch to grayscale. Only use color when absolutely necessary.
There are other factors in image size including file format, compression, etc. Consider the following
table, which shows information for an 8.5x11 inch document scanned at 300 dpi color:

Format Size (KB) Size TeamEWP (KB) Increase TeamEWP Opens With Annotations
JPG 1,601 1,562 2.0 Windows Photo No
Gallery
PDF 814 764 1.0 Adobe Reader No
PDF 814 764 1.0 TeamImage Yes
TIF 26,215 5,375 7.0 TeamImage Yes

Note that TeamEWP compresses work papers, so the TeamEWP size will typically be less than the
original size, as shown in the table above. Avoid using scanner file format compression options (such
as LZW, etc.), since TeamEWP compression is typically more efficient For example, the TIF above at
26,215KB compressed via LZW would reduce size to 20,630KB, but TeamEWP could only further
compress that to 20,271KB. If LZW were not used, the TeamEWP compressed size would be
5,375KB.
Scan to PDF if you can. Scanning to PDF is preferred over scanning to JPG or TIF, because the file
size is typically smaller, and annotations are supported, so you get the best of both worlds. If you have a
PDF, but do not need to annotate it, import it into TeamEWP and associate it with Adobe Acrobat.
However, if you do need to annotate it, associate it with TeamImage. Note that annotations are not
supported for JPG.
Do not add a PDF to a TeamImage document as a page, since this changes the internal representation
of the image such that it is typically much larger than the original PDF (i.e. the PDF at 764KB above
could grow to over 18,000KB).
It is also recommended to scan images and then import them into TeamEWP via Add Workpaper,
rather than scan them into TeamImage, as this will typically yield smaller file sizes. For example,
TeamEWP compressed size for the same document could be around 5,000KB for an externally
scanned then imported TIF rather than over 20,000KB if scanned via TeamImage.

TeamEWP User Guide 213


Appendix: Data Privacy
When the "Use Partitions" policy is enabled, access to projects and the selection of team members and
contacts will be limited based on the user’s assignment to a partition for an external resource. An
external resource may be a member of a Project Security group but will not have access if they are not
assigned to the Partition. The following explains what changes a user will see or be able to select in
TeamEWP.

l TeamEWP Explorer: The partition field is displayed above the list of projects. Clicking the Get
button next to partition will bring up a list of partitions that the external user is directly assigned to
in TeamAdmin. Security group or team membership do not grant permission to projects in
another partition. Selecting a partition will limit the list of projects to those for that partition. The
user will see all projects for a partition but will not be able to open the project unless assigned as
a team member. This list can be further restricted by the Location Tab Filter settings. When an
external user clicks on the Blank partition in the filter, he will be able to see all projects where he
has access to across all the partitions he is directly assigned to in TeamAdmin. He will not be
able to see projects that are not assigned to any partition.

Staff Auditors will be able to see all the partitions available in the database even if he is not
directly assigned to the partitions in TeamAdmin. When he clicks on the Blank partition in the
filter, he will be able to see all projects where he has access to across all the partitions including
the projects that do not belong to any partition.

l Location Tab Filter: The "Assigned to me" and "Assigned to my Security Group" filters can be
overridden in TeamAdmin policies. If these are selected in TeamAdmin, the user will not be able
to deselect the options in TeamEWP Explorer and will be limited to only seeing projects that
meet the criteria.
l Team Members: When the policy "Restrict getting of team members to contacts to the project
ownership team" is enabled, the Get button on the Team Members tab will be disabled if a user is
not a project owner, project manager or project lead.

If the user is a member of the project ownership team, further restrictions are applied if the user
is an external resource, as defined on the user’s record in TeamAdmin. The Select team
member dialog has been modified to allow the user to only display resources that are "Assigned
to Partition Only". If the user is an external resource, this option cannot be deselected; they must
select a team member who is assigned to the partition. If the user is not an external resource, this
option can be deselected. When deselected, the list of resources displayed will be those
assigned to the partition plus those who are not external resources.
In Projects that do not belong to a partition, Staff Auditors cannot add team members if the
"Assigned to Partition Only" check box is selected. If it is not selected, an auditor could add any
staff auditor but not an external auditor that is member of a specific partition. Same behavior is
reflected in Contacts tab, meaning that contacts cannot be added when the check box is on.

l Contacts: When the policy "Restrict getting of team members to contacts to the project own-
ership team" is enabled, the Get button on the Contacts tab will be disabled if a user is not a pro-
ject owner, project manager or project lead.

If the user is a member of the project ownership team, further restrictions are applied on which
contacts can be selected. Contacts must be assigned to a partition.

TeamEWP User Guide 214


l Recommendations: Adding a contact to a recommendation has been limited to only select from
the Project Contact list.
l Controls: Adding an owner to a control has been limited to only select from the Project Contact
list.

TeamEWP User Guide 215


Appendix: TeamEWP Icons Legend
Many of the common TeamEWP icons are shown in the body of this Guide. In addition there are
several others that you will see in a TeamEWP project.

Browser Reference Link Icons


Icon Description
Reference to a Work Program.

Reference to an Issue.

Reference to a Note.

Reference to a Word Document.

Reference to an Excel Workbook or Spreadsheet.

Reference to an Outlook Message.

Reference to a PowerPoint Presentation.


Reference to a Visio Flowchart.

Reference to a MS Project Plan.

Reference to an Adobe Acrobat Document.

Reference to a Watermark (scanned) Image (no longer used).

Reference to a TeamImage (scanned) Image.

Reference to an HTML Document.

Reference to an .mht Document (image and content of a


website).
Reference to a Multimedia File.

Signoff Buttons
Button Description
Indicates when the item was prepared and by whom.

Indicates when the item was reviewed and by whom.

Indicates when the item was last edited and by


whom.
Button to display edit and sign-off history.

TeamEWP User Guide 216


TeamEWP Shortcut Keys

General Shortcut Keys


Press To
F3 Displays Search window.

F5 Refresh.

F8 Displays Snapshot Viewer.

F11 Toggles between item list, detail panes and split screen in Procedure Viewer and
Issue Viewer.
Alt+Enter Opens Project Settings dialog.

Ctrl+G Displays Go To window.

Ctrl+S Saves the active document.

Alt+Home Displays Browser window.

Alt+1 Displays Issue Viewer window.

Alt+2 Displays Procedure Viewer window.

Alt+3 Displays Note Viewer window.

Alt+4 Displays Signoff Status window.

Alt+5 Displays Procedure Status window.

Alt+0 Displays Profile window.

Alt+Shift+arrow Moves popup window in direction of arrow key.


keys

Browser Shortcut Keys


Press To
F2 Displays Rename and Assign dialog box.

Ctrl+N Create new folder.

Ctrl+O Open project.

Ctrl+W Displays New Workpaper dialog box.

Date and Time Picker Control Shortcut Keys


Press To
Esc Hide calendar, ignoring changes.

Enter Hide calendar, applying changes.

Right arrow Navigates the calendar control.

Left arrow Navigates the calendar control.

TeamEWP User Guide 217


Press To
Down arrow Navigate the calendar control.

Up arrow Navigates the calendar control.

Section 508 Shortcut Keys


TeamMate adheres to Section 508 standards by providing standard keyboard navigation options to
access the TeamMate user interface. In addition to standard keyboard navigation, TeamMate has
defined application specific keys to aid navigation. Below is a list of keys.

Standard Keyboard Navigation Keys


Keys Description
Right arrow Navigate to next character (within edit field). Right arrow can also be used to
navigate to the next page in a set of page tabs.
Left arrow Navigate to previous character (within edit field). Left arrow can also be used to
navigate to the previous page in a set of page tabs.
Tab Navigate to next item.

Shift + Tab Navigate to previous item.

F6 Navigate to next pane.

Shift + F6 Navigate to previous pane.

Issue Viewer and Procedure Viewer Grid Navigation Keys


Keys Description
Right arrow Navigate to next column or control.

Left arrow Navigate to previous column or control.

Tab Navigate to next column or control.

Shift + Tab Navigate to previous column or control.

F6 Navigate out of Tree Grid to next pane.

Shift + F6 Navigate out of Tree Grid to previous pane.

Space bar Select control within Tree Grid.

Enter key Select row. (Issue, Recommendation, Program, or Procedure)

Plus key Expand Tree Grid item.

NOTE: This does not apply to the plus key


on the NumPad when a screen reader is
active. If a screen reader is active, use the
non-NumPad variant of the plus key.

TeamEWP User Guide 218


Keys Description
Minus key Collapse Tree Grid item.

NOTE: This does not apply to the minus


key on the NumPad when a screen reader
is active. If a screen reader is active, use the
non-NumPad variant of the minus key.

Control + F12 Navigate to the “Group By” combo box.

TeamTalk Navigation Keys


Keys Description
Alt key Access file menu at any time.

Left arrow Navigate to previous column or control.

Tab Navigate to next column or control.

Shift + Tab Navigate to previous column or control.

F6 Navigate out of Tree Grid to next pane.

Shift + F6 Navigate out of Tree Grid to previous pane.

Space bar Activate any button in TeamTalk.

Enter key Select Tree items or activate any button.

Plus key Expand Tree Grid item.

NOTE: This does not apply to the plus key


on the NumPad when a screen reader is
active. If a screen reader is active, use the
non-NumPad variant of the plus key.

Minus key Collapse Tree Grid item.

NOTE: This does not apply to the minus


key on the NumPad when a screen reader
is active. If a screen reader is active, use the
non-NumPad variant of the minus key.

Escape key Returns focus to previous or panel underneath.

TeamEWP User Guide 219


TeamEWP Glossary
Browser
The browser is the Home screen in a EWP project and resembles Windows Explorer.

Categories
Categories are field drop down options.

Centralized
EWP projects and all other data are maintained in a central database.

Contact
A contact is an auditee or client.

Distributed
EWP projects are maintained in files outside of the centralized database.

Explorer
The Explorer is the first screen that displays when logging into TeamEWP. The Explorer displays
projects initiated in EWP and is comprised of multiple location tabs.

Final Approver
A contact who will approve corrective action implemented by the owner is a final approver.

Hyperlink
Hyperlinks are used for cross-referencing and provide links within schedules and procedures within a
EWP project.

Initialize Project
Action performed that indicates audit planning is complete and fieldwork is ready to begin.

Issue
An issue is a finding or an exception.

Location Tab
Location tabs are mapped either to the centralized database or a file on a user’s computer. Each
location tab displays EWP projects saved to the mapped location.

Module
Modules are the different TeamMate applications (TeamRisk, TeamSchedule, TeamTEC,
TeamEWP, and TeamCentral) that are part of the TeamMate suite.

TeamEWP User Guide 220


Observer
An observer is a contact to be kept apprised of the status of corrective action taken on an issue that
was noted during an audit. The observer is not ultimately responsible for ensuring the corrective
action is complete.

Owner
An owner is a contact who is responsible for correcting an issue noted during a project.

Personal Snapshot
The Personal Snapshot screen provides a statistical glimpse of any element in a project that is
assigned to you.

Preparer
The preparer role has access to edit most fields and can sign-off as preparer on procedures or
schedules within a project.

Preparer / Reviewer
The preparer / reviewer role has access to edit most fields, can sign-off as preparer on procedures or
schedules, or sign-off as reviewer on procedures or schedules within a project.

Procedure
A procedure is an audit test step.

Profile
The profile contains high-level project information.

Program (Work Program)


A program is a set of audit test steps.

Project
A project in EWP is an audit.

Project Owner
The project owner role has access to perform all functions within the project.

Replica
A replica is a full or partial copy of a EWP project saved to a user’s C drive to allow for editing while
working offline.

Resource
A resource in EWP is auditor.

Reviewer

TeamEWP User Guide 221


The reviewer role has access to sign-off as reviewer on procedures or schedules within a project.

Schedule
A schedule is a Work Program, Issue, or Workpaper within a EWP project.

Snapshot
Provides a statistical glimpse of how a project is progressing.

TeamStore
The TeamStore is a repository for standard work programs, issues, work papers, objectives, risks
and controls. This tool integrates with EWP.

Template
A project template-includes the terminology, planning steps, etc. that are standard for all projects
based on the template.

Terminology
Field labels are managed through terminology.

Tickmark
Symbol that the auditor places next to work completed on items being audited to indicate specific
work has been performed.

Work Papers
Work papers are supporting Word, Excel, Adobe Acrobat (.pdf), etc. files referenced within a project.

Work Program (Program)


See Program.

TeamEWP User Guide 222


135, 162 Freezing Programs 85
Index
conflicts 186 G
. Contacts 56
General Shortcut Keys 217
.tmr 183 Project Primary 56
Get Programs 112
Control 67
A global tick marks 63
Controls 70
access groups 53 Global Tickmarks 63
create a new project 25
Add PDF, TIF, or Other Go-To 37
create a project 27
Files 209
H
creating an issue 146
Adding Work Programs 83
cross referencing 164 Help 226
administrative functions
Custom footers in Excel 132 Hyperlink Labels 160
create project 25
Custom Properties 62 hyperlinks 125, 159
advanced settings 207
Hyperlinks 206
annotations 210 D
I
Appearance 206 Date and Time Picker Control
ARC 31-32, 166 Shortcut Keys 217 IC groups 53

AS Folder 30 Delete Workpaper 131 icons 216

Autotext 207 documenting results 87 images 209

AutoText 121 Draft Report 60 implementation coordinator


groups 53
B E
Implementation Tracking 61
bookmarks 161 Editor 207
import from file 126
breadcrumb encryption
importing XML 208
entity 42 .tmr and .tmu files 182
Initialization 87
Browser 30 entity breadcrumb 42
Initialized 60
browser icons 32 Entity Details tab 44
issue, linking 147
Browser Shortcut Keys 217 Explorer 207
Issued 61
Export Report 173
C Issues Report 173
exporting Workpapers 131
cancelling a user 53 K
exporting XML 208
capture 210 Key Control filter 71
F
categories 193
L
checkered flag 180 Fieldwork 60
File Locations 205 Level 46
checklist type audits 101, 108
Filtering for Partitions 16 link to an existing issue 147
Coaching Notes 169
Final Report 61 location tabs 19
color depth 212
finalize 180 Location Tabs 19
comments
notes 16, 18, 20, 84, 123, Formatting 118

TeamEWP User Guide 223


M Restrict Profile Editing to the Risk and Control
Project Ownership
managing conflicts 186 deleting 76
team 41, 46, 57
managing replicas 189 Risk and Control viewer 67
Post Fieldwork 60
master, replica 182 Risks and Controls
pre-planning for projects 65
Minimizing Conflicts 187 Get 72
Procedure Checklist 101, 108
linking 74
N Procedure Editor 108
Role 46
no entry icon 53 Procedure Properties 107
Role and Level Hierarchy 48
note, recipients, comments to Procedure Results 111
Roles and Levels 48
the threaded dis- Procedure Viewer 98, 101
cussion, project notes, Roll Forward 196
Procedures 80
global notes 20, 74, 83,
112, 125, 152, 155, Program Groups 80 S
172, 183, 215, 2 scanning documents 212
Project Access Groups 53
Notes 169, 180 schedule tickmarks 122
Project Owner 48
O Project Ownership 48 scorecard 116

one-way hyperlinks 159 Project Primary Contact 56 Section 508 Shortcut


Keys 218
Opening Workpaper Recycle Project Roll Forward 196
Bin 201 Security Groups 53
Project Status 60
organization hierarchy 42 shortcut keys 217
R
Organization Hierarchy 152 sign off 216
Rating 117
Signing off 93
P
regional settings 207
Smart Projects 65
PA Folder 30 Reminders 206
state symbols 31
Password Reset 52 replacing Workpapers 129
Status
permanent bookmark 161 replicas, managing 189
project 60
Perspectives 101 reports 173
summary viewers 166
PG Folder 30 reset password 52
Support 226
Physical Limits 203 resolving conflicts 187
Survey 169
planning 25 resource 45
sync 185
Planning Resource
synchronization 184
status 60 Get 49
point-to-point referencing 159
T
Responses Accepted 61
policies 194 team members 45
restoring a backup 191
Policy Team Roles 46
review approaches 167
Restrict Profile Editing if Team tab 45
reviewing 166
Created from the Cen- TeamActivity 191
tralized Database 41 Risk 67, 70
TeamEWP Workpaper
Recycle Bin 200

TeamEWP User Guide 224


TeamImage 137, 209
TeamMate Centralized Data-
base 27
TeamStore 126-127, 147
Technical Support 226
templates, work paper 126
terminology 193
Test Results 117
tick marks, global 63
Tickmark Palette 122
tickmarks
schedule 122
transitive links 206
TWAIN-compliant
scanners 138
two-way hyperlinking 159

U
Unsignoff 96
update file 185
User Preferences 205

W
Work Program Detail 110
Workpaper
compression 213
Workpaper, editing 130
Workpaper, exporting 131
Workpaper, replacing 129
Workpapers 124

X
XML 208

TeamEWP User Guide 225


TeamMate Support
If you are experiencing any technical difficulties, contact TeamMate Support via email at
TeammateConnect@wolterskluwer.com or by using the appropriate contact information below.

Region Support Numbers


North America [1] 800-449-8112
Central & South America [1] 813-392-5275 (This is a U.S. number.)
Europe, Middle East, & Africa +44 (0) 203 197 6555 (Inside U.K.)
+44 203 197 6555 (Outside U.K.)
Asia Pacific 1-300-728-236 (Australia)
[+] 800-224-00-224 (All other Asia Pacific
countries)

NOTE: If the information in the table above is different than the website
below, the information on the website is the most up-to-date.

To create a web ticket, visit the following web page:


https://www.teammateconnect.com/s/contactsupport.
To access all TeamMate user documentation, visit the following web page:
https://www.teammateconnect.com/s/gethelp.

Complying with all applicable copyright laws is the responsibility of the user. Without limiting the
rights under copyright, no part of this document may be reproduced, stored in or introduced into a
retrieval system, or transmitted in any form or by any means (electronic, mechanical, photocopying,
recording, or otherwise), or for any purpose, without the express written permission of Wolters
Kluwer.

© 2018 TeamMate Licensing B.V. All rights reserved.

TeamEWP User Guide 226


Ready Reference
TeamMate AM

TEAMEWP - DOCUMENTING WORK


Product Version: 12.2

TeamEWP - Documenting Work

Entering Narratives

To enter a narrative:

1. Open the Program Summary. For example, A.1.PRG.


2. In the Record of Work Performed field, enter text describing steps performed.

Creating Tables

To create a table:

1. Select the field and location where you want to create the table.

2. Click the Insert Table icon in the Format menu embedded above each text field.

© 2018 TeamMate Licensing B.V. All rights reserved.


3. Select table settings - number of rows and columns, alignment and table captions. To select inner borders
and frames to see cell separation, place cursor within the table, and right click.
4. Once the settings are configured, add your text.

Adding Supporting Workpapers

To add a supporting workpaper to your project file:

1. Click the Add Workpaper icon on the Home ribbon. The New Workpaper menu opens.
2. Select the appropriate tab:

l Select the Standard Templates tab to attach a blank template to work in from scratch (i.e., Word,
Excel, PowerPoint, TeamImage).
l Select the Custom Templates tab to select a file saved in your custom template file location (location
can be set using the EWP Preferences menu).
l Select the Import from file tab to attach a file that is already created and saved (then, browse to the
file’s location).
l Select Get from TeamStore to import a workpaper from the TeamStore.
l Select Copy from Project to make a copy of a file already attached to the project file.

3. Title the document in the Title field provided.


4. Select Add to add the document link to the selected location and Refs tab.
5. Select Open to add the document link and open the document to begin working in it.

The ARC (Audit Reference Code) is automatically assigned by TeamMate EWP and the workpaper link is
added to the applicable work program if the cursor was placed in the text field before added.

Signing Off Workpapers

To sign-off individual work papers and entire work programs:

1. Click the Signoff icon on the Home Ribbon or from the TeamMate Ribbon within a Word/Excel
document. The ‘Signoff and Edit History’ window opens.
2. Click the Prepared by or Reviewed by buttons. TeamMate EWP automatically inserts your initials and
date.
3. Use the Multi-Edit button when within an Audit Program (.PRG) to sign off on multiple program steps at
once.

© 2018 TeamMate Licensing B.V. All rights reserved. 2 Ready Reference


NOTE: The overall work program will still require a separate signoff.

State Column Symbols


Not Started There has been no action.

In Progress The last action was an edit.

Prepared The last action was a preparer’s signoff.

Reviewed The last action was a review signoff


‘2’ and ‘3’ may appear in this icon to indicate a second or third review.

Edit Since Review The last action was an edit after review.

Conflict A merge conflict caused by edits being made to the same document in
separate replicas or a master and a replica.

Frozen The schedule or work program is frozen.

Add Since Freeze The procedure was added to a frozen work program.

Browser Icons
Issue The schedule contains one or more Issues.

Coaching Note The schedule contains one or more Coaching Notes.


The schedule was replicated.
Replica Created

Protected The schedule is marked as confidential.

Last Updated: January 30, 2018

© 2018 TeamMate Licensing B.V. All rights reserved. 3 Ready Reference


Ready Reference
TeamMate AM

TEAMEWP - HYPERLINKS & BOOKMARKS


Product Version: 12.2

TeamEWP - Hyperlinks & Bookmarks

Creating Hyperlinks

To create a one-way hyperlink (Option 1):

1. Navigate to the procedures or workpaper to which you wish to insert a hyperlink.


2. Select the To ARC or Bookmark button in the Home Ribbon or from the TeamMate Ribbon in Word or
Excel.
3. In the window that pops up, select the Link to ARC tab, if not already open. Browse to and select the
document, program, or issue to which you wish to create a one way reference.
4. Navigate to the location where you want to place the link.
5. Click Insert.

To create a one-way hyperlink (Option 2):

1. Open the Schedule you wish to create a hyperlink.


2. Click the Copy for Hyperlink button in the Home Ribbon (Hyperlinks).
3. Open the Schedule you wish to link from.
4. Place the cursor in the Schedule where you wish the Hyperlink label to appear.
5. From the Home Ribbon | Hyperlink panel, click Paste Hyperlink.

This creates a one-way hyperlink link in HTML field from the location selected. Clicking on this link will open
the location selected when you used Copy for Hyperlink. This also creates a link in the Refs tab of the
Schedule.

NOTE: If the Schedule where you paste is read only (not editable), the link will be created
in the Refs tab of the Schedule – not in the HTML field selected.

© 2018 TeamMate Licensing B.V. All rights reserved.


To create a two-way hyperlink:

1. Open the Schedule you wish to create a two-way hyperlink.


2. Click the Copy for Hyperlink button on the Home Ribbon (Hyperlinks).
3. Open the second Schedule and place the cursor where you wish the Hyperlink label to appear.
4. Click the Paste as 2-Way Hyperlink button on the Home Ribbon.

This creates a hyperlink link in HTML field in both schedules. Clicking on this link will open the location
selected when you used Copy for Hyperlink. This also creates a link in the Refs tab of both Schedules.

IMPORTANT: For a 2-way link to be created, both schedules need to be open. If a


schedule is closed, EWP cannot create a 2-way hyperlink so only the 1-way hyperlink
option will be enabled.

NOTE: If either Schedule selected is read only (not editable) the link will be created in
the Refs tab of the Schedule not in the HTML field selected.

Editing Hyperlinks

To edit hyperlink labels:

1. Navigate to the hyperlink.

2. Right click and select Edit Hyperlink Label.


3. Enter the label and select OK.

© 2018 TeamMate Licensing B.V. All rights reserved. 2 Ready Reference


IMPORTANT: For a 2-way link to be created, both schedules need to be open. If a
schedule is closed, TeamEWP cannot create a 2-way hyperlink, so only the 1-way
hyperlink option will be enabled.

NOTE: If either Schedule selected is read only (not editable) the link will be created in
the Refs tab of the Schedule not in the HTML field selected.

Creating Bookmarks

To create a bookmark:

1. Open the document that you want to bookmark.


2. If applicable, navigate to the particular page in the document that you want referenced, place your cursor
at that point.

3. From the TeamMate Ribbon (within Word/Excel), click the Bookmark button.
4. Fill in the Bookmark Label, and then click OK to create the bookmark.
5. Click OK at the confirmation message.

The bookmark is created and will remain in your lists of bookmarks until deleted.

4. Navigate to where you want to reference the bookmark and place your cursor where you want the
hyperlink to appear.
5. Click the To ARC or Bookmark button.
6. Select the Link to Bookmark tab.
7. Select your bookmark from the list and click Insert.

A link to the bookmark will appear at the selected location and in the ‘Refs’ tab.

NOTE: No two bookmarks can have the same label. To edit bookmarks or to delete
unused bookmarks, select Organize Bookmarks from the Admin Ribbon.

© 2018 TeamMate Licensing B.V. All rights reserved. 3 Ready Reference


Last Updated: January 30, 2018

© 2018 TeamMate Licensing B.V. All rights reserved. 4 Ready Reference


Ready Reference
TeamMate AM

TEAMEWP - PROCEDURE VIEWER


Product Version: 12.2

TeamEWP - Procedure Viewer

Viewing the Procedures

To view the procedures in the Full Grid View:

1. Navigate to the audit program procedures.


2. Select the Procedure Summary Perspective button in the Home Ribbon.
3. Select the Full Grid View icon in the upper right corner.

© 2018 TeamMate Licensing B.V. All rights reserved.


To view the procedures in Split View:

1. Navigate to the audit program procedures.


2. Select the Procedure Summary Perspective button in the Home Ribbon.
3. Select the Split View icon in the upper right corner.

© 2018 TeamMate Licensing B.V. All rights reserved. 2 Ready Reference


To view the procedures in the Details Pane View:

1. Navigate to the audit program procedures.


2. Select the Procedure Summary Perspective button in the Home Ribbon.
3. Select the Details Pane View icon in the upper right corner.

© 2018 TeamMate Licensing B.V. All rights reserved. 3 Ready Reference


To view the procedures in the Expand Pane option:

1. Navigate to the audit program procedures.


2. Select the Procedure Summary Perspective button in the Home Ribbon.
3. Select the Expand Pane icon to the right of the text field tab.
4. Select Close Editor to exit the view.

© 2018 TeamMate Licensing B.V. All rights reserved. 4 Ready Reference


Creating Custom Views

To create Custom Views:

1. Navigate to the audit program procedures.


2. Select the Procedure Summary Perspective button in the Home Ribbon.
3. Select the Tool icon in the upper right corner.
4. Check/uncheck and/or Move Up/Down icons to create custom view.

© 2018 TeamMate Licensing B.V. All rights reserved. 5 Ready Reference


Using the Procedure Filtering Options

To use Procedure Filtering options:

1. Navigate to the audit program procedures.


2. Select the Filter icon within the Group By selection.
3. Check/uncheck the filtering options wanted for display.

Last Updated: January 30, 2018

© 2018 TeamMate Licensing B.V. All rights reserved. 6 Ready Reference


TEAMEWP - REPLICATION & SYNCHRONIZATION
Ready Reference
TeamMate AM Product Version: 12.2

TeamEWP - Replication & Synchronization


Replicas are copies of the master audit that allow you to have access to an audit file without connection to the
server.

Replicating Audits

To do an easy replication (from file server to your C:\ drive):

1. Open the project in TeamEWP.


2. Click the Create Replica button on the Home Ribbon.
3. Select the Discrete Replication option. This setting replicates selected items only. Full Replication
replicates the entire audit.
4. Select the sections to be included in the replica. Selected sections must show in right box; only items in the
Selections box will be replicated.

© 2018 TeamMate Licensing B.V. All rights reserved.


5. Click Next
6. Select the Local setting. The destination defaults to User\<user
name>\Documents\TeamMate\Repl folder.
7. Click Finish.

Merging Replicas

To merge the replica into the master file:

1. From the master project, navigate to the Home Ribbon (Replication Section).
2. Click the Merge icon.

3. Select the Merge directly. The source defaults to your TeamMate\repl folder on your C: drive.

4. Review the merge information carefully, and then click Next.


5. Verify that no one else is accessing the Master you are merging to and then click Finish.

© 2018 TeamMate Licensing B.V. All rights reserved. 2 Ready Reference


6. Review conflicts, if any, and then click Close.

Replicating for Groups

To replicate for groups (from Department to USB or email transport USB connection):

1. Open the EWP Project.


2. Place your removable drive in your USB port.
3. Create a replica. In the Destination Wizard, select the create transport file… option, select recipient and
send to your removable drive. Click Finish to complete the process.

4. After you have created the replica, close your master project.
5. Place the removable drive with the replica in the new USB port.
6. Click the Replica Icon in your TeamMate Explorer Toolbar. You may have to browse to your USB drive in
Windows. Install the Replica to your “Replica” tab.
7. Log into the “replica” using the credentials of the recipient selected above (Step 3) and practice working in
the file.
8. Create an update file and send it to your removable drive. READ the WARNING MESSAGE carefully.
9. Take the removable drive and plug it into the first computer's USB port.
10. Log back into the master project file. Merge the update file (you may have to browse to it).

Synchronizing Replicas
Bi-directional synchronization (sync) eliminates need to create new replicas. Replica changes are uploaded and
merged while master changes are downloaded and merged.

© 2018 TeamMate Licensing B.V. All rights reserved. 3 Ready Reference


Synchronization keeps the master and replica in sync and allows for the continuation of working without taking
another replica.

To sync a replica with a master:

1. Within the replica, select the Sync icon on the edit bar.
2. Wait until the sync process completes, and then click OK.

NOTE: If sync is not available (you do not have a network connection), then creating an
update file and merging changes to the master will also work.

To create an update file:

1. In the replica, click Replication from the Home Ribbon (Replication Section).
2. Select Create Update File (.TMU).
3. Select the destination such as a removable drive or email recipient.
4. Ensure that the Continue Working with this Replica option is checked to continue working in the replica.
5. Ensure the update file is available for merging into the master.

To merge an update file:

1. In the master, click Replication from the Home Ribbon (Replication section).
2. Select Merge Replica.
3. Select the replica to be merged, if not in the default directory, browse to locate it.
4. Review the merge information carefully, and then click Next.
5. Click Finish.
Last Updated: January 30, 2018

© 2018 TeamMate Licensing B.V. All rights reserved. 4 Ready Reference


Ready Reference
TeamMate AM Product Version: 12.2

TeamEWP - Reviewing

TEAMEWP - REVIEWING
Reviewing with the Snapshot

To review using the Snapshot:

1. Click the Snapshot icon on the “Go To” Ribbon.


2. Click the Procedures tab.
3. Click the procedure state you need to view. For example, ‘Prepared’.

This will launch the Procedures Viewer, filtered to display only Procedures that have been signed-off as
‘Prepared.’

4. If needed, use the filter option at the top to further group/filter prepared procedures by assignee.

5. Double-click to open a procedure in the list.

Reviewing with the Navigation Toolbar

To review with the Navigation Toolbar:

© 2018 TeamMate Licensing B.V. All rights reserved.


1. Click the Signoff Status icon on the Navigation Toolbar. This will launch the Signoff Status Viewer.
2. Use the options at the bottom to filter on Work papers, with state of Prepared.

3. Double-click the workpaper ARC to open the workpaper.

4. From the TeamMate Ribbon, select signoff to signoff on the workpaper as Reviewed.

TIP: Use Perspectives such as Procedure Status to focus your view of data in the
Procedure Viewer.

Reviewing with the Dashboard

To review using the Dashboard:

1. From the EWP Explorer, select a project.


2. From the Dashboard, select Project Snapshot. This view allows you to see the status of issues,
programs, procedures, and workpapers in a color-coded graph.
3. Double-click on any of the colored areas of the bar graph to open the corresponding EWP Viewer with
automatic status filtering applied.
4. Review and signoff.

© 2018 TeamMate Licensing B.V. All rights reserved. 2 Ready Reference


Changing Your Role

To change your role:

NOTE: This only applies to project owners and preparer/reviewer roles. This feature
does not impact your overall project role; it only changes the instance of the role for
review purposes.

1. Open the EWP Project and from the Review Ribbon, select the drop-down for Change Role.
2. Select Reviewer Only.

Now you can navigate throughout the project without changing the status unless you mark it as Reviewed.

3. After review is complete, you can change your role back from the Review Ribbon, or simply close the pro-
ject to reinstate your original project role.

© 2018 TeamMate Licensing B.V. All rights reserved. 3 Ready Reference


Creating Review Notes
TeamTalk review notes can be anchored to any workpaper, procedure, or issue. To anchor a Note to a
workpaper, place your cursor where you want the link to appear and then click the Add Note icon.
There are three types of Notes:

l Schedule - Associated with a specific Project AND a specific schedule (work program, procedure, issue,
or workpaper).
l Project - Associated with a specific Project; but not a specific schedule (added in the Project Profile).
l Global - Not associated with a specific project.

To create a Schedule note:

1. Place your cursor within the document (word/excel) or procedure where you want the link to appear.
2. From the TeamMate Ribbon, click the Add Note icon.

This will automatically launch TeamTalk and will place a hyperlink in the location where your cursor was
placed.

3. Complete the following fields: Recipients (automatically assigned based on preparer/last to edit), Subject,
Due Date (if applicable), Priority, and Note Text.
4. Click the Post button when complete.

The Project Name and ARC will be displayed on the Note.

© 2018 TeamMate Licensing B.V. All rights reserved. 4 Ready Reference


To create a Project note:

1. Open the Project Profile.


2. From the Review Ribbon, click the Add Note button.

This will automatically launch TeamTalk and open a note linked to the project.

3. Complete Recepients, subject, due date (if applicable), priority and note text.
4. Click Post.

To create a Global note:

1. Within any EWP project, launch TeamTalk by clicking the View Notes icon.

2. Click the Note Activity Pane button .


3. Click the All Notes button.
4. Click the Add Note button.

NOTE: Global notes are disabled when Data Partitions are turned on.

© 2018 TeamMate Licensing B.V. All rights reserved. 5 Ready Reference


Panel Buttons

Button Button Name Description


Add Note Button Will open the Note detail view. Used to create a new note within the
open, TeamTalk module. See Add Note Section for more information
about creating new Notes.
Prepare Button Optional workflow to mark note as Prepared.

Review Button Optional workflow to mark note as Reviewed.

Lock Button Locking a note means it is complete and no further response is needed.

Delete Button Deletes the note – depending on role hierarchy/policies/user levels will
determine who can delete a note.

Close Panel Button Closes the panel with the current note and opens a view where all notes may
be viewed.
Filter Button Opens the Notes List filter Pane.
See "Filter" in the TeamEWP User Guide for more information.
Refresh Button Refreshes the data shown in the Notes List, if new notes have been added

Note Activity pane When clicked this button displays or hides the Note Activity Pane.
button
Last Updated: January 30, 2018

© 2018 TeamMate Licensing B.V. All rights reserved. 6 Ready Reference


Ready Reference
TeamMate AM Product Version: 12.2

TEAMEWP - TEMPLATES (ADMIN)


TeamEWP - Templates (Admin)

Creating TeamEWP Templates

To create a template in TeamEWP:

NOTE: This high-level process is illustrated on the next page.

1. Establish Global Terminology and Global Categories in TeamAdmin > Suite Setup.
2. Create a template project in TeamEWP from Base Template.
3. Get Global Terminology and Global Categories from TeamAdmin > Settings > Get.
4. Customize template:

a. Hide terminology and categories that will not apply to this template.
b. Build TeamMate Browser standard folder structure.
c. Build standard audit programs that apply to this template (i.e. planning and wrap up).
d. Establish standard global tickmarks that will apply to this template.
e. Establish default team, including security groups, that will apply to this template.

5. Project > Save as a Template.

l Define Policies.
l Optional. Include results text fields.
l Optional. Include work papers.
l Save as a template.

6. Template now shows in TeamAdmin > Suite Set Up > Terminology > Change Association to template.
Same for Categories. Updates are made here with options to push changes to existing projects using this
template in certain project status. Changes do not push to finalized and/or closed projects.

NOTE: If template already exists, when saving as template, you will be asked if you want to
override the existing template version in the database.

© 2018 TeamMate Licensing B.V. All rights reserved.


© 2018 TeamMate Licensing B.V. All rights reserved. 2 Ready Reference
Utilizing Multiple Project Templates

Last Updated: January 30, 2018

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TEAMEWP - ACCESSING AUDITNET CONTENT IN
Ready Reference
TeamMate AM Product Version: 12.2

TeamEWP - Accessing AuditNet Content in TeamCloud


TeamMate Content is available to all registered TeamMate users through AuditNet/TeamStore. The Content – that
includes audit programs, risk libraries, and more – is updated at least quarterly. This reference covers how to
access the TeamMate Content TeamStore database while in a fully hosted environment (TeamCloud) from either
the TeamEWP module or the Risk and Control Viewer.
The TeamMate Content TeamStore database serves as a "content library" that is shared by all hosting users and is
separate from your production database. Since content is shared and available to all TeamMate users, the content
is Read Only. Once downloaded to your production database, the Content can be edited.

Accessing TeamMate Content - Hosting Environment

To access TeamMate Content TeamStore from EWP:

1. From within an open TeamEWP project, click Get Programs. The TeamStore Get Wizard - Select
TeamStore displays.

2. Select the Get from Offline or other TeamStore.


3. Click Browse and navigate to C:\Program Files\TeamMate\Connect.
4. Select the content.tmc file.
5. Under Connection, select TeamMate Content TeamStore and click Next. The database loads and the
TeamStore Maintenance window displays.

To access TeamMate Content from the Risk and Control Viewer:

© 2018 TeamMate Licensing B.V. All rights reserved.


Alternatively, you can bring in risks and controls, as well as any linked procedures from the Risk and Control
Viewer within an EWP project.

1. Click Get Risks and select Get from Offline or other TeamStore.

2. Choose the Additional Options that are the most relevant to what you are trying to accomplish. As a best
practice, we suggest leaving all of the options checked.
3. Click Get. The TeamMate Content TeamStore database is now available in the list of connections when
accessing TeamStore.
Last Updated: January 30, 2018

© 2018 TeamMate Licensing B.V. All rights reserved. 2 Ready Reference


Ready Reference
TeamMate AM

TEAMEWP READER - DISTRIBUTION


Product Version: 12.2

TeamEWP Reader - Distribution

Distributing the TeamEWP Reader


In order to download the EWP Reader, the client must be registered in TeamMate Connect as a Champion.

To distribute the EWP Reader:

1. Log into TeamMate Connect to download the EWP Reader from the EWP Reader Files page:
https://softwarereleases.teammateconnect.com/am-releases/11.1-ewp-reader-files.

IMPORTANT: The EWP Reader version must match that of the current fully installed
version.

2. Once downloaded, the client provides the downloaded software to their peer reviewer or external auditor to
install on their machine.

NOTE: EWP Reader cannot be installed on a machine with TeamMate fully installed.

3. The client creates a peer reviewer or external auditor user account in the centralized database; then adds
the account to the EWP project to which they need access. If the client wishes to manage this user account
more globally, an EWP security group can be created in TeamAdmin. Then that security group should be
added to the template. The reviewer(s) account(s) can be added or removed in one location in TeamAdmin
> Security Groups. By adding the reviewer’s account to a security group, he or she will technically have
read access to all projects on which the security group exists. However, since the reviewer is only accessing
projects via a replica and does not have access to the database then access to those projects that were not
requested for review is not a concern.
4. The client creates a transport replica (.tmr) of the project, and sends it to the peer reviewer or external
auditor (either through email or downloaded to flash drive).
5. Since the client will not be getting the replica back, they can choose to discard the sent replica for project
finalization purposes.

Creating Replicas

To create a replica from the master:


Select the correct recipient and provide those selected recipients credentials to them in order for them to open it in
the EWP Reader.

© 2018 TeamMate Licensing B.V. All rights reserved.


1. Log into the Master project.
2. From the Browser select the Replicate option on the Home ribbon | Replication panel.
3. Select the Discrete or Full option:

l If Full is selected, the entire project will be included in the Replica and no further choices are required in
this screen.
l If Discrete is selected, then use the checkboxes to include Schedules in the replica. Selected sections
must show in right box; only items in the Selections box will be replicated.

4. Click Next.
5. Select the destination.

Default is Download directly to a Replica location will install the replica in the location determined in
your preferences.
Alternatively Create a Replica Transport (.tmr) file will create a file that can be sent to the intended
recipient and installed. The .tmr file uses a naming convention of Project Code and the initials of the user
the replica was created for.

6. Click Finish.

TIP: When creating a discrete replica you can automatically select all Schedules
assigned to a specific user. This is an easy way to create discrete replicas for each team
member.

NOTE: Policy settings in EWP may restrict the size of work papers to be included in a
replica.

See "Replication Auto Sync Settings" in the AM Champions Guide for more information.

NOTE: Create discrete replicas when appropriate. Using discrete replicas reduces
replica size and improves performance. Discrete replicas can save time on large projects
with very large Work Papers, or large numbers of Work Papers. Use discrete replicas
when you only need to work on a small part of the project at a time.

NOTE: Plan projects so that for the most part, only one person needs to work in a folder
at a time. This will help delineate responsibility and facilitate usage of discrete replicas.

Installing Replicas

To install a replica (.tmr):

© 2018 TeamMate Licensing B.V. All rights reserved. 2 Ready Reference


1. Launch TeamEWP and open the TeamMate Explorer.
2. Select a tab in the Explorer.
3. Click Replica Icon.
4. Select or Browse to find the .tmr file.
5. Click Next and then Next again.
Last Updated: January 30, 2018

© 2018 TeamMate Licensing B.V. All rights reserved. 3 Ready Reference


TEAMSTORE - ACCESSING AUDITNET CONTENT
Ready Reference
TeamMate AM Product Version: 12.2

TeamStore - Accessing AuditNet Content


TeamMate content is available to all TeamMate users. The content is updated at least quarterly and includes audit
programs, risk libraries, and more.
The instructions below explain how to download the TeamMate Content TeamStore database file from TeamMate
Connect and connect the database to the TeamStore module in TeamMate.

Downloading the Database File

To download the database file:

1. Go to the TeamMate Connect website (www.teammateconnect.com). If you are a new user, contact your
TeamMate Champion to have an account created.
2. Login with your TeamMate Connect credentials.
3. Navigate to the TeamMate Content Discussion Group page:

(https://www.teammateconnect.com/s/group/0F91O000000hFdDSAU).

4. Navigate to the right side of the page, and under the Files section click View All.
5. Click the TeamMate Content TeamStore file that corresponds to your current installed release version.
6. Download the TeamMate Content TeamStore database (.zip file), located to the right of the page.
7. Extract the downloaded file to your standard TeamStore location (typically your local drive, C:\Program
Files\TeamMate\Stores or a shared drive, such as H:\TeamMate\Stores).

Connecting the Database File to TeamStore

To connect the database file to TeamStore:

1. From the TeamMate Launchpad, open TeamStore.


2. From the Open Database window, click Manage in the bottom left-hand corner.

© 2018 TeamMate Licensing B.V. All rights reserved.


NOTE: Your database connections will vary from the example.

3. From the Database Connections window, click Add.

4. In the Add New Connection window, type a descriptive title in Connection Title (such as TeamMate
Content), and then select Microsoft Access for the Database Type.

© 2018 TeamMate Licensing B.V. All rights reserved. 2 Ready Reference


5. For the Database Location, browse to the TeamMate Content TeamStore database you saved on your
computer or shared drive, and then click OK.

The TeamMate TeamStore Access database is now available in the list of connections when accessing
TeamStore.
To access the content, launch TeamStore and select the new connection from the Open Database
window.
The login credentials are Login: admin Password: password.
See "Get Programs" in the TeamEWP User Guide for more information.
Last Updated: January 30, 2018

© 2018 TeamMate Licensing B.V. All rights reserved. 3 Ready Reference


Ready Reference
TeamMate AM Product Version: 12.2

TEAMSTORE - LINKING CONTENT


TeamStore - Linking Content

Linking Risks and Controls


Risks and Controls in TeamStore can be imported into EWP via the Risk and Control Viewer. First, import the
desired Risk/Control already linked in TeamStore via the Risk and Control Viewer. Then, once the Risk/Control
has been imported, select it and then import the corresponding linked procedure in TeamStore with the Get
Programs wizard in the Risk and Control Viewer.

To link risks and controls in the TeamStore:

1. From the Risk Library tab, right-click the title of the Risk, and select Copy as Link.
2. Click the destination for the link (Control Title), and select Paste Link.

A link will appear under the Link Tab; located on the bottom right window.

To link Risks and/or Controls to Procedures in the TeamStore:

1. From the Risk Library tab, right-click the title of the Risk or Control, and select Copy as Link.
2. Navigate to the Programs and Issues tab. Click the destination for the link (Procedure Title), and select
Paste Link.
3. A link will appear under the Link Tab, located on the bottom right window.

© 2018 TeamMate Licensing B.V. All rights reserved.


NOTE: You can also use the hyperlink icons in the Home Ribbon and that will open the
Linking Toolbar. You can link from procedure to control or from control to procedure.

To add linked Risks and/or Controls to the EWP Risk & Control Viewer:

1. Open an EWP project and select the Risk and Controls icon on the Navigation Toolbar.

2. Select the Entity you want to associate the Risk/Controls with.

3. From within EWP Risk and Control Viewer I Home Ribbon, select the Get Risk or Get Controls func-
tion.

4. Select a Risk and/or a Control from TeamStore and bring it into EWP.

© 2018 TeamMate Licensing B.V. All rights reserved. 2 Ready Reference


5. While still in the EWP Risk and Control Viewer, select the control you just brought in from the
TeamStore, then click the Get Programs button.
6. After clicking Next when prompted to choose from the centralized database, TeamStore will place a check
mark next to the procedures linked to the control.
7. Select the location where the linked procedure should go and click Finish.

8. The link to the imported procedure can be found on the reference tab of the Risk and/or Control Viewer.

© 2018 TeamMate Licensing B.V. All rights reserved. 3 Ready Reference


9. Go to the Work Programs on the Browser screen and locate the Work Program folder that should contain
the procedure you just “Imported” from the TeamStore via the “Get Risk and/or Get Control” function. The
procedure is now part of the EWP project.

NOTE: You may also select to bring in controls linked to risks and procedures linked to
controls with the option to only bring in one procedure linked to multiple controls to your
EWP project. Be aware that this option will automatically create a new folder in the
browser home with the program and procedures. You will not have the option to select
where the linked procedures should go within the project.

Last Updated: January 30, 2018

© 2018 TeamMate Licensing B.V. All rights reserved. 4 Ready Reference


Ready Reference
TeamMate AM Product Version: 12.2

TEAMEWP - USING TEAMSTORE


TeamEWP - Using TeamStore

Using the Risk and Controls Viewer

To get risk and controls from the Centralized Suite Database:

1. Open the EWP Project.


2. Click the Risk and Controls button on the Go To toolbar.
3. Select the entity you wish to associate a risk and/or control.
4. Click Get Risks or Get Controls on the Home Ribbon.
5. Select the Get from current Centralized Database option.
6. Click Get.
7. Check the box next to the desired risks.
8. Click Get.

The selected risk will appear in the Risk and Controls Viewer.

NOTE: If a risk has controls associated with it in the TeamStore, those associated controls
will come into EWP with the risk.

NOTE: If procedures are linked to controls, they can be automatically added to the project
when the control is added from TeamStore.

To associate controls with a particular risk:

1. Click Get Controls on the Home Ribbon.


2. Select the Get from current Centralized Database option.
3. Select Get.
4. Check the box next to the desired controls.
5. Click Get.

Selected controls will appear in the Risk and Controls Viewer beneath the highlighted risk. You may also
drag and drop controls/risks to copy or move to the desired location within the viewer

© 2018 TeamMate Licensing B.V. All rights reserved.


NOTE: Get Risk and Controls from an offline TeamStore using the same method,
except select the Get from Offline or other TeamStore option.

To add risk and controls directly into the Risk and Control Viewer:

1. Click Add Risk on the Home Ribbon.


2. Fill in all of the risk details on the top right pane.

To add controls directly into the Risk and Control Viewer:

1. Click Add Control on the Home Ribbon.


2. Fill in all of the control details on the bottom right pane.

To link controls to risk:

1. Right-click the control.

© 2018 TeamMate Licensing B.V. All rights reserved. 2 Ready Reference


2. Select either Cut Item or Copy Item. Cut to move the original control to risk, copy to just move a copy of
the control to the risk.
3. Right-click the risk.
4. Select Paste Item. The Control will appear underneath the risk.

NOTE: Risk and/or Controls may be linked to procedures via hyperlinking. Risks and
Controls can also be moved/copied by dragging and dropping them to the desired
location within the viewer.

Getting Programs from the TeamStore

To get programs from the TeamStore:

1. Open the project.


2. From the TeamMate Browser, click Get Programs from the Home Ribbon.
3. Select your preferred TeamStore, if not already selected.
4. Click Next to open the TeamStore.
5. Select the work programs that you want to include in your project file.

© 2018 TeamMate Licensing B.V. All rights reserved. 3 Ready Reference


6. Click Get.
7. Use the TeamStore Get Wizard to determine the program destinations.
8. Programs can be copied using one of the following methods:

l Specified folder below: all programs will be copied to the highlighted folder.
l Matching folders in the browser: EWP will copy programs to matching folders if they exist. If they do
not exist new folders will be created.
l Newly created folders in the browser: new folders will be created and programs copied.

9. Alternately, you can choose where each program is copied by selecting Prompt, and selecting from the
following advanced options:

l Skip procedures already imported to matching folder.


l Automatically create add missing categories to the current project.
l Create separate copies of work papers linked to multiple procedures.
Last Updated: January 30, 2018

© 2018 TeamMate Licensing B.V. All rights reserved. 4 Ready Reference


Ready Reference
TeamMate AM

TEAMEWP - WORKPAPER RECYCLE BIN


Product Version: 12.2

TeamEWP - Workpaper Recycle Bin

Opening the Workpaper Recycle Bin


In a TeamEWP Project, there is a button available on the Admin ribbon | Maintenance panel named "Workpaper
Recycle Bin".

NOTE: To use the Workpaper Recycle Bin, the following project policy must be enabled in
Project Settings | Customization Policies: "Use Workpaper Recycle bin in the
centralized database”

The following rules apply to the Workpaper Recycle Bin:

l When the user clicks on this button, a dialog is displayed with a list of deleted work papers.

l The information displayed for each deleted workpaper is as follows: ARC, Title, Location (folder path),
State, Size, User, Date, and Download.
l A checkbox is displayed next to each row.
l A “Select All” option is available, which toggles to “Unselect All”.

© 2018 TeamMate Licensing B.V. All rights reserved.


l The dialog also has options to perform the following: "Permanently Delete" and "Recover."
l A document that has been deleted cannot be opened from the Recycle bin. It must be restored first to its
original location.
l Multiple workpapers can be selected to be permanently deleted.
l When a workpaper is permanently deleted, it is removed from the project along with all the links to it and
cannot be recovered.
l When Recover Workpaper is selected, all workpapers are visible in their original locations.
l If the original location folder path has been deleted for the workpaper, a warning icon is displayed in the
location column indicating "Parent folder removed". The row will have an Export option to download the
deleted workpaper.
l Recover workpaper does not perform any action if the parent folder has been removed.
l The Administrator, Project Owner, Project Lead, or Project Manager can permanently delete work-
papers and recover workpapers.
l A team member can only recover the workpapers that they have deleted.
l For a team member, the Permanently Delete button is not enabled.
l The delete/recover actions are saved in the Signoff Edit History of the recovered workpaper
l When a project is finalized, all deleted workpapers and links to them are deleted from the project recycle
bin.

NOTE: When a workpaper is sent to the Recycle Bin, the links to it are NOT deleted
immediately. If a workpaper is sent to the Recycle Bin, it does not show up in the
following sections: Browser Home, export of project to XML, create replica, generate
report, explorer dashboard, signoff status, roll forward.

NOTE: The Recycle Bin is not available in a replica and deleted workpapers in a replica
will follow the same workflow when merging/syncing.  In order to recover a deleted
workpaper in a replica, follow the procedures for restoring a backup of your replica.

Recovering a Workpaper from the Recycle Bin & Permissions

How to Recover a Workpaper

Scenario 1: A single workpaper is deleted and immediately recovered


1. In this first screen shot, you can see that there are 3 workpapers in a TeamEWP Project (A.1.1, A.1.2
and A.1.3).

© 2018 TeamMate Licensing B.V. All rights reserved. 2 Ready Reference


2. The next screen shows that the document A.1.2 was deleted and placed in the recycle bin. When the
recycle bin is opened, the following options are available:

l Permanently Delete
l Recover

3. When the recover option is selected, the document is placed back in its original location; with its original
ARC restored (A.1.2).

Scenario 2: Two workpapers are deleted but before recovering, other workpapers are added in
the same location.

© 2018 TeamMate Licensing B.V. All rights reserved. 3 Ready Reference


1. In this example, three workpapers were added to the folder (B.1.1, B.1.2 and B.1.3) and then both B.1.2
and B.1.3 were deleted.

2. When a new workpaper is added to the same section, it is automatically assigned the ARC of B.1.4 since
the deleted workpapers (B.1.2 and B.1.3) are still sitting in the Recycle Bin. As a result, you must ensure
that all of the documents for a section are permanently deleted from the recycle bin prior to adding any
new workpapers IF you want the ARC to continue the sequential numbering.

3. If you choose to permanently delete the workpapers within the recycle bin and have already created a gap
in numbering (for example B.1.2 and B.1.3 were deleted with B.1.4 already added), then any new work-
papers added to the section will not be renumbered with the ARCs you deleted. Instead, they will be
assigned an ARC value that comes after the already placed workpapers (for example, B.1.5 was added).

Permissions when Recovering a Workpaper


The following is a summary of actions that can be performed within the recycle bin by project role:

l If you are a team member on the project and not a Project Owner or part of the project ownership team
(manager/lead), you will not be able to permanently delete workpapers within the recycle bin (even the
ones you deleted).

© 2018 TeamMate Licensing B.V. All rights reserved. 4 Ready Reference


l If you are a team member on the project and not a Project Owner or part of the project ownership team
(manager/lead), then you can recover your own documents but not documents deleted by any other team
member.

l If you are a Project Owner or part of the project ownership team (manager/lead), you will be able to per-
manently delete and recover any document within the project.

© 2018 TeamMate Licensing B.V. All rights reserved. 5 Ready Reference


Last Updated: January 30, 2018

© 2018 TeamMate Licensing B.V. All rights reserved. 6 Ready Reference