Program Manager Mr. A. Sundaram
OVERVIEW OF PROGRESS IN 2014
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Building on the strides made in 2012/13, WIPO’s program and financial management continued to be strengthened in 2014. In order to utilize resources more effectively, to establish best practice as regards planning, performance management, facilitation and support for operational activities across the Organization and to strengthen the “second line of defense54”, a strategic restructuring within the Program which was undertaken in November 2013, was fully embedded in 2014. This involved (i) the merger of the Program Management and Performance Section and the Budget Section, to create the Program Performance and Budget Division (PPBD), which allowed for a more holistic approach to program management; (ii) the refining of the role of the “Office of the Controller”, which enabled separation and assignment of clear responsibilities for risk management coordination, compliance and internal controls, the review and maintenance of the financial regulatory framework and follow-up on oversight recommendations; and (iii) the incorporation of the management and support of the Organization’s administrative applications into Program 22, allowing for synergy and effective mainstreaming of the systems delivered by the ERP portfolio of projects.
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Good progress was made in 2014 with respect to further embedding a results-based culture and strengthening WIPO’s performance management cycle. The workplanning process continued to be enhanced in 2014, with the introduction of position level planning. To support this enhancement, new functionality was developed in the Enterprise Resource Planning (ERP) Enterprise Performance Management (EPM) workplanning module to enable the allocation of individual staff members to specific program activities, driving linkages between the Programs’ expected results and individual staff objectives closer together. This enhancement also enabled more transparency and accuracy with regard to personnel resource allocation and utilization.
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The evolution of the ERP EPM planning system was integral to the progress made in 2014. To this end, the year 2014 saw the launch of two new key modules to support WIPO’s performance cycle, namely the ‘Implementation and Monitoring’ and the ‘Performance Assessment’ modules. The former provides Program Managers, for the first time, a tool to enable the regular updating of the approved workplans, significantly improving the ability to monitor their implementation, both in terms of substance, as well as utilization of financial resources. In addition, this tool also enabled the ability for improved comparative analysis between the approved workplans and the changes throughout the year, enhancing program management and informing future planning cycles. The latter tool enables a more proactive and uniform approach to performance assessment, including more frequent interim performance reviews and tracking of progress towards the targets as set out in the Program and Budget 2014/15.
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Further integration of the ERP components in 2014 also enabled improved reporting capabilities and analytical tools. For the first time in 2014, the Administrative Integrated Management System (AIMS) financial and the EPM planning systems were integrated, allowing for improved reporting on budget versus actual expenditure from EPM. In addition, the ERP Human Resources (HR)/Payroll system was brought into operation in January of 2014, and integration with the EPM planning system was completed in April, resulting in significantly enhanced position management capabilities. Progress was made on the Business Intelligence module, with initial management dashboards having been developed and released to core administrative areas (HRMD, Procurement and Travel, and Program Planning and Finance). An Organization-wide release is planned for the second half of 2015.
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In accordance with the Risk Management Roadmap, a number of documents were developed that established a formalized and coherent risk management and internal controls framework for the Organization, including WIPO’s Accountability Framework, WIPO’s Risk Appetite Statement, establishment of the Risk Management Group (RMG), the Risk Management Policy, and the Risk Management and Internal Controls Manual. WIPO’s Accountability Framework and WIPO’s Risk Appetite Statement were reviewed and endorsed by Member States at the end of 2014.
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In order to facilitate real-time access to risk and control information, support proactive risk and control management, as well as to render efficient responses to audit bodies, an Enterprise Risk Management (ERM) tool was implemented in the second half of 2014 and used to support the 2015 workplanning process. The processes of monitoring and reporting risks were also strengthened, with the (i) introduction of semi-annual risk reviews, which also form the basis for (ii) the semi-annual risk management reports reviewed by the RMG, as well as (iii) the continued strengthening of the integration of risk management within the program performance management processes.
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The regulatory framework continued to be updated, with a number of OIs reviewed and issued (procurement, official hospitality, travel, home leave, salary advances, cash guidelines for external offices, etc.), and/or still ongoing review (asset management, voluntary contributions and financial disclosure). The Financial Regulations and Rules (FRR) were reviewed and revised, as agreed by Member States, and a new electronic tool was put in place to support the management of programmatic designations.
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In addition, a number of internal controls were reviewed and strengthened over the course of 2014, supported by management initiatives as well as follow up and implementation of the recommendations of oversight bodies. The process of following up on oversight recommendations, including those of the internal as well as the external auditors and the Joint Inspection Unit (JIU), was also reinforced.
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The comprehensive study of WIPO’s treasury practices and risks, launched in 2013, was completed in spring 2014, resulting in a series of recommendations, including with regard to the practice of hedging as a means to reduce exposure to foreign currency fluctuations in the PCT. The Secretariat is currently in the process of reviewing the full set of recommendations and defining an implementation strategy. Additional initiatives implemented in the finance area included: (i) further refinement of processes related to the management and forecasting of WIPO’s income for the preparation of the Program and Budget 2016/17; (ii) the establishment of cash management and financial guidelines for the prudent and effective management of financial resources in the External Offices; (iii) the continued transformation of foreign currency Funds-in-Trust (FITs) into Swiss franc based accounts with a view to further reducing exposure to foreign currency fluctuations; and (iv) the adoption by certain Programs of the AIMS module for invoicing for subscriptions, extracts and other services provided by the IB for fee payment, resulting in more streamlined and efficient invoice management.
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Furthermore, in order to address certain issues, which arise with WIPO’s main partner financial institutions regarding payments to/from sensitive countries, WIPO worked closely with the financial institutions towards an agreement to facilitate the processing of such payments while ensuring full regulatory compliance.
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With regard to the PCT, two new International Searching Authorities (ISAs) - the National Institute of Industrial Property of Chile and the Swedish Patent and Registration Office - were appointed in 2014, requiring new payments and system changes.
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Following the initial filings from Benelux trademark holders in October 2013 during a pilot phase, testing and modifications to the Madrid E-Filing service continued in 2014 in order to accommodate an anticipated growth in the user base. In addition, for the first time in 2014, the IB began to manage the collection and distribution of handling fees, ensuring timely distribution, i.e. within the month following receipt of the fees, to the appropriate parties.
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Under the MoU with the USPTO, EPO and the IB, the pilot project to establish whether the management of foreign exchange risks associated with the payment of search fees can be improved was successfully launched and was, more recently, extended for another year. An evaluation of the project is planned at the end of the biennium.
PERFORMANCE DATA
Expected Result: IX.1 Effective, efficient, quality and customer-oriented support services both to internal clients and to external stakeholders
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Performance Indicators
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Baselines
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Targets
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Performance Data
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TLS
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Provision of financial and management reports and analysis required by senior management, Program Managers and Member States in accordance with agreed deadlines
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Monthly closure to be completed 10 working days after month end (except January where monthly close is determined by progress of annual close)
Static online reports available overnight; quarterly Observatory reports within 2 weeks of closure; monthly standard reports within 1 week of closure
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Same as baselines
Parameterized interactive online reports available as result of ERP/BI work in the course of 14/15; quarterly Observatory reports within 2 weeks of closure; monthly standard reports within 1 week of closure
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Closure dates for both January and February were impacted by the annual closure. One month closed on the 10th working day and all other months closed on either the 8th or 9th working day.
Initial management dashboards were developed and released to core administrative areas (HRMD, Procurement and Travel, and Program Planning and Finance). An Organization-wide release is planned for the second half of 2015.
Quarterly and monthly standard reports within 10 working days of closure
Observatory Reports within 1 month of closure
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On track
On track
On track
Not
on track
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Resolution of internal/external queries received in accordance with established timeframes
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75% of tickets to be closed (resolved) within 3 days of receipt
Provide advice and/or respond to budgetary files and queries within 72 hours
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Same as baselines
Provide advice and/or respond to budgetary files and queries within 48 hours
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In 2014, 86% of tickets registered in the WIPO Inquiry Notification System (WINS) were closed (resolved) on the same day of their opening, 6% within 2 days and 9% within 3 days.
In 2014, the Program Performance and Budget Division (PPBD) received approximately 1,200 files requiring programmatic and/or budgetary validation, The average response time was 2.3 days.
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On track
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Expected Result: IX.2 An agile and smooth functioning Secretariat with a well-managed and appropriately skilled workforce which is effectively delivering results
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Performance Indicators
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Baselines
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Targets
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Performance Data
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TLS
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Satisfactory financial report from the External Auditors confirms the conformity of financial operations to the provisions of the applicable WIPO conventions and treaties, the WIPO Financial Regulations and Rules and IPSAS
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Clean audit report received for 2012 and 2013 and answers provided to all audit recommendations
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Clean audit report for both years of the biennium
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Management letter on Interim Financial Audit (Nov 2014) received on Feb 19, 2015, and action was taken during the closure period to address recommendations which have an impact on the financial statements for 2014.
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On track
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Return on invested funds in line with benchmarks established by the Investment Advisory Committee (IAC)
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Return on invested funds in line with the benchmark established by the IAC in 2012/13
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Return on invested funds in line with the benchmark established by IAC in 2014/15
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Investments continue to be with Swiss authorities, in line with the benchmark established by IAC in 2014/15
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On track
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Performance Indicators
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Baselines
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Targets
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Performance Data
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TLS
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Payments (including Madrid and Hague fees) made on time
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90% of payments made within seven days of payment terms or receipt date (in case of late receipting) for those without other workflow issues (e.g. PO not dispatched, etc...)
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90% of payments to be made within two three days of receipt of invoice
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1. All invoices paid timely except ex-post facto, or when there is no requisition in the system
2. Monthly distribution paid/credited to a current account/applied against contributions in the following month as required by Regulations
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On track
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% of staff trained expressing satisfaction with training (induction courses, ERP related training, RBM related training)
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Updated Baseline end 2013:
Induction courses: 94%
RBM/ERP related training: 96%
Original Baseline P&B 2014/15: tbd
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85%
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Induction courses: 94%
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RBM/ERP-related training: 95%
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Project Management in a Results-based Environment: 100% (76%-excellent; 24% -good)
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On track
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% of WIPO respondents who perceive that WIPO is accountable for its results
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Updated Baseline end 2013: 80.7%
Original Baseline P&B 2014/15: 75%
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80%
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Survey to be conducted at the end of 2015
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N/A 2014
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% of WIPO Programs using performance data for managing Program performance
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Updated Baseline end 2013: 55%55 (as per 2010/11 PPR Validation Report)
Original Baseline P&B 2014/15: 50
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70
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79% (as per 2012/13 PPR Validation Report)56
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On track
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Expected Result: IX.3 An enabling working environment supported by an effective regulatory framework and appropriate channels to address staff concerns
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Performance Indicators
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Baselines
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Targets
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Performance Data
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TLS
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Financial Regulations and Rules and relevant Office Instructions (OIs) up to date
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Updated Baseline end 2013: OIs issued in 2012 and 2013. FRRs amended in 2012 and 2013 as deemed necessary
Original Baseline P&B 2014/15: OIs issued in 2012 and 2013. FRR amended in 2012 as deemed necessary
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Review and revision of regulatory framework if/as appropriate
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Review and/or issuance of OIs, including those dealing with:
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Procurement General Principles and Basic Rules (OI 1/2014)
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Salary Advances (10/2014)
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Policy on Usage of Mobile Telecommunication Devices (17/2014)
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Establishment of the Risk Management Group (OI 18/2014)
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Home leave (22/2014)
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WIPO Risk Management Policy (34/2014)
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Cash Management and Financial Guidelines for WIPO’s External Offices Scope and Purpose (45/2014)
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Official Hospitality (3/2012 Rev.)
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Official Travel and Related Expenses (29/2013 Rev.)
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Review and amendments to the FRRs (OI/60/2014) in October 2014
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Review of Programmatic and Administrative Designations and UNDP signatories, and introduction of an electronic application to manage programmatic designations
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Ongoing work on the review and/or drafting of new OIs on:
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Property Management
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Management of Voluntary Contributions
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Financial Disclosure and Declaration of Interest
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On track
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RESOURCE UTILIZATION
Budget and Actual Expenditure (by result)
(in thousands of Swiss francs)
Budget and Actual Expenditure (personnel and non-personnel)
(in thousands of Swiss francs)
NOTE: The 2014/15 Budget after Transfers reflects transfers as of March 31, 2015 to address needs during the 2014/15 biennium in line with Financial Regulation 5.5.
A. Budget after Transfers 2014/15
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The slight increase in the 2014/15 Budget after Transfers emanates primarily from an increase in personnel resources, due to the ongoing regularization of continuing functions within the Program.
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The shift in resources between the Expected Results, is primarily due to the fact that resources dedicated to the mainstreaming of the new modules and capabilities of the ERP system were linked to ER IX.2 in the 2014/15 Approved Budget, however since these activities are primarily service related, there were more accurately reflected under ER IX.1 in the 2014/15 Budget after Transfers. The increase under ER IX.8 is primarily due to the increased support provided by the Program to the work of the External Auditors.
B. Budget utilization 2014
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Budget utilization is within the expected range of 40-60 per cent for the first year of the biennium and is on track.
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