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A u d i t I nformationS ystem
Implementation
Peter SchiwekSolution Management Financials, SAP AG
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 2
The Audit Information System facilitates smoother and better quality audits.
It consists of a number of single roles and is a - Collection,- Structure, and- Default setup
of SAP standard programs
The AIS is the Toolbox of the auditor in SAP-Environment.
The Audit Information System
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 3
SAP - DBSAP - DB
To facilitate working with the AIS, the auditor needs a user in the SAP System. This user master record requires a wide range of display authorizations.
Several single roles have been defined for the AIS. These single roles are divided into two groups:- Transaction roles- Authorization roles
For a better overview, all single roles are combined to a composite role (SAP_AUDITOR).
Installationrecommendation:SAP Note 451 960
Auditor
User Master Data and Authorizations
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 4
AIS – Single rolesSAP_AUDITOR_ADMIN
SAP_AUDITOR_BA_ORGA
SAP_AUDITOR_BA_FI_GL
SAP_AUDITOR_BA_FI_AA
SAP_AUDITOR_BA_FI_AR
SAP_AUDITOR_BA_FI_AP
. . .
SAP_AUDITOR_ADMIN_A
SAP_AUDITOR_BA_A
. . .
SAP_AUDITOR_TAX_FI
SAP_AUDITOR_TAX_FI_A
Copy / Modification
Z_AUDITOR_BA_ORGA
Z_AUDITOR_BA_FI_GL
Z_AUDITOR_BA_A
Composite roles
AUDITOR_ADMINA I S Administrator
AUDITOR_INTERNAL_SA System Auditor
AUDITOR_INTERNAL_BA Business Auditor
AUDITOR_EXTERNAL External Auditor
. . .
AUDITOR_EXTERNAL_TAXTax Auditor
SAP User
Installation recommendation :
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 5
2. Copy single roles as well
1. Copy composite role SAP_AUDITOR into the customer specific name space
Installation recommendation :
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 6
3. Maintain and generate AIS authorization roles
Installation recommendation :
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 7
4. Assign AIS composite role Z_AUDITOR to the audit user
Installation recommendation :
A user menu is onlyvisible if a role witha menu is assigned tothe user.
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 8
5. Activate the user menu
The user menu can be activated or deactivated generally using a Customizing switch:
Table SSM_CUST Switch ALL_USER_MENUS_OFF = YES ALL_USER_MENUS_OFF = NO
Other required switch settings:
Switch DELETE_DOUBLE_TCODES = NO
Switch SORT_USER_MENU = NO
The user menu and/or SAP Menu can also be activated or deactivated for specific users with the setting: ALL_USER_MENUS_OFF = YES.
Table USERS_SSMSwitch User MenuSwitch SAP Menu
Installation Recommendation
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 9
SAP_AUDITOR_ACentral Authorizations
Transaction roles Authorization rolesMeaning
SAP_AUDITOR_ADMIN SAP_AUDITOR_ADMIN_AAdministration
SAP_CA_AUDITOR_SYSTEM
SAP_AUDITOR_SA_CUS_TOL Repository / Tables
SAP_AUDITOR_SA_CCM_USR Users and Authorizations
System Audit
SAP_AUDITOR_BA_ORGA SAP_AUDITOR_BA_AOrganizational Overview
Business Audit
- Individual Financial Statements
Financial Statements - General
SAP_AUDITOR_BA_FI_GL SAP_AUDITOR_BA_A• Closing (GLTO)
SAP_AUDITOR_BA_EXPORT_DATA SAP_AUDITOR_BA_A• Data Export
SAP_AUDITOR_BA_FI_SL SAP_AUDITOR_BA_FI_SL_A• Special Ledger new
SAP_CA_AUDITOR_SYSTEM
( SAP_CA_AUDITOR_SYSTEM_DISPLAY )
Composite role „SAP_AUDITOR“ AIS - Audit Information System
From Release 4.70, SP 15 new function changed functionFrom Release 4.6C, SP 45
new
SAP single roles (System Audit - Business Audit)
new
SAP_AUDITOR_SA SAP_CA_AUDITOR_SYSTEM
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 10
Business Audit
- Individual Financial Statements
• Accounts Receivable
SAP_AUDITOR_BA_FI_ARMD SAP_AUDITOR_BA_FI_ARMD_A• • Customers - Master Data
SAP_AUDITOR_BA_FI_AR SAP_AUDITOR_BA_A• • Accounts Receivable
• Treasury SAP_AUDITOR_BA_CFM SAP_AUDITOR_BA_CFM_Anew
• Cash Journal SAP_AUDITOR_BA_FI_CJ SAP_AUDITOR_BA_FI_CJ_Anew
Balance Sheet - Liabilities and Equity
• Accounts Payable
SAP_AUDITOR_BA_FI_APMD SAP_AUDITOR_BA_FI_APMD_A• • Vendors - Master Data
SAP_AUDITOR_BA_FI_AP SAP_AUDITOR_BA_A • • Accounts Payable
Balance Sheet - Assets
SAP_AUDITOR_BA_FI_AA SAP_AUDITOR_BA_FI_AA_A• Fixed Assets
SAP_AUDITOR_BA_RE SAP_AUDITOR_BA_RE_A• Real Estate
SAP_AUDITOR_BA_MM_IM SAP_AUDITOR_BA_MM_IM_A• Material Inventories
new
new
SAP single roles (System Audit - Business Audit)
Transaction roles Authorization rolesMeaning
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 11
Business Audit
- Individual Financial Statements
P&L
• Sales Revenue SAP_AUDITOR_BA_SD SAP_AUDITOR_BA_SD_Anew
• Raw Materials Consumed
SAP_AUDITOR_BA_MM_PUR SAP_AUDITOR_BA_MM_PUR_A• • Purchasing new
SAP_AUDITOR_BA_MM_IV SAP_AUDITOR_BA_MM_IV_A• • Eingangsrechnung new
• Personnel Expenses
SAP_AUDITOR_BA_HR SAP_AUDITOR_BA_HR_A• • Human Resources
Segment Reporting
• Profit Center Accounting SAP_AUDITOR_BA_EC_PCA SAP_AUDITOR_BA_EC_PCA_Anew
Internal Activity Allocation SAP_AUDITOR_BA_CO SAP_AUDITOR_BA_CO_Anew
- Consolidated Financial Statements Consolidation SAP_AUDITOR_BA_EC_CS SAP_AUDITOR_BA_EC_CS_Anew
Data Protection SAP_AUDITOR_DS SAP_AUDITOR_DS_A
- Data Privacy Protection
SAP single roles (System Audit - Business Audit)
Transaction roles Authorization rolesMeaning
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 12
SAP_AUDITOR_TAX_ACentral Authorizations
SAP_AUDITOR_TAX_AA SAP_AUDITOR_TAX_AA_ATax Audit, Asset Accounting
SAP_AUDITOR_TAX_COPS SAP_AUDITOR_TAX_COPS_ATax Audit, Controlling/Project System
SAP_AUDITOR_TAX_FI SAP_AUDITOR_TAX_FI_ATax Audit, Financials
SAP_AUDITOR_TAX_MM SAP_AUDITOR_TAX_MM_ATax Audit, Materials Management
SAP_AUDITOR_TAX_SD SAP_AUDITOR_TAX_SD_ATax Audit, Sales and Distribution
SAP_AUDITOR_TAX_TR SAP_AUDITOR_TAX_TR_ATax Audit, Treasury
Composite role „SAP_AUDITOR_TAX“
SAP single roles ( Tax Audit )
Transaction roles Authorization rolesMeaning
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 13
In order to work with the AIS, the following needs to first be completed:
- Maintain the AIS Roles - Set up user master records
Set up the online help
Maintain the selection variables
Import recherche reports
Activate user exit „SQUE0001, ABAP/4-Query: Private storage of data“
All additional maintenance steps are optional and merely serve to optimize the use of the AIS functions.
Preparatory Work
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 14
Until SAP Release 4.6C, AIS was realized using a menu technique (transaction SECR).
As of SAP Release 4.6, AIS is part of the SAP Standard System
As of SAP Release 4.6C (Support Package SAPKH46C27), the technical implementation of AIS in the program has been changed to a role-based maintenance environment (transaction PFCG).
Additional development of AIS will only be carried out in this new environment.
The Development History of AIS
SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 15
0077503 Audit Information System (AIS) X X X X X X
SAP Release: 4.5 4.6A 4.6B 4.6C 4.70 5.00
0100609 Audit Information System (AIS) - installation X
0182699 Download of Query data (user exit) X X X X X X
0197137 Query Download from EBCDIC server X X X
0162971 AIS version history 3.x 4.0 4.5 X
0133914 Conversion of drill-down X
0190767 Collect note X
0202497 Collect note X
0202504 Collect note X
0328019 AIS Structure AUDIT_ALL does not exist X
0376779 RSQUEU01: Missing FM "F4IF_INT_TABLE_..." X
0451960 AIS Role Concept X X X
0496534 Query export of large data X X X X X X
SAP Notes
0544650 Collect note X
0662882 Behavior of system variants for AIS X X
0751970 Collect note X
0754273 Availability of Systemaudit X X
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