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A udit I nformation S ystemImplementationPeter SchiwekSolution Management Financials, SAP AG

The Audit Information System

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.

SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 2

User Master Data and AuthorizationsTo 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.

Auditor

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). Installation recommendation: SAP Note 451 960

SAP - DB SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 3

Installation recommendation :SAPAIS 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 Z_AUDITOR_BA_ORGA Z_AUDITOR_BA_FI_GL

UserCopy / Modification Composite rolesAUDITOR_ADMIN A I S Administrator AUDITOR_INTERNAL_SA System Auditor AUDITOR_INTERNAL_BA Business Auditor AUDITOR_EXTERNAL External AuditorZ_AUDITOR_BA_A

...SAP_AUDITOR_ADMIN_A SAP_AUDITOR_BA_A

...SAP_AUDITOR_TAX_FI

AUDITOR_EXTERNAL_TAX Tax Auditor

...SAP_AUDITOR_TAX_FI_A SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 4

Installation recommendation :1. Copy composite role SAP_AUDITOR into the customer specific name space

2. Copy single roles as well

SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 5

Installation recommendation :3. Maintain and generate AIS authorization roles

SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 6

Installation recommendation :4. Assign AIS composite role Z_AUDITOR to the audit user

A user menu is only visible if a role with a menu is assigned to the user. SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 7

Installation Recommendation5. Activate the user menuThe user menu can be activated or deactivated generally using a Customizing switch:

Table Switch

SSM_CUSTALL_USER_MENUS_OFF = YES ALL_USER_MENUS_OFF = NO

Other required switch settings: Switch Switch DELETE_DOUBLE_TCODES = NO 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 Switch Switch

USERS_SSMUser Menu SAP Menu

SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 8

SAP single rolesMeaning Composite role SAP_AUDITORCentral Authorizations Administration System Audit new

(System Audit - Business Audit)Authorization roles

Transaction roles AIS - Audit Information System

SAP_AUDITOR_A SAP_AUDITOR_ADMIN SAP_AUDITOR_SA SAP_AUDITOR_ADMIN_A SAP_CA_AUDITOR_SYSTEM( SAP_CA_AUDITOR_SYSTEM_DISPLAY )

Repository / Tables Users and Authorizations Business Audit - Individual Financial Statements Organizational Overview Financial Statements - General Closing (GLTO) Data Export Special Ledger From Release 4.70, SP 15 From Release 4.6C, SP 45 new new

SAP_AUDITOR_SA_CUS_TOL SAP_AUDITOR_SA_CCM_USR

SAP_CA_AUDITOR_SYSTEM SAP_CA_AUDITOR_SYSTEM

SAP_AUDITOR_BA_ORGA

SAP_AUDITOR_BA_A

SAP_AUDITOR_BA_FI_GL SAP_AUDITOR_BA_EXPORT_DATA SAP_AUDITOR_BA_FI_SL new function

SAP_AUDITOR_BA_A SAP_AUDITOR_BA_A SAP_AUDITOR_BA_FI_SL_A changed function

SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 9

SAP single rolesMeaningBusiness Audit - Individual Financial Statements Balance Sheet - Assets Fixed Assets Real Estate Material Inventories Accounts Receivable Customers - Master Data Accounts Receivable Treasury Cash Journal new new new new

(System Audit - Business Audit)Authorization roles

Transaction roles

SAP_AUDITOR_BA_FI_AA SAP_AUDITOR_BA_RE SAP_AUDITOR_BA_MM_IM

SAP_AUDITOR_BA_FI_AA_A SAP_AUDITOR_BA_RE_A SAP_AUDITOR_BA_MM_IM_A

SAP_AUDITOR_BA_FI_ARMD SAP_AUDITOR_BA_FI_AR SAP_AUDITOR_BA_CFM SAP_AUDITOR_BA_FI_CJ

SAP_AUDITOR_BA_FI_ARMD_A SAP_AUDITOR_BA_A SAP_AUDITOR_BA_CFM_A SAP_AUDITOR_BA_FI_CJ_A

Balance Sheet - Liabilities and Equity Accounts Payable Vendors - Master Data Accounts Payable SAP_AUDITOR_BA_FI_APMD SAP_AUDITOR_BA_FI_AP SAP_AUDITOR_BA_FI_APMD_A SAP_AUDITOR_BA_A

SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 10

SAP single rolesMeaningBusiness Audit - Individual Financial Statements P&L Sales Revenue Raw Materials Consumed Purchasing Eingangsrechnung Personnel Expenses Human Resources Segment Reporting Profit Center Accounting Internal Activity Allocation new new new new new

(System Audit - Business Audit)Authorization roles

Transaction roles

SAP_AUDITOR_BA_SD

SAP_AUDITOR_BA_SD_A

SAP_AUDITOR_BA_MM_PUR SAP_AUDITOR_BA_MM_IV

SAP_AUDITOR_BA_MM_PUR_A SAP_AUDITOR_BA_MM_IV_A

SAP_AUDITOR_BA_HR

SAP_AUDITOR_BA_HR_A

SAP_AUDITOR_BA_EC_PCA SAP_AUDITOR_BA_CO

SAP_AUDITOR_BA_EC_PCA_A SAP_AUDITOR_BA_CO_A

- Consolidated Financial Statements Consolidation - Data Privacy Protection Data Protection SAP_AUDITOR_DS SAP_AUDITOR_DS_A new SAP_AUDITOR_BA_EC_CS SAP_AUDITOR_BA_EC_CS_A

SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 11

SAP single rolesMeaning

( Tax Audit )Authorization roles

Transaction roles

Composite role SAP_AUDITOR_TAXCentral Authorizations SAP_AUDITOR_TAX_A

Tax Audit, Asset Accounting Tax Audit, Controlling/Project System Tax Audit, Financials Tax Audit, Materials Management Tax Audit, Sales and Distribution Tax Audit, Treasury

SAP_AUDITOR_TAX_AA SAP_AUDITOR_TAX_COPS SAP_AUDITOR_TAX_FI SAP_AUDITOR_TAX_MM SAP_AUDITOR_TAX_SD SAP_AUDITOR_TAX_TR

SAP_AUDITOR_TAX_AA_A SAP_AUDITOR_TAX_COPS_A SAP_AUDITOR_TAX_FI_A SAP_AUDITOR_TAX_MM_A SAP_AUDITOR_TAX_SD_A SAP_AUDITOR_TAX_TR_A

SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 12

Preparatory WorkIn 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 variablesImport 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. SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 13

The Development History of AISUntil 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. SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 14

SAP NotesSAP Release:00775030100609 0182699 0197137 0162971 0133914 0190767 0202497 0376779 0496534 0202504 0328019 0451960 0544650 0662882 0751970 0754273

4.5XX X X X X

4.6AX

4.6BX

4.6CX

4.70X

5.00X

Audit Information System (AIS)Audit Information System (AIS) - installation Download of Query data (user exit) Query Download from EBCDIC server AIS version history 3.x 4.0 4.5 Conversion of drill-down Collect note Collect note RSQUEU01: Missing FM "F4IF_INT_TABLE_..." Query export of large data Collect note AIS Structure AUDIT_ALL does not exist AIS Role Concept Collect note Behavior of system variants for AIS Collect note Availability of Systemaudit

X X

X X

X

X

X

X X X X X X X X X X X X X X X X X X X X

SAP AG 2004-12-07, Audit Information System, Rel. 4.6C / 4.70 / 5.00, Peter Schiwek 15