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Page 1: e2 AIS Implementation

A u d i t I nformationS ystem

Implementation

Peter SchiwekSolution Management Financials, SAP AG

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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

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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

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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 :

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2. Copy single roles as well

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

Installation recommendation :

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3. Maintain and generate AIS authorization roles

Installation recommendation :

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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.

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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

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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

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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

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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

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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

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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

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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

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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