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Audit Programs

Table of Contents:

This SAP audit program contains 78 tests designed to evaluate the effectiveness of the key configuration settings, monitoring techniques and access restriction mechanisms to sensitive transactions in the SAP ECC. The control framework covers the following components of the order-to-cash (revenue) processes:

Customer Master Files
SAP audit plan and testing procedures to ensure integrity and completeness of the customer master data as well as the validity, accuracy and timeliness of changes to the customer master files:
  • Effectiveness of the available system edits that help avoid errors in customer master data
  • Auditing access to maintain customer master data in sales, accounting and centrally
  • Auditing access to customer master mass maintenance screens in SAP ECC
  • Testing dual authorization functionality to ensure validity of changes to customer master files
  • Assessment of monitoring techniques to ensure the validity of changes to the master records

Orders 
Processing
Audit plan and testing procedures to ensure that orders received from customers are valid, input and processed accurately and timely and within approved customer credit limits:
  • Effectiveness of the available system edits that help avoid errors in sales documents (reference mandatory and copy controls for sales documents)
  • Effectiveness of the available online system that help avoid errors in financial documents
  • Access to maintain sales orders, inquiries, quotations, scheduling agreements and contracts 
  • Auditing the configuration of the credit controls; access to maintain credit limits for customers
  • Assessment of monitoring techniques to ensure the appropriateness of the credit master data
  • Auditing configuration of the key pricing elements
  • Access to maintain pricing condition records, price lists, prices, sales deals, promotions, etc.

Invoicing, Sales Returns, and Adjustments

SAP audit plan and testing guidance to ensure that all goods shipped are invoiced; all invoices are valid, accurately calculated and appropriately recorded:
  • Effectiveness of the system edits (copy controls) for billing and delivery documents
  • Access to maintain delivery and billing documents in SAP ECC
  • Auditing system configuration to ensure invoices are posted to appropriate GL accounts
  • Access to maintain credit notes and credit note requests
  • Monitoring goods shipped but not invoiced and uninvoiced debit and credit note requests.

Processing Cash Receipts
 
SAP audit plan and testing guidance to ensure cash receipts data is valid; cash receipts are recorded and processed accurately and timely:
  • Access to post payments in SAP ECC
  • Monitoring accounts receivable aging reports

Segregation of Duties

SAP audit plan and testing guidance to ensure employee responsibilities are separated in such a way that the opportunity to commit fraud within the SAP ECC revenue/order-to-cash functions is not available.

Please view an excerpt from the audit program to ensure it's right for you.

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