Table of Contents:

This SAP audit program contains 48 tests designed to evaluate adequacy of the key configuration settings, monitoring techniques and access restriction mechanisms to sensitive transactions in SAP R/3. The control framework covers the following components of the payroll and personnel process:

Hiring (Onboarding) Procedures
SAP audit plan and testing procedures to ensure that the employee list is current and any changes to the HR/ Payroll master files are valid:

• Accuracy of HR/Payroll master data
• Access to maintain sensitive employee master records
• Access to perform personnel actions - hire, position or pay change, termination, etc.
• Employee access to maintain their own employee master records and personnel actions
• Access to maintain jobs, positions, and org. units in SAP R/3
• Reconciliation of payroll master files to a time recording system, including interface controls for 3rd party time tracking tools (e.g., Kronos)

Termination (Separation) Procedures
SAP audit plan and testing procedures to ensure validity of deletions from the HR/Payroll master files as well as accuracy and timeliness of employment status updates for terminated employees:

• SAP tools to ensure accuracy, timeliness and validity of employment status changes
• Validity of employees with inactive employment status in HR/Payroll master file
• Procedures to ensure that application access to SAP R/3 is disabled for employees with inactive employment status in the HR/Payroll master files

Time Recording, Calculating & Disbursing Payroll
SAP audit guidance to ensure accuracy of the time and attendance data; payroll calculations and payroll disbursement to valid employees:

• Access to maintain time data, work schedules, payroll processing functions, etc.
• Monitoring tools for attendance/absence, and any deviation from attendance/absence quotas
• SAP tools to monitor recorded time worked and reconciling time recorded to payroll reports
• Mapping payroll areas (wage payments, deductions) to the accounts in the FI Chart of Accounts
• Access to payroll processing functionality
• Payroll simulation prior to the processing of payroll
• Financial posting simulation prior to posting to the FI & CO and much more.

Payroll Master Files
SAP audit plan to ensure validity, accuracy and timeliness of changes to the payroll master files in SAP R/3:

• Logging of changes to the SAP R/3 HR/Payroll master records
• Segregation/separation of duties within the human resources and payroll functions in SAP R/3
• Access to maintain withholding tables in SAP R/3 and much more.

Everything has been conveniently pre-documented with fill-in fields for company-specific information (entity name, date, data extracted from the system, etc.) which will allow you to proceed with your assessment immediately.

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