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Audit Programs

Table of Contents:

This audit program for SAP contains 63 tests designed to evaluate adequacy of the key configuration settings, monitoring techniques and access restriction mechanisms to sensitive transactions in the SAP R/3. The control framework covers the following components of the procurement/expenditures business process:

Audit guidelines to determine if purchase orders are entered accurately in SAP R/3 and (if purchasing function has been established) only placed for approved purchase requisitions:
  • Access to maintain purchase orders, purchase requisitions and outline agreements
  • Source list maintenance for specified materials
  • SAP R/3 release strategy for POs & purchase requisitions
  • System edits for purchase requisitions, POs, outline agreements, & payment transactions
  • Tolerances and posting rules for price variance - PO versus Receipt
  • Tolerances/posting rules for PO/Invoice price and quantity variances (Invoice versus PO)
  • Goods received invoice verification and GR-based invoice verification
  • System edits for purchasing documents - doc. type, posting keys, tolerance groups, etc.

Processing Accounts Payable

Audit guidance and testing procedures to ensure that amounts posted to the A/P represent goods/services received, accurately calculated and recorded in SAP R/3:
  • Access to maintain credit notes, invoices, credit memos, & recurring payments
  • Exchange rate table, rounding units, foreign currency ratios
  • The Goods receipt/Invoice receipt (GR/IR) account
  • Vendor pricing information and more.

Processing Disbursements

Controls and testing procedures to ensure that disbursements are made for goods/ services received, accurately calculated, recorded in SAP R/3, and distributed to the appropriate suppliers:
  • Editing payment run parameters & proposals, executing payment runs
  • Access to unblock vendors, release blocked invoices 
  • Alternative payee, one time vendor functions 
  • Edits/validations of the payment and order entry transactions and much more.

Maintaining Supplier and/or Vendor Master Files

Controls and testing guidance to ensure validity, accuracy, and timeliness of changes to the vendor master files in SAP R/3:
  • Access to maintain vendor master records
  • Segregation/separation of duties within SAP R/3 expenditure functions
  • Monitoring changes to vendor master data and 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.

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

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