sap qm cfr audit management

8102019 Sap Qm Cfr Audit Management

httpslidepdfcomreaderfullsap-qm-cfr-audit-management 128

Product Description

Karl F Westermann

karlwestermannsapcom

September 2005

Audit Management

PlanningAuditing

ReportingCorrective Action

Analysis

QualityEnvironment

Safety amp Security



2

Intention of the Product Description

This product description is aimed at the following reader categories

bull It provides potential users with a sufficient standardized basis for their decision to use the SAP AuditManagement solution

bull Users new to Audit Management can familiarize themselves with the components and functions of the Audit Management software

bull Members of the SAP sales organization get an overview of the various application areas of our AuditManagement solution

bull SAP consultants learn the functions available in addition they find important hints on how to customizethe Audit Management software for different uses

bull All other interested parties (project leads training course instructors) can use the information provided

as they require

Legend In the text terms with special meaning in the SAP terminology are presented in italic font







5

2 Audit ProcessingTo keep the process description that follows simple the example is based on a quality system audit performed inaccordance with ISO 9000 However if regarded in a broader sense the example below can also show you howvarious other audits revisions or inspections can be performed using our product The process phases arebased on the standard ISO 19011

Our Audit Management product supports all phases of auditing ndash from the planning of a comprehensive auditprogram and of the individual audits through the definition of the audit criteria or question lists to the actualauditing process and the assessment of the audit object in the audit report It also supports you in defining and

monitoring corrective and preventive actions Audit Management also provides effective tools for the evaluationof all audit data

Phases of Auditing (Define-Measure-Analyze-Improve-Control)

A typical process can include for example the following phases and tasks

Planning the audit criteria

o Planning of general question lists (general criteria) depending on relevant standards regulations orrules of the application area

bull Planning the audit program

o Definition of a scheme for example in the form of an annual schedule taking into consideration thescope object and date of the audits

bull Preparing the individual audits

o Determination of the individual audit question lists

o Determination of the partners involved in the audit distribution of roles

o Preparing the required documents

Audit processing

o Releasing the audit inviting the participants providing the documents

o Examining the audit object with regard to the criteria (questioning viewing)

o Recording the findings (statements documents)

Assessment

o Valuation of the criteria (question list items)

o Rating and grading of the audit object



6o Audit report (draft and final report signature)

Follow-up actions

o Determining a subsequent audit if necessary

o Determining corrective preventive and improvement actions and the persons responsible

o Monitoring the subsequent steps and verifying the effectiveness of all actions

Analysis and evaluation

o Overview of the whole audit program or of selected groups of audits

o Overview of all or of selected groups of audit questions and results

o Overview of all or of selected groups of findings and actions

o Analyses of audit results and actions (Pareto trend benchmark)

o Feedback of audit results to audit planning

bull General features

Audit Management also supports you in performing the following tasks which are independent from theprocess phases

o Documentation of all steps of audit processing

o

Managing the partners involved and communication with these partnerso Classifying and qualifying the auditors

3 Components of the Audit Management Solution

31 Overview of the Components

The data object types in the diagram below (referred to as audit components in the system and in the docu-mentation) were created for computer-aided audit processing The following units describe the properties anduses of these data object types in the individual phases of audit processing

Overview of Data Objects in Audit Management



7

32 Question List

Question List

Questions lists are master data They serve to store the criteria according to which the audit objects are asses-sed in the form of recurring audit questions By defining hierarchy profiles for question lists you can structure thelists as you require The hierarchy profile determines the hierarchy levels that exist whether questions can beassigned at all levels or only at the lowest level and the levels at which valuations can be performed In thequestion list you can then enter a priority a weighting and a valuation proposal for the items to be valuated

For combined audits you can include more than one question list in an audit and relocate the questions

Mnemonic names of question list items can be structured using freely definable formatting masks On the basisof such formatting masks the system can derive and propose the names of subordinate items when these arebeing included in question lists If you donrsquot define a formatting mask decimal classification will be suggested

Question lists contain the application-area-dependent expertise of the auditor SAP does not deliver any precon-figured question lists for particular regulated areas due to licensing law restrictions You can create question

lists for example in accordance with automotive standard VDA 61 within a few hours in your own system Youcan also upload existing question lists from Excel files into the system via a standard XML interface and exportquestion lists from the system as an Excel file via a standard XML interface SAP provides you with an exampleof the Excel macro necessary to do this On request your SAP consultant will provide you with an example ofthis type of macro You could also consult Chapter 5 - Offline Operation



8

33 Audit Plan (Audit Program)

Audit Plan (Audit Program)(terms according to ISO 19011 in italics)

Our audit plan data object type is used to keep an overview of your audits and have them organized in a logicalfashion By means of audit plans you can represent what is described in ISO 19011 as an audit program (WhatISO 19011 describes as an audit plan we refer to as a planned part of an audit)

An audit plan can contain several subordinate audit plans and audits can be linked to the audit plans Thus youcan group audits together in a hierarchical structure You can for example create annual plans for audits orgroup audits together according to the organizational relation of the audit objects

You can export an audit plan using an interface to Microsoft Project

reg

This means that you have additionalfunctions for defining and linking work packages project control and graphical representation of the project flowOnce you have refined it in Microsoft Project

reg you can re-import the audit plan

You can also create unplanned audits that is without relating them to audit plans



9

34 Audit

Audit

In the planning phase our audit data object corresponds to what is described in ISO 19011 as an audit plan Itdescribes the audit type and the audit trigger as well as the audit object The attributes of these parameters arepredetermined in Customizing by the user

The definition of audit objects makes it possible to analyze similar audits to for example determine best prac-tices or trends The audit object is described using a freely-definable group of fields In general the possiblecontents of these fields are entered in Customizing tables However it is also possible to link to data elements inthe repository For example you can define the object of a vendorrsquos QM system audit using the data elementsVendor and QM System

The Audit data object is also used in the execution of the audit You assign an audit question list to the Audit andenter the valuation of the questions in this list

The actual audit execution can be triggered in two ways It is either triggered by an obligation to collect informa-tion on the part of the partners involved or by an obligation to provide information on the part of the personresponsible for the audit

bull Procedure for obligation to collect informationThe audit monitor can be used by every system user to generate an individual worklist of audits that are tobe processed and in which the user is involved in any partner role All partners are responsible for collectinginformation about their individual tasks using this worklist

bull Procedure for obligation to provide informationThe notification function allows the audit planner to define a worklist and to send e-mail invitations for parti-cipation in an audit to the partners concerned The audit planner can also set up the system so it regularlyupdates the worklist and automatically sends such invitations



10

35 Audit Question List

Audit Question List

An audit question list serves as a mnemonic device for the auditor It is also the basis for the valuation of theaudit object The audit question list is a result of one or more question lists being added to the data object auditThe properties that were defined in the hierarchy profiles of the master question lists remain valid in the auditquestion list Each item transferred from the question list contains a reference to the original question list itemYou can relocate and change the items that have been transferred mark questions as not relevant or deletethem and add new questions You can of course create an audit question list manually without using anymaster question list as a template

The relevance and valuation of an audit question can depend on the valuation of another audit question from thesame or from another audit An audit question can for example automatically become relevant if a controllingquestion from a previous audit was not fulfilled

In the preparation phase of an audit you can print or send the question list It is also possible to download thequestion list via an XML file to a mobile device Then you can enter the findings and valuations on the mobiledevice and later upload the file to the host system using the XML interface (See chapter 5 - Offline Operation)

In order to simplify results recording the audit question list can already contain valuation proposals that simplyhave to be confirmed

For simplified cases you can just link an external question list to the audit as you would link a document -without really creating the questions as audit data Then of course you can only valuate the audit object as awhole but valuations or evaluations at question level will not be supported

If you need to perform audits that are similar to a former audit you just need to use this audit as a template andcopy it under new names and adapt for example the audit object dates or partners



11

36 Corrective and Preventive Action

Corrective or Preventive Action

If during an audit the auditors detect that there are inadmissible deviations dangers or potential forimprovement they can notify their findings and make recommendations or create corrective or preventiveactions for the relevant items of the audit question list In addition to the name of the partner responsible forexecution the data object type Action also contain fields for planned and actual execution dates as well as anidentification for the completion status

The actual carrying out can be triggered in several ways

bull The audit monitor can be used by every system user to select an individual worklist of actions that are to beprocessed and in which the user is involved in any partner role

bull A notification function allows the auditor to send e-mail reminders to partners involved Access to the actiondata set will be attached to the e-mail

bull A background system job can be scheduled so the notification function automatically sends out reminders toall involved partners of an action in advance or if a deadline has elapsed

Often the auditor only specifies that actions are required for particular findings but does not describe theactions The auditor leaves the descriptions of the actions to the responsible partners The person responsiblefor an action then creates the explanatory text at a later stage

External partners have access to all information they require and to all action processing functions - that they areauthorized to use - via the Internet and the Web interface (Web-enabled collaboration)

If instead of the basic and easy-to-use function for managing actions that is available with Audit Managementyou wish to use more detailed processing functions you can create a quality notification for the action using the

quality notification available in mySAP ERP



12

37 General Properties of the Audit Components

The data object types (components) used in Audit Management have a lot of properties in common The mostsubstantial of these are

Unique identificationThe data objects are identified using a 24-character mnemonic name field which is accompanied by a 40-character multilingual short text

In addition 40-character search and grouping fields are availableWildcards are supported in the identification search and grouping fields

Administrative dataYou can always view the following- Who created the object ldquoCreated Byldquo and when the object was created ldquoCreated Onrdquo- Who last changed the object ldquoLast Changed Byrdquo and when it was last changed ldquoLast Changed OnrdquoIf required change documents can be created for specified data object types

Status managementThe status sequence is predefined in the system and can be supplemented by the user The current statuscan be viewed and checked at any time

Multilingual text managementFor each data object type you can freely define several text types Examples of the text types are ldquonoterdquo andldquodescriptionrdquo The texts themselves can be made available in several languages You use the SAPscript

reg

hypertext tool for text management You can use this tool for example to edit and format texts include texts

and recurring text modules link to texts using hyperlinks and incorporate text symbols graphics andcommands for text processing

Document managementIt is possible to add single documents at all hierarchy levels of the data objects [Note The BusinessDocument Services (BDS) are generally used In SAP CRM application systems however ContentManagement (CM) is used with an extra feature to handle document directories] External documents can beassigned using for example a path or an Internet address You do not require any additional utilities fordocument management

Authorization managementThe efficient authorization check can be refined to the point that the system users can only execute thefunctions that are directly relevant to their tasks

Partner managementYou can freely define partner roles such as lsquoauditorrsquo lsquoparticipantrsquo and lsquoperson responsiblersquo For each auditdata object type you can then select suitable partner roles From the Business Partners stored in thesystem you can select the partners that occupy these roles and are involved in audit processing [Note forexperts currently only the business partner roles lsquocontact personrsquo and lsquoemployeersquo are technically supportedThis means for example that the partner role lsquoauditorrsquo can be performed by a person that is entered in thesystem as a business partner with the business partner role lsquocontact personrsquo The business partner rolelsquoorganizational unitrsquo for example is currently not supported] The functions and data available for partnermanagement are the same as those used for the administration of vendor and customer relations inprocurement sales and marketing

Partner classification

Apart from maintaining addresses communication paths and statuses of business partners you can alsoclassify them according to specified characteristics You can then use the classifications for example toselect a suitable auditor for a particular audit on the basis of language specialized knowledge accreditation

experience and so on This classification allows you to support the management of the auditor qualificationin accordance with ISO 19011

SendingYou can send a data object such as a corrective action as an attachment to a note The recipient can thenaccess the attachment in processing mode

PrintingYou can print or just display a print preview of data objects There are several forms to choose from foreach data object You can use the Smart Formsreg tool for the structuring of your print forms You can thensave the print form in PDF format and link it to the relevant data object

There are many other general processing functions The general properties and functions described above havenot been repeated when dealing with the individual data object types



13

38 Audit Report

381 Valuation and Grading of the Audit Object

Once the questioning is completed the findings in the shop paper of the auditor or on the mobile device are fedor uploaded into the system Then the audit object can be valuated and graded

For this purpose in the question list a valuation profile has been assigned to each item that can be valuatedThis valuation profile controls the valuation of the relevant items (question or hierarchy level)

The system contains a series of ready-to-use valuation profiles You can specify your own valuation profiles Indoing so you decide whether you want the assessment of a criterion to be qualitative (for example with thesteps ldquoGoodrdquo ldquoSatisfactoryrdquo or ldquoPoorrdquo) or quantitative (for example with a degree of fulfillment in percent orwith a degree of deviation) To quantify qualitative valuations you just need to specify scores for the individualqualitative valuation levels

The overall assessment and grading for the audit object is determined on the basis of the valuations of all itemsthat have actually been assessed To consolidate the valuations across several hierarchy levels of the questionlist the degrees of fulfillment or deviation from each hierarchy level are used for calculation in the SAP standardsystem The valuation on the supreme hierarchy level is then used to grade the audit object using a ratingprofile In the rating profile you determine the degrees of fulfillment that must be achieved for separate grades

You can also program your own valuation algorithms if required and it is not necessary to modify the standardprograms to do this You can use your own valuation algorithms for example to take into account the priority of

criteria (question list items) or predefined minimum results when assessing the audit object

382 Documentation of the Audit Result

Now you can create a preliminary audit report You use this shop paper to discuss the findings the correctiveactions and the overall result of the audit The audit can then be signed and the final audit report can be createdand distributed

Normally both the auditor and the audited party sign the audit report which they have agreed on and printed Inthe system this signature is represented by a status of the audit data object If the signature itself must bedocumented and verified you can scan the signed report into the system and assign the resulting document tothe audit

You can also use digital signatures for signature verification purposes if the technical prerequisites for theidentification of the signing party exist in your system SAP provides an example for the programming required Itis a function module with a standardized interface ndash a Business Add-In (BAdI) If you activate the BAdI it willmerely request the names ndash not the signatures ndash of the auditors

383 Form for Audit Report

The audit report is created in several steps In the first step all data relevant to the audit is made availableinternally In the second step this data is made available in the desired form using the easy-to-use SmartForms

reg

tool and displayed on the screen In a third step you can then print the data or save it as a PDF file You canalso assign the document to the audit data object You can create several forms for audit reports using theSmartForms

reg tool and select the appropriate one in each case (Hint See SAP Note 432642)



14

Audit Report

4

Audit SQV12341000QM system audit at vendor KFW London

Audit type System Audit at the Vendorlsquos

Audit trigger Change of Vendor

Unplanned X

Status Released

Planned date 06122001 to 07122001

Date 10122001 to 11122001

Audit Result

Degree of Fulfillment 93 Required minimum result 80

Rating Minor improvements Overall assessment Passed

Subsequent audit Not required Next Audit 200312

Audit Object

Vendor 1235 KFW London Limited

ISO 9001 QM system according to ISO 9001

Persons Involved

Role Name Telephone

Audit team leader Brenda McKay

Auditor Daniel Braxton

Participant Angela Simpson

Description

First audit as requested by client SCM-P

Scope Standard question list SQV001 without part 7

Audit Locat ion

KFW London Hyde Park Corner

Audit Quest ions

Question Description Determination Valuation

Corrective and Preventive Actions

Action Descript ion Person Responsible Date

SQV12341 Digital signature for calibration Nuala Rhodes 31122001

LOGO





16

412 Worklist and Template List

The screen area on the bottom left contains either a worklist or a template list depending on your preferenceYou can hide this screen area so that the navigation area takes up the whole left screen area

Worklist

The worklist contains two areas In the upper area you can see the structure tree in which the following dataobjects are listed

Audit plan

Question list

Audit

Corrective or preventive action

To fill this structure tree with contents you can use drag and drop to move an existing data object from thenavigation area to the worklist

In the lower screen area you can see a stack of data objects that you last processed

Template List

The template list contains two screen areas In the upper area you can store general templates and in the lowerarea you can store your personal templates for the data objects listed above You add objects to the templatelist by using drag and drop to move data objects from the navigation area

413 Navigation Area

If you want to create a new data object you do this in the navigation area If you want to process a data objectfrom the worklist or template list you can move it to the navigation area using drag and drop The object will thenimmediately appear in the work area too

In the navigation area there are many functions available to copy change include cut amp paste or delete dataobjects You can use drag and drop to move data objects within the hierarchical structure

In the navigation area you can structure and sort data objects hierarchically You can navigate within thestructure and select objects to display or to process in the work area

When you select a data object in the navigation area the details for this data object will appear in the work areaon the right



17

414 Work Area

Tab Pages for the Question List

The work area has a header area that contains the identification of the data object and a data area that consistsof several tab pages There are several service functions available in the header area (for example Print andSend with note) The available service functions will be described in more detail below in Chapter 431 In thedata area there are tab pages for

Basic DataThis tab page contains

o Status and validity periods of the data objects

o Grouping and Search fields for data objects

Texts

The available text types such as Description or Note are specified in the Customizing settings Texts canbe created in several languages You can use the SAPscriptreg hypertext editor for text processing

PartnersThe partner roles that are available for each data object for example auditor participant and personresponsible are defined in Customizing The master data for internal and external partners is stored andmanaged in the system (data object type Business Partners) The classification of business partnersaccording to freely definable characteristics allows you to maintain qualifications of auditors in accordancewith ISO 19011



18

StatusQuestion lists audit plans audits and actions run through a series of statuses during processing Forexample an action can be created released outstanding confirmed or completed Depending on the dataobject type the system follows a predefined sequence of statuses You can extend these status sequencesif required by adding your own user status profile

AdministrationContains information about the

Date of creation and creator of the data record

References to superordinate or original data objects Authorization to view or process the data record

Original language in which the data record was created

The tab pages partner and status do not appear for the data object types audit question list and questionbecause the data normally contained on these tab pages is already contained in the superordinate data objecttypes audit or question list Similarly to the question list these data object types have a tab page for

Valuation specificationsThis tab page contains the

Weighting and priority of the question list items

Valuation specifications (valuation profile valuation proposal) for the question list item

Specifications related to the calculation of the degree of fulfillment and the resultThe data object type audit contains an additional tab page for

ResultThis tab page contains information about the

Valuation specifications at audit level

Degree of fulfillment overall result and rating

415 Overview Lists

If data objects are in a hierarchy it is possible to display an overview list of the subordinate objects instead ofthe detail data for the selected level From this overview list you can select display and process the detail dataof the subordinate objects You can for example display all audits in an audit plan all questions within aquestion list or all audit questions for an audit as an overview list in the work area If you are constantly workingwith the same list you can hide the navigation area to the left of the screen to enlarge your view of the workarea

The overview lists are in the form of tables These tables have columns containing detailed data about the listedobjects The overview lists are very flexible You can add hide or move columns as required You can alsoadjust the width of the columns You can save different display variants (layouts) that are suited to yourrequirements and reuse them

It is possible to process data fields in the overview list without having to access the detail screens It is thereforepossible to record audit results in a table

For viewing the data the lists have a wide variety of graphical functions You can mark the columns that youwant to evaluate and display the information using for example a bar chart a pie chart or a line chart Amultidimensional display is possible Even simple analysis methods for example Pareto trend or exceptionare available When you save layout variants for the overview lists your graphic settings and your evaluationfunctions are also saved When you next call the layout variant the functions are executed immediately In thefollowing graphic you can see an example in which the valuation of the elements of a question list are displayedas a bar chart

People experienced in using Microsoft Excelreg may prefer to evaluate data using this tool You can export the

overview lists to Excelreg for evaluation This should however not be necessary because you can process the list

table in an Excel view using all of the Excel functions as usual This view is called ldquoExcel in Placerdquo



19

Overview List with Graph (Valuation at Element Level)

416 Printing

A print function is available for all data object types In the print preview you can choose from a selection offorms and display the page to be printed on your screen If required you can structure the forms according toyour requirements using SAP SmartForms

reg

It is possible to print the page directly from the print preview You can also convert the file to a PDF file in theprint preview and then send it as an attachment to a note and save it in the archive In addition you can link theform contents in PDF format with the corresponding data object The item to be printed then appears as an iconin the navigation area



20

42 Audit Monitor

The audit monitor (transaction PLM_AUDITMONITOR) has the following basic functions

It selects data objects according to certain criteria

It displays the selected data objects in overview lists

It allows you to process individual data objects that you have selected in the list

It serves to evaluate the tabular overview lists

The audit monitor is mainly used to monitor audits and actions on the basis of status or date and to evaluateaudit results

421 Selecting the Overview List

You can use the audit monitor to select audit plans audits corrective and preventive actions question lists oraudit questions on the basis of their status the partners involved or their identification characteristics (that isname search field and grouping) If you are selecting data objects on the basis of the same criteria again andagain you can save such settings as a selection variant

Selection Screen of the Audit Monitor

There are many additional selection criteria available for a detailed search The selection criteria vary dependingon the data object type you are processing You can for example find question lists audit plans audits andactions using the authorization group Audits can also be selected on the basis of the freely definable AuditObject



21

For some data object types you can also find specialized evaluations in the screen area for the extendedsearch The evaluations that are available depend on the data object type If required you can for example usethe audit monitor to create a Pareto analysis of the findings (reply frequencies) for the questions in all selectedaudits

Detailed Search for Audit Plans

Detailed Searches and Evaluations for Audits

Detailed Search and Evaluations for Audit Questions





23

43 Service Functions

431 Generic Object Services

The following generic object services are available for all data object types as well as for their subordinateelements (for example individual items of the audit question list)

Create noteYou create a note that can be accessed by everyone for example for an audit question

Create personal note

You create a note that only you can access Create a call-up for an Internet site (URL)

You and your partners can use this function to access current information on the Internet or intranet

Send object with noteYou send an e-mail containing the data object for example a corrective action as an attachmentIf the recipient has the appropriate authorization and the status of the object allows it the recipient canopen the attachment and immediately display or process the data object If the recipients are workinginside the firewall they can access the display for processing of the object through the SAP Officefunction If the recipients are working outside the firewall they will receive a message with a link to theInternet address The recipients must then log on to the server using their name and password before theycan access the object for processing or for display

You can find these generic object services in the Audit Management Cockpit in the header of the work area

432 Notification Function

You can set up a background program that automatically checks the dates of audits and actions atpredetermined times This program sends messages in the form of invitations or warnings if an audit or action ispending or if the deadline for performing an action has elapsed This means that all partners participating in anaudit or action are informed on time The messages include an attachment of the relevant data object (audit oraction) for processing or viewing The text modules used for the messages can be individually adapted usingSAPscript

reg The messages created are linked to the associated audit or action by the generic object services

You can access the notification function in the menu of the Audit Management Cockpit

Workflow connections are not planned for the Audit Management functions the notification function isconsidered to be sufficient for triggering the partners

433 Archiving

All master data and transaction data related to audit management can be archived using standard functions andretrieved from the archive to the cockpit in display mode

434 Connection to the SAP Business Information Warehouse

Almost all of the transaction data related to audit management is transferred to SAP NetWeaver ndash BusinessIntelligence (SAP BW Release 70 ff) and saved there in condensed form

The following predefined analytics are available

bull Overview of Audits

bull Audits and their results

o Drill-down to audit question level

bull Audits and their degree of completion

o Drill-down to action level

bull Audit objects and their assessment

bull Partners responsible for audits and actions



24

435 Connection of External Application Objects

The generation of business objects and their connection to the audit actions have been made available using aBAPI (Business Application Programming Interface) The following sample implementation exists in the standardsystem and can be activated A quality notification will be generated in SAP ERP for an audit action The qualitynotification then offers additional functions such as a connection to the SAP Business Workflow

reg catalogs for

findings as well as additional user-defined functions

Audits can be linked to the objects of the SAP project management solution cProjectsreg This may be helpful for

example if cProjects is used to manage Six Sigma processes or new product development (NPDI) processes

44 Adapting the Audit Management Functions

441 Customizing and Implementation Guide

Implementation Guide (IMG) and Customizing Views for a Question List Structure



25

o ensure the wide-ranging usability of our Audit Management product many of the functions can be adapted

the delivered standard system does not record any change documents

it

Functional Enhancements

t to adapt the existing functions using Customizing parameters as

ks

n for data objects

D Business Suite is also possible using these interfaces See

Adapting the Print Layouts

s to avoid the use of paper for audit processing and try to do

s means that you just need to adapt an existing

l print layouts for every audit data object type and choose the

Tusing Customizing views These views have certain basic settings You can change and add to these basicsettings to suit your own requirements An implementation guide is included to explain how to use Customizingfunctions (transaction PLMC_AUDIT)

To keep the system load to a minimumYou can activate the creation of change documents individually for each audit data object type (component)

In the implementation guide you will also find the BAdIs (Business Add-Ins) which are used to make the Aud

Management software as modular as possible so that any additional functional requirements you have can bemet without modification They are programmed in the object-oriented language ABAP One of these BAdIs forexample allows you to control user authorizations

442

For some applications it may not be sufficiendescribed above For this reason the programs contain interfaces (BAPIs) at certain points where you cancreate your own functional enhancements You can use these interfaces to add your own programs to thefunctions already contained in the standard or extend some of the standard functions You do not need tomodify the standard software to do this You can for example

Add your own valuation algorithms

Provide additional authorization chec Program specific input checks

Include your own documents

Program your own identificatio

ata exchange with other components of the mySAPChapter 6 - Integration

443

The current tendency in audit management ieverything online However it will always be necessary to print some audit data objects or to send printpreviews You must therefore have the option to adapt print previews and printed material to suit yourrequirements for example to include your company logo

Print layouts for Audit Management are created using forms Thiform You can use the standard forms provided by SAP as a basis for creating your own forms and adapt thelayout using the easy-to-use SmartForms

reg tool

By means of SmartFormsreg you can create severa

appropriate one depending on the current conditions For more information see SAP Note 432642



26

5 Offline Operation

Offline Mode and Mobile Auditing

Though Audit Management is designed for online paperless application SAP supports exporting and importingof audit data and audit question lists and in this way enables offline and mobile auditing

Before you decide to use an offline mode ndash based on a laptop or even on paperwork you should takeinto account that a Web-enabling user interface exists (HTML GUI) This means nearly all the functionsare available via Internet - online everywhere any time Only a few functions which are located in thefront-end system are missing in the HTML GUI mode (drag and drop Excel in Place direct printing) Werecommend that you use the implementation of SAP Audit Management for reengineering the auditingprocess in the direction of online and paperless application

The audit data including the questions can be downloaded from SAP Audit Management via a standard XMLinterface The XML file can then for example be converted to a Microsoft Excel

reg file and downloaded onto the

auditorrsquos laptop for mobile application The audit can now be performed based on this data The auditor canrecord his or her findings and assessments on the laptop in offline mode After returning to the office he or shecan upload the audit data from Excel

reg via a standard XML interface into the SAP Audit Management system

Here the audit process can be completed

On request your SAP consultant can provide you examples of the Excelreg

macros required for reformatting fromXML to Excel and vice versa They are programmed in Visual Basic

reg and can be adjusted according to your

needs But only the import and export of XML files is part of the standard software The Excel examples are notcontained in the standard delivery See SAP Note 597982

SAP System

Audit Management

Data Object

SoftwareInterface

XML File

Laptop

Excel File



27

6 IntegrationSAPrsquos Audit Management software supports (togther with other NetWeaver components) all tasks associatedwith audit processing it does not depend on any other software in any way It is a complete standalone solution

However in some cases it may be beneficial to create connections with other software systems be they SAPsystems or not There are different types of such connections ranging from a connection for basic data transfer

purposes to a consolidation of Audit Management with other functions The following are three examples ofuseful connections from different usage areas

Quality managementFor vendor audits you need access to the data object Vendor in the ERP system For example tocreate an audit for every new vendor master record

Environment managementTo define the audit object you want to use the data object Work Area in EHampS (Environment Healthamp Safety) in the ERP system

Safety managementService providers for audits want to bill for their activities To do this they require an assignment ofthe audit to the order (for example a Service Order )

A variety of such connections with the same system or with other systems can be created as required on a

consulting project basis Connections within the mySAP Business Suite are made using standardized SAPtechnology and can be implemented with a minimum of effort However integration technology is currentlyevolving at great speed and there will soon be new integration methods available

The Audit Management software is located in SAP NetWeaver Therefore the functions are available on allapplication systems based on the NetWeaver Platform (see Section 72) If integration is required you may havean advantage if you choose the appropriate platform For example if you need to describe an audit object bymeans of data fields contained in the repository of the same application system you can do so by simplyentering the data elements in the Customizing table for audit types Even if the related fields belong to anotherapplication system you nevertheless can easily access them using RFC techniques However because variousaspects are to be taken into account you should contact your SAP consultant when you decide aboutrequirements for integration and choose the appropriate application system

7 Implementation and LicensingThe Audit Management software was developed on a server for the mySAP CRM (Customer RelationshipManagement) solution Later this software was transferred to the SAP NetWeaver platform and is therefore nowavailable in all mySAP solutions based on SAP NetWeaver for example mySAP CRM mySAP ERP andmySAP SRM as of the year 2005

71 Status Until 2005

The Audit Management software is available as part of the software products SAP CRM 30 SAP CRM 31 andSAP CRM 40

Our SAP partner company TechniData offers an implementation of the Audit Management software as an add-on for SAP Enterprise Releases 47 X110 and 47 X200 or SAP ERP Release 2004 Implementations on theseplatforms are carried out on a project basis The contact is joachimjahrtechnidatade The change from R3Enterprise to SAP ERP Release 2004 is a technical upgrade only it does not require data migration

The Audit Management software rights belong to the mySAP PLM (Product Lifecycle Management) solutionTherefore users must have licences for mySAP PLM or comprehensive user licences for the whole mySAPBusiness Suite no matter what application platform the software is on

72 Status As Of 2005

The Audit Management software is located in SAP NetWeaver Release 2004s ff (SAP ABA 70 ff) and istherefore available in SAP ERP Release 2005 (SAP ECC 60) SAP CRM Release 50 SAP SRM Release 50and in all of the subsequent releases Because further development will be performed centrally in NetWeaver



28the Audit Management functions will be identical in all application systems Users can choose the platformthat is most suitable for their requirements

[Note for IT experts Although the Audit Management software has been transferred to the application basissoftware component SAP ABA 70 of SAP NetWeaver 2004s upgrades from earlier releases of SAP CRM orSAP ERP do not require data migration or other extra effort]

The Audit Management software rights belong to the respective mySAP solution ndash that is to mySAP ERPmySAP CRM or mySAP SRM Therefore users require licences for mySAP ERP mySAP CRM or mySAP SRM

ndash depending on the application system the software is to be used in or comprehensive licenses for the wholemySAP Business Suite

73 Required Capacity

731 Implementation Effort

A series of sample calculations based on realistic assumptions yielded that ndash even in the smallest applicationservers currently used ndash the CPU usage and the storage requirement were below 10 of total capacity andtherefore neglible An exception is the amount of mass storage required for audit evidence if you want to store alarge number of graphic documents for example photos that prove audit findings It may be necessary to storesuch documents on a separate document server

732 Introduction EffortThe effort required to get the software up and running is comparatively low Audit Management functions are forthe most part self-explanatory If you have carefully read this product description you should normally becapable of executing all required functions yourself with the help of the online documentation in the SAP LibraryThere is no training course available for Audit Management but a workshop is offered where you can practiseusing the functions After you worked through a demo scenario you will already be able to build your ownprototype scenario in a test system Nevertheless for the conceptual design of your own solution you should getthe assistance of an SAP consultant to avoid erroneous or impractical approaches A consultant could also helpyou adapt the functions to your requirements without making modifications thanks to the modular structure ofthe software and use SmartForms

regto adapt the print forms

8 DemonstrationThis paper provides you with the starting-block for SAP Audit Management It completely explains thecapabilities of the software For the next step we recommend that you experience the functions in a live systemTherefore please contact your SAP representative [Note In the IDES demo database you can find an AuditManagement sample scenario that demonstrates a fire safety audit]



2

Intention of the Product Description

This product description is aimed at the following reader categories

bull It provides potential users with a sufficient standardized basis for their decision to use the SAP AuditManagement solution

bull Users new to Audit Management can familiarize themselves with the components and functions of the Audit Management software

bull Members of the SAP sales organization get an overview of the various application areas of our AuditManagement solution

bull SAP consultants learn the functions available in addition they find important hints on how to customizethe Audit Management software for different uses

bull All other interested parties (project leads training course instructors) can use the information provided

as they require

Legend In the text terms with special meaning in the SAP terminology are presented in italic font







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