SAP Help Portal

Audit Management PDF download from SAP Help Portal: http://help.sap.com Created on April 15, 2015

The documentation may have changed since you downloaded the PDF. You can always find the latest information on SAP Help Portal.

Note This PDF document contains the selected topic and its subtopics (max. 150) in the selected structure. Subtopics from other structures are not included.

© 2015 SAP SE or an SAP affiliate company. All rights reserved. No part of this publication may be reproduced or transmitted in any form or for any purpose without the express permission of SAP SE. The information contained herein may be changed without prior notice. Some software products marketed by SAP SE and its distributors contain proprietary software components of other software vendors. National product specifications may vary. These materials are provided by SAP SE and its affiliated companies ("SAP Group") for informational purposes only, without representation or warranty of any kind, and SAP Group shall not be liable for errors or omissions with respect to the materials. The only warranties for SAP Group products and services are those that are set forth in the express warranty statements accompanying such products and services, if any. Nothing herein should be construed as constituting an additional warranty. SAP and other SAP products and services mentioned herein as well as their respective logos are trademarks or registered trademarks of SAP SE in Germany and other countries. Please see www.sap.com/corporate-en/legal/copyright/index.epx#trademark for additional trademark information and notices.

Table of content

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 1 of 38

Table of content 1 Audit Management 1.1 Audit Management in mySAP CRM Systems 1.2 Accessing Audit Management 1.3 Roles 1.4 Audit Component 1.4.1 Processing Audit Components 1.4.2 Assigning Documents to an Audit Component 1.5 Audit Management Overview 1.5.1 Worklist 1.5.1.1 Processing the Worklist for Audit Components 1.5.2 Template List 1.5.2.1 Processing the Template List for Audit Components 1.6 Audit Planning 1.6.1 Audit Plan 1.6.1.1 Processing the Audit Plan 1.6.2 Question List 1.6.2.1 Processing the Question List (Master Record) 1.6.2.2 Defining the Relevance or Valuation for a Question 1.7 Audit Execution 1.7.1 Audit 1.7.1.1 Processing the Audit 1.7.1.2 Processing the Audit Question List 1.7.1.3 Recording and Confirming Audit Results in the System 1.7.1.4 Audit Report 1.7.1.4.1 Creating Audit Reports 1.7.1.5 Completing the Audit 1.7.2 Corrective Actions/Preventive Actions 1.7.2.1 Processing Corrective Action/Preventive Action 1.7.2.2 Confirming and Tracing Audit Actions 1.8 Audit Evaluation (Audit Monitor) 1.9 Status Management in Audit Management 1.9.1 Status Management (Audit Plan) 1.9.2 Status Management (Question List) 1.9.3 Status Management (Audit) 1.9.4 Status Management (Corrective/Preventive Actions) 1.10 Authorization Concept in Audit Management 1.11 Change Documents in Audit Management 1.12 Digital Signature in Audit Management 1.12.1 Working with Digital Signatures in Audit Management 1.13 Archiving in Audit Management: Transaction Data (CA-AUD) 1.13.1 Checks: Transaction Data (CA-AUD) 1.13.2 Application Customizing: Transaction Data (CA-AUD) 1.13.3 Preprocessing ​ Processing Variants: Transaction Data (CA-AUD) 1.13.4 Archiving ​ Processing Variants: Transaction Data (CA-AUD) 1.13.5 Deletion ​ Processing Variants: Transaction Data (CA-AUD) 1.13.6 Authorizations: Transaction Data (CA-AUD) 1.13.7 Log (CA-AUD) 1.13.8 Residence Times: Transaction Data (CA-AUD) 1.13.9 Displaying Archived Audit Components: Transaction Data (CA-AUD) 1.14 Archiving in Audit Management: Master Data (CA-AUD) 1.14.1 Checks: Master Data (CA-AUD) 1.14.2 Application Customizing: Master Data (CA-AUD) 1.14.3 Preprocessing ​ Processing Variants: Master Data (CA-AUD) 1.14.4 Archiving ​ Processing Variants: Master Data (CA-AUD) 1.14.5 Deletion ​ Processing Variants: Master Data (CA-AUD) 1.14.6 Authorizations: Master Data (CA-AUD) 1.14.7 Log for Master Data (CA-AUD) 1.14.8 Residence Times: Master Data (CA-AUD) 1.14.9 Displaying Archived Audit Components: Master Data (CA-AUD)

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 2 of 38

1 Audit Management Purpose Used to process and manage audit components used during audit processing. You can use the following objects: · · · ·

Audit Plan Question List Audit Corrective and Preventive Actions

Features The solution includes the following areas of audit processing: · · · · · ·

Audit Planning Question Lists Audit Execution Corrective and Preventive Actions Audit Documentation (Audit Report) Audit Evaluation using the audit monitor.

Audit Management in mySAP CRM Systems Purpose As of mySAP ERP 2005, you can use Audit Management in mySAP ERP systems, as well as in mySAP CRM.

Implementation Considerations Business Add-Ins to set up long text processing are now available when you use Audit Management in a mySAP ERP system. If you are using a mySAP CRM system, make the settings for long text processing as before in the following IMG activities: Menu path: Customer Relationship Management → Basic Functions → Text Management · Define Text Objects and Text Types · Define Text Determination Procedure · Check Text Customizing for Consistency

Features If you are using Audit Management in a mySAP CRM system and not a mySAP ERP system, the following additional functions are available for processing documents: · Use of document directories · Creation of new documents

1.2 Accessing Audit Management Procedure On the SAP Easy Access screen, choose: In a CRM system: SAP Menu → Service → Audit Management → Audit Management In a non-CRM system: SAP Menu → Cross-Application Components → Audit Management → Audit Management

Result The Audit Management initial screen appears. The menu paths that are specified in this application help refer to navigation in the subordinate nodes.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 3 of 38

1.3 Roles The following roles are defined in audit management. If required, you can define additional roles in Customizing. Person Responsible In audit management, there is one person responsible for each audit plan, question list, and/or corrective/preventive action. Different people can be responsible for each of these.

The person responsible for the annual audit plan (for example, for the internal system audits) creates a binding annual audit plan in consultation with the lead auditors. In this context, he or she defines the audit type and the audited partner and releases the audit plan. The person responsible for the question list (master record), (not necessarily the person responsible for the annual audit plan), creates a question list, on the basis of which the planned system audits are to be executed. Approver The approver is responsible for the approval of an audit component. Lead Auditor Lead auditors are responsible for the execution of the audits assigned to them. They confirm the planned audit dates with the audit planners and inform them of any date changes. Lead auditors do not execute many audits during the year. They also compile the questions for the audits using the question lists. Auditor The auditors execute the audit. Person Responsible for Area The person responsible for the area is the contact person for the audit in the audited area. All of the questions, problems, and corrective/preventive actions related to the audit are discussed with, and reconciled by the person responsible for the area. Person Responsible for Actions The person responsible for actions ensures the correct and timely execution of an action (corrective or preventive action). Participants The participants are all the people involved in an audit. Interested Parties Interested parties are all the people who have an interest in the audit.

See also: Audit Management Overview

1.4 Audit Component Definition The term audit component is the collective name for business objects in audit processing. In Audit Management a distinction is made between the following audit components: Audit Plan Audit Question List Corrective/Preventive Action

See also: Audit Management Overview

1.4.1 Processing Audit Components Use To execute an audit, you need various audit components (audit plan [optional], question list [optional], audit, corrective/preventive actions). Using audit

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 4 of 38

management, you can execute various processing functions from one interface.

Procedure 1. Access audit management. See Accessing Audit Management. 2. Proceed as follows: If you want to...

ChooseChoose...

Create a new audit component,

Additional information Select the category of audit component that you wish to create. You can simplify the process of creating a new audit component by using a template.

· Depending on the hierarchy level you are currently working in (for example, audit plan, audit), you can create different audit components. If you create new audit components, these are assigned (at the next level) to the selected audit component (hierarchy level). · You can also create a new audit component in the context menu of the navigation area by choosing Create and then selecting the required audit component category. Cut a selected audit component,

If you choose this function, the selected audit component will be cut and copied to the clipboard. Using

, you can

then reinsert this audit component at any desired point in the navigation structure.

You can also delete a selected audit component by choosing Delete in the context menu. Copy a selected audit component,

If you choose this function, the selected audit component is copied to the clipboard. Using

, you can then reinsert

this audit component at any desired point in the navigation structure.

In non-CRM systems: If you have attached a document to this audit component, this document is physically copied. This means that changes to the document template will not be transferred. Include the audit component that is stored in the clipboard,

If you choose this function, the audit component that is in the clipboard will be included in the navigation structure at the point where the cursor is currently positioned.

Include a selected audit component in the worklist, Delete a selected audit component,

Search for an existing audit component,

If you choose this function, the selected component will be deleted. or

In the dialog box that appears, you can enter a search term for the audit component. Select Identification , if the system is to search for the search term in the Identification field. If necessary, use the input help. Select Description , if the system is to search for the search term in the Description field. If necessary, use the input help. Choose Continue to start the search.

Expand the displayed navigation structure, Collapse the displayed navigation structure, Show or hide the navigation area, Open an existing audit component,

In the dialog box that appears, you can enter the description of the audit component to be opened. You can use the input help to make a selection. Choose

if you only want to open the audit component.

Choose if you only want to include the audit component in your worklist. Choose

And Open , if you want to include the audit

component in your worklist and also open it. Now you can make the required changes to the audit component. Close an existing audit component,

The system closes the associated audit component, that is, the one on the very left in the hierarchy.

Call up the audit component last processed, Call up the next audit component,

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

This function is only active if you have previously used the

Page 5 of 38

function Change from change to display mode or vice versa,

.

When you attempt to change the mode an authorization check is run. If you do not have the authorization to change an audit component, an error message appears.

Call up graphical time scheduling (Microsoft Project),

You can only call up graphical time scheduling if you are currently displaying or processing an audit plan. A connection to Microsoft Project has been implemented for graphical time scheduling. To be able to use this connection, you must have Microsoft Project installed on your PC.

Search for audit components in the system,

Audit Components

You can also use this function if you want to export audit components to Microsoft Excel, for example, to perform evaluations.

Display the hidden worklist, Change the user-specific settings, Call up the help text for a selected audit component,

3. In the header area on the right, enter a unique key and a description for the audit component.

In the header area, you will find generic services allowing you to add a hyperlink as an attachment, to enter a personal note, to send the audit component with a note, or to display the usage of the audit component. 4. Enter the required data on the tab pages. 5. On the Texts tab page, you can create notes and/or a description. All of the usual editor functions are available. In addition, you can load local files or save texts you have entered as local files.

If you load files that contain control indicators (for example, Microsoft Word files), then these control indicators are interpreted as texts by the system and are displayed as such. You should, therefore, only load pure text files (ASCII files). Texts that have been entered can only be saved locally as pure text files. 6. In the navigation structure, choose one of the functions described above if you want to: ¡ Create an additional, new audit component ¡ Create an additional audit component based on an audit component that is already available in the system ¡ Open another audit component ¡ Cut, copy, or delete a selected audit component ¡ Include the audit component that is in the clipboard at the current cursor position in the navigation structure 7. If you want to assign documents to a selected audit component, follow the procedure described in Assigning Documents to an Audit Component. 8. Save your data. See also: Process Audit Plan Process Audit Process Audit Question List Process Question List (Master Data) Process corrective/preventive action Confirm and Trace Corrective/Preventive Action Audit Management Overview

Assigning Documents to an Audit Component Use You use this function to assign a document to an audit component or to a question list item.

Prerequisites You can only assign documents in change mode.

Procedure If you are using a CRM system or you have set the Use KPro (Use Knowledge Provider for Document Link) indicator in Customizing for Audit Management under Control → Audit Components: Properties, Forms , proceed as follows: 1. In the navigation area, select the audit component to which you want to assign a document. 2. In the context menu: Choose...

If you want to...

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Additional information

Page 6 of 38

Create → Document Directory

Create a document directory

Create → Create Document

Create a new document

The document management screen appears, where you can define the properties of the document. Choose Start Editor to create the content of the document.

Create → Import Document

Assign an existing document

A screen appears where you can select the document to be imported. A document management screen will then automatically appear, where you can change the properties of the document that were automatically assigned by the system. Choose

to save the document assignment.

If you are using a non-CRM system and you have not set the Use KPro (Use Knowledge Provider for Document Link) indicator in Customizing for Audit Management under Control → Audit Components: Properties, Forms , proceed as follows: 3. Choose Import Document in the context menu. 4. A document management screen will then automatically appear, where you can import a document and change the properties of the document that were automatically assigned by the system. Choose

to save the document assignment.

Result The document

assigned to the selected audit component is displayed in the navigation structure.

See also Audit Management Overview

1.5 Audit Management Overview You can process audit components (for example,

Audit Plan,

Audit,

Question List,

Corrective/preventive Actions) in this application.

What do you want to do? Process an audit component (open existing audit component, create new audit component, cut selected audit component, copy selected audit component, include audit component that is in the clipboard, delete selected audit component, search for existing audit component) Process an audit Process a question list for an audit Execute an audit Perform audit planning Process an audit plan Process a question list (master data) Perform an audit evaluation Process corrective/preventive actions Confirm and trace actions Assign documents to an audit component Process your worklist and your template list for audit components

Solutions for Problems Problem

Proposed Solution

One of the following problems occurred when you were calling up the print preview for an audit component:

Check that a printer has been specified in the user master record. Check that Adobe Acrobat is installed on your PC.

A screen appears where you have to enter a printer The error message "Error reading data for XY" is output The error message "Error formatting data for XY" is output A blank page is displayed in the print preview You cannot switch from the audit plan to graphical time scheduling (Microsoft Project)

Check that Microsoft Project ’98 or Microsoft Project 2000 is installed locally on your PC. Check that the SAPGUI Component CRM-ADDON is installed on your PC.

You cannot start up Microsoft Excel to perform evaluations

Check that Microsoft Excel is installed locally on your PC.

Descriptions/notes that were loaded as local files, contain special indicators that are not part of the text

You have loaded text files that contain control indicators (for example, Microsoft Word files). These control indicators are interpreted as text by the system and output. You should, therefore, only load pure text files (ASCII files).

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 7 of 38

Texts/descriptions that are downloaded from the system are not formatted

Texts/descriptions can only be downloaded from the system in pure text format.

An object cannot be moved to the desired place in the navigation structure

Switch to change mode, since it is only possible to move objects that are loaded in change mode in the navigation structure. Check whether or not you have the authorization to change the object. Check whether or not the status of the object allows changes to be made. Insert the object that you want to move directly below the superior node.

What exactly is... … audit management? … an audit component? … an audit? … an audit plan? …a question list? … an audit question list? …a corrective/preventive action? … an audit report? …a worklist? …a template list? … an element/question in the question list? … an element/question in the audit question list? …a document for audit component? …a role in relation to audit management

1.5.1 Worklist Definition The worklist is a user-specific list of audit components ( audit plans, question lists, audits, corrective/preventive actions).

Use The worklist provides convenient and rapid access to the audit components that you work on. The worklist is indicated with the icon

in the navigation area.

Structure The worklist is divided into two areas: Audit Components: In this area, the audit components that you have previously included in the worklist are displayed. There are two ways of including audit components in the worklist: When opening the audit component or by using Drag&Drop to move an audit component from the navigation structure to the worklist. Audit Components Last Processed: In this area, the audit components that you worked on last are displayed. Choose Extras ® Settings... to define the number of audit components to be displayed here.

See also: Audit Management Overview

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 8 of 38

Processing the Worklist for Audit Components Use The worklist provides convenient and rapid access to the audit components that you work on. You can execute the following functions in the worklist: · · · ·

Open an audit component that is in the worklist Include a new audit component in the worklist Remove an audit component from the worklist Empty the worklist

Prerequisites To make use of the worklist function, audit components must already exist in the system.

Procedure 1. Access audit management. See Accessing Audit Management. 2. In the lower area of the navigation screen, choose 3. Proceed as follows: If you want to...

Worklist.

In the context menu, choose:

Additional information

Open an audit component that is in the worklist,

Open

You can only open selected audit components.

Include a new audit component in the worklist,

Include in Worklist

In the dialog box that appears, you can enter the description of the audit component to be included. If necessary, use the input help.

You can include an audit component that is currently being processed in the worklist by selecting it and then choosing the icon Remove an audit component from the worklist,

Remove from Worklist

.

You can only remove selected audit components from the worklist.

Empty the worklist,

Empty Worklist

This function will remove all audit components from the worklist.

The audit components you last worked on are listed in the worklist under entries contained in this list by choosing Extras → Settings . You can hide the worklist using the icon

Audit Components Last Processed. You can define the number of

.

If the worklist is hidden, you can display it again by choosing the icon

.

See also: Audit Management Overview

1.5.2 Template List Definition The template list is a list of audit components ( audit plans, question lists, audits, corrective/preventive actions) that you can use as templates when creating new audit components. Personal templates are indicated with the icon

in the navigation area.

Use The template list provides convenient and rapid access to the audit component templates that you need. You can use Drag&Drop to include an audit component from the navigation structure in the template list. You can also create a new audit component template or base your new audit component template on an existing template.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 9 of 38

See also: Audit Management Overview

Processing the Template List for Audit Components Use The template list allows for convenient and rapid access to audit components that you want to use as templates. You can execute the following functions in the template list: · · · · ·

Create an audit component as a new template Create an audit component as a new template based on another template Include a new audit component in the template list Remove an audit component from the template list Empty the template list

Prerequisites To make use of the template list function, audit components must already exist in the system.

Procedure 1. Access audit management. See Accessing Audit Management. 2. In the lower area of the navigation screen, choose 3. Proceed as follows: If you want to... Create an audit component as a new template,

Create an audit component as a new template based on

Templates.

In the context menu, choose:

Additional information

Create

You must select the folder, in which you want to create an audit component.

Create Using Template

You must select an audit component to use as the

another template,

template.

Include a new audit component in the template list,

Include in Templates

Remove an audit component from the template list,

Remove from Templates

Delete the template list

Empty Personal Templates

In the dialog box that appears, you can enter the description of the audit component to be included. You can only remove selected audit components from the template list. This function will remove all audit components from the template list.

See also: Audit Management Overview

1.6 Audit Planning Use The person responsible for audit planning uses the audit planning function to create an annual audit plan (valid for more than one year) for his/her area or copies the audit plan from the previous year. There is always only one current version of an audit plan, where all date shifts and the degree of completion can be found.

Integration · The following roles are involved in audit planning: Person responsible, approver, and lead auditor. These roles are applied to business partners that exist in the system. · Graphical time scheduling (Microsoft Project) is integrated in audit planning. · Changes made to audit plans are documented in change documents.

Prerequisites The business partners and roles involved in the audit planning process must be created in the system.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 10 of 38

Activities 1. To create a new annual audit plan (for more than one year), the audit planner copies the audit plan from the previous year or creates a new annual audit plan. In the same step, the audit planner can structure the audit plan into subplans.

Documents can be assigned to each audit plan. 2. For each audit the audit planner determines the planned duration of the audit, the location, the audited area, the lead auditor, and the participants. 3. The approver (for example, the managing director) approves the annual audit plan. 4. The audit planner releases the annual audit plan. When the audit planner releases the annual audit plan, this version of the audit plan is ‘frozen’ and no subsequent changes can be made. 5. The lead auditor uses the audit plan to create his/her audits

Audits that were created after the audit plan has been released (unplanned audits) are indicated as such. Documents can be assigned to each audit. 6. If dates are shifted, it is the responsibility of the lead auditor to inform the audit planner about the delay of the planned audit. 7. The audit planner stores these date shifts in the current audit plan.

Date shifts for planned audits that were carried out in Microsoft Project are automatically updated in the audit plan. 8. The lead auditor or audit planner creates a question list for the audit or assigns an existing question list to the audit. In the latter case, he/she may change the questions and assign a possible valuation to new questions, and then save the current question list. 9. The lead auditor informs all people involved in the audit (participants).

Optional Activities · The audit planner creates a checklist for the auditors to help with the audit execution. · The audit planner creates a current questionnaire for the audit execution.

See also: Audit Management Overview Audit Plan Process Audit Plan

1.6.1 Audit Plan Definition The audit plan consists of all audits planned for a particular period of time. For example, all audits that are to be executed in the space of one year are defined in an annual audit plan. There is always only one current version of an audit plan, where all date shifts and the degree of completion for the individual audits can be found.

Use The audit plan is the planning instrument for the administration of audits. It can, for example, be created as an audit plan for one year, for three years, or for 18 months.

Structure The audit plan is structured hierarchically. This means that other audit plans, as well as the audits themselves, can be assigned to an audit plan. Note that an audit is the lowest level of the hierarchy. This means that no additional audits or audit plans can be assigned to an audit.

In the navigation area, audit plans are indicated by the icon

, and audits are indicated by the icon

.

Integration You can assign as many audits as required to an audit plan. You can assign as many additional audit plans as required to an audit plan. The integration of Microsoft Project in audit management means that you can perform graphical time scheduling using Microsoft Project. The integration of Microsoft Excel in audit management means that you can evaluate audit plans (with the planned audits). Various roles (for example, person responsible, approver, lead auditor) can be involved in the processing of an audit plan. These roles are taken on by business partners

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 11 of 38

that have been created in the system.

See also: Audit Management Overview

1.6.1.1 Processing the Audit Plan Use The audit plan is the planning instrument for the administration of audits.

Procedure 1. Access audit management. See Accessing Audit Management. 2. To create a new audit plan, choose New → Audit Plan in the context menu of the navigation area . If you want to create a new audit plan on the basis of an audit plan that already exists in the system, choose New → Audit Plan Using Template .

If you create your audit plan in this way, you can later assign it to another audit plan using Drag&Drop. It is also possible to create an audit plan directly from another audit plan. To do this, select the required audit plan in the navigation area and choose Audit Plan or Audit Plan Using Template . 3. In the header area on the right, enter a unique key, a description, and the required language for the audit plan. 4. Enter the required data on the tab pages. 5. On the Texts tab page, you can create notes and/or a description. All of the usual editor functions are available. In addition, you can load local files or save texts you have entered as local files.

If you load files that contain control indicators (for example, Microsoft Word files), then these control indicators are interpreted as texts by the system and are displayed as such. You should, therefore, only load pure text files (ASCII files). Texts that have been entered can only be saved locally as pure text files. If you want to assign documents to the current audit plan , follow the procedure described in Assigning Documents to Audit Components. 6. In the navigation area, choose Audit , if you want to create a new audit for the current audit plan, or choose create an audit on the basis of an audit that already exists in the system.

Audit Using Template... if you want to

In the navigation area, choose Audit Plan , if you want to add a new audit plan to the current audit plan, or choose you want to create an audit plan on the basis of an audit plan that already exists in the system.

7.

Audit Plan Using Template... if

If you want to create an audit plan or audit first, and only assign it to an audit plan at a later stage, in the context menu, choose New → Audit Plan or New → Audit Plan Using Template (to create an audit plan) and New → Audit or New → Audit Using Template (to create an audit). You can then later assign the audit/audit plan to the required audit plan using Drag&Drop in the navigation area. In the right screen area, enter the required data for the audit or audit plan on the tab pages.

If you choose the pushbutton Overview in the right screen area, the audit overview appears. You can also create audits in this view and enter all required detail data. Note that only the audits that are assigned directly to the audit plan are displayed. Audits assigned indirectly via another audit plan will not be displayed. If you also want to display audits assigned indirectly, you must set the indicator Display Audits of Subordinate Plans. If you want to use graphical time scheduling (Microsoft Project) for the planning of audits, Microsoft Project must be installed on your PC. To switch to graphical time scheduling, choose . The changes that you make to the data in Microsoft Project will be copied into the system when you save. If you want to assign documents to the current audit , follow the procedure described in Assigning Documents to an Audit Component. On the following screen, you can enter the title of the document and the document attributes. 8. Save the audit plan.

Result You have created an audit plan that consists of one or more hierarchically structured audit plans and one or more audits. In the navigation bar, the audit plans are indicated by the icon

, audits by the icon

If you choose the pushbutton You can print this preview (

, and assigned documents by the icon

.

Print Preview in the right screen area, the system displays the data of the current audit plan as a print preview. Form for Audit Plan pushbutton), you can assign it to the current audit plan as a PDF document (

PDF

Attachment pushbutton), or you can send it in the form of a PDF document in a mail to all business partners ( PDF Attachment pushbutton. You can also use your own forms. Note that only the audits that are directly assigned to the audit plan are displayed and printed. Audits that are assigned to an audit plan through another audit plan (indirectly assigned) are neither displayed nor printed. It is always possible to change existing audit plans. To do this, double-click on the required audit plan in the navigation area and then make the required changes. To delete an audit plan, select the required audit plan in the navigation area, click the right mouse button, and then choose Delete .

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 12 of 38

See also: Processing Audit Components Audit Management Overview

1.6.2 Question List Definition Question lists are multilingual collections of questions that are answered during the execution of the audit. The allowed valuation can be planned for each hierarchy level. A question list can be structured hierarchically. There are two different types of question list in audit management: Question List (Master Record): This question list simply serves as a copying template for audit question lists. It does not contain any reply fields. Audit Question List: This question list is used for the audit execution. It is a (modified) copy of the master record question list and contains reply fields.

Structure A question list can contain as many hierarchy levels as required (for example, element, criterion, subcriterion, question). Each of these hierarchy levels can, in turn, contain additional hierarchy levels. The allowed valuation can be planned for each hierarchy level.

In the navigation area, question lists are indicated by the icon

, and subordinate hierarchy levels are indicated by the icon

.

Integration Question lists (master record) serve copying templates for audit question lists. An audit can link to as many audit question lists as required. Question lists do not have to be assigned to an audit. A corrective/preventive action can refer to an audit question list or to a single node of an audit question list. An authorization group is stored in the question list (display, change). Documents can be assigned to a question list.

See also: Audit Management Overview Process Question List (Master Data) Process Audit Question List

Processing the Question List (Master Record) Use A question list is usually required in order to execute an audit. These question lists (for example, standardized catalog of questions, company-specific catalog of questions) can be created as a master record. They can then be copied and reprocessed when you are creating the question list for an audit.

Procedure 1. Access audit management. See Accessing Audit Management. 2. To create a new question list, choose New → Question List in the context menu of the navigation area . If you want to create a new question list on the basis of a question list that already exists in the system, choose New → Question List Using Template .

3. 4.

If you create your question list in this way, you can later assign it to an audit using Drag&Drop. In the header area on the right, enter a unique key, a description, and the required language for the question list. Enter the required data on the tab pages.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 13 of 38

5. On the Texts tab page, you can create notes and/or a description. All of the usual editor functions are available. In addition, you can load local files or save texts you have entered as local files.

If you load files that contain control indicators (for example, Microsoft Word files), then these control indicators are interpreted as texts by the system and are displayed as such. You should, therefore, only load pure text files (ASCII files). Texts that have been entered can only be saved locally as pure text files. 6. If you want to assign documents to the current audit question list , follow the procedure described in Assigning Documents to an Audit Component. 7. In the navigation area, choose Element , if you want to create a new element, or choose element on the basis of an element that already exists in the system. Choose Question , if you want to create a new question, or choose question that already exists in the system.

8.

Element Using Template... if you want to create an

Question Using Template..., if you want to create a question on the basis of a

Depending on the specifications made in Customizing, the description of the subordinate hierarchy levels (in the case described above “element” or “question”) in the question list can vary. In the right screen area, enter the required data for the subordinate hierarchy levels on the tab pages.

The field description for the identification is the dependent on the specifications made in Customizing (for example, element or question). In addition, the field (required field) for the hierarchy profile is only available for input at the highest hierarchy level (question list). 9. Assign a possible valuation for each question. When the data is released, the system checks the valuation and outputs an error message if a value is not allowed. 10. If you want to assign documents to one of the hierarchy levels (for example, element or question) , follow the procedure described in Assigning Documents to an Audit Component. 11. Save the question list.

Result You have created a question list that consists of one or more hierarchy levels. In the navigation bar, the question list is indicated with the icon

, the subordinate

hierarchy levels with the icon

, and the assigned documents with the icon

If you choose the pushbutton

Overview in the right screen area, the system displays all question list items in the current question list.

If you choose the pushbutton

Print Preview in the right screen area, the system displays the current question list as a print preview. You can print this

preview (

.

Form for Question List pushbutton), you can assign it to the current question list as a PDF document (

can send it in the form of a PDF document in a mail to all business partners (

PDF Attachment pushbutton), or you

PDF Attachment pushbutton. You can also use your own forms.

You can change an existing question list or a subordinate hierarchy level at any time. To do this, double-click on the object in the navigation area and then make the required changes. To delete an existing question list or a subordinate hierarchy level, select the object in the navigation area and, in the context menu, choose Delete .

See also: Processing Audit Components Audit Management Overview

Defining the Relevance or Valuation for a Question Use You can use this function to define the procedure according to which the relevance or valuation of a question is determined.

Prerequisites You have set up this function in Customizing for Audit Management under System Adjustment → Business Add-Ins (BAdIs) → BAdIs for Managing Individual Audit Components → Controlling Procedure for Audit Questions .

Features SAP supplies three procedures that allow the system to determine the relevance of a question. · Not Relevant if Last Audit Accepted · Not Relevant if Controlling Question Is OK · Relevance of Audit Question Transferred from Controlling Question

Procedure

Effect

Not Relevant if Last Audit Accepted

If you create a new audit and if the last audit for the audit component in question was accepted, the system sets the indicator Not Relevant at release.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 14 of 38

Not Relevant if Controlling Question Is OK

If you valuate the controlling question, the system marks the question as relevant.

Relevance of Audit Question Transferred from Controlling Question

If you change the relevance of the controlling question, the system automatically also changes the relevance of the audit question.

Activities When you create the question, choose the procedure you want to use under Controlling Data on the Administrative Data tab page and, if necessary, specify the controlling question.

1.7 Audit Execution Use The audit execution consists mainly of the assessment and valuation of the questions on the basis of the replies in the audit, the determination of the audit result and the degree of fulfillment, and the rating of the audit. The lead auditor prepares the execution of an audit.

Integration The following roles are involved in audit execution: Person responsible, lead auditor, person responsible for area, person responsible for actions, participant, and interested party. These roles are applied to business partners that exist in the system. Changes made to audits are documented in change documents.

Prerequisites The business partners and roles involved in the audit execution must be created in the system. Possible valuation procedures have been defined in Customizing. The audit has been created in the system (by the audit planner or lead auditor). Question lists (for example, a standardized question list, company-specific question list) have been created in the system.

Activities The audit planner or the lead auditor creates the audit in the system. When the date for a planned audit approaches, the audit planner call up his/her annual audit plan, navigates to the audit, and then changes the status to released. He attaches the audit checklist to the actual audit and contacts the lead auditor. The lead auditor calls up the audit, searches for the last audit that was performed in the audited area, reads the last audit report, and looks at the actions that are still outstanding. The lead auditor assigns a question list to the audit (if the audit planner has not done so already). If necessary, the lead auditor can change this question list. To check the deviations recorded for the last audit he/she can formulate new questions and predefine a possible valuation for these. Then the lead auditor saves the audit question list. The lead auditor or the auditors print out the audit question list. During the audit, the auditors record replies to the questions and note any deviations and problems. They can also indicate individual questions as not relevant. The lead auditor valuates the questions and determines whether or not any corrective/preventive actions are required. The lead auditor valuates the audit on the basis of the valuations of the individual questions and, if necessary, changes the valuation proposed by the system. The lead auditor prints out the questions with replies, discusses the question list with all audit participants, and, in conjunction with the audited area, determines corrective/preventive actions for the audit, if these are required. A person responsible and a planned date are entered for these actions. The lead auditor tracks the actions and, if necessary, completes them. The lead auditor rates the audit and sets the indicator Subsequent Audit Required if the overall assessment is Not Passed.

Everybody can call up the audit result. The lead auditor completes the audit (changes the status of the audit). The lead auditor prints out the audit report and this report is then signed by all participants.

The audit report cannot be accessed by all users in the system (confidentiality). The audit result can be called up by all users.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 15 of 38

See also: Audit Management Overview

1.7.1 Audit Definition An audit, according to DIN EN ISO 9000, is a systematic, independent, and documented process used to obtain audit results and to evaluate these results objectively in order to determine to what extent the criteria of the audit have been fulfilled.

In the navigation area, audits are indicated by the icon

.

The following terms are used in relation to audits: Subsequent Audit A subsequent audit serves to check the execution and efficiency of the corrective/preventive actions that were defined in an audit. Certification Audit A certification audit is executed to check the quality management system of a company. An independent certification authority executes this type of audit. External Audit External audits include what are commonly known as "second party audits" or "third party audits". Second party audits are executed by parties that have an interest in the organization (for example, customers), or people by acting on behalf of these parties. Third party audits are executed by independent, external organizations. Such organizations offer certification or registration of conformity, for example, in accordance with ISO 9001 and ISO 14001. Examples of external audits are: Certification audits, vendor audits, and customer audits. Internal Audit Internal audits, also called "first party audits", are executed by, or on behalf of, the organization itself for internal purposes. They can form the basis for the organizations own declaration of conformity. Examples of internal audits are: Area audits and internal product audits. The following audit categories exist: System audits, process audits, and product audits. Follow-Up Audit A follow-up audit is a planned audit that checks an audit object at regular, predefined intervals.

Structure An audit contains the following information: Audit Usage The audit usage describes according to which guideline/guidelines and audit is to be executed. Examples for the audit usage are: Quality audit and environmental audit. Audit Type The audit type describes the audit usage, the audit categories, and the audit object that is to be audited. Examples of audit types are: Internal process audits in the development area, external vendor product audits, and internal QM System audits. Audit Trigger The audit trigger describes why an audit is executed (for example, whether the audit is a planned or an unplanned audit).

Integration An audit can be assigned to either one audit plan or no audit plan. You can assign as many audit question lists as required to an audit. Due to the integration of Microsoft Project in audit management, audits can also be processed and displayed using Microsoft Project. The integration of Microsoft Excel in audit management means that audits can also be evaluated using Microsoft Excel. The audit report can be called up from the audit. Documents can be assigned to an audit. Corrective/preventive actions are usually related to audit questions that are assigned to an audit.

See also: Audit Management Overview

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 16 of 38

1.7.1.1 Processing the Audit Use The audit contains all of the data required for the execution and valuation of an audit. An audit can be created and executed in relation to an audit plan or it can be created an executed directly in the system (unplanned).

Procedure 1. Access audit management. 2. To create a new audit plan, choose New → Audit in the context menu of the navigation area . If you want to create a new audit on the basis of an audit that already exists in the system, choose New → Audit Using Template .

If you create your audit in this way, you can later assign it to an audit plan using Drag&Drop. It is also possible to create an audit directly from an audit plan. To do this, select the required audit plan in the navigation area and choose Audit or Audit Using Template . If an audit is assigned to an audit plan, changes (for example, date shifts) that you make in the audit overview in the audit plan are also changed in the audit data record and in the Microsoft Project data related to the audit. 3. In the header area on the right, enter a unique key, a description, and the required language for the audit. 4. Enter the required data on the tab pages. 5. On the Texts tab page, you can create notes and/or a description and/or the audit location. All of the usual editor functions are available. In addition, you can load local files or save texts you have entered as local files.

If you load files that contain control indicators (for example, Microsoft Word files), then these control indicators are interpreted as texts by the system and are displayed as such. You should, therefore, only load pure text files (ASCII files). Texts that have been entered can only be saved locally as pure text files. If you want to assign documents to the current audit , follow the procedure described in Assigning Documents to an Audit Component. 6. In the navigation area, choose: ¡

Assign Question List , if you want to assign a released question list to the audit.

The system copies the question list that was selected as the template into the current audit. In this question list, you can change questions, create new questions, or delete existing questions. It is also possible to create or assign a question list directly from the audit. To do this, select the required audit in the navigation area, and in the context menu, choose Create → Assign Question List, or Create → Audit Question List/Question, or Create → Audit Question List/Question Using Template. ¡

Audit Question List/Question , if you want to create a new audit question list or audit question for the audit.

¡

Audit Question List/Question Using Template… , if you want to create a new audit question list or audit question on the basis of an audit question list or audit question that already exists in the system. 7. In the right screen area, enter the required data for the audit question list on the tab pages. If you want to assign documents to the current audit question list, select the audit question list in the navigation area, and follow the procedure described in Assigning Documents to an Audit Component. 8. Save the audit.

Result You have created an audit that can contain one or more audit question lists. In the navigation bar, audits are indicated by the icon icon

, subordinate hierarchy levels in an audit question list (for example, element or question) by the icon

If you choose the pushbutton can print this preview (

.

Print Preview in the right screen area, the system displays the data of the current audit as a print preview. You

Form for Audit pushbutton), you can assign it to the current audit as a PDF document (

pushbutton), or you can send it in the form of a PDF document in a mail to all business partners ( also use your own forms. If you choose the pushbutton audit.

, audit question lists by the

, and assigned documents by the icon

PDF Attachment

PDF Attachment pushbutton. You can

Overview in the right screen area, the system displays all corrective/preventive actions related to the current

If you choose the pushbutton Overview in the right screen area, the system displays all questions for the current audit. It is always possible to change an existing audit. To do this, double-click on the audit in the navigation area and then make the required changes. To delete an audit, select the required audit in the navigation area and, in the context menu, choose Delete .

See also: Processing Audit Components Audit Management Overview Process Audit Question List

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 17 of 38

1.7.1.2 Processing the Audit Question List Use An audit question list is required for the execution of an audit. The lead auditor, who is responsible for the execution of the audit, uses a template (for example, standardized catalog of questions, company-specific catalog of questions, predefined list of questions) to create an audit question list for the audit. Alternatively, he/she can create a new audit question list or new questions for an existing audit question list.

Prerequisites The audit has been created. If you want to assign a question list, it must be available in the system and released.

Procedure 1. Choose SAP Menu →Service → Audit Management → Audit Management . The Audit Management initial screen appears. 2. In the navigation area or the worklist, select the audit for which you want to create an audit question list. 3. In the navigation area, choose: ¡ ¡

Audit Question List/Question , if you want to create a new audit question list for the existing audit. Audit Question List/Question Using Template… , if you want to create a new audit question list on the basis of a question list that already exists in the system.

¡

Assign Question List , if you want to assign an existing question list.

The system copies the question list that was selected as the template into the current audit. In this question list, you can change questions, create new questions, or delete existing questions. It is also possible to create or assign a question list directly from the audit. To do this, select the required audit in the navigation area, and in the context menu, choose Create → Assign Question List, or Create → Audit Question List/Question, or Create → Audit Question List/Question Using Template. 4. In the header area on the right, enter a unique key, a description, and the required language for the audit question list. 5. Enter the required data on the tab pages. 6. On the Texts tab page, you can create notes and/or a description. All of the usual editor functions are available. In addition, you can load local files or save texts you have entered as local files.

If you load files that contain control indicators (for example, Microsoft Word files), then these control indicators are interpreted as texts by the system and are displayed as such. You should, therefore, only load pure text files (ASCII files). Texts that have been entered can only be saved locally as pure text files. 7. If you want to assign documents to the current audit question list, select the audit question list in the navigation area, and follow the procedure described in Assigning Documents to an Audit Component. 8. In the navigation area, choose Element , if you want to create a new element, or choose element on the basis of an element that already exists in the system. Choose Question , if you want to create a new question, or choose question that already exists in the system.

9.

Element Using Template... if you want to create an

Question Using Template..., if you want to create a question on the basis of a

Depending on the specifications made in Customizing, the description of the subordinate hierarchy levels (in the case described above “element” or “question”) in the question list can vary. In the right screen area, enter the required data for the subordinate hierarchy levels on the tab pages.

The field description for the identification is the dependent on the specifications made in Customizing (for example, element or question). In addition, the field (required field) for the hierarchy profile is only available for input at the highest hierarchy level (question list). 10. Assign a possible valuation for each question. When the data is released, the system checks the valuation and outputs an error message if a value is not allowed.

You can use a Business Add-In to set up the system so that the valuation and the relevance of a controlling question are passed down to the subordinate questions. For more information, see the documentation of the Implementation Guide for Audit Management. 11. If you want to assign documents to one of the hierarchy levels (for example, element, question), select the required hierarchy level in the navigation area, and follow the procedure described in Assigning Documents to an Audit Component. 12. Save the audit question list.

Result You have created an audit question list that consists of one or more hierarchy levels. In the navigation bar, the audit question list is indicated with the icon subordinate hierarchy levels with the icon If you choose the pushbutton

, and the assigned documents with the icon

, the

.

Valuate in the right screen area, you can record and confirm audit results for audits that have been released.

You can change an existing audit question list or a subordinate hierarchy level at any time. To do this, double-click on the object in the navigation area and then make the required changes.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 18 of 38

To delete an existing audit question list or a subordinate hierarchy level, select the object in the navigation area and, in the context menu, choose Delete .

See also: Processing Audit Components Audit Management Overview

Recording and Confirming Audit Results in the System Use If you want to create and confirm audit results directly in the system, proceed as follows. You can, however, also record audit results using the Internet.

Prerequisites · The required audit must exist in the system. The audit question list must be assigned to the audit. The valuation proposals for the audit questions and the relevance of the audit questions to the audit has been planned, and the audit must be released. · You have executed the audit or have performed the questioning of the audited area and have recorded (on paper) various comments, notes concerning deviations, and items where there was potential for improvement.

Procedure 1. Access audit management. See Accessing Audit Management. 2. Select the audit for which you want to record results. The required audit is displayed.

Audit results can also be recorded on the question overview screen for the audit. From this screen, you can switch to the detail screen of the confirmation to record texts and actions. 3. In the navigation area, choose the question list item for which you are recording results. The required question list item is displayed. 4. Choose the pushbutton Valuation. A screen appears where you can enter the valuation for the question list item and any comments (descriptions, notes, determinations, strengths, potential for improvement) related to this question list item. 5. Copy the valuation proposed by the system or enter your own result if it deviates from the proposal. If necessary, set the indicator Valuation Recorded .

If the question list item is not relevant for the current audit, then set the indicator Not Relevant. 6. If necessary, enter a comment (description, note, determination, strengths, potential for improvement). 7. If you think that corrective/preventive actions are required, set the indicator Action Required.

You can use BAdIs (Business Add In) to define that the system is to set this indicator automatically when a specified degree of fulfillment is not reached. If you have the authorization to create corrective/preventive actions, you can switch directly to the processing of corrective/preventive actions by choosing the pushbutton Corrective/Preventive Actions. 8. Save your entries. 9. Repeat these steps for all question list items for which you want to confirm results.

In the structure tree, the valuation status of a question is represented by one of the following icons: Icon

Meaning The question has not been valuated yet, but is a relevant question. The question has been valuated and the result is the same as or better than the required minimum result. The question has been valuated. The result is worse than the required minimum result. The question has been valuated. No minimum is required. The question is not relevant.

Result You have entered the audit results in the system.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 19 of 38

1.7.1.4 Audit Report Definition The audit report contains all important administrative data related to the audit, including comments, results, and the corrective/preventive actions that have been determined. The audit report is an official document that is signed by the lead auditor and the head of the audited area. Parts of the audit report are usually confidential and can, therefore, not be viewed by all users.

Structure The audit report consists of: A summary of the audit The final result A list of the deviations Questions and their valuations A list of the corrective/preventive actions A list of the persons involved

Integration The audit report can be called up from the audit. The audit report is available as a PDF file and it can be sent in this format.

See also: Audit Evaluation Audit Management Overview

1.7.1.4.1 Creating Audit Reports Use The audit report contains all important administrative data related to the audit, including comments, results, and the corrective/preventive actions that have been determined. The audit report is an official document that is signed by the lead auditor and the head of the audited area. Parts of the audit report are usually confidential and can, therefore, not be viewed by all users.

Prerequisites · The required audit must exist in the system. The audit question list must be assigned to the audit. The valuation proposals for the audit questions and the relevance of the audit questions to the audit has been planned, and the audit must be released. · Corrective and preventive actions were created for the audit if required.

Procedure 1. Access Audit Management. 2. Select the audit for which you want to create the audit report. The required audit is displayed. 3. Choose

Print Preview .

The audit report is displayed in the print preview. You can save this preview locally, you can print it ( current audit as a PDF document (

Form for Audit pushbutton), you can assign it to the

PDF Attachment pushbutton), or you can send it in the form of a PDF document in a mail to all business partners (

PDF Attachment pushbutton. You can also use your own forms.

You can also print the audit report by selecting the Result tab page in the audit and then choosing Create Report . A screen appears where you can specify the printer details, display the audit report in the print preview, and trigger the printing of the audit report. The status of the audit changes when you print the audit report.

Result You have created and printed the audit report.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 20 of 38

1.7.1.5 Completing the Audit Prerequisites An audit must be released before it can be completed. In addition, it may be necessary to have confirmed audit results, to have executed the valuation of the audit results, and to have created an audit report.

Procedure 1. 2. 3. 4.

Access audit management. See Accessing Audit Management. Open the required audit. Choose the Result tab page. Choose the Signature pushbutton. The system now checks if any corrective/preventive actions exist for this audit. If necessary, the system will open these actions. If outstanding actions exist for an audit, the status Outstanding Actions is set by the system. It is now no longer possible to process the audit and the audit questions or to create and valuate audit results. 5. To complete the audit, process as follows: ¡ If no outstanding actions exist for an audit, choose Set → Complete . This completes the audit. ¡ If outstanding actions exist for an audit, choose Set → Complete with Outstanding Actions . If you have processed any outstanding actions, you must confirm the completion of these actions. When you set the status Completed for the last action that was outstanding, the system automatically sets the status Actions Completed and Completed for the audit. This completes the audit. ¡ If there are outstanding actions for an audit, process these actions and then confirm their completion. When you set the status Completed for the last action that was outstanding, the system automatically sets the status Actions Completed for the audit. You can then manually set the status Completed in the audit. This completes the audit.

Result The audit is completed.

Corrective Actions/Preventive Actions Definition Corrective Actions These are actions that are deemed necessary to eliminate the cause of errors that were determined during the audit and to prevent the recursion of these errors. The corrective actions to be executed must be appropriate to the effects that the particular error has on the product. Preventive Actions These are actions that are deemed necessary to eliminate the causes of possible errors before they occur. The preventive actions to be executed must be appropriate to the effects that the possible error could have on the product.

In the navigation area, corrective/preventive actions are indicated by the icon

.

Integration · Corrective and preventive actions can be assigned to any hierarchy level of an audit-related question list.

You can use a Business Add-In to set up the system so that you can create objects, such as a quality notification for a corrective action, directly from the audit management transaction. The objects created are displayed below the corrective action in the tree. For more information, see the Implementation Guide for Audit Management.

See also: Audit Management Overview

Processing Corrective Actions/Preventive Actions PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 21 of 38

Use You use corrective and/or preventive actions to intervene in processes that were found to have potential for improvement during the audit.

Prerequisites You have executed the audit or have performed the questioning of the audited area and have recorded various comments, notes concerning deviations, and items where there was potential for improvement.

Procedure 1. Access audit management. (See Accessing Audit Management). 2. Select the audit for which you want to enter corrective/preventive actions. The required audit is displayed. 3. In the navigation area, choose the question list item for which you are entering corrective/preventive actions. The required question list item is displayed. 4. Choose the pushbutton

Valuate.

5. Choose the pushbutton Corrective/Preventive Action. 6. In the header area on the right, enter a unique key, a description, and the required language for the corrective/preventive action. 7. Enter the required data on the tab pages. 8. On the Texts tab page, you can create notes and/or a description. All of the usual editor functions are available. In addition, you can load local files or save texts you have entered as local files.

If you load files that contain control indicators (for example, Microsoft Word files), then these control indicators are interpreted as texts by the system and are displayed as such. You should, therefore, only load pure text files (ASCII files). Texts that have been entered can only be saved locally as pure text files. 9. If you want to assign documents to the current corrective/preventive action, select the corrective/preventive action in the navigation area, and follow the procedure described in Assigning Documents to an Audit Component. 10. Change the status of the corrective/preventive action to Outstanding . 11. Save the corrective/preventive action.

Result You have created a corrective/preventive action for a question list item of an audit. In the navigation bar, corrective/preventive actions are indicated by the icon and assigned documents by the icon

.

If you choose the pushbutton

Print Preview in the right screen area, the system displays the data of the current corrective/preventive action as

a print preview. You can print this preview (

Form for Corrective Action pushbutton), you can assign it to the current action as a PDF

document ( PDF Attachment pushbutton), or you can send it in the form of a PDF document in a mail to all business partners ( PDF Attachment pushbutton. You can also use your own forms. It is always possible to change existing corrective/preventive actions. To do this, double-click on the required corrective/preventive action in the navigation area and then make the required changes. To delete a corrective/preventive action, select the required corrective/preventive action in the navigation area and, in the context menu, choose Delete .

See also: Audit Management Overview

1.7.2.2 Confirming and Tracing Audit Actions Use The lead auditor, who is responsible for the execution of the audits assigned to him/her, monitors these audits and reports all actions that were determined for these audits. The person responsible for actions is in charge of the execution and confirmation of actions.

Prerequisites Corrective and/or preventive actions have been determined during an audit.

Procedure PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 22 of 38

Confirming Audit Actions (Person Responsible for Actions) Call up the audit monitor. Activate the radio button Corrective Action (audit component to be found) and Outstanding (Status). If necessary, restrict the selection by entering other search criteria. Choose , to call up a list of the actions to be processed. Double-click on the required corrective/preventive action to call up the confirmation transaction. The display mode for corrective/preventive actions is called up. 6. 7. 8. 9.

Choose , to switch to change mode. Make the required changes on the tab pages. Enter a suitable comment. Save your changes.

Tracing Audit Actions (Lead Auditor) Call up the audit monitor.

You can also trace actions by calling up the action overview for the audit for which you wish to trace the actions. 2. Activate the radio button Corrective Action (audit component to be found) and Outstanding (Status). 3. If necessary, restrict the selection by entering other search criteria. 4. Choose , to call up a list of the actions to be processed. 5. Double-click on the required corrective/preventive action. The display mode for corrective/preventive actions is called up. 6. 7. 8. 9. 10.

Choose , to switch to change mode. Check the confirmation for the outstanding action. If necessary, accept the confirmation. Complete the action by choosing the status Complete . Save your changes.

When all of the actions have been completed, you can complete the audit.

See also: Audit Management Overview

1.8 Audit Evaluation (Audit Monitor) Use The audit evaluation provides different search possibilities for all audit components on the basis of various search criteria. In the audit evaluation, you can, for example, determine the number of outstanding corrective and/or preventive actions, display all audits or question lists, and determine which audit plans exist for a certain time period.

Integration The audit evaluation accesses all data that was created in the system in the context of audit management.

Activities 1. Access audit management. (See Accessing Audit Management). 2. Activate the radio button for the required audit component category. 3. If required, you can restrict the selection using additional search criteria (for example, search field, identification, grouping, status, persons involved). 4. Choose , to call up a list of the audit components that correspond to the search criteria you have entered. 5. In this list, you can do the following: Choose...

To

Audit Component

Display the detail view of the selected audit component.

Audit Component

Print data related to the selected audit component on a form. Display details about the selected entry in the list.

or

Sort the list entries according to a selected column. Search for particular terms within the list. Set a filter. Print the list.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 23 of 38

Display the print preview or different views (for example, Excel or Lotus) of the list. For example, export the list to a text processing or spreadsheet program, save it as a local file, or send it as a mail. Select a layout for the list, or change the layout of the list.

See also: Audit Management Overview

1.9 Status Management in Audit Management Processes within audit management can be controlled using status management. Certain business transactions can only be executed when an audit component has a particular status. The execution of other business transactions (for example, release of an audit plan, printing of an audit report) affect the status of an audit component. Audit Components with Status Management Status management exists for the following components in audit management: Question List (Master Data): Initial status Being Created Audit Plan: Initial status Being Created Audit: Initial status Being Created Corrective and Preventive Action: Initial status Created Statuses Used in Audit Management The following statuses are used in audit management: Question List

Audit Plan

Audit

Being Created

Status

X

X

X

Being Processed

X

X

X

Released

X

X

X

Completed

X

X

X

Locked

X

X

X

To be Archived

X

X

X

X

Archived

X

X

X

X

To be Approved

X

X

X

Rejected

X

X

X

Approved

X

X

X

Deletion Flag

X

X

X

Canceled

X

X

Unplanned Audit(s)

X

Question List(s) Assigned

X

Download Executed

X

Confirmed

X

Valuation Performed

X

Report Created

X

Signature Provided

X

Outstanding Actions

X

Actions Completed

X

Completed with Outstanding Actions

X

Actions

X

X

Created

X

Outstanding

X

Forced Completion

X

See also: Audit Management Overview Status Management in Audit Management Status Management (Audit Plan) Status Management (Question List)

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 24 of 38

Status Management (Audit) Status Management (Corrective/Preventive Actions)

1.9.1 Status Management (Audit Plan) The initial status of the audit component audit plan is Being Created . The component Audit Plan has a simplified status design. If you are not working with approval requirement, the sequence Being Created → Released → Completed → To Be Archived → Archived can be represented.

If you want to work with approval requirement, you must either set the status Set Approval Requirement manually or predefine it in Customizing for audit plans.

Dependencies An audit plan can be physically deleted while it has the status Being Created , provided that it does not require approval. A business transaction is performed when deleting. A newly created audit plan can be deleted without performing a status check. Audit plans with the status Deletion Flag or Canceled are immediately marked for archiving in archiving and then deleted. Audit plans with the status Completed can only be deleted after the residence time has expired. In this way you can ensure that you comply with documentation requirements. If the audit plan is Locked , no activities are allowed (apart from unlocking). If you reset the released status of an audit plan, the status Being Processed will automatically be set. The status Unplanned Audit(s) will be reset, if necessary. This means that the audit plan can no longer be deleted. If the audit plan has already been approved, then this status is also reset, meaning that the audit plan will have to be approved again. In this status, the audit plan can be flagged for approval. There are no status-relevant dependencies between an audit plan and audits (or subaudits). This means that no status checks are executed between them since all audit components can stand alone. In the audit plan a status just serves to document whether any unplanned audits exist.

See also: Audit Management Overview Status Management in Audit Management Status Management (Question List) Status Management (Audit) Status Management (Corrective/Preventive Actions)

1.9.2 Status Management (Question List) The initial status of the audit component question list is Being Created . The component Question List has a simplified status design. If you are not working with approval requirement, the sequence Being Created → Released → Completed → To Be Archived → Archived can be represented.

If you want to work with approval requirement, you must either set the status Set Approval Requirement manually or predefine it in Customizing for question lists.

Dependencies A question list can be physically deleted while it has the status Being Created , provided that it does not require approval. A business transaction is performed when deleting. A newly created question list can be deleted without a status check. Question lists with the status Deletion Flag are immediately marked for archiving in archiving and then deleted. Question lists with the status Completed can only be deleted after the residence time has expired. In this way you can ensure that you comply with documentation requirements. The status Released refers to the usage of question lists in audits. This means that only question lists with the status Released can be assigned to an audit. The addition/changing/deletion of elements, questions and other elements of the question list is possible when the statuses Being Created , Being Processed , and Released are set. If the audit is Locked , no activities are allowed (apart from unlocking). If you reset the status Released for a question list, the status Being Processed will automatically be set. This means that the question list can no longer be deleted. If the question list has already been approved, then this status is also reset, meaning that the question list will have to be approved again. In this status, the question list can be flagged for approval.

See also: Audit Management Overview

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 25 of 38

Status Management in Audit Management Status Management (Audit Plan) Status Management (Audit) Status Management (Corrective/Preventive Actions)

1.9.3 Status Management (Audit) The initial status of an audit component or audit is Being Created . The component Audit has a complex status design. If you are not working with approval requirement, the sequence Being Created → Released → Signature Provided → Completed → To Be Archived → Archived can be represented. Different variants of this sequence with increasing levels of complexity can also be represented in the system.

If you want to work with approval requirement, you must either set the status Set Approval Requirement manually or predefine it in Customizing for audits.

Dependencies · An audit can be deleted while it has the status Being Created , provided that it does not have require approval. A business transaction is performed when deleting. A newly created audit can be deleted without performing a status check. · Audits with the status Deletion Flag or Canceled are immediately flagged for archiving in archiving and then deleted. Audits with the status Completed can only be deleted after the residence time has expired. In this way you can ensure that you comply with documentation requirements. · When the audit is in the status Being Created , question lists and their elements can be assigned, changed, or deleted. This is also the case if an approval requirement exists, since the approval does not apply to question contents. In the status Released , only unplanned questions can be created, changed, or deleted. · The audit can stand alone and can therefore be released independently of the status of the audit plansapurl_link_0001_0003_0008. · If you reset the status Released for an audit, the status Being Processed will automatically be set. This means that the audit can no longer be deleted. If the audit has already been approved, then this status is also reset, meaning that the audit will have to be approved again. In this status, the audit can be flagged for approval. When the release is reset, the following statuses may also be reset: ¡ Download Executed ¡ Confirmed ¡ Report Created ¡ Valuation Performed · If the audit is Locked , no activities are allowed (apart from unlocking). · The statuses Download Executed and Confirmed do not have a controlling influence. This means that they are only used for documentation purposes. These statuses cannot be reset manually. The business transactions that are the basis for these statuses can be executed more than once. · The status Valuation Executed documents that the valuation of the audit has been performed. The business transaction that this status is based on is

· ·

· ·

executed when you choose the pushbutton Valuation on the Result tab page in the audit. The system automatically resets the status if the valuation specifications are changed or if the valuation-relevant data in the audit questions is changed. The status Report Created has no controlling influence. This status cannot be reset manually. The business transaction that it is based on can only be executed once. The report can still be created even after the signature has been provided. The status Signature Provided has a controlling influence. This status cannot be reset manually. The business transaction that it is based on can only be executed once. Once the signature has been provided, only the actions and the audit can still be completed. When the signature is provided, all actions that have the status Created are automatically opened and their status is changed to Outstanding . Then the system checks if any outstanding actions exist. If there are any outstanding actions, the system sets the status Outstanding Actions . The status Completed with Outstanding Actions is set automatically if any outstanding actions exist when you complete the audit. When all outstanding actions have been completed, this status is deactivated and replaced by the status Completed . When the statuses Completed and Completed with Outstanding Actions are reset, the following statuses for the audit are reset: ¡ Outstanding Actions ¡ Completed with Outstanding Actions ¡ Signature Provided

See also: Audit Management Overview Status Management in Audit Management Status Management (Audit Plan) Status Management (Question List) Status Management (Corrective/Preventive Actions)

1.9.4 Status Management (Corrective/Preventive Actions) The initial status of the audit component corrective/preventive action is Created . The status design for the audit component corrective/preventive action is quite simple.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 26 of 38

Dependencies Corrective/preventive actions can be deleted as long as they have the status Created . A business transaction is performed when deleting. A newly created corrective/preventive action can be deleted without a status check. Corrective/preventive actions that have the status Deletion Flag are deleted immediately during archiving. Corrective/preventive actions with the status Completed and Forced Completion are only deleted after a specified residence time has expired. In this way you can ensure that you comply with documentation requirements. You can Open corrective/preventive actions manually. When a signature is provided for the audit, the system automatically sets the status Outstanding for all actions that have the status Created . When you complete, delete, or force completion of the last of the corrective/preventive action, the business transaction Complete Actions is executed for the audit.

See also: Audit Management Overview Status Management in Audit Management Status Management (Audit Plan) Status Management (Question List) Status Management (Audit)

Authorization Concept in Audit Management Use Using authorizations, you can control accesses and activities related to audit components or functions within these components. In audit processing, authorization checks exist for the following components: ● ● ● ●

Audit plan Question list Audit Corrective and preventive action

Integration ● The transaction authorizations for the application transactions and Customizing transactions are managed by Basis functions. ● Other authorization checks are processed using the authorization object AUDIT_AUTH.

Features Status Change Each audit component is subject to status management. The setting/deleting of user statuses is controlled using the authorization object B_USERSTAT. The setting/deleting of user statuses due to business transaction flows is controlled by the authorization object B_USERST_T.

Authorization Object AUDIT_AUTH This authorization object includes the following authorization checks within audit processing: ● ● ● ● ● ●

Partner-dependent access to an audit plan, question list, audit, or corrective/preventive action Creation of an audit plan, question list, audit, or corrective/preventive action Display of an audit plan, question list, audit, or corrective/preventive action Changing of an audit plan, question list, audit, or corrective/preventive action Deletion of an audit plan, question list, audit, or corrective/preventive action Release of an audit plan, question list, or audit

Apart from the authorization checks mentioned above, the system checks, for example, whether the user can execute the following functions (BAdI PLM_AUDIT_AUTH_CHECK (activities in audit processing)): ● ● ● ● ● ● ● ● ● ●

Assign documents to the audit plan, question list, audit, and corrective/preventive action Assign planned audits to audit plans and assign question lists to audits Release or reset the release of the audit plan, question list, or audit Complete or reset the completion of the audit plan, question list, audit, or corrective/preventive action Lock or unlock the audit plan, question list, or audit Flag the audit plan, question list, or audit for archiving, archive the audit plan, question list, audit, or corrective/preventive action Set approval requirement for the audit plan, question list, or audit Accept or reject the audit plan, question list, or audit Set or reset the deletion flag for the audit plan, question list, audit, or corrective/preventive action Cancel or reset cancellation of the audit plan or audit

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 27 of 38

● Create the audit report

Role-Specific Authorizations The assignment of authorizations based on roles makes it easier to maintain authorization assignments. When a new business partner XY is created for the role person responsible in the audit, a user name can be assigned to this business partner (for example, AUDITOR). The user AUDITOR already exists in the system and the required authorization profile is assigned to this user. The business partner XY can log on to the audit management system using the AUDITOR user and can then process all components: ● That can be processed according to the authorization profile of the user AUDITOR (for example, only audits and corrective/preventive actions) ● To which the AUDITOR user is assigned as a business partner All other roles that are assigned to the audit as business partners allow the assigned user to display the audit.

Activities The system performs the authorization checks in the following order: 1. 2. 3. 4.

Check of the transaction authorization Check of the general audit authorization for a general activity (authorization object AUDIT_AUTH) Check of the authorization for the execution of particular activities (BAdI PLM_AUDIT_AUTH_CHECK) Role-specific authorization check

See also: Audit Management Overview Online documentation about the authorization object AUDIT_AUTH Online documentation about the BAdI PLM_AUDIT_AUTH_CHECK (activities in audit processing)

1.11 Change Documents in Audit Management When changes are made to audit components in audit management, change documents are created.

No change documents are created when long texts are changed. The following procedure describes how to display change documents: Choose Extras → Change Documents to display change documents that exist for the current audit component. To display change documents that were created for an audit component in status management, choose the pushbutton Details on the Status tab page and then choose Extras → Change Documents -> For Status. .

Digital Signature in Audit Management Use The SAP System provides the digital signature tool to sign (authenticate) and approve digital data. The digital signature ensures that certain tasks are only performed by specially authorized users. In the signed document, the name of the undersigned person, the date, and the time are documented. In Audit Management, you can use digital signature for the following objects: ● Audit ● Corrective/preventive actions related to an audit

Integration In the SAP System, the digital signature is implemented in the Basis component Secure Store and Forward (SSF). This provides you with various signature methods. If you use the user signature as your signature method, you need an external security product that is connected to your SAP system by using SSF. For more information about digital signatures, see

Approval Using Digital Signatures.

Prerequisites ● You have made the general settings for a digital signature (see Approval Using Digital Signatures). ● You have activated digital signature for Audit Management in Customizing for Cross-Application Components → Audit Management . ○ To do this, you have defined the settings under Control → Digital Signature . ○ You have also defined when a digital signature is necessary for each audit type (for example when evaluating an audit or when closing an audit), by choosing Audit Definition → Audit Type . This setting also means that you can search for audits that are not completely signed in the audit monitor. ● You have released the audit.

Features You can use digital signatures to sign off audits and their corrective/preventive actions for the following process steps:

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 28 of 38

● ● ● ●

Evaluation of an audit Completion of an audit Confirmation of a corrective/preventive action Completion of a corrective/preventive action

If you perform a process step that requires a signature, a dialog box appears automatically, so that you can enter the digital signature. Once you have evaluated and signed off audits, you can no longer change the evaluation. Once you have closed and signed off audits or actions, you can no longer change the properties of the audits or actions. If there are still outstanding actions, you can only assign the status Completed with Outstanding Actions to the audit, and you must sign off the audit. When the last outstanding action is closed, the status Closed is set automatically. There is no need to sign off the audit again. If you revoke the status Closed , the system also revokes the signature. If you close an audit or action again, the signature process is automatically triggered again. In the digital signature log, you can display the signature history of each audit and each action. You can use the PDF-based forms PLM_AUDIT and PLM_AUDITACTION to print audits and actions with their digital signatures. If at least one signature strategy is specified in Customizing for an audit type, you can select audits with incomplete signatures in the audit monitor and monitor the incomplete signature processes for completion in the hit list.

Activities For more information, see Working with Digital Signatures in Audit Management.

Working with Digital Signatures in Audit Management You can call the functions listed in the table by choosing the following path from the SAP Easy Access menu: Cross-Application Components → Audit Management → Audit Management → Change Audit Working with Digital Signatures Function

Navigation

What You Should Know

Provide digital signature for audit result and thereby

Choose the tab page → Result → Valuate →

The status Signature Provided is set automatically for the

evaluate it Provide digital signature on closing the audit

Signature . Choose the Status tab page and set the status Closed .

audit. If you have specified individual signature in Customizing, the system automatically sets the status Closed and Signature for Completion Provided on completion. If you have defined a multilevel signature strategy in Customizing and have provided the first signature, the status Partial Signature for Completion is set. The status Signature for Completion Provided is only set when the last signature has been provided. This means that the audit can no longer be changed.

Provide digital signature for corrective/preventive action

Choose the Status tab page for the action and set the status Confirm or Closed .

If an action is signed off digitally, it is given the status Confirmed or Closed and can no longer be changed.

Provide digital signature on closing an audit with outstanding actions

Choose the Status tab page for the audit and set the status Complete with Outstanding Actions .

If you set this status for an audit and a signature is required, the signature process is triggered and the statuses Completed with Outstanding Actions and Signature for Completion Provided are set. When you complete the last action, the status Closed is set automatically for the audit, without triggering the signature process for the audit again.

Open digital signature log

Start transaction DSLOG.

The digital signature history is displayed.

Find audits with incomplete signatures when closing audits

From the SAP Easy Access menu, choose CrossApplication Components → Audit Management → Start Audit Monitor. Select Audits as the audit component and choose

The result list contains all the audits that were not completely signed off on completion. If you select an audit and choose Digital Signature , the signature steps are displayed with the signatures provided.

Execute . Select Audits as the audit component, select status All, and choose Execute .

In this case, the result list contains all the audits. Only if you select an audit with incomplete signatures and choose Digital Signature do you see the signatures steps with the signatures provided for the incomplete signature processes.

Archiving in Audit Management: Transaction Data (CA-AUD) Definition PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 29 of 38

Archiving object PLM_AUD is used to archive transaction data, that is, the audit plans and audits of the Audit Management component.

Use You can use the archiving object to archive audit management transaction data to which you no longer require direct access. You can still display the archived data in Audit Management .

Structure When you use archiving object PLM_AUD , you archive data from several tables.

Tables to be archived

Short text

PLMM_AUDIT

Audit

PLMM_AUDIT_ACT

Audit – Corrective Action

PLMM_AUDIT_OBJ

Audit Object Attribute

PLMM_AUDITPLAN

Audit Plan

PLMM_AUDIT_ROLES

Audit Components-BP-Partner Role

PLMM_QUEST_RES

Audit Question/Reply List/Item

The following archiving classes are used: Archiving class

Short text

CGPL

Generic Project Planning

TEXT

SAPscript Texts

CRM_STATUS

Status Objects (GUID-Based Status Management)

CHANGEDOCU

Change documents

SOBL

Object Links

Documents attached to an audit component that is to be archived are not physically archived. To archive a document, use the functions of the integrated business document service .

1.13.1 Checks: Transaction Data (CA-AUD) During preprocessing, the following are checked: · The audit component is not currently being processed. · The audit component has one of the following statuses: ¡ To Be Archived (I1805) ¡ Deletion Flag (I1810) ¡ Canceled (I1811) · The audit component does not have one of the statuses mentioned above, but has been completed and the residence time – calculated based on the change date of the component – has expired. · The customer-specific checks implemented in the BAdI ARC_PLM_AUD_CHECK were OK. · The status of the archiving object allows the operations Mark for Archiving (AM07) and Archived (AM08). · The Archived status can only be set for an audit plan when there are no more dependent objects such as other audit plans or audits assigned to the audit plan. · The Archived status can only be set for an audit if there are no outstanding actions still assigned to the audit.

Application Customizing: Transaction Data (CA-AUD) Use In application Customizing, you can change the settings for archiving runs.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 30 of 38

Integration The residence times maintained in Customizing are taken into consideration during preprocessing. The BAdI ARC_PLM_AUD_CHECK allows extra checks during preprocessing. The BAdI ARC_PLM_AUD_WRITE allows you to archive and delete customer-specific data. It is called during the archiving and deletion runs.

Features In the Audit Comps: Define Residence Time view, you can maintain the residence times. You can create and activate implementations for the BAdIs ARC_PLM_AUD_WRITE and ARC_PLM_AUD_CHECK under the node Business Add-Ins for Archiving .

Activities Define the residence time for the audit components Audit Plan and Audit for which you want to archive data. The system only executes preprocessing if a residence time has been defined.

Preprocessing – Processing Variants: Transaction Data (CA-AUD) Use You can use the preprocessing program to set the status To Be Archived and the status Archived for audit components. The status To Be Archived is a prerequisite for archiving to take place at a later stage. Audit components with the status Archived cannot be changed.

Prerequisites You have defined residence times in application Customizing.

Procedure 1. Choose Tools → Administration → Administration → Data Archiving . 2. Enter the archiving object name PLM_AUD on the initial screen for archive management and choose Preproc . 3. Enter a report variant on the Preprocessing screen. If no variants are available, choose Maintain to create the required variant. If you select the Detailed Log checkbox on the selection screen, a log line appears for each archived audit component. 4. Edit the S tart Date and the Spool Parameters. You use the spool parameters to control the print output of the preprocessing log that has been created. 5. Choose Execute on the initial screen. 6. In the Job Overview , you can see information regarding the status of the preprocessing job and you can display the log when the job has been completed.

Result The preprocessing program sets the status To Be Archived or Archived for the selected audit components. The preprocessing program creates a normal or a detailed log. After preprocessing, you can archive the selected audit components.

Archiving – Processing Variants: Transaction Data (CA-AUD) Use The archiving program writes the database records of the archiving object PLM_AUD to the archive. Prerequisites

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 31 of 38

Before you start the archiving run, you have marked the audit components for archiving using preprocessing.

Procedure 1. Choose Tools → Administration → Administration → Data Archiving . 2. Enter the object name PLM_AUD on the initial screen for archive management and choose Write . 3. Enter a report variant on the Create Archive Files screen. If no variants are available, choose Maintain to create the required variant. If you select the Detailed Log checkbox on the selection screen, a log line appears for each archived audit component. 4. Edit the S tart Date and the Spool Parameters. You use the spool parameters to control the print output of the archiving log that has been created. 5. Choose Execute on the initial screen. 6. In the Job Overview , you can see information regarding the status of the archiving job and you can display the log when the job has been completed. If you maintain Start Automatically in archiving-object-specific Customizing for the deletion job, the deletion job is started automatically after archiving and you do not have to trigger the Delete step manually, as described below.

Result The data of the selected audit components is archived. The archiving program creates a normal or a detailed log. If the deletion run is not started automatically, you must start it manually.

Deletion – Processing Variants: Transaction Data (CA-AUD) Use The deletion program deletes the database records for the archiving object PLM_AUD.

Prerequisites Before you start the deletion run, you must archive the audit components using the archiving run.

Procedure 1. 2. 3. 4.

Choose Tools → Administration → Administration → Data Archiving . Enter the object name PLM_AUD on the initial screen for archive management and choose Delete . On the Execute Delete Program screen, choose one or more archiving runs using the archive selection. Edit the S tart Date and the Spool Parameters. You use the spool parameters to control the print output of the deletion log that has been created. If you select the Detailed Log checkbox on the selection screen, a log line appears for each archived audit component. 5. Choose Execute on the initial screen. 6. In the Job Overview , you can see information regarding the status of the deletion job and you can display the log when the job has been completed.

Result The data in the selected archiving runs is deleted. The deletion program creates a normal or a detailed log. You can display the deleted data in Audit Management using the Archive Explorer.

Authorizations: Transaction Data (CA-AUD) To execute the programs for the archiving of the object PLM_AUD, you must have the authorization S_ARCHIVE. To display archived data, you must have authorization to access the Archive Information System, or you must have a display authorization for Audit Management .

1.13.7 Log (CA-AUD) Use If you execute the various programs, the system creates logs in list form. If the programs are executed in the background, the logs are output using spool

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 32 of 38

requests. These logs provide the user with information about, for example, which audit components were selected or how many audit components were processed.

Integration For the output in the background, print output is used.

Prerequisites The logs are output directly after preprocessing, the archiving run and the deletion run. Features The system creates different logs for each of the three archiving steps. To display the selection criteria, you may have to choose the selection cover sheet in the spool settings.

Preprocessing Log On the selection screen, you can choose between a summarized and a detailed log. The system displays the following information: · Selection criteria · Number of hits found on the basis of the selection criteria · Number of selected audit components for which the status Archived can be set.

Archiving Log On the selection screen, you can choose between a summarized and a detailed log. In the summarized log, the system displays the following information: · · · ·

Selection criteria Key of the archive file and number of the archiving run Statistical values for the archived database tables Number of audit components to be archived

Deletion Log On the selection screen, you can choose between a summarized and a detailed log. The system displays the following information: · · · ·

Test mode indicator or production mode indicator Keys of the archived files Number of deleted objects Number of deleted records for each relevant database table

In the detailed log, the system displays the following additional information: · External key of the audit component · Success or error messages

You can only select the detailed log for small quantities of data, for example, in test mode for only a few objects. Otherwise the program may terminate due to memory overflow.

Activities You must maintain the relevant spool parameters before executing a program. The log is created automatically by the system after the program has been executed. You can display the log using the job overview and by choosing Display Spool List → Display Contents .

Residence Times: Transaction Data (CA-AUD) Definition Objects that are no longer used must still be available in the system for a specific period of time (for example, to comply with legal archiving requirements).

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 33 of 38

Use You can only select data for archiving when the residence time (or retention period) in the system has expired. You set up residence times in application Customizing. If these are not set, objects are not marked for archiving.

The residence time or retention period is set on the basis of calendar days and not working days (in other words, one week equals seven days, not five days).

Among other things, you can use the BAdI Archiving Object PLM_AUD: Add-On for Specific Checks to specify different residence times for different audit types. For more information, see the Implementation Guide (IMG) for Audit Management under Control → Audit Data Objects: Define Residence Time.

Displaying Archived Audit Components: Transaction Data (CAAUD) Use You need to find information about an archived and deleted audit component.

Procedure In the audit management menu, choose Audit Component → Open and enter the key of the deleted audit component. Then set the indicator Read From Archive . Confirm the search. Alternatively, you can switch to the business view of the archived audit component using the Archive Explorer.

Archiving in Audit Management: Master Data (CA-AUD) Definition The archiving object PLM_QUM is used to archive master data, that is, the question lists of the Audit Management component.

Use You can use the archiving object to archive audit management master data to which you no longer require direct access. You can still display the archived data in Audit Management .

Structure When you use archiving object PLM_QUM , you archive data from several tables.

Tables to be archived

Short text

PLMM_AUDIT_ROLES

Audit Components-BP-Partner Role

PLMM_QUEST_H

Question List

PLMM_QUEST_I

Question List Item

The following archiving classes are used: Archiving class

Short text

CGPL

Generic Project Planning

CHANGEDOCU

Change documents

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 34 of 38

CRM_STATUS

Status Objects (GUID-Based Status Management)

TEXT

SAPscript Texts

Documents attached to an audit component that is to be archived are not physically archived. To archive a document, use the functions of the integrated business document service .

1.14.1 Checks: Master Data (CA-AUD) During preprocessing, the following are checked: · The audit component is not currently being processed. · The audit component has the status To Be Archived (I1805) or the status Deletion Flag (I1810). · The audit component does not have one of the statuses mentioned above, but has been completed and the residence time – calculated based on the change date of the component – has expired. · The customer-specific checks implemented in the BAdI ARC_PLM_QUM_CHECK were OK. · The status of the archiving object allows the operations Mark for Archiving (AM07) and Archived (AM08).

Application Customizing: Master Data (CA-AUD) Use In application Customizing, you can change the settings for archiving runs.

Integration The residence times maintained in Customizing are taken into consideration during preprocessing. The BAdI ARC_PLM_QUM_CHECK allows extra checks during preprocessing. The BAdI ARC_PLM_QUM_WRITE allows you to archive and delete customer-specific data. It is called during the archiving and deletion runs.

Features In the Audit Comps: Define Residence Time view, you can maintain the residence times. You can create and activate implementations for the BAdIs ARC_PLM_QUM_WRITE and ARC_PLM_QUM_CHECK under the node Business Add-Ins for Archiving .

Activities Define the residence time for the audit component Question List for which you want to archive data. The system only executes preprocessing if a residence time has been defined.

Preprocessing – Processing Variants: Master Data (CA-AUD) Use You can use the preprocessing program to set the status To Be Archived and the status Archived for audit components. The status To Be Archived is a prerequisite for archiving to take place at a later stage. Audit components with status To Be Archived or status Archived cannot be changed.

Prerequisites You have defined residence times in application Customizing.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 35 of 38

Procedure 1. Choose Tools → Administration → Administration → Data Archiving . 2. Enter the archiving object name PLM_QUM on the initial screen for archive management and choose Preproc . 3. Enter a report variant on the Preprocessing screen. If no variants are available, choose Maintain to create the required variant. If you select the Detailed Log checkbox on the selection screen, a log line appears for each archived audit component. 4. Edit the S tart Date and the Spool Parameters. You use the spool parameters to control the print output of the preprocessing log that has been created. 5. Choose Execute on the initial screen. 6. In the Job Overview , you can see information regarding the status of the preprocessing job and you can display the log when the job has been completed.

Result The preprocessing program sets the status To Be Archived or Archived for the selected audit components. The preprocessing program creates a normal or a detailed log. After preprocessing, you can archive the selected audit components.

Archiving – Processing Variants: Master Data (CA-AUD) Use The archiving program writes the database records of the archiving object PLM_QUM to the archive.

Prerequisites Before you start the archiving run, you have marked the audit components for archiving using preprocessing.

Procedure 1. Choose Tools → Administration → Administration → Data Archiving . 2. Enter the object name PLM_QUM on the initial screen for archive management and choose Write . 3. Enter a report variant on the Create Archive Files screen. If no variants are available, choose Maintain to create the required variant. If you select the Detailed Log checkbox on the selection screen, a log line appears for each archived audit component. 4. Edit the S tart Date and the Spool Parameters. You use the spool parameters to control the print output of the archiving log that has been created. 5. Choose Execute on the initial screen. 6. In the Job Overview , you can see information regarding the status of the archiving job and you can display the log when the job has been completed. If you maintain Start Automatically in archiving-object-specific Customizing for the deletion job, the deletion job is started automatically after archiving and you do not have to trigger the Delete step manually, as described below.

Result The data of the selected audit components is archived. The archiving program creates a normal or a detailed log. If the deletion run is not started automatically, you must start it manually.

Deletion – Processing Variants: Master Data (CA-AUD) Use The deletion program deletes the database records for the archiving object PLM_QUM.

Prerequisites Before you start the deletion run, you must archive the audit components using the archiving run.

Procedure 1. Choose Tools → Administration → Administration → Data Archiving . 2. Enter the object name PLM_QUM on the initial screen for archive management and choose Delete . 3. On the Execute Delete Program screen, choose one or more archiving runs using the archive selection.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 36 of 38

3. On the Execute Delete Program screen, choose one or more archiving runs using the archive selection. 4. Edit the S tart Date and the Spool Parameters. You use the spool parameters to control the print output of the deletion log that has been created. If you select the Detailed Log checkbox on the selection screen, a log line appears for each archived audit component. 5. Choose Execute on the initial screen. 6. In the Job Overview , you can see information regarding the status of the deletion job and you can display the log when the job has been completed.

Result The data in the selected archiving runs is deleted. The deletion program creates a normal or a detailed log. You can display the deleted data in Audit Management using the Archive Explorer.

Authorizations: Master Data (CA-AUD) To execute the programs for the archiving of archiving object PLM_QUM, you must have the authorization S_ARCHIVE. To display archived data, you must have authorization to access the Archive Information System, or you must have a display authorization for Audit Management .

1.14.7 Log for Master Data (CA-AUD) Use If you execute the various programs, the system creates logs in list form. If the programs are executed in the background, the logs are output using spool requests. These logs provide the user with information about, for example, which audit components were selected or how many audit components were processed.

Integration For the output in the background, print output is used.

Prerequisites The logs are output directly after preprocessing, the archiving run and the deletion run.

Features The system creates different logs for each of the three archiving steps. To display the selection criteria, you may have to choose the selection cover sheet in the spool settings.

Preprocessing Log On the selection screen, you can choose between a summarized and a detailed log. The system displays the following information: · Selection criteria · Number of hits found on the basis of the selection criteria · Number of selected audit components for which the status Archived can be set

Archiving Log On the selection screen, you can choose between a summarized and a detailed log. In the summarized log, the system displays the following information: · · · ·

Selection criteria Key of the archive file and number of the archiving run Statistical values for the archived database tables Number of audit components to be archived

Deletion Log On the selection screen, you can choose between a summarized and a detailed log. The system displays the following information: · Test mode indicator or production mode indicator · Keys of the archived files

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 37 of 38

· Number of deleted objects · Number of deleted records for each relevant database table

In the detailed log, the system displays the following additional information: · External key of the audit component · Success or error messages

You can only select the detailed log for small quantities of data, for example, in test mode for only a few objects. Otherwise the program may terminate due to memory overflow.

Activities You must maintain the relevant spool parameters before executing a program. The log is created automatically by the system after the program has been executed. You can display the log using the job overview and by choosing Display Spool List → Display Contents .

Residence Times: Master Data (CA-AUD) Definition Objects that are no longer used must still be available in the system for a specific period of time (for example, to comply with legal archiving requirements).

Use You can only select data for archiving when the residence time (or retention period) in the system has expired. You set up residence times in application Customizing. If these are not set, objects are not marked for archiving.

The residence time or retention period is set on the basis of calendar days and not working days (in other words, one week equals seven days, not five days). For more information, see the Implementation Guide (IMG) for Audit Management under Control →

Audit Data Objects: Define Residence Time.

Displaying Archived Audit Components: Master Data (CA-AUD) Use You need to find information about an archived and deleted audit component.

Procedure In the audit management menu, choose Audit Component → Open and enter the key of the deleted audit component. Then set the indicator Read From Archive . Confirm the search. Alternatively, you can switch to the business view of the archived audit component using the Archive Explorer.

PUBLIC © 2014 SAP SE or an SAP affiliate company. All rights reserved.

Page 38 of 38