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Table of contents
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Scope
ERP
References
Attachments
1 INTRODUCTION
Audit is an activity performed daily to review the documents posted the day before to ensure that documents are submitted for payment correctly.
2 OBJECTIVE
The purpose of this document is to show the rules of the Audit Triage Control in the PF1 and WP1 systems.
3 SCOPE
This Operating Procedure applies to a specific accounting sample, following pre-defined criteria.
4 Activity
# | Main activities |
Contents of this section |
2.1 Both systems
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4.1 Basic Criterion
Audit is a quality check made from basic daily posting samples, which should include:
All documents of VIP suppliers (classified VIP in the extra tab of Master Data “Purchasing Segmentation");
All documents with a value equal or superior to R $ U$D 50,000.00 ("Value in Local Currency")
All documents with value of Withholding Tax;
All documents counted the day before.
For WP1 all All critical vendors or at least 10% of the documents posted the day before must be in the audit screening.
For PF1 are all the documents posted the day before.
Add a random check to specific team members.
The criteria mentioned above are the minimum requirements for the Audit Triage analysis. To cover some situations identified by Team Leader, some additional and exceptional checks may apply.
Exclusions:
The following type of document is not included in the Audit Trial Procedure:
EPWF
- ROBOT (BRBC2138) EDI
4.2 Extraction of Data
4.2.1 Manual Extraction Data
# | Main activities | Comments |
1 | Access SAP | |
2 | Access the transaction SQ00 | |
3 | Legacies | |
4 | Work Areas | |
5 | Select the Area Standard | |
6 | Select the Query Z_AUDITTRAIL | |
7 | Select the option execute with variant | Variant AUDIT_LAM2 |
6° Step - select the Query Z_AUDITTRAIL
7° Step - elect the option execute with variant
4.2.1 Both Systems
# | Main activities | Comments |
8 | Select the Filter | PF1 Delete RE // WP1 does not have filters. |
9 | The date you want it to be analyzed. | |
10 | Delete MR8M e FB08 | |
11 | Insert the Company Code | PF1 0309, 5685, 5686, 4054, 6029, 3389, 5720 , 5726, 5794, 0134 e 6056 e 5726. // WP1 6375, 7523, 7580, 7723, 7725, 7722, 6322, 6022, ZBR1 e 6864.6343, 6351 |
12 | Select the Filter | PF1 Delete 65* e 151* // WP1 Pattern 5* Delete 2* e 3*; |
13 | Select all users, excluding payment team users. | PF1 PT*, BR*, WF-BATCH, BATCHCLSES, WJOUT-3S-AP // WP1 PT*, BR*, OPSCHEDULEBR, OMOURA, ELEITE, EFACHINI. |
14 | Always insert “K” | Related to vendor posting. |
15 | Keep the layout that comes in the variant | Layout: AP_CONTROL1 |
# | Main activities | Comments |
16 | Save the file | Local File |
17 | Select the Spreadsheet option | |
18 | Change file extension | De .txt para .xls |
19 | Save the File |
Important Note: This extraction should be done the day after the desired date, as soon as possible after the production is finished.
On the closing day, daily postings can be verified with two or more Audit Triage reports, where the corresponding postings already checked should be excluded from the normal audit (as a suggestion, apply the PROCV formula from the documents in the " Key "or" Key Object ").
On Excel, arrange the file so you can review the documents
# | Main activities | Comments |
20 | Delete the blank columns... | |
21 | Delete line 6 and number 1 of cell M1 | |
22 | Insert the Filter (found in the toolbar> Data) | |
23 | In Page Layout, include in the "Scale to Fit" field the formatting "Width> 1 Page" and Orientation as Landscape | |
24 | Select the "Reference Key" column and format using "Number" and deleting the two zeros after the comma and aligning all information to "Align Text Left" and "Align Middle" | |
25 | Add after the "Key Reference" information, the "Audited By" and "Reason" |
Finally separate the documents at random with all auditors.
For WP1 insert a column between the Vendor and Document Date columns with "Release Grp." And do a PROCV to find the critical vendors, the other documents can be deleted from the worksheet.
** Remember to not separate the document that the user has posted to audit.
4.2.2 Automatic Extraction Data
For WP1 legacy the extractions is automatic, via Macro
To Run, the next information are needed
V: Internal Controls/APLAM/Audittrail
Distribution:
Audit Target : 10%
High Amount 100%
Vendor List
Extraction:
Legacy
Layout
Date
4.1 Checking of Data
Each "Audit User" must copy the assigned document numbers and paste in the corresponding transaction. There must be a perfect match between the invoice data and the document posted in SAP (check against the image).
If there is no image attached, request the attachment for the user who posted the document (with the exception of Posting File) (via corrections, for example). If it is correct put "OK" in the "Validation" field with the evidence of the check. If an error is found add the reason according to the options below:
PF1 | WP1 |
OK | OK |
Changed Assignment | Canceled NF |
Changed Baselinedate | Changed CFOP |
Changed CAE/CAI (text) | Changed Control Code |
Changed Folio Fiscal (MX) | Changed Due Date |
Changed Payment Method | Changed Fiscal Law |
Changed Payment Terms | Changed Fiscal Law and Changed Fiscal Value |
Changed Reference | Changed Fiscal Value |
Changed Text | Changed Observations |
Changed Withholding Tax (MX) | Changed Observations and Service Code |
Changed Withholding Tax PCC | Changed Reference |
Duplicated Posting | Changed Return Item |
Missing Attachment | Changed Return Item |
Missing Clearing | Changed Text |
Missing Image | Changed Withholding Tax PCC |
Missing "NP" | Duplicated Posting |
Requires Sending Webcycle | Missing Bookkeeping |
Should be Credit Note / Invoice | Missing "Boleto Anexo" |
Wrong Account | Missing Due Date in Cockpit |
Wrong Amount | Missing "NP" |
Wrong Business Place | Missing Observation |
Wrong Company Code | Missing Service Code |
Wrong Currency | Should be Credit Note / Invoice |
PF1 | WP1 |
Wrong Document Date | Wrong Account |
Wrong Exchange Rate | Wrong Amount |
Wrong Image | Wrong Company Code |
Wrong NF Type | Wrong Currency |
Wrong PO | Wrong Document Date |
Wrong PO Line | Wrong Due Date in Cockpit |
Wrong Posting Date (Closure) | Wrong Exchange Rate |
Wrong Quantity | Wrong NF Type |
Wrong Tax Code | Wrong PO |
Wrong Vendor | Wrong PO Line / GR / Sent |
Wrong Withholding Tax | Wrong Posting |
Missing Partner Bank Type | Wrong Posting Date (Closure) |
Changed Partner Bank Type | Wrong Quantity |
Document Already Reversed | Wrong Reference |
Wrong Retention (ICMS, IPI, Pis, Cofins) | |
Wrong Site | |
Wrong Tax Code | |
Wrong Vendor | |
Wrong Withholding Tax | |
Document Already Reversed |
In the table below we have the required fields that must be checked in the audit.
Both | PF1 |
Reference | Business Place |
Date of document | Image (EPWF ou FI Documents) |
Post Date | |
Amount | WP1 |
Vendor | Place |
Due date | Bookkeeping |
Withholding Tax | |
Purchase order | |
Currency | |
Exchange rate | |
Invoice Type | |
Account |
The auditor should confirm that Withholding Tax is correct on post according to invoice information and country / state legislation.
In the example below we have a document that was audited in the WP1 system.
Withholding Tax was:
As we can observe according to the invoice the taxes were accounted correctly:
Another case, however, of the PF1 system, country Mexico
4.2 Action to be taken in case of divergences found
The fields below can be changed / corrected through document transaction FI (FB03) and J1B2N (Tax Book only in WP1), without the need to revert them:
"Reference", "Base Date", "Withholding Tax (PCC)", "Payment Block", "Bank Account" and / or "Terms of Payment";
For WP1 you can change the fields of bookkeeping as "Tax Law", "Tax Value", "Control Code / NCM", "Remarks", "Service Code", "Return Item”;
For PF1 MX you can change the "Withholding Tax (MX)" field.”
Attention! The base date it is differant from the date of the document, if the date of the document diverges, request the document to be reversed. Note that the base date in some cases is the same as the date of the document, however it is still necessary to revert the document.
For all other fields, the document must be reversed.
For all documents it is necessary to resume the webcycle, so that the document can be reversed.
4.3 Saving and Loading the File
At the end of the Audit Trial, the user must save the files in the following folders:
PF1: V:\Audit Trial\Blue Legacy\Audit Trial 2017\Corrections Audit Trial\PtP Mercosul
WP1: V:\Audit Trial\Green Legacy\Audit trial 2017\Corrections Audit Trial\2017\LAM
#
Main activities
Comments
26
Save the File
27
Save as PDF
The document is saved in Google Drive in sheets format
APLAM/AUDITTRAIL/
PF1: Audittrail_DATA_USUÁRIO (Ex.: Audittrail_00002017_BR*****)
WP1: Audit Trial WP1 LAM - DATA USUÁRIO (Ex.: Audit Trial WP1 LAM - 00.00 BR******)
Afterwards, a global loading of all the audits are made, such as the corresponding Excel file (the primary file) in the "Team Sites" is done, so that there are no later changes: (http://teamsites.solvay.com/sites/3Se/Accounts%20Payable/Forms/AllItems.aspx)
Important Note: It is important to upload these files before the end of the month.
End of the Document.
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