Auditing PeopleSoft ERP System

Training Introduction

Background

PeopleSoft, now part of Oracle, is a comprehensive ERP solution used widely for managing finance, human resources, supply chain, and other critical business functions. Auditing PeopleSoft requires a deep understanding of its architecture, modules, and embedded controls to ensure accurate data processing, secure access, and compliance with organizational and regulatory requirements.

This training equips auditors with practical skills and frameworks to assess PeopleSoft systems effectively, identify risks, test controls, and deliver meaningful audit findings.

 

Purpose of the Training

To enable auditors to perform thorough audits of PeopleSoft environments by understanding system design, transaction processes, control points, and security mechanisms.

 

Learning Objectives

By the end of this training, participants will be able to:

• Understand PeopleSoft system architecture and core functional modules
• Identify risks and key control areas within PeopleSoft
• Conduct audit procedures on financial, HR, and procurement transactions
• Assess user access, segregation of duties, and system security
• Prepare and communicate audit findings and recommendations effectively

 

Target Audience

• Internal and external auditors
• IT auditors specializing in ERP systems
• PeopleSoft system administrators and business process owners
• Compliance and risk management professionals

 

Training Approach

• Modules: 5 focused modules (2–3 hours each)
• Format: Lectures, system demonstrations, case studies, hands-on exercises
• Deliverables: Audit checklists, test scripts, reporting templates, certificate of completion

 

Course Content:

Module 1: Introduction to PeopleSoft and Core Modules

Objectives:

• Understand PeopleSoft system architecture and technology stack.
• Gain overview of key modules: Financials, Human Resources, Procurement, and Campus Solutions.
• Understand how PeopleSoft supports business processes.

Key Topics:

• PeopleSoft architecture overview: client-server, web-based components
• Integration of PeopleSoft modules and workflows
• Key business processes and transaction flows
• System configuration and customization basics

Activities:

• System navigation walkthrough
• Mapping business processes to PeopleSoft modules

Module 2: Risk Identification and Control Environment in PeopleSoft

Objectives:

• Identify typical risks in PeopleSoft environments.
• Understand control frameworks and governance models.
• Review access management, segregation of duties (SoD), and change management.

Key Topics:

• Common risks: unauthorized access, data integrity issues, process failures
• User provisioning and role-based access controls
• Segregation of duties conflicts and mitigation approaches
• Change management for PeopleSoft configurations and updates

Activities:

• SoD conflict analysis exercise
• Review of user access reports

Module 3: Auditing Key PeopleSoft Transactions

Objectives:

• Perform audit testing on critical financial, HR, and procurement transactions.
• Validate data accuracy, completeness, and proper authorization.
• Assess automated controls and manual overrides.

Key Topics:

• Financial module audit: General Ledger, Accounts Payable, Accounts Receivable
• HR module audit: payroll, benefits administration, personnel changes
• Procurement cycle audit: purchase orders, vendor management, approvals
• Exception handling and reconciliation

Activities:

• Sample transaction walkthrough and testing
• Exception report analysis

Module 4: Assessing Security, Data Integrity, and Compliance

Objectives:

• Evaluate PeopleSoft security architecture and data protection controls.
• Review data backup, recovery, and audit trails.
• Assess compliance with relevant regulations and policies.

Key Topics:

• Authentication, authorization, and encryption in PeopleSoft
• Data validation and integrity controls
• Backup and disaster recovery procedures
• Audit logging, monitoring, and alerting
• Regulatory compliance considerations (e.g., GDPR, SOX)

Activities:

• Security control assessment simulation
• Review audit logs and incident reports

Module 5: Reporting Audit Findings and Enhancing Oversight

Objectives:

• Document audit findings clearly and effectively.
• Communicate technical results to business and IT stakeholders.
• Support follow-up actions and continuous improvement.

Key Topics:

• Structuring audit reports and management communication
• Prioritizing findings and recommendations
• Follow-up and remediation tracking processes
• Best practices for ongoing PeopleSoft audit and monitoring

Activities:

• Draft audit report excerpts
• Role-play presenting findings to management

 

Conclusion and Certification

• Recap of key audit principles and PeopleSoft-specific insights
• Final Q&A and participant feedback
• Optional practical assessment or case study
• Certificate of Completion awarded

 

Optional Training Materials

• PeopleSoft Audit Checklist and Risk Matrix
• User Access and SoD Reporting Templates
• Sample Test Scripts for Key Controls
• Audit Report Templates
• Glossary of PeopleSoft Terms