SAP Process Control - The Comprehensive Guide

Multilingual Book

🇺🇸 English (Original) 🇪🇸 Spanish (Translation)

✅ All languages are included in your purchase

Publisher SAP PRESS

Year / Edition 2024 / 1

Pages 525

Authors Raghu Boddu, Ramakrishna Chaitanya

SAP Process Control

Easier audits, protection against fraud, streamlined process controls—this is why you need SAP Process Control in your organization. With this comprehensive guide, see how to implement and configure the solution, from maintaining connectors to defining master data. Follow step-by-step instructions to use control evaluation procedures, report on and remediate ad hoc issues, and automate controls with continuous controls monitoring (CCM). With information on using standard reports, enabling SAP Fiori apps, and adding SAP Financial Compliance Management to your landscape, this SAP Process Control guide has everything you need!

Implement SAP Process Control to manage compliance in your organization
Automate your processes with continuous controls monitoring
Evaluate internal controls, manage the policy lifecycle, remediate issues, and more

You'll learn about:

Implementation:
Understand the hardware and software requirements to implement SAP Process Control and then dive into configuration activities. Perform workflow customizing, set up shared master data, create regulation hierarchies, map attributes, assign users, and more.
Control Evaluation and Monitoring:
Evaluate the design and operating effectiveness of your manual controls using survey libraries, performance plans, and test plans. Report issues identified on an ad hoc basis and then remediate them.
Continuous Controls Monitoring:
Set up and test automated controls using data source types and business rules. Get step-by-step instructions for creating monitoring jobs, performing transports, and reporting through the Job Monitor.

Key Highlights:

Internal controls
Governance
Configuration
Master data
Control evaluation
Ad hoc issues
Continuous controls monitoring (CCM)
Policy lifecycle
Reporting
SAP Fiori
SAP Financial Compliance Management

View Full Table of Contents

Preface
- Target Audience
- How to Read This Book
- How This Book Is Organized
- Conclusion
- Acknowledgments
1 Introduction to SAP Process Control
- 1.1 History of SAP Process Control
  - 1.1.1 Semi-Automated Controls
  - 1.1.2 Manual Control Performance Integration with Continuous Control Monitoring
  - 1.1.3 Standalone Jobs
  - 1.1.4 Mass Maintenance of User Assignments
  - 1.1.5 Introduction New Reports and Dashboards Based on SAP Fiori Tiles
- 1.2 Architecture and Landscape
- 1.3 Regulatory Requirements, Supported Systems, and Integrations
  - 1.3.1 Regulatory Requirements and SAP Process Control
  - 1.3.2 Business Benefit of SAP Process Control
  - 1.3.3 Supported Systems
  - 1.3.4 Integrations
- 1.4 Enterprise Risk and Internal Control Management
- 1.5 Enterprise Risk and Compliance Management
  - 1.5.1 First Line of Defense
  - 1.5.2 Second Line of Defense
  - 1.5.3 Third Line of Defense
- 1.6 Summary
2 Governance
- 2.1 Strengthen Internal Controls
  - 2.1.1 People
  - 2.1.2 Processes
  - 2.1.3 Technology
- 2.2 Manage Internal Controls
- 2.3 Integration Approach
  - 2.3.1 SAP GRC Solutions
  - 2.3.2 Third-Party Solutions
- 2.4 Summary
3 Prerequisites
- 3.1 Check License Agreements
  - 3.1.1 Creating the SAP GRC System in the SAP for Me Portal
  - 3.1.2 Generating and Applying the SAP GRC License
- 3.2 System Sizing
  - 3.2.1 Initial Sizing
  - 3.2.2 Expert Sizing
  - 3.2.3 Customer-Specific Sizing
- 3.3 Component and Plug-In Requirements
  - 3.3.1 SAP Process Control Component
  - 3.3.2 SAP GRC Plug-Ins
- 3.4 Summary
4 Basic Configuration
- 4.1 Initial Configuration
  - 4.1.1 Activate the Application in the Client
  - 4.1.2 Activate the BC Sets
  - 4.1.3 Activate Transaction SICF Services
  - 4.1.4 Second-Level Authorizations: Maintain Authorization Customization
- 4.2 Workflow Configuration
  - 4.2.1 Task-Specific Customizing
  - 4.2.2 Entity Role Assignment
  - 4.2.3 Custom Agent Determination
  - 4.2.4 Fallback Users
- 4.3 Shared Master Data Settings
  - 4.3.1 Create a Root Organization Hierarchy
  - 4.3.2 Activate the Workflow for Master Data Changes
  - 4.3.3 Maintain the Ability to Add Locally Defined Controls
- 4.4 Integration Framework
  - 4.4.1 Create Connectors
  - 4.4.2 Maintain Connectors and Connection Types
  - 4.4.3 Maintain Connection Settings
- 4.5 Multiple Compliance Framework
  - 4.5.1 Define Subtypes for Regulation-Specific Attributes
  - 4.5.2 Configure Compliance Initiatives
  - 4.5.3 Relate Regulation to Plan Usage
- 4.6 Other Configurations
  - 4.6.1 Maintain Master Data Attribute Values
  - 4.6.2 Check Customizing for Case Management
- 4.7 Introduction to Work Centers for SAP Process Control
  - 4.7.1 My Home
  - 4.7.2 Master Data
  - 4.7.3 Rule Setup
  - 4.7.4 Assessments
  - 4.7.5 Access Management
  - 4.7.6 Reports and Analytics
- 4.8 Summary
5 Master Data Management
- 5.1 Introduction to Master Data
  - 5.1.1 Overview of Key Master Data Elements
  - 5.1.2 Relationship between Master Data Attributes
- 5.2 Business Process Hierarchies
  - 5.2.1 Business Process
  - 5.2.2 Subprocess
  - 5.2.3 Control
- 5.3 Organization Hierarchies
  - 5.3.1 Creation of an Organization
  - 5.3.2 Control Localization
  - 5.3.3 Add a Control Directly under the Local Subprocess
- 5.4 Users and Roles
  - 5.4.1 User Assignment
  - 5.4.2 Replacing Users
  - 5.4.3 Removing Users
  - 5.4.4 Maintaining User Assignments from the Access Management Work Center
  - 5.4.5 Central Delegation
- 5.5 Working with Indirect Entity-Level Controls
  - 5.5.1 Indirect Entity-Level Control Group
  - 5.5.2 Indirect Entity-Level Control
  - 5.5.3 Localization of Indirect Entity-Level Controls
- 5.6 Approval Workflow for Master Data Changes
  - 5.6.1 Request Change
  - 5.6.2 Approve Change
  - 5.6.3 Implement Change
  - 5.6.4 Review Change
- 5.7 Uploading Master Data Using the Master Data Upload Generator
- 5.8 Summary
6 Control Evaluation
- 6.1 Introduction to Control Evaluation
- 6.2 Control Design Assessment
  - 6.2.1 Define Survey Library
  - 6.2.2 Scheduling Controls Using the Planner
  - 6.2.3 Workflow Structure
  - 6.2.4 Assessment and Issue Remediation Process
- 6.3 Control Self-Assessment
  - 6.3.1 Define Survey Library
  - 6.3.2 Scheduling Controls Using the Planner
  - 6.3.3 Workflow Structure
  - 6.3.4 Assessment and Issue Remediation Process
- 6.4 Manual Control Performance
  - 6.4.1 Define Performance Plans
  - 6.4.2 Scheduling Controls Using the Planner
  - 6.4.3 Workflow Structure
  - 6.4.4 Control Performance Process
  - 6.4.5 Mass Maintenance of Performance Plans
- 6.5 Manual Test of Effectiveness
  - 6.5.1 Define Manual Test Plans
  - 6.5.2 Map Test Plans to Controls
  - 6.5.3 Schedule Manual Controls Using the Planner
  - 6.5.4 Workflow Structure
  - 6.5.5 Control Testing and Issue Remediation Process
  - 6.5.6 Usage of Control Performance Results
- 6.6 Reporting
- 6.7 Summary
7 Ad Hoc Issue Management
- 7.1 Configuration
  - 7.1.1 Enable Ad Hoc Issues by Object Type
  - 7.1.2 Maintain Ad Hoc Issue Sources
- 7.2 Issue Remediation Process
  - 7.2.1 Stages
  - 7.2.2 Reporting Ad Hoc Issues
  - 7.2.3 Issue Remediation
  - 7.2.4 Implementation of Remediation Plan
  - 7.2.5 Close Issue
- 7.3 Reporting
- 7.4 Summary
8 Continuous Control Monitoring
- 8.1 Introduction to Continuous Control Monitoring
- 8.2 Data Sources
  - 8.2.1 Usage of Configurable Subscenarios
  - 8.2.2 Usage of Other Key Subscenarios
- 8.3 Business Rules
  - 8.3.1 Configuration of Business Rules
  - 8.3.2 Customized Date Filters and Runtime Determination Rules
  - 8.3.3 BRFplus Condition and Calculations in a Business Rule
- 8.4 Perform Control Business Rule Assignment
- 8.5 Create an Automated Monitoring Job
  - 8.5.1 Automated Monitoring Job
  - 8.5.2 Standalone Job
- 8.6 Transport Procedure
  - 8.6.1 Preparation Activities in the Original System for Transport
  - 8.6.2 Activities in the Target System after Transport
  - 8.6.3 Transport of BRFplus Business Rule Data
- 8.7 Export and Import Functionality
  - 8.7.1 Export Data Sources and Business Rules Configuration
  - 8.7.2 Import Data Sources and Business Rules Configuration
- 8.8 Usage of the SAP HANA Subscenario
  - 8.8.1 Configuration of Calculation Views in SAP HANA
  - 8.8.2 Establishing RFC Connectors
  - 8.8.3 Creation of a Data Source in SAP Process Control
- 8.9 Reporting
  - 8.9.1 Job Monitor
  - 8.9.2 Monitoring Issue Status
  - 8.9.3 Monitoring Remediation Status
- 8.10 Summary
9 Additional Features in SAP Process Control
- 9.1 Policy Lifecycle Management
  - 9.1.1 Configuration of Policy
  - 9.1.2 Policy Review/Approve Workflow
  - 9.1.3 Policy Distribution Methods
- 9.2 Disclosure Surveys
  - 9.2.1 Types of Disclosure Surveys
  - 9.2.2 Schedule Disclosure Survey Using the Planner
  - 9.2.3 Workflow Structure
  - 9.2.4 Respond to Disclosure Survey and Ad Hoc Issue Remediation
- 9.3 Sign-Off Functionality
  - 9.3.1 Sign-Off Process Overview and Prerequisites
  - 9.3.2 Roles and Workflow
  - 9.3.3 Scheduling Using the Planner
  - 9.3.4 Perform Sign-Off
  - 9.3.5 Post Sign-Off: Master Data Freeze
  - 9.3.6 Monitor Sign-Off Report
- 9.4 Summary
10 Reporting
- 10.1 Reports by Work Centers
  - 10.1.1 Key Reports under Master Data
  - 10.1.2 Key Reports under Rule Setup
  - 10.1.3 Key Reports under Assessments
  - 10.1.4 Key Reports under Reports and Analytics
- 10.2 Personalization and Configuration
  - 10.2.1 Personalize Columns
  - 10.2.2 Personalize Organization Filters
- 10.3 Interpretation of Report Results
  - 10.3.1 Report Interpretation with Time Frame Filters
  - 10.3.2 Report Interpretation with Regulation Filters
- 10.4 Summary
11 SAP Fiori for SAP Process Control
- 11.1 SAP Fiori Apps for SAP Process Control
  - 11.1.1 SAP Fiori Architecture
  - 11.1.2 Terminology
- 11.2 SAP Fiori Configuration
  - 11.2.1 Prerequisites
  - 11.2.2 Activating SAP Gateway
  - 11.2.3 Activating Internet Communication Framework Services
  - 11.2.4 Maintain OData Services
  - 11.2.5 Set Up Remote Function Call Connections
  - 11.2.6 Mapping Remote Function Call Connections to the System Alias
  - 11.2.7 Replicate the SAP Fiori Catalog
- 11.3 Working with SAP Fiori Apps
  - 11.3.1 Creating Custom Catalogs
  - 11.3.2 Create a Custom Group
- 11.4 Mapping Custom Catalogs, Groups, and Space IDs to Transaction PFCG Roles
  - 11.4.1 Adding Catalogs to Transaction PFCG Roles
  - 11.4.2 Adding Groups to Transaction PFCG Roles
  - 11.4.3 Mapping Space IDs
- 11.5 Summary
12 SAP Financial Compliance Management
- 12.1 Overview
- 12.2 Master Data Elements
  - 12.2.1 Controls
  - 12.2.2 Organizations
  - 12.2.3 Process
  - 12.2.4 Regulations
  - 12.2.5 Master Data Dashboards
- 12.3 Control Evaluation Procedures
  - 12.3.1 Procedures
  - 12.3.2 Work Packages
  - 12.3.3 Perform Manual Procedures
  - 12.3.4 Process Issues/Found Items
  - 12.3.5 Evaluation Dashboards
- 12.4 Summary
The Authors
Index

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SAP Process Control - The Comprehensive Guide

Name: SAP Process Control - The Comprehensive Guide
Brand: SAP
SKU: BOOK-SAPPRESS-EBOOK-2024-9781493225118
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