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GRC PC 10.0: How to scedule manual control activity?

Former Member
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Hello everybody,

We are testing the GRC Process Control 10.0 and we have a problem with the manual control activities.

We know the planner function for sceduling the assessment (so this is the testing of the controls) and also the job sceduler for sceduling control activities of semi-automated and automated controls.

But we need a scedule function for manual control activities? More or less a periodic reminder for the control owner that he has to do a control activity.

In the job sceduler (for semi- and automated controls) we could see a difference between "automated monitoring" in spaced periods and the "automated testing" once a year. But the job sceduler is impossible to use for manual controls.

We have tried a workaround with a recurring self assessment, but we couldn`t blend out the rating part. So the control owner has to rate several times the same control in a year. So the reporting for it will not very presentable.

Has anybody an idea how to remind control owners periodically, that they have to do a control activity and attach the documentation of it at the control?

Thank you very much

Regards Timo

Accepted Solutions (0)

Answers (5)

Answers (5)

Former Member
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Hi gurus,

I am just starting using Process Control. I have schedule the test of a manual control and I can schedule it without problems, I have configured the Workflows table correctly but after launching it the tester is not receiving the manual test. I just opened the Planner Monitor and in the status I got an error. Attached you can see the message. Do you have any idea of how to solve it?

Thanks,

Kind regards,

Former Member
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Hi Timo,

As I couldn't find any way to do what you're thinking, I worked with these solutions:

1. Creating a Z table and an SAP Query on you GRC system. Creating a data source which makes an auto call to the GRC system, then your business rule will call it an you can put some data to force an issue remediation when you run the job.

2. Instead of a SAP Query, you can develop an ABAP report on your ECC system and using it from your GRC System, as this kind of data source always needs a review you will the functionality that you need.

Former Member
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@Paul: This is an interesting answer. GRC PC is just for the monitoring part of the internal control process? And for the control execution should I use another program?

Official homepage of SAP:

Gain real-time visibility into all compliance and internal control activities.

For everybody who is interessted that this function will be implemented into SAP GRC Process Control, follow and evaluate my idea on SAP ideaplace:

https://cw.sdn.sap.com/cw/ideas/11780

Regards Timo

Former Member
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Yes, GRC Process Control is for monitoring and testing the effectiveness of a control.  It does not control the business process itself.  There is another SAP product, Business Process Management (BPM), which is part of NetWeaver, that actually manages the process and activates the workflow to trigger process steps or controls.  There is material on it available in Service Marketplace. 

Former Member
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From the training material:

Only certain plan usages support recurring functionality and when you


select that usage, you will receive a question asking if you are planning a


recurring plan. If you select Yes, you will be prompted to fill in the fields


that are open and indicated by an asterisk.

It appears that this is only available for policy related surveys and acknowledgements. 

For TCE and other assessments, the only way to plan recurring activity is to use the Copy function on the Planner, providing updated Start and Due dates for each recurring copy.  This is not efficient.  This is a good idea to add to IdeaPlace, because many customers have asked for a recurring plan. 

Former Member
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Hi Paul,

this isn't correct. There is a possibility to recur a planner function, but not in the standard of SAP. Go to Customizing-> Gov. Risk and Compl.-> Common Components Settings-> Define Plan Usage

In this part you choose process control and the planner function that you need. In the back there is a column which is called "Recurring". If you mark it with an asterisk, your planner function has the possibilty to recur.

But this is not the solution of my problem. There are just a self assessment, design test, effectivness testing...but there is no "control activity"

We need a planner function whithout a rating part (self assessment and design test have a rating part which I could rate the control), because we want just to remember the Control Owner to do a manual control activity.

For example: "Please check the expiration date of the fire extinguisher."

This is a control which is impossible to automate through the system. But you have to do it once a year and we need the documentation of the control activity in our GRC System for the auditor!!!

Have you or anybody else any idea to do this?

former_member205878
Contributor
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Hi Timo,

If its required to set up a notification (reminder) before the planned task expires or escalation after the task has expired and send the same to the responsible person., you can check the same through -

SPRO->General Settings->Workflow->Workflow E-mail Notifications-> Maintain Workflow for Reminders and Escalations.

Select "Process Remediation Plan" and click over it again.

Regards,

Silky

Former Member
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Hi Silky,

absolutely correct. If you have already planned something, there is the possibility to remind a control owner or to escalate it.

However this function is just possible for:

  • semi-automated and automated controls in my inbox from the rule setup
  • planner functions from assessments like self assessment, design test, effectivness test, sign of, etc.....

But, if I have a manual control, how can I be sure that my control owner do it in recurring periods?

How can we get the documentation of it into the system?

My idea: A planner function for manual controls or the possibility to use the job sceduler for it...but from my place both does not excist.

From my practical expirience: More than 50% of the controls from our customers are manual controls. There is no possibility to document the control activity into the GRC PC 10.0. So they do it with excel or word and upload the documentation to the attachments of the controls into the system.

Do you think this is effective? I don't! And our customers too.

The second workaround is to use the self assessment for it. But there is the rating part which we couldn't blind out. So the control owner has to rate every month the same control.

For example: "Do you check the expiration date of the fire extinguisher." YES/NO

And after that he has to rate the control as adequate, deficient or significantly deficient...

Do you think this is useful? I don't. And our customers too.

So I need definetely a better solution than that.

Could you help us?

Thanks

Former Member
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The name "Process Control" is somewhat a misnomer.  PC monitors the effectiveness of the internal controls of processes and compliance with policies and regulations, but it does not actually control the processes.  PC plans and schedules assessments and testing activity to ensure that the internal control is functioning as designed, and for that it sends workflow, reminders, and escalations for the testing and monitoring activity.  It does not send workflow to remind someday to perform a control activity.  There are other tools, BPM for example, that do that. 

former_member205878
Contributor
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Hi Timo,

I understand your point .

But the manual controls and manual test plans are made in this manner only.

The test plan contains steps and test with pass/fail rating .

If you plan test of effectivenss and set reminder for that then the ratings need to be specified.

Regards,

Silky Sharma

Former Member
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Hello Everybody,

I had the same needs as Timo.

Has anybody an idea ?

Thanks for reply

Former Member
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I have an idea...

I put it on idea place. If youl still like it, please vote for it.

https://cw.sdn.sap.com/cw/ideas/11780

Regards Timo