SAP Process Control has a robust planner function. The Planner is a tool that allows organizations to create and manage their compliance activities. It provides visibility across the organization, enabling users to monitor and analyze their progress and performance.
Furthermore, the Planner app integrates with other SAP Process Control modules and functionalities, such as Risk Management and Access Management, allowing organizations to have a holistic view of their compliance activities and ensure alignment with their overall risk management strategy.
In the following demo you will explore the planner app in SAP Process Control.
Types of Workflows
There are three types of workflows in SAP Process Control:
- 1. Planner-Based Workflows
- These workflows are usually associated with a schedule or frequency set up by a user using the Planner application. The Planner dictates when certain actions or processes run based on the defined parameters like timeframes, rules, or tasks. It arranges for tasks such as assessments, surveys, tests, and controls to be triggered at predetermined intervals. Planner-based workflows are commonly used in scenarios that require regular, repeatable actions. Following planes based workflows are usable in SAP Process Control
- Perform Control Design Assessment (optionally with Survey).
- Test Control of Effectiveness.
- Perform Self Assessment (optionally with Survey).
- Perform Policy (Acknowledgement; Survey; Quiz) – Decision about ADS required.
- Perform Risk Assessment for Financial Scoping.
- Perform Manual Control Performance (optionally with Survey).
- Perform Subprocess Design Assessment (optionally with Survey).
- Perform Disclosure Survey (Org; Subprocess; Control) (optionally with Survey).
- Perform Indirect Entity Level Control Assessment ; Effectiveness (optionally with Survey).
- Perform Sign-Off (optionally with Survey).
- Aggregation of Deficiencies.
One specific example: Test Control of Effectiveness
The "Test Control of Effectiveness" is a common planner-based workflow in SAP Process Control. Ian schedules the "Test Control of Effectiveness" workflow to initiate every 6 months. The process is as follows:
- When initiated, the workflow begins the testing process, which may involve the automatic distribution of tasks to relevant personnel or teams across different departments within CRG International Inc. These individuals are responsible for performing tests on their applicable controls and documenting their observations, outcomes, or any highlighted discrepancies.
- Once testing is complete, the workflow directs the results to Ian for review and approval. If the results indicate that any of the controls are not operating as expected, Ian can flag these areas for management to address and take corrective action.
- After the results review, the workflow might initiate subsequent tasks, such as the updating of control statuses within the system or the generation of a control effectiveness report. This report can be shared with stakeholders to provide a clear insight into the control environment of the company.
- Upon completion, the workflow resets and lays inactive until the next semi-annual cycle when the process begins anew.
By employing this planner-based workflow, Ian ensures a systematic and consistent evaluation of controls within CRG International Inc., helping maintain an effective internal controls environment and compliance with internal policies and external regulations.
- 2.Event-Based Workflows
These workflows are triggered by specific events occurring within the system rather than being tied to a pre-set schedule. An event could be a data change, a system status update, or the completion of another task. Once the specified event occurs, the workflow is initiated. Event-driven workflows are generally used for non-routine, unpredictable tasks that rely on specific system events or changes:
- Master Data Workflows (Notification / Approval).
- Issue and Remediation Workflows.
- Repeat Evaluation Workflow.
Example
In an organization like CRG International Inc, a change to certain master data might trigger an event-based workflow. Let's say, for example, a new employee named John has been hired, and his details are being added to the system. Here's how the event-based workflow might play out:
- An HR executive at CRG International Inc. enters John's details into the system, creating a new record in the master data. This change in the system, which is the entering of new data, constitutes an event.
- The system recognizes this event, and it triggers the event-based workflow.
- The workflow first sends an automatic notification to the internal control manager, Ian Robb, to review and approve the update to the master data to ensure its accuracy.
- Upon Ian's approval, the workflow triggers another event to update John's details into other relevant systems within the organization, such as adding him to the payroll system or assigning him specific rights in the SAP Process Control system depending on his role.
- John's induction process might also trigger other event-based workflows like assigning him an orientation training, setting up his email id, etc.
So in this case, the event-based workflow efficiently manages the tasks that need to be carried out when adding a new employee to the system, ensuring all crucial updates are made, and necessary notifications are sent
- 3. Scheduler-Based Workflows
These workflows are typically automated and run based on a scheduler within the system. They differ from Planner-based workflows in that they are typically system-driven and less reliant on user input. Scheduler-based workflows might be applied to regular system maintenance tasks, report generation, or automatically updating and syncing data at fixed intervals.
Automated Monitoring
Example
CRG International Inc. utilizes SAP Process Control to automate the monitoring of their internal control systems. This includes regular checks on financial transactions, risk assessments, and compliance with regulatory requirements. By setting up automated monitoring workflows, CRG International Inc. can ensure that all necessary checks and controls are performed on a regular basis without the need for manual intervention. This not only saves time and effort but also reduces the risk of human error in the monitoring process.