PC101 Master Guide Final

7/30/2019 PC101 Master Guide Final

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Document History

CAUTION

Before you start the implementation, make sure you have the latest version of this document.

You can find the latest version at the following location: http://help.sap.com/grc → Solutions

for Governance, Risk, and Compliance→ Process Control→ SAP Process Control 10.1.

The following table provides an overview of the most important document changes.

Version Date Description

1.0 2013-06-04 Initial release

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http://help.sap.com/grc



Table of Contents

Chapter 1 Getting Started . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

1.1 About this Document . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

1.2 Related Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

1.2.1 Planning Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

1.2.2 Further Useful Links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

1.2.3 Related Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

1.3 Important SAP Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Chapter 2 SAP Process Control Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

2.1 Software Component Matrix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

2.2 System Landscape . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

2.3 Overall Implementation Sequence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Chapter 3 Business Scenario of SAP Process Control . . . . . . . . . . . . . . . . . . . . . . . . . 13

3.1 Risk-Based Process Controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Chapter 4 Application Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Chapter A Reference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

A.1 The Main SAP Documentation Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

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1 Getting Started

SAP Process Control 10.1 is an enterprise software solution for process control management. Process

Control is a customizable software solution that is delivered as an add-on and is based on SAP NetWeaver

7.40 (min. SP02).

Process Control enables organizations to:

■ Document their control environments

■ Test and assess controls

■ Track issues for remediation

■ Certify and report on the state and quality of process controls

■ Manage policies

■ Perform continuous monitoring of controls using a combination of data forms, automated

workflows, certification, and interactive reports

Using a combination of data forms, automated workflows, certification, and interactive reports, this

solution enables members of internal control, audit, and business process teams to effectively manage

compliance activities.

This application features ERP integration and automated control testing and monitoring, which mayhelp to reduce audit cycles and cost of compliance, as well as to provide a higher degree of reliability

and integrity in financial statements.

1.1 About this Document

This Master Guide is the central starting point for the technical implementation of this application.

You can find cross-scenario implementation information as well as scenario-specific information in

this guide. Use the Master Guide to obtain an overview of an application, its software components, andits scenarios from a technical perspective.

The Master Guide consists of the following main sections:

■ Getting Started

This section provides information about using this document, and suggests further documentation

and related information (SAP Notes) crucial to the installation and add-on.

■ Process Control Overview

This section provides information about the technical system landscape, software components,

and implementation steps.

■ Process Control Business Scenario

1 Getting Started

1.1 About this Document

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Content Location on SAP Service Marketplace

High Availability http://service.sap.com/ha

Performance http://service.sap.com/performance

Information about Support Package Stacks, latestsoftware versions, and patch level requirementshttp://service.sap.com/sp-stacks

Information about Unicode technology http://service.sap.com/unicode@sap

1.2.2 Further Useful Links

The following table lists other useful links on the SAP Service Marketplace:

Content Location on SAP Service Marketplace

SAP Software Download Center (software download

and ordering software)Information about creating error messages

http://service.sap.com/swdc

SAP Message Wizard

Information about creating error messages

http://service.sap.com/mesage

SAP Notes search http://service.sap.com/notes

SAP Online Knowledge Products (OKPs) role-specific

Learning Maps

http://service.sap.com/rkt

SAP Release Notes http://help.sap.com/pc

1.2.3 Related Documentation

SAP Process Control 10.1, SAP Risk Management 10.1, and SAP Access Control 10.1 have a shared install

instance and share some of the same documentation.

Documentation Location

SAP Access Control, Process Control and Risk Management Installation Guide http://help.sap.com/grc

SAP Access Control, Process Control and Risk Management Security Guide http://help.sap.com/grc

SAP Access Control, Process Control and Risk Management Operations Guide http://help.sap.com/grc

For Process Control upgrade documentation see the Installation and Upgrade Information section athttp://

help.sap.com/pc.

For Process Control Application Help see SAP Help Portal at http://help.sap.com/pc.

For an explanation of the different documentation types, see the Main SAP Documentation Types section.

1.3 Important SAP Notes

You must read the f ollowing SAP Notes before you start the installation or add-on upgrade. These SAP

Notes contain the most recent information on the installation of and add-on upgrades for SAP Process

Control, as well as corrections to the installation and upgrade documentation.

1 Getting Started

1.3 Important SAP Notes

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http://service.sap.com/rkt

http://service.sap.com/notes

http://service.sap.com/mesage

http://service.sap.com/swdc

http://service.sap.com/unicode@sap

http://service.sap.com/sp-stacks

http://service.sap.com/performance

http://service.sap.com/ha



Figure 1:

Three-Tier System Landscape Installation

RECOMMENDATION

As a best practice, we recommend implementing SAP GRC applications in three phases, with

separate systems for each:

■ Development

■ Testing

■ Production

For more information about three-tier landscapes, see the SAP NetWeaver Master Guide, located at

http://service.sap.com/instguides

CAUTION

We strongly recommend that you use a minimal system landscape for test and demo purposes

only. For performance, scalability, high availability, and security reasons, do not use a minimal

system landscape as your production landscape.

2.3 Overall Implementation Sequence

The table below describes the overall installation sequence for the Process Control application. For

specific installation instructions, see the related installation documentation for each component. For

the latest component version and patch level requirements, see the Important SAP Notes section in this

Master Guide.

2 SAP Process Control Overview


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NOTE

For more information, see the Product Availability Matrix posted on the SAP Service Marketplace

at http://service.sap.com/pam.

Process

StepRequired/ Optional Action Comments

1. Required Install SAP NetWeaver 7.40 (min. SP02). http://service.sap.com

2. Optional Install SAP NetWeaver Enterprise Portal

7.02 (min. SP06)

See http://service.sap.com/instguides.

3. Required Install SAP Process Control 10.1 See http://help.sap.com/pc.

4. Optional Install SAP NetWeaver Search and

Classification TREX 7.10.35.00 (min.

revision 50)

See http://service.sap.com/instguides

5. Optional Install SAP NetWeaver Business

Warehouse Accelerator 7.20

For more information, see http://

service.sap.com/instguides → SAP

NetWeaver → SAP NetWeaver Business

Warehouse Accelerator → BWA 7.20 Installation

Guide

6. Optional Install SAP Process Control 10.1 Plug-in

(RTA)

For more information, see SAP Note

1855404– GRCPINW V1100 Installation and

Upgrade, and SAP Note 1855405 –

GRCPIERP V1100 Installation and

Upgrade.

7. Optional Install SAP NetWeaver BW Content foranalytics and reporting

For more information, see SAP NetWeaverBusiness Warehouse in the SAP Help

Library: http://help.sap.com.

2 SAP Process Control Overview


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http://help.sap.com/

http://service.sap.com/~form/handler?_APP=01100107900000000342&_EVENT=REDIR&_NNUM=1855405&_NLANG=en&_NVERS=0







http://service.sap.com/

http://service.sap.com/pam



3 Business Scenario of SAP ProcessControl

A business scenario is a set of business processes performed within or across an organization to complete

a business function. For this application, there is only one business scenario: Risk-Based Process

Controls.

3.1 Risk-Based Process Controls

You can use this scenario to implement various compliance initiatives managed within your company.

Each compliance initiative follows one or more of the following business processes:

■ Document Compliance Initiative

Define the compliance structure for your compliance initiative, including all relevant

organizations, processes, risks, and controls.

■ Plan

Determine and establish your assessment and test strategy.

■ Perform Assessments and Tests

Monitor your state of compliance through the execution of assessments of various aspects of your

internal controls environment and through the automated monitoring and manual testing of

controls.

■ Remediate Issues

Resolve identified issues to bring your state of checks and balances back into order.

■ Certify Results

Obtain approval the organization to certify that all planned assessments and tests have been

performed and that all identified issues are known or remediated.

For more information about the Risk-Based Process Controls business scenario, see the documentation

in SAP Solution Manager.

For more information about SAP Solution Manager, see http://service.sap.com/

solutionmanager.

3 Business Scenario of SAP Process Control

3.1 Risk-Based Process Controls

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4 Application Documentation

SAP Process Control provides the following documentation including this guide at http://

help.sap.com/pc:

■ SAP Process Control Master Guide

■ SAP Access Control 10.1 / Process Control 10.1 / Risk Management 10.1 Installation Guide

■ SAP Access Control 10.1 / Process Control 10.1 / Risk Management 10.1 Operations Guide

■ SAP Access Control 10.1 / Process Control 10.1 / Risk Management 10.1 Security Guide

■ SAP Process Control 10.0–10.1 Upgrade Guide

■ SAP Process Control 3.0–10.1 Upgrade Guide

■ SAP Process Control 10.1 Application Help

4 Application Documentation

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A Reference

A.1 The Main SAP Documentation Types

The following is an overview of the most important documentation types that you need in the various

phases in the life cycle of SAP software.

Cross-Phase Documentation

SAPterm is SAP’s terminology database. It contains SAP-specific vocabulary in over 30 languages, as

well as many glossary entries in English and German.

■ Target group:

● Relevant for all target groups

■ Current version:

● On SAP Help Portal at http://help.sap.com Glossary

● In the SAP system in transaction STERM

SAP Library is a collection of documentation for SAP software covering functions and processes.

■ Target group:

● Consultants

● System administrators

● Project teams for implementations or upgrades


● On SAP Help Portal at http://help.sap.com (also available as documentation DVD)

The security guide describes the settings for a medium security level and offers suggestions for raising

security levels. A collective security guide is available for SAP NetWeaver. This document contains

general guidelines and suggestions. SAP applications have a security guide of their own.

■ Target group:


● Technology consultants

● Solution consultants


● On SAP Service Marketplace at http://service.sap.com/securityguide

Implementation

The master guide is the starting point for implementing an SAP solution. It lists the required installable

units for each business or IT scenario. It provides scenario-specific descriptions of preparation,

A Reference


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execution, and follow-up of an implementation. It also provides references to other documents, such

as installation guides, the technical infrastructure guide and SAP Notes.

■ Target group:


● Project teams for implementations


● On SAP Service Marketplace at http://service.sap.com/instguides

The installation guide describes the technical implementation of an installable unit, taking into

account the combinations of operating systems and databases. It does not describe any business-related

configuration.

■ Target group:





Configuration Documentation in SAP Solution Manager – SAP Solution Manager is a life-cycle

platform. One of its main functions is the configuration of business scenarios, business processes, and

implementable steps. It contains Customizing activities, transactions, and so on, as well as

documentation.

■ Target group:





● In SAP Solution Manager

The Implementation Guide (IMG) is a tool for configuring (Customizing) a single SAP system. The

Customizing activities and their documentation are structured from a functional perspective. (In order

to configure a whole system landscape from a process-oriented perspective, SAP Solution Manager,

which refers to the relevant Customizing activities in the individual SAP systems, is used.)

■ Target group:


● Project teams for implementations or upgrades


● In the SAP menu of the SAP system under Tools Customizing IMG

Production Operation

The technical operations manual is the starting point for operating a system that runs on SAP

NetWeaver, and precedes the application operations guides of SAP Business Suite. The manual refers

A Reference


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users to the tools and documentation that are needed to carry out various tasks, such as monitoring,

backup/ restore, master data maintenance, transports, and tests.

■ Target group:




The application operations guide is used for operating an SAP application once all tasks in the

technical operations manual have been completed. It refers users to the tools and documentation that

are needed to carry out the various operations-related tasks.

■ Target group:






Upgrade

The upgrade master guide is the starting point for upgrading the business scenarios and processes of

an SAP solution. It provides scenario-specific descriptions of preparation, execution, and follow-up of

an upgrade. It also refers to other documents, such as upgrade guides and SAP Notes.

■

Target group:● Technology consultants

● Project teams for upgrades



The upgrade guide describes the technical upgrade of an installable unit, taking into account the

combinations of operating systems and databases. It does not describe any business-related

configuration.

■ Target group:





Release notes are documents that contain short descriptions of new features in a particular release or

changes to existing features since the previous release. Release notes about ABAP developments are the

technical prerequisite for generating delta and upgrade Customizing in the Implementation Guide

(IMG).

■ Target group:

A Reference


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● Consultants



● On SAP Service Marketplace at http://service.sap.com/releasenotes

● In the SAP menu of the SAP system under Help Release Notes (only ABAP developments)

A Reference


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Typographic Conventions

Example Description

<Example> Angle brackets indicate that you replace these words or characters with appropriate

entries to make entries in the system, for example, “Enter your <User Name>”.

Example

Example

Arrows separating the parts of a navigation path, for example, menu options

Example Emphasized words or expressions

Example Words or characters that you enter in the system exactly as they appear in the

documentationhttp://www.sap.com Textual cross-references to an internet address

/example Quicklinks added to the internet address of a homepage to enable quick access to specific

content on the Web

123456 Hyperlink to an SAP Note, for example, SAP Note 123456

Example ■ Words or characters quoted from the screen. These include field labels, screen titles,

pushbutton labels, menu names, and menu options.

■ Cross-references to other documentation or published works

Example ■ Output on the screen following a user action, for example, messages

■ Source code or syntax quoted directly from a program

■ File and directory names and their paths, names of variables and parameters, andnames of installation, upgrade, and database tools

EXAMPLE Technical names of system objects. These include report names, program names,

transaction codes, database table names, and key concepts of a programming language

when they are surrounded by body text, for example, SELECT and INCLUDE

EXAMPLE Keys on the keyboard

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PC101 Master Guide Final

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