SAP SOLUTIONS FOR GOVERNANCE,RISK, AND COMPLIANCE

How-To Guide

How to Configure and Trouble ShootWorkflow for Process Control 2.5

SAP GRC Regional Implementation Group

Applicable Releases:

SAP GRC Process Control 2.5

IT Practice / Topic Area:GRCGRC / Process Control

IT Scenario / Capability:GRC / Process Control

September 2008

© Copyright 2008 SAP AG. All rights reserved.

No part of this publication may be reproduced or

transmitted in any form or for any purpose without the

express permission of SAP AG. The information containedherein may be changed without prior notice.

Some software products marketed by SAP AG and its

distributors contain proprietary software components of

other software vendors.

Microsoft, Windows, Outlook, and PowerPoint are

registered trademarks of Microsoft Corporation.

IBM, DB2, DB2 Universal Database, OS/2, Parallel

Sysplex, MVS/ESA, AIX, S/390, AS/400, OS/390,OS/400, iSeries, pSeries, xSeries, zSeries, z/OS, AFP,

Intelligent Miner, WebSphere, Netfinity, Tivoli, Informix,

i5/OS, POWER, POWER5, OpenPower and PowerPC are

trademarks or registered trademarks of IBM Corporation.

Adobe, the Adobe logo, Acrobat, PostScript, and Reader

are either trademarks or registered trademarks of Adobe

Systems Incorporated in the United States and/or other

countries.

Oracle is a registered trademark of Oracle Corporation.

UNIX, X/Open, OSF/1, and Motif are registered

trademarks of the Open Group.

Citrix, ICA, Program Neighborhood, MetaFrame,WinFrame, VideoFrame, and MultiWin are trademarks or

registered trademarks of Citrix Systems, Inc.

HTML, XML, XHTML and W3C are trademarks or

registered trademarks of W3C®, World Wide WebConsortium, Massachusetts Institute of Technology.

Java is a registered trademark of Sun Microsystems, Inc.

JavaScript is a registered trademark of Sun Microsystems,

Inc., used under license for technology invented andimplemented by Netscape.

MaxDB is a trademark of MySQL AB, Sweden.

SAP, R/3, mySAP, mySAP.com, xApps, xApp, SAP

NetWeaver, and other SAP products and servicesmentioned herein as well as their respective logos are

trademarks or registered trademarks of SAP AG in

Germany and in several other countries all over the world.

All other product and service names mentioned are thetrademarks of their respective companies. Data contained

in this document serves informational purposes only.

National product specifications may vary.

These materials are subject to change without notice.

These materials are provided by SAP AG and its affiliated

companies ("SAP Group") for informational purposes only,

without representation or warranty of any kind, and SAPGroup shall not be liable for errors or omissions with

respect to the materials. The only warranties for SAP

Group products and services are those that are set forth in

the express warranty statements accompanying suchproducts and services, if any. Nothing herein should be

construed as constituting an additional warranty.

These materials are provided “as is” without a warranty of

any kind, either express or implied, including but notlimited to, the implied warranties of merchantability,

fitness for a particular purpose, or non-infringement.

SAP shall not be liable for damages of any kind including

without limitation direct, special, indirect, or consequentialdamages that may result from the use of these materials.

SAP does not warrant the accuracy or completeness of the

information, text, graphics, links or other items contained

within these materials. SAP has no control over theinformation that you may access through the use of hot

links contained in these materials and does not endorse

your use of third party web pages nor provide any warranty

whatsoever relating to third party web pages.

SAP NetWeaver “How-to” Guides are intended to simplify

the product implementation. While specific product

features and procedures typically are explained in a

practical business context, it is not implied that thosefeatures and procedures are the only approach in solving a

specific business problem using SAP NetWeaver. Should

you wish to receive additional information, clarification or

support, please refer to SAP Consulting.

Any software coding and/or code lines / strings (“Code”)

included in this documentation are only examples and are

not intended to be used in a productive system

environment. The Code is only intended better explain andvisualize the syntax and phrasing rules of certain coding.

SAP does not warrant the correctness and completeness of

the Code given herein, and SAP shall not be liable for

errors or damages caused by the usage of the Code, exceptif such damages were caused by SAP intentionally or

grossly negligent.

Disclaimer

Some components of this product are based on Java™. Anycode change in these components may cause unpredictable

and severe malfunctions and is therefore expressively

prohibited, as is any decompilation of these components.

Any Java™ Source Code delivered with this product is onlyto be used by SAP’s Support Services and may not be

modified or altered in any way.

Document HistoryDocument Version Description

1.10 Update to use the template

1.00 Document created

Typographic ConventionsType Style Description

Example Text Words or characters quotedfrom the screen. Theseinclude field names, screentitles, pushbuttons labels,menu names, menu paths,and menu options.

Cross-references to otherdocumentation

Example text Emphasized words orphrases in body text, graphictitles, and table titles

Example text File and directory names andtheir paths, messages,names of variables andparameters, source text, andnames of installation,upgrade and database tools.

Example text User entry texts. These arewords or characters that youenter in the system exactly asthey appear in thedocumentation.

<Exampletext>

Variable user entry. Anglebrackets indicate that youreplace these words andcharacters with appropriateentries to make entries in thesystem.

EXAMPLE TEXT Keys on the keyboard, forexample, F2 or ENTER.

IconsIcon Description

Caution

Note or Important

Example

Recommendation or Tip

Table of Contents

1. Business Scenario and Background Information ..........................................................1

2. Prerequisites....................................................................................................................1

3. Step-by-Step Procedure ..................................................................................................2

3.1 Perform Automatic Workflow Customizing .................................................................2

3.2 Perform Task-Specific Customizing ...........................................................................2

3.3 Manage Event Queue ...............................................................................................2

3.4 Change Event Type Linkage for Object Type GRPC* ................................................2

3.5 Register Workflow System in qRFC Monitor ..............................................................4

3.6 Transfer Work Items to Replacement ........................................................................4

3.7 Set Up Reminders and Escalations ......................................................................... 12

3.8 Specify Fallback Receiver for Work Items ............................................................... 123.9 Configure POWL for GRC Inbox ............................................................................. 13

3.10 Email Notifications .................................................................................................. 13

4. Trouble Shoot ................................................................................................................ 14

4.1 Transaction SWI1: Work Item list ............................................................................ 14

4.2 Transaction SWIA: Process Work Item as Administrator .......................................... 20

4.3 Transaction SWI1_RULE: Execute Agent Rules for Work Item ................................ 22

4.4 Transaction SWI2_ADM1: Work Items Without Agents ............................................ 24

4.5 Transaction SWPR: Workflow Restart After Error .................................................... 25

4.6 Transaction SWPC: Continue Workflows After System Crash.................................. 27

5. Comments and Feedback ............................................................................................. 29

1. Business Scenario and BackgroundInformation

When preconfigured for SAP GRC Process Control, SAP Workflow ensures that the right users get theright tasks in the right order at the right time. For purposes of compliance, workflow can help ensurethat required evaluations are performed and issues are remediated on a timely basis. You can use theIMG to control how workflow is routed without requiring time-consuming workflow customization.

Key functions of the application that control the workflow include:

Application role assignment

This function determines who receives the workflow tasks.

The Planner and Monitoring Scheduler

These functions control selection of objects (for example, subprocesses, controls) and releaseof the workflow tasks with related start and due dates.

When workflow tasks are completed, follow-on tasks are routed based upon role assignments orspecific user assignment until the cycle is complete. For example, in the case of a failed manual test ofeffectiveness, the workflow continues until all remediation activities are complete, all issues areclosed, and a successful retest has been performed. Throughout this cycle, the status of the test,issues and remediation plans are maintained automatically by the system.

2. PrerequisitesThis How-to Guide explains how to trouble shoot workflow issues for GRC Process Control 2.5. Itassumes that you have a functioning GRC PC environment installed and configured.

3. Step-by-Step ProcedureThere are several factors that cause workflow items not being delivered correctly into users’ inbox.The following steps guide you through the basic IMG configuration for workflow and provide you thetips to trouble shoot the errors.

3.1 Perform Automatic Workflow Customizing...

The SAP Business Workflow forms the basis for assessing and testing internal controls. In thisactivity, you Perform Automatic Workflow Customizing. Only the top section, Maintain RuntimeEnvironment, needs to have every task marked with a green check within the section.

For detail, see “Process Controls 2.5_Workflow Customizing.doc”, section 3.1.

3.2 Perform Task-Specific Customizing...

In the Perform Task-Specific Customizing activity you make all the settings required to adapt theSAP tasks and SAP workflows supplied. This IMG activity gives you the opportunity to set up allthe tasks and workflows that you want to use in the implementation phase.

For detail, see “Process Controls 2.5_Workflow Customizing.doc”, section 3.2 and 3.3.

3.3 Manage Event Queue...

In this IMG activity, you can make specific settings towards improving performance for workflowprocessing.

For background information on event queue administration, see the SAP Library for the SAPBusiness Workflow under Reference Documentation -> Workflow System Administration ->Event Manager Administration.

Independently of these settings, we recommend generating a large amount of workflowsovernight.

For detail, see “Process Controls 2.5_Workflow Customizing.doc”, section 3.4.

3.4 Change Event Type Linkage for Object TypeGRPC*

...

In the Change Event Type Linkage for Object Type GRPC activity, you change the event typelinkage for the delivered object type SCASE, if it appears in the selection. This will be necessaryif there is a conflict between the delivered event type linkage and the Process Control workflow.If the object type SCASE does not appear, this task can be disregarded.

1. Execute Change Event Type Linkage for Object Type GRPC*

2. Select the line with the BOR object type SCASE* and choose Details.

3. You can deactivate the linkage by clearing the Activate Linkage checkbox.

3.5 Register Workflow System in qRFC Monitor...

To improve the performance of workflow processing, you can register the logical RFCdestination used by the workflow (WORKFLOW_LOCAL_<client>) in the qRFC outbound queuein the qRFC monitor.

For detail, see “Process Controls 2.5_Workflow Customizing.doc”, section 3.5.

3.6 Transfer Work Items to Replacement...

In this IMG activity, you schedule the program Transfer Work Items to Replacement(GRPC_REPLACEMENT_MASS_ACTIVATE). The program transfers work items from personsthat are no longer working in Process Control to the replacement persons entered in the systemfor these persons. For more information, see the documentation on program Transfer WorkItems to Replacement.

1. Execute Transfer Work Items to Replacement.

Click on Continue.

Job name: GRPC_REPLACEMENT_DAILY

Job class: C - Low priority

Click Continue

Choose ABAP Program Step.

Click Continue.

ABAP program name: GRPC_REPLACEMENT_MASS_ACTIVATE

Click Continue.

Click Continue.

Click Continue.

Choose Date/Time.

Click Continue.

Enter the day on which the job should start and the time at which it should be run each day andset the Period indicator.

Click Continue.

Choose Daily.

Click Continue.

Click complete.

3.7 Set Up Reminders and Escalations...

Setting up reminders and escalations in Process Control is a valuable monitoring tool forstakeholders and workflow owners (recipients) to ensure that their control objects are processedappropriately.

Please refer to “Process Controls 2.5_How to Set Up Reminders and Escalations.doc” for detailinformation.

Note: Y ou ar e r equi red t o have a uthorizati on f or t he develo pment a nd workflow mai nten ance of P r ocess C ont rol in order t o p erfo rm the s teps below .

3.8 Specify Fallback Receiver for Work Items...

In this IMG activity, you specify which user receives a work item when the system fails, forwhatever reason, to determine a receiver for this work item via the usual channels.

The fallback recipient should have power user authorization and should be able to determinewho the correct receiver should be.

1. Execute Specify Fallback Receiver for Work Items

2. You can specify more than 1 fall back receiver. When there is a work item triggered withoutagent, all fall back receivers will receive this work item. Whoever picks up the work item, thework item is reserved by him and will be disappeared from the other fall back receivers inbox.

3.9 Configure POWL for GRC Inbox...

You could skip this configuration unless you want to extend the Process Control menu with yourown entries or create portal iViews, using the specific POWL applications. You can link theProcess Control application and Personal Object Work List (POWL) type to the PFCG role.

3.10Email Notifications...

Please refer to “Process Controls 2.5_How to Configure and Trouble Shoot EmailNotification.doc” for detail information.

4. Trouble ShootThere are so many factors caused the workflow items not delivered to the right user’s inbox.When conducting trouble shooting, please check all possible reasons. For example:

- IMG workflow configuration not successfully completed

- Master Data setup not correct, such as control without control owner assigned

- Operation error, schedule a plan for non completed manual test plan

- Don’t understand the process flow, such as turn on or off for the review.

4.1 Transaction SWI1: Work Item list...

If a workflow was been correctly triggered and started, at least one work item should be created.You can view the work items here. By default all the work items of the last hour will bedisplayed.

1. Go to Transaction SWI1.

2. Put in the selection criteria. For example, enter the creation date information. Execute theselection. You will find in this transaction the work item number, the status of the work item, andthe workflow task that has created the work item.

3. Furthermore, (in the technical workitem display) you can have a look at the container byselecting a work item and using the menu Goto -> Display Container.

4. To display the work item details double click on the item. From the details you can see theselected/ possible/excluded agents for this work item by using the menu Goto -> Agent ->selected/ possible/excluded agents.

Double click or click on Display button.

5. When the status of the work item shows an error you should have a look at the workflow logusing the menu EDIT -> DISPLAY WORKFLOW LOG. Or select the work item and click on the

icon . Here you can see errors that have occurred.

Click on Details to see the details for steps.

You could also click to list the technical details.

4.2 Transaction SWIA: Process Work Item asAdministrator

...

You can use this report to execute work items for which you are not a possible agent.

1. Using this work item selection, you can select the necessary work items and then execute them,complete them or make them available again to the recipients.

2. You could also use Execute Without Agent to fix a problem by selecting the work item andclicking on Execute without Check.

4.3 Transaction SWI1_RULE: Execute Agent Rules forWork Item

...

You can use this function to repeat the step of defining the recipients for a work item.

1. Transaction SWI1_RULE.

2. Execute.

3. Select the work item that needs to assign the agent. Click on (Execute Agent Rule) toresolve the agent.

4.4 Transaction SWI2_ADM1: Work Items WithoutAgents

...

This report finds all work items that have no agent at all.

1. Execute Transaction SWI2_ADM1 and enter the selection criteria for Monitoring period. ThenExecute.

4.5 Transaction SWPR: Workflow Restart After Error...

This report can be used to display a list of workflows with errors for a particular selection period,and then restart them. The benefit of this report is that it allows you to perform a mass restart ofworkflows.

1. Execute transaction SWPR

2. You could restart the workflow by clicking on the “Restart Workflow”button. Note: Before restart the workflow items, please find the root cause for the problem andcorrect it.

Click on refresh .

4.6 Transaction SWPC: Continue Workflows AfterSystem Crash

...

You can use this report to select and continue workflows that have had the status STARTED forlonger than a day. This means that workflow that has come to a halt after system errors can becontinued.

1. Go to the transaction.

2. Select the work item and click “Continue workflow” button.

3. Refresh .

5. Comments and FeedbackBoth comments and feedback are very welcome. Please send them to:

Jennifer Cha RIG Process Control jennifer.cha@sap.com

Raj Behera RIG Manager raj.behera@sap.com