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GRPC_CONFCOMPINIT - Configure Compliance Initiatives

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In this Customizing activity, you configure the various compliance initiatives managed by your organization. You do this by defining the configuration of your organization-specific regulations.

• You have created Organization views in the Customizing activity Maintain Organization Views.

• The Customizing activity Define Subtypes for Organizational Attributes has been completed for any new compliance initiative that you are configuring.

• You have configured the plan usage in the Customizing activity for Governance, Risk and Compliance: Define Plan Usage . You have enabled option for Need Regulation. You have assigned the regulation assigned to each plan usage in accordance with the setting in the Customizing activity Relate Regulation to Plan Usage.

SAP delivers model configurations for SOX and FDA regulations in the Business Configuration (BC) sets. To use these BC sets, you must activate the BC set for the desired regulations and the related entries for the regulation that were delivered. After the BC set has been activated in the Process Control application, you can start creating your Regulation Hierarchy.

Define Regulation Configuration

In the first step, you configure your regulations. For this:

1. Select New Entries.
2. Select a regulation configuration type and enter a description for it.
3. Select a subtype text from the dropdown options.
4. In the CR Sectioncolumn (Crystal Reports) enter a key.

Define Regulation Type

In the second step, you define your regulation types. The regulation type is a logical grouping of one or more compliance initiatives that share a common configuration. If multiple regulations are grouped under a single regulation type, then all the compliance initiatives grouped under the regulation type share the same process and activities configured for that regulation type.

For example, regulations SOX and JSOX are defined in the Define Regulation activity. Since both of these compliance initiatives are financial compliance initiatives, you can define a regulation type (for example, called Financial Compliance), to which both the SOX and JSOX compliance initiatives are assigned. Both these compliance initiatives would share the same configuration.

1. Select New Entries.
2. Enter a user-defined Regulation Type and Regulation type text.
3. In the Organization view column (Org. View), enter the organization view (use F4 help).

These organization views are created in the Customizing activity Maintain Organizational Hierarchy Relationships (see the Prerequisites section above).

If no organization view is maintained, the standard view is displayed.

Organization views allow you to define perspectives of how your company is viewed. For example, you may maintain a financial organization view that aligns your organizational structure with your company's financial statements. You may also have a line-of-busines (LOB) organization view, that aligns your organization structure to your company's product line. Depending on the requirements of your compliance initiative, you can choose the best structural view.

Regulation Configuration Assignments

In this step, you assign the different regulations defined to the Regulation type.

1. Select the Regulation Type defined in the previous activity.
2. Click or select the activity Regulation Assignments.
3. Select New Entries.
4. Using F4 help, select the Regulation which must be assigned to the Regulation Type.

Master Data

In this step, you assign the master data entities to the Regulation type. The only master data entity supported is Account Group.

1. Select the Regulation Typedefined in the step Define Regulation Type.
2. Click or select the step Master Data.
3. Select New Entries.
4. Using F4 help, select the entity Account Group.
5. In the column Active, select or deselect the checkbox based on your requirement.

After you have enabled the master data Account Group for one regulation type, the following applies:

• The Account Group tab is visible in the subprocess screen under the current regulation type.

• The Account Group tab is visible in the process hierarchy detail panel under the current regulation type.

• The Account Group tab is visible in the manual test plan under the current regulation type.

Business Processes

In this step, you assign the business processes to a regulation type.The supported business processes are Aggregation of Deficiency (AOD), CAPA Process (CAPA), Sign Off (SIGN-OFF).

1. Select the Regulation Type defined in the activity Define Regulation Type.
2. Select the step Business Processes.
3. Select New Entries.
4. Using F4 help, select the Business Process required by your regulation type.
5. In the Active column, select or deselect the checkbox based on your requirement.

After you have enabled the business process SIGN-OFF for one regulation type:

• The Subject to Sign-Off attribute is visible in the Organization screen under current regulation type.

• The links to the sign-off related report appear in the work center Report Center.

• The sign-off monitor link is visible in the work center Certification.

• The plan activity Perform Sign-Off appears in the certification planner.

After you have enabled the business process AOD for one regulation type:

• The Deficiency Analysis Flag attribute is visible in the Organization screen under the current regulation type.

• The links to AOD-related report appear in the work center Report Center.

• The plan activity Perform Aggregation of Deficiencies appears in the Certification Planner.

Note: If neither of the business processes SIGN-OFF or AOD are enabled, the Certification Planner link in the work center Certification is hidden.

Settings

This step is used to set additional attributes to the business process selected for a regulation type.

1. Select the Regulation Type defined in the step Define Regulation Type.
2. Select the Business Process assigned in the previous activity. The settings for each Business Process are delivered through BC sets.
3. Select the Settingsstep to see any existing settings.
4. If necessary, click New Entries and enter a user-defined name for the indicator and text, and activate the setting.

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