Streamlining Compliance Processes with SAP Process Control

In today's complex regulatory landscape, organizations face increasing pressure to establish robust internal control frameworks to mitigate risks effectively.


This is where SAP Process Control, a solution within the SAP governance, risk, and compliance (GRC) portfolio, comes into play.


SAP Process Control is designed to streamline compliance processes by serving as a central repository for internal control documentation and enabling automated control monitoring. Let's explore how SAP Process Control assists organizations in meeting regulatory requirements and provides business benefits.


Regulatory Requirements and SAP Process Control

Numerous regulatory bodies and standards impose obligations on organizations' senior management to establish strong internal control frameworks to prevent the materialization of risks that could adversely affect the organization. Below are some of these requirements, along with an explanation of how SAP Process Control can assist in fulfilling these obligations.


The Public Company Accounting Oversight Board (PCAOB) issues standards like AS 2201, which focuses on the audit of internal financial reporting controls. SAP Process Control meets these requirements by providing functionalities for assessing both the design and operating effectiveness of controls. It facilitates the selection, testing, and documentation of controls, ensuring compliance with auditing standards.


Similarly, Sarbanes-Oxley Act (SOX) mandates corporate responsibility for financial statements and requires periodic assessments of internal financial reporting controls. SAP Process Control enables organizations to document and evaluate internal controls, supporting compliance with SOX requirements. It provides functionalities for control design assessment, self-assessment, manual control performance, and automated control monitoring, along with standard reports for presenting control status.


The Committee of Sponsoring Organizations (COSO) framework emphasizes the importance of internal controls in providing reasonable assurance on process effectiveness. SAP Process Control enables organizations to classify controls according to COSO's five key components (control environment, risk assessment and management, control activities, information and communication, and monitoring), thereby aligning controls with organizational objectives and enhancing governance processes.


Business Benefits of SAP Process Control

As outlined, SAP Process Control holds a critical role within an organization’s internal control management process, offering a range of business advantages that can be realized through its functionalities. Let’s take a look at some of the benefits that organizations can obtain using SAP Process Control: 

  • Single source of truth: By centralizing processes and assigning ownership for controls, SAP Process Control promotes accountability and ensures the effective execution of controls throughout the organization.
  • Strengthened control framework: SAP Process Control aligns controls with process objectives, improving governance processes and enhancing accountability across the organization.
  • Streamlined processes: With functionalities for determining control scope and testing effectiveness, SAP Process Control streamlines control evaluations and issue remediation, empowering organizations to manage risks more effectively.
  • Automation: The solution automates control testing and monitoring, enabling continuous monitoring of controls without human intervention and facilitating prompt responses to anomalies.
  • Action tracking: SAP Process Control facilitates tracking of control evaluations and issue remediation actions, ensuring timely resolution of identified issues through reminders and escalation mechanisms.
  • Reports: SAP Process Control provides a range of reports for real-time monitoring of compliance status and assessment outcomes, enabling organizations to generate periodic updates for senior management and customize reports according to their needs.

SAP Process Control plays a crucial role in enhancing an organization's ability to streamline compliance processes, meet regulatory requirements, and realize various business benefits. By leveraging its functionalities, organizations can establish a robust internal control framework and effectively manage risks in today's dynamic business environment.


About the SAP Process Control Book

In today’s world, security breaches and compliance violations are on the rise, making it imperative for organizations to have a strong and effective approach to managing security and compliance risks. Our SAP Process Control comprehensive guide will help you learn how to use the SAP Process Control solution to effectively evaluate and monitor internal controls.


Begin with a foundational understanding of SAP Process Control. This section not only traces the history of SAP GRC solutions but also delves into the architecture and capabilities of SAP Process Control. Readers will gain a solid grasp of its fundamentals and its role in the realm of SAP GRC. The significance of governance in enhancing compliance processes and risk management for businesses is emphasized, shedding light on how SAP Process Control contributes to strengthening internal controls.


The book lays the groundwork for implementation. Get to know the prerequisites necessary for configuring SAP Process Control, from generating license keys to system sizing considerations. Then, learn the initial configuration steps vital for SAP Process Control. With detailed instructions, readers are guided through the activation of different components and definition of crucial configurations, essential tasks typically undertaken by SAP Process Control consultants and Basis administrators.


Explore control evaluations within SAP Process Control, and get step-by-step instructions for defining survey libraries, performance plans, and test plans. This lays the foundational knowledge for assessing design and operating effectiveness.


The book provides a comprehensive chapter on continuous control monitoring. It explains how to automate the controls testing procedure and use processes to evaluate their operating effectiveness. Additionally, you’ll learn how to define the various types of data sources and business rules to test these controls.


Subsequent chapters cover topics such as issue reporting and remediation, automation of control testing procedures, and policy lifecycle management. Furthermore, readers explore standard reports, SAP Fiori integration, and SAP Financial Compliance Management, gaining insights into advanced functionalities and integrations within the SAP landscape.


Who Is This Book For?

This book is tailored for a diverse audience including security and business analysts, SAP consultants, auditors, IT and compliance professionals, risk managers, project managers, business process owners, and SAP end users. Whether readers seek to advise clients, protect sensitive data, configure systems, or conduct audits, this book equips them with the knowledge and expertise needed to effectively leverage SAP Process Control in their organizations.


About the Authors

Raghu Boddu is the managing director of ToggleNow Software Solutions. He has more than 25 years of experience with SAP security, GRC, audits, and automation. Raghu is a certified information systems auditor (CISA), a certified fraud examiner (CFE), a certified data privacy solutions engineer (CDPSE), and a certified SAP security professional and GRC associate. He has served on the Information Systems Audit and Control Association state board and contributed articles, blog posts, automation stories, and vlogs to the security community. Raghu was named a Microsoft Most Valuable Professional (MVP) for three consecutive years in the Windows Shell space. He has published more than 30 Microsoft Knowledge Base articles.


Ramakrishna Chaitanya is a chartered accountant with more than 10 years of experience in the areas of SAP GRC solutions, including SAP Process Control, SAP Risk Management, and SAP Audit Management. As an advisor, he has helped clients implement SAP GRC solutions for managing risks and controls in an automated environment. He worked on analyzing business processes across various SAP modules to identify potential risks and control checkpoints. He has led multiple SAP Process Control implementation projects, as well as projects converting existing risk and control matrices to suit the SAP GRC environment. He has implemented survey design in SAP Process Control to monitor GDPR compliance for a leading company in the consumer goods industry.


How to Purchase

If you’re interested in purchasing SAP Process Control, follow this link and choose the format that works best for you: e-book, print edition, or bundle (both e-book and print).


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SAP Process Control
SAP Process Control

Easier audits, protection against fraud, streamlined process controls—this is why you need SAP Process Control in your organization. With this comprehensive guide, see how to implement and configure the solution, from maintaining connectors to defining master data. Follow step-by-step instructions to use control evaluation procedures, report on and remediate ad hoc issues, and automate controls with continuous controls monitoring (CCM). With information on using standard reports, enabling SAP Fiori apps, and adding SAP Financial Compliance Management to your landscape, this SAP Process Control guide has everything you need!

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