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GRC E-mail Notifications, Reminders and Escalations

Purpose
Prerequisites
1 Understanding the Notifications, Reminders and Escalations
1.1 Overview
1.2 Difference between Notifications vs the Reminders and Escalations
2 Configuring Notifications, Reminder and Escalations
2.2 SWNCONFIG
2.2.1 Scenario Specific Settings
2.2.2 Schedule Selection
2.2.3 Delivery Schedule
2.2.4 General Settings
2.2.5 Message Template
2.3 SWN_SELSEN
2.4 Reminders and Escalations Configuration
2.4.1 Control Tab
2.4.2 Requested End Tab - Reminder
2.4.3 Latest End Tab - Escalation
3 Testing and troubleshooting the Notifications, Reminders and Escalations
3.1 Checking the work items for Reminder and Escalations activity

3.2 Checking SWN_SELSEN program

3.3 Checking the E-mails sent on SOST
4 Related Content
4.1 More related information and troubleshooting guides
4.2 SAP Notes
4.3 SAP Knowledge Base Articles

Purpose

The purpose of this page is to clarify the operation and configuration of workflow e-mail notifications, reminders and escalations.

Prerequisites
1 - It is necessary to have SAPConnect properly configured in the GRC system and be sure that e-mails can be sent from the GRC
system to the user's e-mail address maintained in SU01. Check with your E-mail server team to make sure everything is in place. If
this is not configured yet, check the SMTP Configuration Guide. Additional SMTP configuration articles: Configuring SAP SMTP |
SAP Configuring E-mail SCOT

2 - Since this scenario is based on the Extended Business Workflow, all the workflow configuration must be performed prior to
configuring the Notifications, Reminders and Escalations. Make sure to have followed all the configurations on SPRO > Default IMG
> Governance, Risk and Compliance > General Settings > Workflow.

1 Understanding the Notifications, Reminders and Escalations

First, we need to understand how the notifications, reminders and escalations work. This is not a part of GRC but rather a
functionality from the Extended Business Workflow.

1.1 Overview

Notifications are sent to the performer of a task when the task is created. They are used to notify the receiver about the
new task in their work inbox.
Reminders are e-mails sent to the performer of a task a short time before the end date or the due date of the task, in case
the task is not completed.

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Escalations are notifications sent to the performer's supervisor or to another responsible person, in case the performer
misses the task completion due date, as specified in their work inbox.

Image 1: Overview of the Notification, Reminder and Escalation scenarios.

1.2 Difference between Notifications vs the Reminders and Escalations

The notifications will only inform the user that one or more work items have reached his/her work inbox. This is almost completely
delivered through the BC Set GRFN-WORKFLOW-NOTIFICATION. Reminders and Escalations, however, will require specific
customizing for each workflow/task, because these scenarios will need to calculate when and who to receive the reminder and the
escalation.

The Reminders and Escalations are not delivered for Risk Management. These scenarios can only be used by Process Control
workflows.

2 Configuring Notifications, Reminder and Escalations

We start from SPRO > Default IMG > Governance, Risk and Compliance > General Settings > Workflow > Workflow E-mail
Notifications

The first activity is to set the SAPConnect. As informed in the prerequisites, this should already be done. The GRC Scenarios are
activated through BC SET GRFN-WORKFLOW-NOTIFICATION. This BC set can be found on the following IMG activity: SPRO >
Default IMG > Governance, Risk and Compliance > General Settings > Workflow > Workflow E-mail Notifications > Maintain
Workflow Notifications (Maintain Workflow for Reminders and Escalations activity will not be used for now).

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Image 2: Maintain Workflow Notifications BC Set

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After the BC set is active, the Maintain Workflow Notifications activity itself can be run, it will lead to the transaction SWNCONFIG:

Image 3: SWNCONFIG transaction showing the GRCNOTIFICATION, PCESCALATION and PCREMINDER scenarios.

2.2 SWNCONFIG

2.2.1 Scenario Specific Settings

The SWNCONFIG transaction is the main structure for all the workflow related e-mails. For each scenario one can set specific
details, like the message type that will be sent and the Task Filter, which can be used to limit the use of the scenarios to specific
tasks. Having the GRCNOTIFICATION scenario selected (Image 3) double-click the Category folder to set the first choice for this
scenario, which is the grouping of items in the message:

Not Supported - This option does not allow grouping of items. It will create one single e-mail for each task. If the user received 5
new work items since the last run of SWN_SELSEN, 5 e-mails will be sent containig one work item each.

Grouping Within the Same Category Permitted - This option will create only one E-mail containing all the work items from each
category that needs to be informed. If the user received 5 new work items since the last run of SWN_SELSEN, only 1 e-mail will be
sent containing all the 5 work items. You can see details on the Multiple Items E-mail here.

Grouping with Other Categories Permitted - This is the default option and since on each delivered Scenario there is only one
category available, this option will work the same as the previous one. You can see details on the Multiple Items E-mail here.

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Image 4: The Collective Message field is scenario specific and determines how many work items can be notified on one
single e-mail.

The other configuration that is scenario specific is the Filter. The GRCNOTIFYFILTER is the default filter delivered for the
GRCNOTIFICATION Scenario:

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Image 5: The GRCNOTIFYFILTER basic data.

By selecting this filter then opening the filter settings, we can see that all the tasks that will be considered for notification are
explicity maintained here. If there is one or few tasks that are not being reported on the notification e-mail, it is probably because
they are missing in this filter. Any tasks can be included here (even RM or AC) and they will be reported on the E-mail on the next
run of SWN_SELSEN after their creation.

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Image 6: GRCNOTIFYFILTER settings showing the tasks that will generate notifications to the user when created.

2.2.2 Schedule Selection

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The Schedule Selection determines which work items are selected and when:

Image 7: Schedule Selection showing that all the 3 scenarios are going to select the tasks of the respective filters for all the work
days.

2.2.3 Delivery Schedule

The Delivery Schedule determines when the items selected on the Schedule Selection are delivered (sent by E-mail).

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Image 8: Delivery Schedule showing that E-mails can be sent on all work days, if the Schedule Selection finds anything to be sent.

2.2.4 General Settings

Here many details can be set, such as:

Subject of the e-mail

Text of the Work Inbox link
URL of the work inbox link (where the link text points to)
Name of the E-mail sender

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Image 9: General Settings showing all the default texts.

Let's see as example the Subject text of the Multiple Items Notification e-mail (the one used by default granularity "Grouping with
Other Categories Permitted" ) (SUBJECT_WF_MULTI). We can see that the default value for this setting is NASWN072. This means

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NA is the message type, SWN is the message class and 072 is the message number. So the text that comes form this value can be
checked on SE91 transaction, by searching for the SWN message class and message number 072:

Image 10: Checking the message number 072 of SWN message class on SE91 transaction

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Image 11: The text contained in the message 072 of SWN message class.

For the other settings where a Dialog Text is used, you can check then on SE61 by selecting the DIALOG TEXT Document Class and
the name will be the rest of the value, like SWN_PROLOG_MULTI. You can create custom ZSWN message class on SE91 or
customer dialog text Z* and determine your own texts/messages to customise the e-mail texts.

2.2.5 Message Template

Here we can point the message template to the handler and custom html engine. See more on How To change Notification E-mail
Content

Image 12: Message Template configuration where one can point a new Z (custom) BSP application capable of creating
diferent e-mail contents for the Notifications, Reminders and Escalation scenarios.

2.3 SWN_SELSEN

For the schedules to run and the e-mails be delivered, the SWN_SELSEN program needs to be scheduled to run periodically. This
can be done by following the instructions of the IMG Activity "Schedule Job for Workflow E-mail Notification".

2.4 Reminders and Escalations Configuration

Notifications should work right away after the SWNCONFIG is all performed and the SWN_SELSEN program is running periodically
on the background. But for the Reminders and Escalations, the additional, task-specific customizing needs to be performed to set
the details of when and who to send the reminder and escalations.

From SWDD transaction one can enter any workflow ID. From the workflow we can enter the tasks and set the reminder and
escalation. This needs to be done for each task that you wish to have reminders and escalations for. To know which step represents
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each task, first we need to understand the SWDD transaction and the possible workflows to be used which are:

Workflow Workflow ID Workflow Task Task Name

Step

Process: Remediation WS75900002 206 TS75900002 Enter Remediation Plan Details

Plan

201 TS75900003 Review Remediation Plan Details

196 TS75900004 Report on Remediation Plan Progress

211 TS75900005 Review and Close Remediation Plan

Remadiation Plan WS76300038 14/18 TS76307972 Enter Details for Remediation Plan

22 TS76307975 Review and Close Remediation Plan

26 TS76307974 Review Remediation Plan Details

30 TS76307973 Report on Remediation Plan Progress

46 TS76308091 Review Due Date Change

Process: Issue WS75900003 139 TS75900010 Resolve Issue without Remediation Plan

147 TS75900013 Issue Remediation Using Remediation Plan

163/168 TS75900006 Start Issue Remediation

Process: Assessment WS75900004 181 TS75900008 Review Assessment

186 TS75900007 Perform Assessment

191 TS75900009 Rework Assessment

Process: Testlog WS75900005 186 TS75900016 Create Issue For Testlog (Perform Manual Test of Control
Effectiveness)

200 TS75900018 Review Testlog & Issue (Review Manual Test of Control
Effectiveness)

215 TS75900019 Rework The Issue for The Testlog (Rework Manual Test of
Control Effectiveness)

239 TS75907927 Update Manual Test

Process: Signoff WS75900007 28 TS75900022 Perform Sign-Off at Corporate Level

Display Report WS75900008 5 TS75900024 Review Prepared Report

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PROCESS: AOD WS75900014 4 TS75907917 Process Agregation of Deficiencies

Process: CAPA Plan WS76300012 137 TS76300020 Enter Details for CAPA Plan

143 TS76300025 Approve CAPA Execution

149 TS76300021 Review CAPA Plan Details

155 TS76300022 Rework CAPA Plan

161 TS76300026 Rework CAPA Execution

167/185 TS76300023 Perform Corrective action

173 TS76300024 Perform Preventive action

200 TS76300027 CAPA Plan Cancelled - Close Issue

Process: CAPA Plan WS76300041 137 TS76307989 Enter Details for CAPA Plan

143 TS76307995 Review CAPA Plan Execution Details

149 TS76307990 Review CAPA Plan Details

155 TS76307991 Rework CAPA Plan

161 TS76307996 Rework CAPA Execution

167/185 TS76307993 Perform Corrective action

173 TS76307994 Perform Preventive action

200 TS76307997 CAPA Plan Cancelled - Close Issue

Process: Manual Control WS76500029 4/18/23/28 TS76507943 Create/Rework/Review/Perform Manual Control

Performance Performance

Disclosure survey WS76300018 4 WS76300018 Disclosure Survey

Process: Propose Control WS76300030 16 TS76300056 Control Proposal Approved

119 TS76300055 Control Proposal Decision

123 TS76300057 Control Proposal Rejected

As an example the workflow for Assessments will be used here WS75900004:

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2.4.1 Control Tab

Entering the workflow and then clicking on the step 186 (perform assessment) we can see the main tab (control) of the task. Here
we can see there is already a rule for the agent. This is the same rule used by the workflow to determine the recipient of the WI.

Image 13: Control Tab which contains the same rule to be used in the Reminder (requested end tab), so that the same task
recipient is reminded to finish the task.

2.4.2 Requested End Tab - Reminder

Here we are going to configure it similarly as the control tab. In this case we are setting an expression to calculate the date when to
send the reminder. I am using the reference date as the due date of the assessment and then setting the reminder to be sent -1
days before that due date. The action is display text, this will send the user the email and the actual user is determined by the rule,
which one can see is the same as the maintained in the control tab, so the same user who received the work item will also receive
this reminder.

Image 14: Configuring the Reminder on the Requested End tab.

2.4.3 Latest End Tab - Escalation

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On this tab we will set the Escalation also by inserting an expression, that will determine when this escalation will happen. Different
from the reminder, here the rule is Agent of Escalation, which points to the 0PC_RECE_ESCALATION business event as configured
in the "Maintain Custom Agent Determination Rules" IMG activity for the specific case/entity.

Image 15: Here we set the expression of when to send an e-mail to the agent of escalation to inform that the task was not
completed yet.

3 Testing and troubleshooting the Notifications, Reminders and Escalations

Now that you have configured the Notifications, Reminders and Escalations that you want to use in your system, let's see how to
confirm the configuration and understand if any error/issue happens. In the case of Notifications once the work item is created, if
the task is in the filter for the scenario, program SWN_SELSEN should directly notify it to the user, so go directly to 3.2

For Reminders and Escalations, we need to confirm if the activity is created inside the task, so let's look into the work item first:

3.1 Checking the work items for Reminder and Escalations activity

We can enter transaction SWIA and check the work item for the reminder and/or escalation activities that should be created along
with the WI.

If any changes are made to the workflow on SWDD transaction, only work items created after those changes are active will
consider them, so make sure you have saved and activated the last version of the workflow before creating your test work items.

Follow the steps form the images below to understand how to open the WI log and check for deadline monitoring tasks. These
tasks need to be generated otherwise the Reminder and Escalations e-mails will never reach the endusers:

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Image 16: Open SWIA transaction and look for Work Items. You can filter using the TASK ID.

Image 17: Select one of the tasks by double-clicking the line of the task.

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Image 18: Now click on the log so we can see all logged details of this Work Item.

Image 19: Make sure to use the Technical Details function so we can see detailed info.

Image 20: Click on the Expand all Nodes to open the Dialog Tasks which are the ones the user receives.

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Image 21: Finally click on top of the dialog task for which you want to check if deadline monitoring is working you should see
the Bell sign on the Deadlines tab, it means that deadlines were calculated for the work item and these should trigger the e-
mails on the calculateddate.

3.2 Checking SWN_SELSEN program

In transaction SM37 we can check the SWN_SELSEN program by filtering using this ABAP Program Name:

Image 22: FIltering for the jobs of SWN_SELSEN program on SM37.

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Then one can select the entry and click on JOB LOG to see if notifications, reminders and escalations were processed:

Image 23: Selecting one specific run of SWN_SELSEN job to see the logs.

Image 24: Log of SWN_SELSEN job showing notifications sent on 2 messages (e-mails).

3.3 Checking the E-mails sent on SOST

The final step is to actually deliver the e-mails to the endusers who will be notified, reminded or receive an escalation. That
happens on SOST transaction were we can see e-mails leaving the SAP System:

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Image 25: SOST transaction showing the e-mails of notification sent to the endusers. If the e-mails are not being created here
confirm the SMTP configuration is complete.

4 Related Content
4.1 More related information and troubleshooting guides

Configuring Workflow E-mail Notification

How to change Notification Email Content
How to Solve Errors with Reminder and Escalation Mails in GRC
Multi-item E-mail Notification Behavior
Reminders and Escalations in Detail
Trouble Shooting - Workflow Item Not Triggered

4.2 SAP Notes

2388090 - Customized parameter not shown in reminder notification

2273613 - Reminder day parameter missing from escalations and reminders
1998089 - Reminder mail subject is not translated as per user's language
2010444 - Reminder notification does not take over new WF task names
1349586 - Escalation and Reminder Email Notification

4.3 SAP Knowledge Base Articles

2567901 - SWWDHEX dump - CL_GRFN_API_IDENT - ASSERTION_FAILED

2470242 - Configuration of Reminder & Escalation
2525232 - Reminders not picking up SWN_SELSEN
2622729 - Reminders are not sent for disclosure survey

Configuring Workflow E-mail Notification

Purpose
The purpose of this page is to clarify the steps over the workflow e-mail notification configuration. Configure e-mail routing,
reminders and escalation, notifications and schedule the job for notifications.

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Overview
This document is divided in the following topics:

1. Set up SAPConnect: The first task is the transaction SCOT, a standard e-mail routing task. This is usually done by the
BASIS team.
2. Maintain Workflow for Reminders and Escalations: these are usually configured after the initial proof-of-concept during
the main implementation phase.
3. Maintain Workflow Notifications: this takes you to SE61.
4. Schedule Job for Workflow E-mail Notification: This will be configured according to the IMG documentation.

Notifications Overview
Notifications are sent to the performer of a task when the task is created. They are used to notify the receiver about the
new task in their work inbox.
Reminders are e-mails sent to the performer of a task a short time before the end date or the due date of the task, in case
the task is not completed.
Escalations are notifications sent to the performer's supervisor or to another responsible person, in case the performer
misses the task completion due date, as specified in their work inbox.

Set up SAPConnect:
This option directs you to SCOT transaction.

In this Customizing activity, you configure the communication interface SAPconnect, which allows you to send external e-mails
from the SAP System.

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Make the following settings:

1. Select INT -> SMTP

2. Double-click SMTP. The SAPconnect General node data screen appears.
3. Select the Node in Use checkbox.
4. In the Supported Address Types pane, select the Internet checkbox, and then choose Set. The SAPconnect Address type
for node screen appears.
5. In the Address Area field, enter an asterisk (*), and then onfirm all entries in the dialog boxes.
6. In the Jobs field, ensure that the send job is scheduled for address type INT. If not, then create such a job.
7. Select Settings -> Confirmation of Receipt. We recommended that you only send a receipt confirmation at the time of
testing the e-mail message function. Subsequently, deactivate this option in the live system.

Maintain Workflow Reminders and Escalations

In this Customizing activity, you can set up reminders and escalations in Process Control. This is a valuable monitoring tool that
stakeholders and workflow owners (recipients) can use to ensure that their control objects are processed appropriately. You can
set up:

Reminders for automated testing and monitoring, which includes semi-automated test and pending reviews of rules
Escalations for dates that are past due; generally, you can set up escalation for control design, assessments of controls and
processes, entity-level controls, manual testing, and such others

The recipients of the reminders and escalations can be process owners, subprocess owners, automated test reviewers, and
internal auditors, along with specific activity owners such as self-assessment reviewers and entity-level control (ELC) reviewers. In
addition to this, reminders and escalation can be sent to specific role owners and internal audit managers.

Requirements

You have necessary authorization for development and workflow maintenance of Process Control.

Activities

You can set up reminders and escalations as specified below:

1. On the Application Components tab page search for the application component, GRC-SPC. A list appears displaying
the Process Controls folder and Multistep tasks subfolder.
2. On the Application Components tab page search for the application component, GRC-SPC. A list appears displaying
the Process Controls folder and Multistep tasks subfolder.
3. Select a multistep task that you want to set up reminders and escalations. The right pane of the screen displays the task
details.
4. Under the Task column, select a task folder, and then double-click the folder. The Workflow Builder screen appears in the
change mode.
5. In the Navigation Area pane, select the step that requires reminders and escalations.
6. Note: Steps with the Arrow can be set up with reminders and escalation. The right pane is active and displays the Task
ID and the associated step.
7. To set up a reminder, select theRequested End tab page, or to set up an escalation, select the Latest End tab page, as
requierd.
8. You can set up the date and time using the following options:
Recommended Option: You can define the expression for a reference date within a workflow
container. Several dates related to the planning activity are available to support this option. Select
Expression from the Reference date/time dropdown menu to activate the Date and Time fields.
You can define a fixed amount of time after creation of the work item or the workflow.
9. Press the F4 key. The Expression for reference date dialog box appears.
10. Select a relevant date (highlighted in green), and then enter the number of days after this reference date you want the
reminder or escalation to be sent.
11. Select Time field, and select Day(s) from the dropdown list .
12. Enter the number of days after the issue plan end date that the reminder is sent.
13. In the Action pane, select Recipient of messag when requested end missed, and then choose either Expression or Rule.

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14. For Expression: select the recipient from the workflow container. Subsequently, this becomes a case for the owner of the
workflow.
15. For Rule:

1. Select a rule. (for example, 75900004)

2. Choose Binding (Does Not Exist) to display a workflow to rule table.
3. You must carry over two objects from the workflow to the rule, and then assign the mapping for the two objects. The
status of the binding displays Exist and the icon changes from white to green.

16. To make changes to the workflow, choose the first check .

17. Make your changes and then choose OK.
18. To activate the workflow, choose Activation.
19. Note: As needed, use development request to transport changes from the Development system to the QA system and
subsequently to the Production system.

Maintain Workflow Notifications

In this Customizing activity, you can configure the extended notification of SAP business workflow for notifications, reminders, and
escalations. You can activate the sending of all e-mail notifications, escalations, and reminders, including any combination of these.
SAP also supports the configuration of notifications, escalations, and reminders for user-defined workflows.

Configure the extended notification as specified below:

Activate the BC Sets as follows:

1. Start the transaction SCPR20.

2. Enter GRFN-WORKFLOW-NOTIFICATION.
3. Choose the Activate pushbutton.

Checking whether BC set for notifications is active or not.

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Go to SPRO -> Governance, Risk and Compliance -> General Settings -> Workflow -> Workflow e-mail notifications and click on
"Existing BC Sets" in the top of the screen.

Maintain the subscriptions:

You must create one subscription for each subscenario, and define the required settings. The following steps illustrate a new task
notification:

1. Start transaction SWNCONFIG.

2. Under the node Business Scenario, choose GRCNOTIFICATION.
3. Double-click Category; and then double-click Subscription Basic Data.
4. Choose the New Entries pushbutton, then enter values as specified below:

Subscription: Enter a name only using alphabets, for example, "GRCNOTIFYSUB."

Description: Enter a description.
Delivery Schedule: Enter the value PCDELIVER.
Delivery Type: Enter the value EMAIL_HTML.
Granularity: Select One Message Contains Multiple Notifications.
Recipient Address.: Enter the value * (asterisk).
Recipient Type: Select Receiver Determination Through.
Handler: Enter the value CL_SWN_SUBSCRIPTION.

1. Double-click Subscription Settings and choose the New Entries pushbutton; then enter parameter values as specified
below:

SHOW_DOCUMENTS_AS: Enter the the value TEXT.

SHOW_INBOX_AS: Enter the value LINK1.

1. Choose the node Business Scenario; then repeat Steps b to e to create the subscription and to define settings for
reminder and escalation. The difference lies in the name and description. In addition to this, an escalation does not have the
parameter SHOW_INBOX_AS.
2. To enter the portal address, choose General Settings, and then enter the portal address in the field INBOX_LINK_URL.
3. Choose the Save pushutton and exit.

Schedule Job for Workflow E-mail Notification

To schedule the program, proceed as follows:

1. Enter a Job Name and choose Start Condition.

2. Choose Date/Time and enter a start date; then select the Periodic Job indicator.
3. Select Period Values; then select a value and confirm all entries.
4. Choose Step.
5. In the field User, enter WF-BATCH or the relevant service user for your workflow system.
6. Choose ABAP Program.
7. In the field Name, enter program SWN_SELSEN.
8. Enter the language in which the e-mail message must be sent.
9. Save your entries.

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Check in SU01 if the user WF-BATCH (or the relevant service user) has an e-mail account configured:

Related Content

Related Documents
How to Solve Errors with Reminder and Escalation Mails in GRC

How to change Notification Email Content

Related Notes
SAP Note: 83020 What is consulting, what is support

How to Solve Errors with Reminder and Escalation Mails in GRC

How to Solve Errors with Reminder and Escalation Mails in GRC

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Logon to the system and execute Transaction SWI1 with task WS75900004:

Execute

Mark one item and and choose fifth button from left “Display Workflow Log”:

Click second button from left (“List with Technical Details”) or “Goto-> List with Technical Details” from the menu an open the
items until step “Perform Control Self-Assessment” is shown:

Under Tab “Deadlines” the deadlines (latest end, requested end) are listed (in this sample there were none). Under Tab “Step
History” you sometimes find errors during evaluation of the recipient of the deadline, e.g. when the customer defined a rule for
“Recipient when Latest/Requested End missed” in the workflow and the binding is missing so no agent could be determined.

You can check the workflow by clicking on the task id WS75900004 in the workflow log (marked red in the above picture).

Please check, which container element is used for the Date and also check the binding of the rule and maybe copy the values to
some text file. Then navigate back to the workflow log, mark the first line of the workflow and go to tab “Container”:

There you find the respective fields of the workflow container that were used for the Date and the binding of the rule. You can open
the structure “Assessment” to navigate to the child elements. As you can see in this sample the container element “Reassessment”
is not filled, but this is used by the customer for the Date. If there is an error with rule evaluation you can also use the container
values found here (again copy to text file) to test the rule (either directly via transaction PFAC -> Button “Simulate rule resolution”
or navigate forward from the workflow definition where the rule is used).

How to change Notification Email Content

Purpose
The purpose of this wiki is to explain how to change the email notification content for GRC Process Control 10.0.

Overview

GRC Process Control Notification is implemented based on SAP Extended Notification Framework.

Steps:

1 - Run transaction code SE80, open package SWN, find the SAP application SWN_MESSAGE1, and copy it to a local application. In
my example, it is ZHBSWN_MESSAGE1. Check the picture of it below:

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2 - Open the new BSP application, ZHBSWN_MESSAGE1, and double click html_multi.htm. Then open the tab Layout. Check the
picture below:

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3- Click the change button , and copy & paste below copy to replace the original content.

4- Click the activate button.

5- Run Transaction code swnconfig, click the node Message Template, find the entry for GRCNOTIFICATION and replace your
SWN_MESSAGE1 by the new BSP application as below. Check the picture below:

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Now check the Original content from my example:

After the changes check the new email content:

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The email content is only define in the below but in case you want to define the content, you would best create a new Dialog Text by
transaction SE61 and replace SWN_PROLOG_MULTI by your new dialog text name. Please, check the picture below:

Related Content

Related Documents

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Related Notes

Multi-item E-mail Notification Behavior

Purpose
This page purpose is to explain how the multi-item e-mail notification layout works

Overview
Overview Section of the E-mail

Links and Workflow Inbox Access

Overview Section of the E-mail

As we can see on the image below, the e-mail contains two main parts, the overview section and the Actual links to the work items.
On the overview, the listed items DO NOT contain a link to the GRC work item. They are simply anchors that point to the item
details.

Links and Workflow Inbox Access

The anchors will navigate to the item details, where the user will be able to click on the link that redirects to the inbox. This is
designed this way for cases where the user has many work items in the inbox and then can navigate to a specific item quickly using
the anchors.

Reminders and Escalations in Detail

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Trouble Shooting - Workflow Item Not Triggered

Purpose
This document is a technical document, so it is only for the user with technical background.

Overview
Workflow is running is background, so when any issue, it is hard for user to analysis. The only appearance is no task received. And
now, please follow this document to analysis. Because most of PC workflows are triggered by Planner, so this document will start
from Planner and then go together with other scenarios.

1. Check Workflow configuration

Please refer to SAP note 1621649 to check workflow configuration first. Especially if the system is a new one and this workflow
task runs first time.

2. Planner check list

2.1 Check planner job

In PC3.0, planner is running by workflow. However, in PC10.0, to satisfy period functionality, Planner backend is changed to run by
job.

Open transaction SM37, and input

A, the user name who plan the task.

B, sepefic the planner creation time.

C, input GRFN_BP_SCHEDULER into ABAP program name.

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Click execute or F8.

PS: here, the job name is the guid for the planner. If you would like to find its name input from frontend. You can check table
GRFNTASKPLAN and GRFNTASKPLANGRP.

The job status should be green. Or there should be something wrong, then please look at next chapter.

2.2 Check planner log

Open transaction SLG1.

Input grpc into object, planner into subobject.And if we obtain the planner id from above chap, input it into external ID. And also
choose the time restriction.

And click execute or F8.

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Green means all thing go well. If any red light, it means something wrong, and the message will supply more detail information.

From the planner log, we can also obtain the case id. See also the last line of the message.

3. Check event trace

After planner runs successfully, the event should be triggered. And not only for planner but also for other scenario, like policy,
adhoc issue, report and so on. All the workflow is triggered by event, in another word, from event trace we can check the workflow
is triggered successfully or not.

Open transaction SWEL.

From front chapter, in the planner log, we can obtain the case id. Input the case id into ’Creator’ object instance, and if you are
experienced enough, you can also input ‘Creator’ object type and Event as filter.

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Click execute button or F8.

We can see two events are triggered for this case. And this entry is wild event, because it is “No receiver entered”, which means
after this event nothing happen. And the second entry works, and it is the “CREATE” event. Just as its name, this event will create a
workflow instance.

Double click the second entry.

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The best news for us is showing an Object Key, whose another name is workflow item id.

Click the button Work Item.

System shows us the workflow log, where we can find the agent information.

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Here we can check who received the task. If it is not as you expected, go to next chapter.

4. Agent determination
Different scenario may have different solution. However, most of them use the agentslot approach.

4.1 Checking agentslot configuration

Open transaction SM30, and input GRFNAGENTSLOTCV into view and click Display.

Let us take one entry in the below screenshot as example.

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From the Business Event Name, it shows this is for “perform assessment“.

From the Subentity, see also below F4 help, it shows it is for “Subprocess Design Assessment“.

From Role, it shows the role “cross subprocess owner“ will receive the task.

So, in one word, “cross subprocess owner“ will receive the task of “perform subprocess design assessment“.

Because authorization engine is able to clumb the master data tree to find recipient until getting one. So it is possible that a role in
high level received the task on a lower level object. For example, we can assign subprocess owner to perform control design
assessment.

4.2 Check Role Assignment

Based above chapter, we obtain which role will perform the task. Then we should check whether the role assignment is wrong. The
normal problems:

Role assignment is overdue.

User is overdue.
Wrong Regulation.

4.3 Fallback receiver

If no recepient obtain, and fallback receiver is configurated. The workflow will goto fallback receiver’s inbox, so that someone is
aware about these tasks.

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Under IMG Workflow folder, find Maintain Fallback Receiver activity.

We can define the fallback recipient here.

4.4 No Agent Found Task

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We may meet the issue that no recipient of the task, and fallback recever isn’t setup. Then the workflow will go into Error status.
System admin could use transacation SWPR to find out them.

Input the created date and time. And click execute or F8.

Then system list the workflow items without agent.

Check the workflow log and fix the role assignment.

At last, choose the entry and click Restart workflow, to restart the workflow.

Related Content

Related Documents

Related Notes
1621649 - Workflow Initial configuration

How To Test Workflow Agents

Purpose
The purpose of this page is to clarify the understanding of the system logic and requirements in relation to the program
GRFN_GET_AGENTS.

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Overview
The program GRFN_GET_AGENTS is used to track the correct agent without the need of scheduling workflows. You can keep track
of the objects retrieved when an agent is found. Also, you can find the reason why the agents were not found in a specific scenario.
Creation of dummy data is avoided.

How to Find the Program

Go to SE38 and look up for program name GRFN_GET_AGENTS

How to Use the Program

Once the program is executed, the following screen appears:

Explanation of the fields

1. Date: Date of the assignment

2. Regulation ID: Choose a regulation ID. Details below about how to use the field.

3. Object ID: The object type + the object ID.

4. Agent Slot: the agent slot must be filled out according to the business event scheduled (e.g. Control test of effectiveness);

5. All Groups: leave as it is.

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Detailed explanation of the fields

Date

The date that will be checked in table HRP1852 (User role assignments table);

Regulation ID

The end user must know whether the workflows are capturing cross regulation roles, Risk management roles, Process Control
roles or regulation specific roles by choosing a regulation ID.

1. Regulation Specific Roles: Type REGULATION/REGULATION ID (e.g. REGULATION/50000608)

2. Cross regulation: Regulation ID $$$$$GEN_REG_CROSS;
3. Only Process Control application: Keep the field blank;
4. Only Risk Management application: $$$$$GEN_REG_RM;

This configuration is defined in the following screen (SPRO -> Maintain Entity Role Assignment). The roles will be retrieved
according to the application column.

Consult the following interface for the regulation values:

IF_GRFN_API_REGULATION

Object ID

This field must be typed using the correct structure. In this field, the information must be entered using format entity/object ID.

Example:

Local Subprocess SUBPROCESS/50000809 (where 50000809 is the ID of the object in my system). Although the process is
quite simple, there are some objects that need a different structure. Check them in the list below. I will use the same object

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(50000809) as the example.

For Controls:

Object type Object ID / GUID Object Name

CONTROL/L/ 50000809 Local Control

CONTROL/R 50000809 Reference Control

Case Types

Object Type CASE_GUID

Any case types (G_TL, G_IS, G_AI, etc) 005056BC279E1ED58CF6D2E0800D5626 (unique ID composed by 32 char)

Agent Slot

Check the following link to know what to use to test your workflow.

Testing the Program

Click here for a battery of test to help you understand this feature.

Agents Routes

Purpose
The purpose of this page is to clarify the understanding of the agents routes when scheduling a workflow in Process Control
Application.

Overview
When scheduling a workflow in Process Control, system follows a set of rules. A preset business event will be called depending
on the task scheduled. Refer to the tasks in the list below to find the business events called.

List of tasks:

Control Effectiveness Testing

Indirect Entity Level Control Testing
Compliance Testing
Control Design Assessment
Self-Assessment
Subprocess Design Assessment
Indirect Entity Level Control Assessment
Risk Assessment
Control Risk Assessment
Issues and CAPA details

Testings

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Control Effectivess Testing

Status Code Business Event

Draft IG001 0PC_PERF_TESTING

ReworkingIG003 0PC_PERF_TESTING

Reviewing IG002 0PC_VALI_TESTING

Indirect Entity Level Control Testing

Status Code Business Event

Draft IG001 0PC_PERF_IELC_TESTING

Reworking IG003 0PC_PERF_IELC_TESTING

Reviewing IG002 0PC_VALI_IELC_TESTING

Compliance Testing

Status Code Business Event

Draft IG001 0PC_PERF_TESTING

Reworking IG003 0PC_PERF_TESTING

Reviewing IG002 0PC_VALI_TESTING

Assessments

Control Design Assessment

Status Code Business Event

Draft IG001 0PC_PERF_ASSESSMENT

Reworking IG003 0PC_PERF_ASSESSMENT

Reassesment IG008 0PC_PERF_ASSESSMENT

Reviewing IG002 0PC_VALI_ASSESSMENT

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Self-Assessment

Status Code Business Event

Draft IG001 0PC_PERF_ASSESSMENT

Reworking IG003 0PC_PERF_ASSESSMENT

Reassesment IG008 0PC_PERF_ASSESSMENT

Reviewing IG002 0PC_VALI_ASSESSMENT

Subprocess Design Assessment

Status Code Business Event

Draft IG001 0PC_PERF_ASSESSMENT

Reworking IG003 0PC_PERF_ASSESSMENT

Reassesment IG008 0PC_PERF_ASSESSMENT

Reviewing IG002 0PC_VALI_ASSESSMENT

Indirect Entity Level Control Assessment

Status Code Business Event

Draft IG001 0PC_PERF_IELC_ASSESSMENT

Reworking IG003 0PC_PERF_IELC_ASSESSMENT

Reassesment IG008 0PC_PERF_IELC_ASSESSMENT

Reviewing IG002 0PC_VALI_IELC_ASSESSMENT

Risk Assessment

Status Code Business Event

Draft IG001 0PC_PERF_RISK_ASSESSMENT

Reworking IG003 0PC_PERF_RISK_ASSESSMENT

Reassessment IG008 0PC_PERF_RISK_ASSESSMENT

Reviewing IG002 0PC_VALI_RISK_ASSESSMENT

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Control Risk Assessment

Status Code Business Event

Draft IG001 0PC_PERF_CRA

Reworking IG003 0PC_PERF_CRA

Reassesment IG008 0PC_PERF_CRA

Reviewing IG002 0PC_VALI_CRA

Issues

Status Business event

CO 0PC_RECE_ISSUE

MO 0PC_RECE_ISSUE

CAPA details:

CAPA: Plan review IG033

'0PC_VALI_CAPA_PLAN'

wHEN CAPA EXECUTION APPROVED IG038

No One

when CAPA EXECUTION SUBMITTED IG042

nO ONE

CAPA: Awaiting corrective actions ig034

CAPA: Plan submitted IG041
CAPA: Awaiting preventive actions IG035
get_current_processor

Testing the Program

Purpose
The purpose of this page is to provide examples about how to use program GRFN_GET_AGENTS.

Overview
How to analyze whether the correct agent is receiving the workflow? There are three ways of testing the agents via
GRFN_GET_AGENTS:

Testing workflows with errors

Testing workflows with workflow GUIDs
Testing workflows with Object IDs

Testing Workflows with Errors

To test the agent routes when workflows come to an error status, it will be crucial to analyze it first via transaction SWIA.

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In this example, the workflow is with status error.

Analyzing the error in detail:

Usually, the error will look like the above.

Agent determination for step 'xxxxx' failed

One solution is to go to the container tab and check the object IDs of the task.

External refer. string is splitted like the following:

1. 01
2. O
3. 50002253
4. 01
5. P2
6. 50002271

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Remove the 01 and the organization ID appears (O 50002253). Afterwards, the local control object appears (P2 50002271).

Based on this string, we have the local control object ID to use in GRFN_GET_AGENTS program.

Let`s run the program with the values found:

Use the Agents wiki to find the correct agent slot for your workflow.

Results:

Obviously, no agent rules were found for this object.

One good way to find whether the problem is the configuration or the workflow itself is to assign a fallback receiver. If the fallback
receiver receives the task, the problem is with the agents configuration.

If the program is run again, the results are different, meaning that the problem is with the agents configuration.

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However, the fallback receiver is not the expected result.

By assigning an agent to the object + defining the agent slot correctly, we have different results without even the need of executing
the workflow again.

Agent determination rule:

Results after the correct configuration is performed:

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