Framework for the Principle of Dual Control (CA-GTF-TS-PDC) 

Purpose

The Framework for the Principle of Dual Control provides an application the option of validating certain process flows with a principle of multiple control. This means that the system (application)

·       can freely set the number of releases required (up to a maximum of one entry and three release levels)

·       has a uniform appearance for all releases

·       can use this framework for other objects

Implementation Considerations

Using the Framework for the Principle of Dual Control, you can define data entries that are subject to a special release rule.

According to the guidelines for banks, for example, one or more employees must be designated to check the entries made by a user creating data to ensure they are accurate. In addition, certain approval powers are defined for the employees in a bank (such as who is permitted to grant which limits to customers and enter them in the system). This release functionality for data entries can also support the correct handling of these approval power regulations. Moreover, the auditors and/or controllers can track which employees have released data entries, making them jointly responsible for the results.

Integration

The Framework for the Principle of Dual Control uses the functionality provided by the SAP Business Workflow (BC-BMT-WFM). Consequently, we supply a workflow template for the release workflow that covers the functionality described. The functions described below require integration of application-specific function modules in the application. By modeling the workflow template, customers can then adapt it to suit their own requirements.

The application into which this Framework for the Principle of Dual Control is integrated uses the current status to decide how to handle the data that needs to be released.

There are basically the following three options when an ‘old’ data record in the system has been changed.

...

      1.      The new data record becomes active on entry. The system works with this data record as soon as it is entered.

Example: When an address is changed you can immediately send correspondence to the new address, as the old one is definitely wrong.

      2.      The old data record remains active until the new data record has been released. The system works with the old status until the new data record has been released.

      3.      When the new data record is entered, no data record is active until the new one has been released. When a new data record is entered, the system cannot access it until it has been released.

Scope of Functions

The Framework for the Principle of Dual Control provides the following functions that can be implemented for a release object:

·       Display data entered

At this point, the application for displaying the data is called up.

·       Change data entered

At this point, the application for changing the data is called up. Changing a release-relevant object possibly triggers a new release.

·       Display change documents

At this point, the application for displaying the changes is called up.

·       Return data entered

If the data has not been entered correctly and the operation needs to be processed again, the releasing user can return the data to the user who entered it for it to be changed. In this case, the releaser must enter a note. The user who entered the data receives a message accordingly via the release workflow. The user who entered the data can change the data of the release-relevant operation. This can mean that a new release workflow is then triggered.

·       Reject the data entered

If the data entered needs to be rejected, the releasing user can reject release. In this case, the releaser must enter a reason for doing so in a note.

The application development team must check whether rejection, meaning deletion of the operation or return to have the data changed is possible. In case of a total rejection, the settings in the application must be such that the old data status is restored.

·       Release the data entered

The system ensures that the user who entered the data is not also the one releasing it. When a user releases data, the release log is updated with his/her name, the time and the date.

In the case of the principle of dual control, the workflow is now complete. In the case of the principle of treble and quadruple control, another releasing user must first process the operation before it can be finally released.

·       Display release history

The Framework for the Principle of Dual Control records all the release steps. These are displayed in the Business Workplace for the workflow. The log can be displayed in the application.

The application development team decides which of these functions are meaningful from a business perspective and how they are realized.

Constraints

If the data for a release object is transferred to an application from an external system, it must include a release indicator. On the basis of this indicator, the application recognizes whether the data has already been released, or possibly still needs releasing. Once the data is transferred, release can only be made by the receiving application and the workflow, and not by an external system.

By means of user (agent) determination, the system distributes the release-relevant operations to the processing staff responsible. This means that users only receive an operation to release if they are stored as being responsible to do so in user (agent) determination. For this reason, the Framework for the Principle of Dual Control does not make any additional authorization checks when a release is carried out.

When the Framework for the Principle of Dual Control is connected, the respective development team decides how to restrict its functionality.

Release by committees, such as the supervisory board, is not supported outside the system. You can use the note function to document the decision of persons with no user in the system.