130 sap banking exception_handling[1]

© 2009 SAP AG - BP_Exception_Handling_Banking_Services_V30.doc – 11.06.2009

Best Practice

Exception Handling in BankingServices

Dietmar-Hopp-Allee 16D-69190 Walldorf

CS STATUS

customer publishedDATE VERSION

June 11 2009 3.0

SOLUTION MANAGEMENT PHASE SAP SOLUTION

Operations & Optimizations SAP Banking

TOPIC AREA SOLUTION MANAGER AREA

Business Process Operation Exception Handling, Business Process and InterfaceMonitoring

Best PracticeException Handling in SAP Banking Services

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Table of ContentsTable of Contents 21 Management Summary 3

1.1 Goal of Using This Service 31.2 Staff and Skills Requirements 31.3 System Requirements 41.4 Duration and Timing 41.5 Case Study or Sample Scenario 4

2 Best Practice 52.1 Preliminary Tasks 52.2 Design 5

2.2.1 Application log monitor 72.2.2 User exit – Application log data collector 72.2.3 Data collector for exception handling 7

2.3 Procedure – Setup 82.3.1 Setup procedure in satellite system 82.3.2 Setup procedure in SAP Solution Manager 9

2.4 Procedure – Operation and Handling 282.4.1 SAP Solution Manager work centers 282.4.2 General application logs 292.4.3 Application Log user exit (account number) 302.4.4 Exception handling (PPO, PCO, CpD) 33

3 Further Information 363.1 Background Information and References 36

Index of Figures 37Index of Figures 38


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1 Management Summary

1.1 Goal of Using This Service

For banking customers using SAP core banking products like Deposit Management (DM), LoansManagement based on Banking Services or Transactional Banking (TRBK) products, business exceptions(e. g. account cannot be settled, payment cannot be posted) are registered in different areas of theapplication: Postprocessing Office (PPO), Posting Control Office (PCO), suspense accounts (CpD) andapplication logs. If error occurs during the data processing (e. g. an account cannot be settled because it islocked), the error with the relevant data for processing events are combined into one postprocessing orderand sent to the PPO for further activities. If a payment order or item has broken the predefined posting controlrules, it will be sent to PCO for postprocessing. Payment items that cannot be posted to any bank account isposted to CpD account until the reason of the failure has been figured out. Furthermore, application errors arealso recorded in the application log (SLG1).

The document provides an idea how banking customers can make use of the SAP Solution ManagerBusiness Process Monitoring to help them increase efficiency in the production support dealing with a coupleof different business exceptions during the daily operation of a banking system. Every exception on a bankingenvironment is very important and need to be handled either manually or by automated procedures toguarantee a correct processing and to increase the end user (bank and bank’s customer) satisfaction.

So in general for banks using the SAP core banking solution, the following areas should be regularlymonitored to guarantee the stability and correctness from an application point of view:

Postprocessing OfficePosting Control Office

Suspense accounts Application log

Beyond these exception handling functionalities, SAP Solution Manager offers a central Business ProcessMonitoring functionality (BPMon) to monitor all the connected SAP systems. In BPMon we offer banking-specific application collectors to gather exceptions from the connected banking sources. The collector is ableto send alerts if unexpected high volume of post-processing orders or payment items are created in PPO,PCO, or CpD, and can also list each postprocessing order or payment item in SAP Solution Manager which isrelevant for manual postprocessing. It enables the processor to directly jump into the correspondingtransactions in the connected banking solution.

1.2 Staff and Skills Requirements

To implement the monitoring capabilities for exceptions, specific skills and roles are required from the bank.The following tasks should be assigned to the corresponding teams. Verify the software requirements in different systems within the monitoring landscape SAP basis team Maintain system landscape within SAP Solution Manager SAP basis team Identify banking application-specific exceptions Application team Set up a monitoring solution and implement the identified exceptions and alerting mechanism in the

monitoring solution Production support team Monitor the solution and handle the exceptions Production support team


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1.3 System Requirements

Following system requirements are required in SAP Solution Manager and the relevant satellite systems.

SAP Solution Manager

SAP Solution Manager 7.0 EHP1 (Enhanced Package 1).

Satellite systems

ST-A/PI release M Latest ST-PI release If satellite system has SAP product Banking Services in place, its release should be at least FSAPPL 100. If satellite system has SAP product Transactional Banking in place, its release should be at least TRBK

3.0.

1.4 Duration and Timing

For an initial implementation of BPMon for banking exceptions, the following duration and effort estimationcan be given as general guidelines: 1 week to identify exceptions, set up monitoring 1 week for fine-tuning, BI reporting, knowledge transfer, training

Note: Depending on the complexity of the customer requirements, the implementation might take less ormore time.

1.5 Case Study or Sample Scenario

Below is a short description of a customer use case explaining how the bank solves the exceptions in PCOcurrently and how it can benefit from the monitoring of exceptions.

Without the exception handling tool described in this paper, the responsible person from the bank’s functionalsupport or exception handling team needs to log on to different satellite system and starts differenttransactions to analyze the problems of the payment process and starts performing the postprocessing tasks.For example, to monitor the payment items in PCO, they need to log on to the Banking Services systemevery 30 minutes to check if there are any new payment orders in PCO. If there are new orders for post-processing, they bank needs to find the receiver’s account number for each order and check the bankaccount to find out why the payments cannot be posted. Identifying the receiver’s bank account is a time-consuming process, they need to go through different tables to get the relevant account number.

With the help of SAP’s Exception Handling Data Collector, they will get notification per e-mail or SMS if thereare new orders in PCO. After they receive the notification, they can open the alert list in SAP SolutionManager. Each PCO order will be listed with necessary information like account number or order ID to helpthe production support team to speed up the Root Cause Analysis process. They can click on thepreconfigured analysis buttons to jump into Banking Services to display the account or process the order.After the order is processed, they can confirm the order and it will disappear from the alert list. The alerting inSAP Solution Manager gives the colleague from bank a better overview of what needs to be processed, andexposes more information to them to help them work more efficiently.


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2 Best Practice

2.1 Preliminary Tasks

Ensure that you perform the following preliminary tasks or checks in the system before you start theimplementation: Check the software requirements in SAP Solution Manager. Check the software requirements in the satellite systems.

SAP Solution ManagerSAP Solution Manager 7.0 with BPMon should be implemented.

Check SAP Note 521820: Availability of Business Process Monitoring for software requirements. Check SAP Note 784752: BPMon in SAP Solution Manager – Prerequisites for technical details. Implement ST-A/PI release M and run report RTCCTOOL in SE38 to activate the data collector and clear

all the red alerts.

2.2 Design

In a typical monitoring architecture, SAP Solution Manager should be linked to various satellite systems. Inthis case, SAP Solution Manager is the central system where all relevant monitoring information is stored anddisplayed. It should be used as the central tool to monitor all satellite systems where critical businessprocesses or jobs are running, e. g. SAP Deposit Management. For different monitoring purposes, there aredifferent data collectors running in satellite systems. They collect information periodically and send it back toSAP Solution Manager. This architecture gives a clear overview of the whole solution landscape. Themonitoring team can easily monitor their solution, which spreads in different monitored systems. In addition tothe already mentioned functionality, the monitoring on SAP Solution Manager also allows the usage of thecentral BPM framework to create alerts or incidents if certain thresholds for key figures reached. The alertscan be sent to the recipients through different communication channels, e. g. e-mail, SMS, and fax. Byreceiving the alert message, the responsible is aware of the alert and can deliver quick reaction to deal withthe alert. It is also possible to jump from SAP Solution Manager to different satellite system to do a detailanalysis of the received alert and make processing decision. The collected statistics and alerts are storedcentrally in SAP Solution Manager BI InfoCube for trend analysis. Based on the data in InfoCube, queries anddashboards can be created for reporting. The reporting can be Excel-based or Web-based.

Figure 1 shows the overview of functionalities of Business Process Monitoring in SAP Solution Manager.


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Figure 1: Overview – Business Process Monitoring in SAP Solution Manager

Exception handling for Banking System is designed based on the SAP Solution Manager BPMon infrastruc-ture described above. Figure 2 shows a typical system landscape of a banking solution with two scenarios:loans and deposit management. In the Banking Services and FI-CAx systems exceptions will come up duringthe execution of different business processes. In Banking Services, exceptions are registered in CpD, PPO,PCO and the application log. In FI-CAx, exceptions can be found in the application log or in PPO.

Figure 2: Architecture of exception handling with SAP Solution Manager


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Use the standard functionality offered by the BPM infrastructure to monitor application logs in differentconnected satellite systems. With the banking-specific data collector, you can catch exceptions in PPO, PCOand CpD.

To cover special customer requirements, like monitoring specific bank accounts for certain problem classesfrom the application log, you can use a user exit. Additionally, the solutions Banking Services or TransactionalBanking offer a special data collector to monitor postprocessing orders, erroneous payment orders andpayment items in PCO and CpD. The data collector is provided as application-specific monitor with softwarepackage ST-A/PI release M.

In summary, in order to collect the exceptions, you need to monitor application log, PPO, PCO and CpD. Thenext section will explain the purpose and the use case for each monitoring type.

2.2.1 Application log monitor

Application errors that occur during the processing of the data (e. g. accounts, documents…) are written tothe application log. The application log is a SAP standard functionality. In a normal bank production environ-ment, the application log can contain a huge amount of log entries. The bank support team should checkeach application error recorded in the application log. It is time-consuming to find and check all theapplication error messages in the application log.

BPMon provides an application log monitor. With this monitor you can define search patterns and, based onthe search pattern, monitor the number of log messages inside a log entry and trigger alerts if the number ofmessages is too high. Furthermore, it can raise an alert if a specific log message (within the log entry) occurs.See section 2.3.2.12 to find out how to configure the application log monitor.

2.2.2 User exit – Application log data collector

Additionally, it is possible to develop your own monitor through user exit and use it in BPMon. You can usethe Application Log Data Collector user exit for example if you want to monitor a specific account and bealerted if the log message linked to this account with a critical problem class occurs. For that, you need tospecify the account number that you want to monitor and the critical problem class to make it work. Section2.3.2.13 explains how you can use the user exit.

You can find this user exit in SAP Note 1267677.

2.2.3 Data collector for exception handling

In addition to the application log monitor, SAP offers a banking-specific monitor for exception handling. Itmonitors the postprocessing orders stored in PPO, the payment items in the PCO and in CpD (suspense)accounts. As each order or payment item in PPO, PCO or CpD has to be processed, you can raise alertsbased on the residence time (difference between time of creation and current time). For payments in PCOand CpD, the amount of the payments can be critical as well. You can raise alerts if the critical amount isreached. To get a better overview of orders that require postprocessing in PPO, PCO or CpD, you can usethe relevant work list in SAP Solution Manager. From the work list, the production support team can jump intothe banking system to do the postprocessing or an analysis. If any new item or a specific number of itemsappear in the work list, alerts can be raised to get the attention from the production support team.


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The collector can be configured in a flexible manner based on bank-specific information (e. g. bank postingarea, bank key, CpD accounts). Section 2.3.2.11 describes how to configure this collector.

2.3 Procedure – Setup

This section describes the setup procedures in satellite system and SAP Solution Manager.

2.3.1 Setup procedure in satellite system

The section describes the setup procedure that is required in the satellite system. Execute it prior to theconfiguration in SAP Solution Manager. The procedures 2.3.1.1 and 2.3.1.2 are only relevant for BankingServices or Transactional Banking systems. The procedure 2.3.1.3 is relevant for all monitored systems.

2.3.1.1 Starting setup /SSA/CM2

In the monitored system (Banking Service or Transactional Banking), run report /SSA/CM2 in SE38. Figure 3shows the starting screen of the /SSA/CM2. Choose Maintain CpD Customizing and click the Executebutton .

Figure 3: Starting screen of /SSA/CM2 in satellite system

2.3.1.2 Define group of CpD accounts

After the click on the Execution button, a second screen as displayed in Figure 4 appears where you canconfigure and maintain the assignment of CpD accounts to suspense account groups.

Figure 4: Define CpD account groups


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Click button to create a new assignment at the end of the list. Click button to insert a new assignment at cursor. Click button to delete a selected assignment. Click button to save the assignments.

The advantage of assigning CpD accounts into groups is the flexibility to assign alerts from CpD accountgroups to the person or the team who is responsible for it, and reduce the number of collector instancesmaintained in SAP Solution Manager.

2.3.1.3 Finalize ST-A/PI in satellite system

After installing the ST-A/PI package, start the program RTCCTOOL in each satellite system with transactionSE38 to finalize the installation process. All red alerts displayed in the tool have to be fixed manuallyaccording to the instruction. Figure 5 shows the correct result from RTCCTOOL. Please also follow SAP Note69455.

Figure 5: RTCCTOOL

2.3.2 Setup procedure in SAP Solution Manager

In this section, the setup procedure SAP Solution Manager is explained. Follow the steps in the samesequence as described below.

2.3.2.1 Required user and RFC connection in SAP Solution Manager

Create user CSMREG in SAP Solution Manager and configure it according to SAP Note 455356. Then createthe local RFC connection BPM_LOCAL_<Client> in SAP Solution Manager, with communication userCSMREG.

Please check the other preconditions according to SAP Note 784752.


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2.3.2.2 Create a new solution in SAP Solution Manager

First of all, create a new solution in SAP Solution Manage by starting transaction DSWP. In the solutionoverview (Figure 6), select the Create button to create a new solution.

Figure 6: Solution overview

2.3.2.3 Maintain solution landscape in SAP Solution Manager

Maintain the solution landscape in the newly created solution. The path is Solution Landscape • SolutionLandscape Maintenance.

First, assign different logical components to this solution. A logical component is a group of SAP instancesthat represent the same product in the transport landscape. You can create and maintain the logicalcomponent in transaction SMSY or in path Solution Landscape • Solution Landscape Maintenance.

Figure 7: Maintain solution landscape

After assigning the logical components, decide on the Leading Role of the Solution. The leading roledecides which SAP systems in the transport landscape should be monitored. In Figure 7, the leading role isset to production system, so the systems specified under the Production System column are to bemonitored. The leading role can only be defined once; when the solution is saved, it cannot be modifiedanymore.


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2.3.2.4 Maintain contacts

In the screen shown in Figure 8, click the button.

Figure 8: Solution landscape maintenance

In Figure 9, click button or to create a new entry. The added user should be already defined intransaction SU01. Double-click on the User field to select a user from SU01. The user maintained here will beassigned later to different monitoring organizations. The user that shall be the alert sender must have a valide-mail address.

Figure 9: Maintain contacts in solution


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2.3.2.5 Create scenario

A scenario or business process can be created newly or import from SAP repository or existing solutions.

Figure 10: Maintain scenario

As shown in Figure 10, two scenarios are created. After configuring, switch the status from Planned toProduction, otherwise you cannot activate the scenario later if it is in status Planned.

2.3.2.6 Create business processes

After creating the business scenario, business processes can be created under business scenario. In Figure11, the scenario has one business process Check Exceptions. Its status is set to Production and theavailability is 7 days a week and 24 hours per day.

Figure 11: Create business process

The possible process availability is 5x16 h 5x8 h 5x24 h 7x24 h

Choose availability according to the business requirements.


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2.3.2.7 Create business process steps

After creating an empty business process, we can define different business process steps inside the businessprocess. To create a new step, a logical component and processing type need to be specified.

Figure 12: Create business processes steps

Figure 12 shows the business process steps within the business process Check Exceptions. They aremaintained under the tab Structure. Column Step Name specifies the name of the process step. It is a textthat describes the business step. Column Logical Component specifies the logical component that this stepis running. It can be chosen from the logical components assigned to this solution. Column Process Typespecifies the run type of this business step in the logical component. These can be Dialog, Background andDialog/Background.

You can sort the process steps by clicking the Up and Down buttons .

2.3.2.8 Start business process monitoring setup

After creating the business process steps and maintaining the contacts, go back to the solution screen shownin Figure 13. Go to Operations Setup • Solution Monitoring • Business Process Monitoring and clickSetup Business Process Monitoring to start configuring monitoring objects in the business process steps.

Figure 13: Set up business process monitoring


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2.3.2.9 Maintain solution support organization

Figure 14: Create support teams

In the column Name, choose the user that you want to add to the team. The user is defined in transactioncode SU01.

Figure 15: Assign user to support organization


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In the second tab, Monitoring Roles, assign the role of the team.

Figure 16: Select monitoring roles

2.3.2.10 Activate business processes

After having configured the support organization, activate the business processes and steps so that differentmonitors can be assigned to them.

As shown in Figure 17, select the check box and click the Save button and the selectedbusiness processes or steps will be displayed on the left side, within the Business Processes tree.

Figure 17: Activate business process steps


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2.3.2.11 Configure Exception Handling Data Collector

This section describes how to configure the Exception Handling Data Collector in SAP Solution Manager.

2.3.2.11.1 Choose collector

The first step is to choose the data collector. In the selected business process step, activate the applicationmonitor. As shown in Figure 18, if the ST-A/PI package in the monitored system has been modified, first click

button to load the current data collectors from monitored system. In the example themonitored satellite system is BPP. Afterwards click to add a new monitoring entry.

Figure 18: Collector – Create new monitoring object

In field Monitor Name, click F4 and the table shown in Figure 19 will be displayed. It shows a list of availableapplication monitors in the satellite system. From the list, choose Exception Handling for Banking. Afterselection of the collector, click the button to configure the detail information of the collector.

Figure 19: Collector – List of available monitors


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2.3.2.11.2 Select key figures

In this step, go to the Key Figure tab to choose the key figures you want to activate. Then click the second tabDetail Information.

The alerts are raised based on the configuration of each key figure.

Figure 20: Collector – Activate key figures

The following key figures are available for exception handling.

Index Key figure description

1 Nr. of PPO orders with critical residence time

2 Nr. of PCO orders with critical residence time

3 Nr. of PCO orders with critical amount

4 Nr. of payments in CpD with critical residence time

5 Nr. of payments in CpD with critical amount

6 PPO order list (low volume customer)

7 PCO order list (low volume customer)

8 CpD payment item list (low volume customer)

Table 1: List of available key figures

The above eight key figures can be grouped into three categories: Critical residence time Critical amount Work list of open items


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The residence time can be monitored to identify orders which are not processed in time. The amount ofunprocessed payment items can be critical, especially if service level agreements are defined, if the timewithout any processing is too high and exceeds a certain limit. The work list of open items shows all theorders that are relevant for postprocessing.

Before you can activate the key figures, you have to configure the parameters in the Detail Information tab.

2.3.2.11.3 Configure detail information

In the Detail Information tab, double-click Counter 001 and a pop-up screen is shown as in Figure 21. In thepop-up screen, type in the Banking Posting Area relevant for monitoring and the Posting Date Range tolimit the posting date. In the example the Posting Date Range is not limited. The F4 help is available forparameters Bank Posting Area and Posting Date Range.

Figure 21: Collector – Configure detail information

If you use F4 in the Posting Data Range input field, Table 2 is displayed. There are five predefined postingdata ranges.

Posting Date Range Description

All Posting data from 01.01.1900 to 31.12.9999

Current The current posting date for payment.

Last The posting date before current one.

Last + Current The last valid and current posting dates for payment (two posting dates in total)

Last 5 + Current The last 5 valid and current posting dates for payment (six posting dates in total)

Table 2: Possible value of posting date range


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2.3.2.11.4 Configure monitoring schedule

Click tab Monitoring Schedule to define when the data collector should be started.

Figure 22: Collector – Monitoring schedule

In the example, the data selection is on a weekly base, each working day, every 60 minutes.

2.3.2.11.5 Configure key figure Nr of PPO orders with critical residence time

Figure 23 shows the selection screen of key figure Nr. of PPO orders with critical residence time. Theresidence time for the order is calculated based on the difference between the creation time stamp and thecurrent system time.

Figure 23: Key figure Nr. of PPO with critical residence time – Selection screen

The following five parameters are available in the selection screen.Business Process: You can choose F4 help to select the business process steps. The collector will onlycheck the PPO orders that are generated from selected business steps.Order Status defines the status of the PPO order that the data collector should check.Time Comparison Operator defines how to compare the residence time of the order with the definedcritical time.Critical Residence Time defines the critical residence time in minutes.Alert Comparison Operator defines how to compare the number of PPO-selected orders with definedalert rating threshold.


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Figure 24 shows the threshold settings. If the number of PPO orders is higher than 10, the alert message willbe rated as yellow. If it is higher than 20, the alert message will be rated as red.

Figure 24: Key figure Nr. of PPO with critical residence time – Threshold

With the above settings, the rating distribution is: Green : Less than 10 postprocessing orders satisfy the condition. Yellow : Between 10 and 20 postprocessing orders satisfy the condition. Red : More than or equal 20 postprocessing orders satisfy the condition.

Based on the collector configuration, each time the collector measures the number of orders in the PPOaccording to the specified conditions. An alert message is generated in the alert inbox. The rating of themessage depends on the measured value and the defined thresholds.

2.3.2.11.6 Configure key figure Nr. of PCO orders with critical residence time

Figure 25 shows the selection screen of key figure Nr. of PCO orders with critical residence time. Thesame logic is applied here as for the above key figure.

Figure 25: Key figure Nr. of PCO with critical residence time – Selection screen

In this case, all posting control orders with the status New or Processing and the residence time greater orequal 10 minutes will be selected.

Based on the collector configuration, each time the collector measures the number of orders in PCOaccording to the specified conditions. An alert message is generated in the alert inbox. The rating of themessage depends on the measured value and the thresholds.


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2.3.2.11.7 Configure key figure Nr. of PCO orders with critical amount

Figure 26 shows the selection screen of key figure Nr. of PCO orders with critical amount. A logic similar tothe preceding key figure is applied here. The currency will be taken over from each payment order.

Figure 26: Key figure Nr. of PCO with critical amount – Selection screen

In this case, all posting control orders that have reached and exceeded a critical amount of 1,000,000 will beselected.

Each time the collector is running, it measures the number of orders in PCO according to the specifiedcondition. An alert message is generated in the alert inbox. The rating of the message depends on themeasured value and the thresholds.

2.3.2.11.8 Configure key figure Nr. of payments in CpD with critical residence time

Figure 27 shows the selection screen of key figure Nr. of payments in CpD with critical residence time.

Figure 27: Key figure Nr. of payments in CpD with critical residence time – Selection screen


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For parameter CpD Account Group, select the account group defined in 2.3.1.2.

For parameter Order Status, click F4 to choose the order status. Figure 28 shows the available status.

Figure 28: F4 help for item status

The other parameters are similar to those described in the above key figures.

Each time the data collector is running, a message is generated for each CpD account defined in thespecified account group. The message describes the number of payment items in the suspense account thatsatisfy the selection condition (residence time). The rating of the message depends on the threshold definedfor the residence time.

2.3.2.11.9 Configure key figure Nr. of payments in CpD with critical amount

Figure 29 shows the selection screen of key figure No. of payments in CpD with critical amount.

Figure 29: Key figure Nr. of payments in CpD with critical amount – Selection screen

Each time the data collector is running, for each CpD account defined in the specified account group amessage is generated. The message describes the number of relevant payment items in the CpD accountaccording to the selection condition (critical amount). The rating of the message depends on the definedthresholds.


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2.3.2.11.10 Configure key figure PPO Order List

Figure 30 shows the selection screen of key figure PPO Order List (low volume customer).

Figure 30: Key figure PPO Order List – Selection screen

Based on the configuration, each time the collector is running, an alert message is generated in the alertscreen for each PPO order that satisfies the condition and was created between the last and the current datacollector run. The rating of each PPO order depends on the threshold setting. For the same order, only onealert message should be generated.

2.3.2.11.11 Configure key figure PCO Order List

Figure 31 shows the selection screen of key figure PCO Order List (low volume customer).

Figure 31: Key figure PCO Order List – Selection screen

In this case all posting control orders that have the status New or Processing and that are new in the systemwill be selected.

Based on the configuration, each time the collector is running, an alert message is generated in the alert boxfor every payment order in PCO with the specified posting control order status. The alert contains mainly theposting control order ID, the IBAN number to enable a direct analysis of the recipient account, the accountholder, the transaction type, and the amount. The posting control order is linked to the associated SAPtransactions PCO03 (Posting Control Order) to be able to display the order from the Business ProcessMonitoring Exception Handling solution.


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2.3.2.11.12 Configure key figure CpD Payment Item List

Figure 32 shows the selection screen of key figure CpD Payment Item List (low volume customer).

Figure 32: Key figure CpD Payment Item List – Selection screen

Based on the configuration, each time the collector is running, an alert message is generated in the alertscreen for each payment item in the CpD accounts that satisfies the condition and was created between thelast and the current data collector run. The rating of each payment item depends on the threshold setting.

2.3.2.12 Setup application log monitor

The application errors are written into the application log. To set up the Application Log Monitor as shown inFigure 33, check monitoring type Application Log and click on business process step level.

Figure 33: Application log – Activate application log monitor

In the screen shown in Figure 34, click to insert a new entry, check it and click .

Figure 34: Application log – Add monitoring object


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In the screen shown in Figure 35, check the two alert types in the Alert Types tab, and then go to the secondtab Detail Information.

Figure 35: Application log – Select alert type

In the Detail Information tab, you can specify the selection conditions Object and Sub-object to select the logmessage that belongs to that category. You can also select the program or transaction that creates themessages according to the user that creates the messages. In the Aggregation field, you have threealternatives of configuration: per log, per hour and per day. After you configured Detail Information, go to thenext tab Monitoring Schedule.

Figure 36: Application log – Define detail information

In the Monitoring Schedule tab, you can specify how often the application log should be checked. In Figure37, the log is checked every 60 minutes. After you have done that, click button to go to thenext checks.

Figure 37: Application log – Set monitoring schedule


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In next check, you can configure alerting based on the above conditions. As shown in Figure 38, you canconfigure it to trigger yellow or red alerts when the number of log message is higher or lower than thethresholds.

Figure 38: Application log – Total N* of Messages

For each log entry that fulfils the conditions, an alert message is generated in the alert inbox. The rating of thealert message depends on the number of messages in the log entry and the defined thresholds. If the ratingis yellow or red, the log number for the log entry will also be displayed.

In the next tab N* of Critical Messages, you can define alerts on more detail log message information likemessage type, message class and message number. You can trigger alerts when the number of logmessages with specific message types, message class, or message number is higher than the thresholds. Todo that, click on the Object field to choose one of above configurations and make the detail settings in theblank fields.

Figure 39: Application log – N* of Critical Messages

Each time the data collector is running, it sums up the log messages from the application log that fulfill theselection conditions. And for log messages that satisfy the conditions, an alert message is generated in thealert inbox. The rating of the alert message depends on the number of log messages which are defined asthreshold. For yellow and red rating, the log number is also displayed

2.3.2.13 Setup user exit – Application log

For some bank customers, it is important to monitor a specific bank account. They want to get informed whenlog message of a specific bank account is written into the application log and the log message has a criticalproblem class.

For the example shown in Figure 40, a red alert will be triggered if a log message for the exemplary bankaccount 14006 is detected and the problem class is 1 (very critical). If the problem class is 2 (critical), ayellow alert is triggered.


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Figure 40: Application log – Bank account

Based on the configuration, each time the data collector is running, it checks the message fields (from msgv1to msgv4). If the log message created that day contains the specified account number, an alert message willbe generated in the alert inbox. The rating of the alert message depends on the problem class of the log entryand the defined thresholds.

2.3.2.14 Alert notification

When an alert is triggered, it is sent to the responsible person from the production support team to solve it. Inthe alert notification check, you can configure sender and receiver. If the number of yellow or red alertsexceeds the threshold, alerts will be sent to the recipient address.

Figure 41: Configure alert notification for each monitoring object

Figure 42 shows notification methods. Five different methods are available.

Figure 42: Recipient type


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2.4 Procedure – Operation and Handling

After the setup, you will get alerts based on the defined setting. This section describes how to use theoperation mode and deal with alerts.

2.4.1 SAP Solution Manager work centers

In SAP Solution Manager, use transaction code SOLMAN_WORKCENTER to launch the SAP SolutionManager work centers. It gives a graphic overview of the triggered alerts for each solution, businessprocesses and steps.

Figure 43: SAP Solution Manager work centers – Alert inbox

In the screen shown in Figure 43, click on one of the listed alert types to jump to the alert detail view (seeFigure 44) where each alert message that belongs to the key figure is listed.

Figure 44: Alert inbox detail view


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2.4.2 General application logs

This section shows how to check the alerts generated from the application log monitor. As shown in Figure45, in the alert inbox detail view, mark the log message and click the Detail Info button above to jump into themonitored system, and the log with the marked log number is displayed. Figure 46 shows the application logwith log number 440919.

Figure 45: Operation – Application log detail info

Figure 46: Operation – Application log in monitored system

After checking the application log and solving the error, go back to SAP Solution Manager and click thebutton to confirm the alert message.


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2.4.3 Application Log user exit (account number)

This section explains how to deal with alerts triggered from Application Log user exit (account number).

As shown in Figure 47, for bank account 0010000154, log messages with a critical problem class are listed inthe Alert List view. The time that the alert message was created can be found in column Date Time. For thefirst log message it is 09:00:14.

Click the button , to jump into the application log (transaction code SLG1) in system QBK.

Figure 47: Operation – Application Log user exit

Figure 48 shows the selection screen of transaction SLG1 in system QBK. The fields Object, Subobject,from (Date/Time) and To (Date/Time) are filled with values from the alert message. Adjust from (Date/Time)and to (Date/Time) to a small time window to select the log message.

After the adjustment, click button to execute.


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Figure 48: Operation – Application log in monitored system: Start screen

Figure 49 shows the results. The log message with log number 25008 is found. It contains one message withproblem class very important. The log message contains the monitored account number 0010000154.

Figure 49: Operation – Application log message (bank account number)

Click on the Detail button and the screen shown in Figure 50 is displayed. It shows the Standing OrderNumber and Contract Account Number, the message was generated in these two objects.


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Figure 50: Operation – Application log message details

Click on Standing Order to display the detail order information (see Figure 51). Click on the AccountNumber to display the account detail information (see Figure 52).

Figure 51: Operation – Display standing order


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Figure 52: Operation – Display bank account information

Check the account- and standing order details to analyze the error in the application log or on account level.

2.4.4 Exception handling (PPO, PCO, CpD)

2.4.4.1 PPO – Nr. of PPO with critical residence time

Figure 53 shows the alert list for the PPO key figure Nr. of PPO orders with critical residence time.

Figure 53: Operation – Alert list for Nr. of PPO with critical residence time


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Figure 54 shows the thresholds for rating, and Figure 55 shows the value range of the selection conditions.

Figure 54: Operation – Alert configuration for Nr. of PPO with critical residence time

Figure 55: Operation – Parameter value range for Nr. of PPO with critical residence time

The exception processor can click on the analysis button to display the order in PPO or use theanalysis button to process the order in PPO. It will jump into system BPP and start thetransaction BCA_PPO3 and BCA_PPO2.

2.4.4.2 PPO – PPO Order List

Figure 56 shows the alert detail view for key figure PPO Order List (low volume customer). For each newlycreated PPO order there is an alert message. In the alert message, the PPO order ID is displayed in theOrder ID column. The columns Process and Process ID provide the information on the related processwhere the order was created. Alert Message gives a summary of the alert.

Figure 56: Operation – Alert list for PPO Order List (low volume customer)


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In Figure 57, you can mark one alert message and click the button to directly jump into the PPO editscreen in the core banking system. The marked PPO order will be displayed for postprocessing as shown inFigure 58. The processor gets an overview of all PPO orders that should be processed in one screen and candirectly jump into the core banking system for the postprocessing. After processing the order in the corebanking system, the processor goes back to SAP Solution Manager and confirms the marked alert by usingbutton , the confirmed alerts will disappear from the alert detail view. When all red alerts areconfirmed in SAP Solution Manager, all PPO orders are solved.

Figure 57: Operation – Deal with alerts in PPO Order List

Figure 58: Operation – Process PPO order in Banking Services system

With the help of the exception handling monitor you get a central overview of the business exceptions in SAPSolution Manager. The exceptions are presented in a structured manner. The processor does not need tosearch for exceptions manually and frequently in the core banking system. Possible human error likeoverlooking exceptions can be prevented. It helps the bank to run SAP core banking products in a moreefficient way and reduces the possibilities of human failure.


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3 Further Information

3.1 Background Information and References

Below is a list of useful information regarding SAP Solution Manager and Business Process Monitoringhttp://service.sap.com/bpm Media Library Technical Informationhttp://service.sap.com/solutionmanagerhttp://service.sap.com/solutionmanagerbp List of Best Practice DocumentsSAP Note 521820SAP Note 784752

http://service.sap.com/bpm

http://service.sap.com/solutionmanager

http://service.sap.com/solutionmanagerbp


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Index of FiguresFigure 1: Overview – Business Process Monitoring in SAP Solution Manager 6Figure 2: Architecture of exception handling with SAP Solution Manager 6Figure 3: Starting screen of /SSA/CM2 in satellite system 8Figure 4: Define CpD account groups 8Figure 5: RTCCTOOL 9Figure 6: Solution overview 10Figure 7: Maintain solution landscape 10Figure 8: Solution landscape maintenance 11Figure 9: Maintain contacts in solution 11Figure 10: Maintain scenario 12Figure 11: Create business process 12Figure 12: Create business processes steps 13Figure 13: Set up business process monitoring 13Figure 14: Create support teams 14Figure 15: Assign user to support organization 14Figure 16: Select monitoring roles 15Figure 17: Activate business process steps 15Figure 18: Collector – Create new monitoring object 16Figure 19: Collector – List of available monitors 16Figure 20: Collector – Activate key figures 17Figure 21: Collector – Configure detail information 18Figure 22: Collector – Monitoring schedule 19Figure 23: Key figure Nr. of PPO with critical residence time – Selection screen 19Figure 24: Key figure Nr. of PPO with critical residence time – Threshold 20Figure 25: Key figure Nr. of PCO with critical residence time – Selection screen 20Figure 26: Key figure Nr. of PCO with critical amount – Selection screen 21Figure 27: Key figure Nr. of payments in CpD with critical residence time – Selection screen 21Figure 28: F4 help for item status 22Figure 29: Key figure Nr. of payments in CpD with critical amount – Selection screen 22Figure 30: Key figure PPO Order List – Selection screen 23Figure 31: Key figure PCO Order List – Selection screen 23Figure 32: Key figure CpD Payment Item List – Selection screen 24Figure 33: Application log – Activate application log monitor 24Figure 34: Application log – Add monitoring object 24Figure 35: Application log – Select alert type 25Figure 36: Application log – Define detail information 25Figure 37: Application log – Set monitoring schedule 25Figure 38: Application log – Total N* of Messages 26Figure 39: Application log – N* of Critical Messages 26Figure 40: Application log – Bank account 27Figure 41: Configure alert notification for each monitoring object 27Figure 42: Recipient type 27Figure 43: SAP Solution Manager work centers – Alert inbox 28


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Figure 44: Alert inbox detail view 28Figure 45: Operation – Application log detail info 29Figure 46: Operation – Application log in monitored system 29Figure 47: Operation – Application Log user exit 30Figure 48: Operation – Application log in monitored system: Start screen 31Figure 49: Operation – Application log message (bank account number) 31Figure 50: Operation – Application log message details 32Figure 51: Operation – Display standing order 32Figure 52: Operation – Display bank account information 33Figure 53: Operation – Alert list for Nr. of PPO with critical residence time 33Figure 54: Operation – Alert configuration for Nr. of PPO with critical residence time 34Figure 55: Operation – Parameter value range for Nr. of PPO with critical residence time 34Figure 56: Operation – Alert list for PPO Order List (low volume customer) 34Figure 57: Operation – Deal with alerts in PPO Order List 35Figure 58: Operation – Process PPO order in Banking Services system 35

Index of FiguresTable 1: List of available key figures 17Table 2: Possible value of posting date range 18


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