AspenAuditComplMgrV12 Inst

Aspen Audit and Compliance Manager
Installation Guide
Version Number: V12
October 2020
Copyright (c) 2020 by Aspen Technology, Inc. All rights reserved.
Aspen Audit & Compliance Manager, aspenONE, and the aspen leaf logo are trademarks or registered trademarks
of Aspen Technology, Inc., Bedford, MA.
All other brand and product names are trademarks or registered trademarks of their respective companies.
This document is intended as a guide to using AspenTech's software. This documentation contains AspenTech
proprietary and confidential information and may not be disclosed, used, or copied without the prior consent of
AspenTech or as set forth in the applicable license agreement. Users are solely responsible for the proper use of
the software and the application of the results obtained.
Although AspenTech has tested the software and reviewed the documentation, the sole warranty for the software
may be found in the applicable license agreement between AspenTech and the user. ASPENTECH MAKES NO
WARRANTY OR REPRESENTATION, EITHER EXPRESSED OR IMPLIED, WITH RESPECT TO THIS DOCUMENTATION,
ITS QUALITY, PERFORMANCE, MERCHANTABILITY, OR FITNESS FOR A PARTICULAR PURPOSE.
Aspen Technology, Inc.

20 Crosby Drive
Bedford, MA 01730
USA
Phone: (781) 221-6400
Toll Free: (888) 996-7100
URL: http://www.aspentech.com
Contents
1 Introduction .........................................................................................................1
Related Documentation ..................................................................................... 1
Help ..................................................................................................... 1
Manuals ................................................................................................ 1
Technical Support ............................................................................................ 2
2 Overview ..............................................................................................................3
aspenONE Overview ......................................................................................... 3
aspenONE Media .............................................................................................. 4
Licensing ......................................................................................................... 4
SLM License Server ................................................................................ 5
Localization ..................................................................................................... 6
Accessing aspenONE Documentation .................................................................. 6
Aspen Manufacturing Suite Overview .................................................................. 7
Batch Products ....................................................................................... 7
Aspen Audit & Compliance Manager Overview ...................................................... 7
Aspen Audit & Compliance Manager Features Overview ......................................... 9
Audit Integration between Production Execution Manager and AACM ............ 9
System Requirements ..................................................................................... 10
3 Installing Features and Subfeatures ..................................................................11

Overview....................................................................................................... 11
Granular Downloads ....................................................................................... 11
Before You Install ........................................................................................... 13
Feature Prerequisites ............................................................................ 13
Pre-Installation Checklist ....................................................................... 13
Installing Aspen Audit & Compliance Manager for the First Time ........................... 14
Getting Started .................................................................................... 14
Installation Welcome Page..................................................................... 16
License Terms and Conditions ................................................................ 18
Prerequisite Validation .......................................................................... 18
Client Installation ................................................................................. 20
Server Installation ................................................................................ 20
File Location ........................................................................................ 21
Specify Licensing and Security ............................................................... 22
Specify Account Information .................................................................. 23
Verify Your Installation ......................................................................... 23
Installation Progress ............................................................................. 24
Installing other AspenTech products ....................................................... 24
After You Install ............................................................................................. 24
Creating an Audit & Compliance Database ............................................... 24
Updating an Audit & Compliance Database .............................................. 36
Configuring ADSA ................................................................................. 38
Contents iii
Configuring Security ....................................................................................... 48
To implement Aspen Audit & Compliance Manager security ........................ 48
AFW Security Manager .......................................................................... 49
Create a user role ................................................................................ 49
Add members to a role ......................................................................... 50
Add Aspen Audit & Compliance Manager Application Security ..................... 50
Configuring Microsoft Internet Information Server (IIS) ...................................... 51
Verify the Installation ..................................................................................... 54
4 Upgrading or Repairing Features and Subfeatures .............................................57

Overview....................................................................................................... 57
Before You Upgrade ........................................................................................ 57
Stop event-generating applications......................................................... 57
Clear the queue ................................................................................... 58
Prepare the database ............................................................................ 58
Upgrading Aspen Audit & Compliance Manager and its Subfeatures ...................... 59
Upgrading your database software ......................................................... 60
Upgrading features and subfeatures ....................................................... 61
After You Upgrade .......................................................................................... 65
Verify the Upgrade ......................................................................................... 65
Start the New System ..................................................................................... 65
5 Removing Features and Subfeatures ..................................................................67

Overview....................................................................................................... 67
Before You Remove ........................................................................................ 67
Removing Features and Subfeatures ................................................................. 67
Microsoft Add/Remove Utility ................................................................. 67
Microsoft Taskbar ................................................................................. 68
Removing User Application and Registry files ........................................... 68
6 Troubleshooting .................................................................................................69
Common Problems ......................................................................................... 69
Error Messages .............................................................................................. 69
Software conflicts may cause the Viewer to malfunction ............................ 69
Manually-entered event messages do not display in the Viewer .................. 70
Unable to set Source properties ............................................................. 71
Event query session may time out .......................................................... 71
Oracle connection issues when database on a different machine than web
server ................................................................................................. 71
7 Checklists and Forms .........................................................................................73
Appendix A, Third-Party Applications ....................................................................77

Installing Oracle ............................................................................................. 77
Installing Microsoft SQL Server ........................................................................ 77
iv Contents
Appendix B, Deleting an Existing Audit & Compliance Database ...........................79
Appendix C, Automating Backup, Purge, Restore, and Archive Activities ..............81
Appendix D – Installing Internet Information Services (IIS) ................................97
Glossary ..............................................................................................................101
Index ..................................................................................................................107
Contents v
vi Contents
1 Introduction
This document describes how to install Aspen Audit & Compliance Manager
(AACM) on Microsoft Windows operating systems.
Note: This document does not include the installation of AspenTech industry
features.
Related Documentation
In addition to this document, a number of other documents are provided to
help users learn and use Aspen Audit & Compliance Manager. The
documentation set consists of the following:
Help
Aspen Audit & Compliance Administrator Help
Aspen Audit & Compliance Manager Help
Aspen Audit & Compliance Application Interface Help
Aspen Production Record Manager Help
Aspen InfoPlus.21 Help
Manuals
Aspen Audit & Compliance Manager Release Notes
Aspen Data Source Architecture Directory Server Installation Guide
Aspen Production Record Manager Configuration Guide
Aspen Production Record Manager Installation Guide
Aspen InfoPlus.21 Product Family Installation Guide
1 Introduction 1
Technical Support
AspenTech customers with a valid license and software maintenance
agreement can register to access the online AspenTech Support Center at:
https://esupport.aspentech.com
This Web support site allows you to:
 Access current product documentation
 Search for tech tips, solutions and frequently asked questions (FAQs)
 Search for and download application examples
 Search for and download service packs and product updates
 Submit and track technical issues
 Send suggestions
 Report product defects
 Review lists of known deficiencies and defects
Registered users can also subscribe to our Technical Support e-Bulletins.
These e-Bulletins are used to alert users to important technical support
information such as:
 Technical advisories
 Product updates and releases
Customer support is also available by phone, fax, and email. The most up-to-
date contact information is available at the AspenTech Support Center at
https://esupport.aspentech.com.
2 1 Introduction
2 Overview
This chapter provides an overview of Aspen Audit & Compliance Manager,

including the installation requirements and process. It contains the following:
 aspenONE Overview
 Aspen Manufacturing Suite Overview
 Aspen Audit & Compliance Manager Overview
 Aspen Audit & Compliance Manager Features Overview
 Installation Overview
 System Requirements
aspenONE Overview
aspenONE® is AspenTech’s comprehensive set of software solutions and
services. aspenONE products enable process industry companies to optimize
their engineering, manufacturing and supply chain operations. As a result,
AspenTech customers are better able to increase capacity, improve margins,
reduce costs, become more energy efficient, and achieve operational
excellence goals.
aspenONE solutions include the industry’s leading:
 Simulation and design products in the aspenONE Engineering suite
 Plant operations products in the aspenONE Manufacturing suite
 Supply chain management products in the aspenONE Supply Chain suite
 Predictive and prescriptive analytic products in the aspenONE Asset
Performance Management suite
The token-based aspenONE Licensing Model gives customers the flexibility to
access and use any aspenONE product at precisely the time it is needed. This
is especially critical in the dynamic market conditions of the process industries
‒ whether during down economies or in high-growth periods. This enables
customers to lower their risk while maximizing the return on their software
investment.
2 Overview 3
aspenONE Media
Unless you have special requested a USB drive, you will receive instructions
on how to download the aspenONE media.
Download the media that you are entitled to and extract the zip file(s) using a
zip extractor such as WinZip/7-Zip. You may choose from the following:
 Aspen Engineering – includes all Aspen Engineering products, Aspen
PIMS and Aspen Administration and Licensing components.
 Aspen Manufacturing and Supply Chain – includes all Aspen
Manufacturing products, Aspen Petroleum Supply Chain products,
aspenONE Supply Chain Management products, GDOT, and aspenONE
Infrastructure products as well as Aspen Administration and Licensing
components.
 aspenONE Asset Performance Management – includes all APM
products.
 aspenONE Software License Manager includes all Aspen
Administration components (Aspen SLM, Aspen SLM tools, and ALC Auto
Upload Tool).
Note: The product Release Notes and Installation Guides are included in the
Documentation sub-folders under each family of products. There is a link to
the Getting Started Guide on the Install Browser.
Licensing
To manage your product entitlement, you will receive one of the following
separately:
 A license file if you are using the SLM Server to manage the products to
which you are entitled.
 Aspen License Deployment Assistant (ALDA): ALDA is a utility that will
update a license server with the necessary licenses needed for a new
release without having to send a new license key for applicable suites and
qualified customers. For qualified customers, ALDA is available on the
electronic software download site.
 A pre-configured dongle containing your customer license file if you are
operating using a dongle to manage the products to which you are
entitled.
Note: An invoice noting the products for which you are licensed is sent
separately from the software shipment.
You will have access to one or more of the following:
 aaspenONE Token Media – Contains the media that supports the
aspenONE Licensing Model token-based system. This all-inclusive token-
based licensing model was introduced in July 2009. Under this licensing
model, customers are entitled to install and run all of AspenTech’s
products as long as they have purchased sufficient tokens. To install
software purchased under this commercial agreement, use this media.
4 2 Overview
Software installed from the aspenONE Token media requires run-time
token-based license keys.
 aspenONE Standard Media – Contains the media that supports
perpetual and pre-aspenONE Licensing Model token-based systems. If you
have perpetual license agreements or token-based license agreements by
product (pre-July 2009), you should use the media labeled Standard.
Software installed from the aspenONE Standard media requires older
license keys that have been in use since the aspenONE 2004 release.
Upgrading to the aspenONE Licensing Model for

Manufacturing and Supply Chain V8.x and above
If you have recently signed a new aspenONE Licensing Model agreement or if
you have superseded an old license agreement with an aspenONE Licensing
Model token-based license agreement for aspenONE Manufacturing and
Supply Chain, you will receive a new token-based license file. During
installation of any product in Aspen Manufacturing and Supply Chain, you will
get a message indicating that the newly installed software will use the token-
based license key. Accepting the warning message enables you to install the
software.
Notes:
 If If you do not have the updated token-based license file, please contact
AspenTech Customer Support.
 We have seen issues extracting large zip files on earlier versions of
Windows. If you do not have access to an extractor, you may use the zip
extractor utility on the Download Center.
 If you have an MSC perpetual license purchased prior to 2011 and are
entitled to Informatica upgrades, you can download the Informatica
software from the Download Center.
 Some products previously available on CD-ROM or DVD are not included.
If you do not find a product, please contact AspenTech Support at
https://esupport.aspentech.com.
SLM License Server

Before you install products, it is recommended that you install and configure
the SLM License Server.
When you deploy aspenONE V12 software on client machines, the SLM server
should be from the V12 release. When migrating to a new version of
aspenONE, the SLM Server should always be upgraded first, followed by the
SLM clients. This is done to avoid any potential incompatibility issues. During
this transition period, it is possible to have clients at a lower version than the
SLM Server.
For more information about licensing, please see Software License Manager
(SLM) Installation and Reference Guide on the aspenONE media.
2 Overview 5
Localization
The V12 release media includes all localized products that are available when
V12 is released. The Knowledge Base article #000093657 contains a
spreadsheet that identifies which products are localized and how to access the
localization.
Accessing aspenONE
Documentation
There are several ways to access Product Help files and context-sensitive Help
(these are available depending on the type of application):
 Clicking the Help button.
 Pressing F1 while in the application.
 Accessing the application’s Help menu.
 Clicking a Help icon. For example:
Documentation in PDF format can be found in the following ways:

 Installation Guides and Release Notes can be found by clicking the
corresponding link on the Welcome page of the aspenONE Installer.
 Logging onto the AspenTech Customer Support site, clicking Support in
the upper right-hand side and then clicking Product Documentation.
 Downloading all the available documentation (other than Help files) from
the AspenTech Customer Support website via the zip file of the aspenONE
Documentation.
For Aspen Plus, Aspen HYSYS, Aspen Exchanger Design and Rating, Aspen
Economic Evaluation, Aspen DMC3 Builder, and Aspen Fidelis Reliability only,
you can access additional documents by:
 Clicking the Aspen Knowledge icon on the Resources ribbon. (All products
except Economic Evaluation.)
 Entering a search string within the Search Aspen Knowledge search box –
available in the upper-right corner of the application. (All products except
Economic Evaluation.)
 Clicking Aspen Knowledge from the Help menu (Economic Evaluation
only).
6 2 Overview
Aspen Manufacturing Suite
Overview
The Aspen Manufacturing Suite applications deliver production dispatching,
production execution, historical data management, advanced control,
inferential modeling, process analysis, process monitoring, production
tracking, and quality management services for manufacturing environments.
AMS products consist of desktop and server applications that are usually
installed on different computers.
Server applications are generally expected to run continuously in the
background, without user intervention. In contrast, desktop applications are
used interactively in accordance with the user’s normal workflow. Many of the
desktop applications are considered clients of the server applications because
they make requests of the server applications.
The AMS suite of products includes the following:
 Batch Products
 CIM-IO Interface Products
 Enterprise Applications
 Information Foundation Products
 Production Control Products
 Production Management Products
Batch Products
The Aspen Manufacturing Suite includes three products targeted at batch
operations:
 Aspen Production Record Manager organizes batch-processing
information for monitoring and analysis.
 Aspen Audit and Compliance Manager maintains 21CFR11-
compliance-enabled audit trail messages on behalf of AMS products like
InfoPlus.21 and Production Record Manager that generate audit trail
messages.
 Aspen Production Execution Manager which provides work order
management, procedures management, recipe management, and
documentation management functions that facilitate tracing of raw
materials and operations through electronic batch records.
Aspen Audit & Compliance

Manager Overview
The following diagram illustrates the very basic architecture of the Aspen
Audit & Compliance Manager system as well as data flow through the system.
Aspen Audit & Compliance Manager is designed to support a 21CFR11-
2 Overview 7
compliance-enabled processing environment and ensures data integrity from
event creation to database storage, providing guaranteed event delivery.
Aspen Audit & Compliance Manager Data Flow

AspenTech event-generating applications submit event messages of various
types to the Aspen Audit & Compliance Manager Application Interface (API)
which resides with each event-generating application process. Event-
generating applications include:
 Aspen Framework (AFW)
 Aspen Production Record Manager (Production Record Manager)
 Aspen InfoPlus.21
 Aspen Audit & Compliance Manager
 Aspen Production Execution Manager (Production Execution Manager),
(uses new Extractor Service to send audit information to AACM)
 Aspen Operations Reconciliation and Accounting
 Aspen Manufacturing Master Data Manager
8 2 Overview
The Audit & Compliance system uses store-and-forward technology to record
events. Event messages are placed in the Audit & Compliance message queue
by the event-generating applications using the AACM API. This reduces the
time taken by event-generating applications to record an event. The Audit &
Compliance Server then extracts the events from the message queue and
records them to a secure MS SQL or Oracle database.

Manager Features Overview
During the installation process, you have the option of installing the following
Aspen Audit & Compliance Manager features.
Feature Description Notes (Licensing Information)
Audit & Core server component, Required component.

Compliance including the application
Server interface and database
Aspen Audit & Core client component Required component for those
Compliance used to perform computers to be used by Aspen
Administrator administration activities Audit & Compliance Manager
for Aspen Audit & administrators
Compliance Manager
Aspen Database Creates and upgrades
Wizard the Audit & Compliance
Database
Extraction Extracts audit data from Optional component
Service Production Execution
Manager and sends it to
AACM.
Audit Integration Audit integration Optional component
between Production
Execution Manager and
AACM that allows for the
movement of Production
Execution Manager audit
data and report
functionalities to AACM.
Audit Integration between Production

Execution Manager and AACM
A new feature added in V7.1 is the audit integration between Aspen
Production Execution Manager (Production Execution Manager) and Aspen
Audit & Compliance Manager (AACM) that allows for the movement of
Production Execution Manager audit data and report functionalities to AACM.
AACM serves as the organization’s central audit database that provides a
unique data source and uniform reporting across different products.
This integration contains three components:
2 Overview 9
 On the Production Execution Manager side, audit data is written to the
Production Execution Manager database. A Production Execution Manager
-AACM Services is responsible for polling the Production Execution
Manager database for audit data and sending the audit data to the AACM
event queue through the AACM COM API.
 The AACM event queue handler engine monitors the event queue and
writes the event to the AACM database.
 On the AACM side, users can query audit database through the AACM web
user interface based on user-defined query. The AACM server’s web
component is responsible for querying data and providing formatted data
display.
System Requirements
For the most up-to-date hardware and software requirements that must be
met in order to install AspenTech products, refer to the following website:
https://www.aspentech.com/platform-support
Note: AspenTech typically does not retest prior versions of our products on
newly-released versions of databases or operating systems.
10 2 Overview
3 Installing Features and
Subfeatures
Overview
This chapter explains how to install the current version of the Aspen Audit &
Compliance Manager products. This installation assumes that you do not
currently have Aspen Audit & Compliance Manager installed on your
computer.
The AspenTech Installer can guide you through the installation of a single
product as well the installation of a group of products that are integrated to
provide industry solutions. This manual describes the installation of Aspen
Audit & Compliance Manager within the AspenTech Production Record
Manager family of products.
Note: This chapter describes how to install Aspen Audit & Compliance
Manager. It does not describe how to install other AspenTech products. If you
choose to install Aspen Audit & Compliance Manager simultaneous with other
AspenTech products or currently have AspenTech products residing on your
computer, some installation dialog boxes you encounter may not be described
in this guide. Refer to the various product installation guides for descriptions
of these dialog boxes.
Granular Downloads
aspenONE V12 includes the ability to download some individual
products/product families that can be used independently of a full suite.
These sub-components are referred to as granular downloads. The granular
downloads are used to provide smaller downloads in situations where
customers only need a specific product/product family. If more than one
granular download is needed, it is recommended that the entire suite is
downloaded because it may take less time overall as opposed to downloading
two or more sub-components.
V12 Engineering (ENG): In the case of the ENG media, users can download
the entire suite or one of the items listed under the ENG group:
o Aspen Economic Evaluation
3 Installing Features and Subfeatures 11

o Aspen Exchanger Design and Rating with Aspen Properties, Aspen
Simulation Workbook and Aspen Version Comparison Assistant
o Aspen Simulation Workbook
o Aspen Multi-Case
o Aspen Cim-IO & Process Data*
*The CIM-IO & Process Data software is from the Manufacturing & Supply
Chain suite and is useful for customers deploying a 3rd party historian and is
included for convenience. Note: The Aspen Cim-IO & Process Data software is
not a part of the overall Engineering suite download, and only available as a
separate download.
V12 Manufacturing & Supply Chain (MSC): In the case of the MSC media,
users can download the entire suite or one of the items listed under the MSC
group:
o V12 Batch APC
o Aspen Supply Chain Management
o Aspen Planning, Scheduling and Blending, Supply & Distribution
o Aspen Manufacturing Execution Systems & Advanced Process Control
o Aspen Unified
o V12 Aspen GDOT Online
o V12 Aspen GDOT Offline & Unified GDOT Builder
o Aspen Informatica PowerCenter 10.4
o Aspen Cim-IO & Process Data
V12 Asset Performance Management (APM): In the case of the APM
media, there is no downloadable suite. Users can download the products
listed below the APM group:
o Aspen Asset Analytics
o Aspen Fidelis
o Aspen ProMV
o Aspen Mtell
o Aspen Mtell for Oil Well Optimization
o Aspen Asset Performance Management Insights
o Aspen Enterprise Insights On-Premise Stack
V12 Aspen Internet of Things (AIoT): In the case of the AIoT media,
there is no downloadable suite. Users can download the products listed below
the AIoT group:
o Aspen Cloud Connect
o Aspen Edge Connect
Software License Manager (SLM): In the case of the SLM media, the only
granular download is ALDA:
o aspenONE License Deployment Assistant (ALDA)
12 3 Installing Features and Subfeatures

Before You Install
Feature Prerequisites
Note: Products that run as Plantelligence/Enterprise Optimization solutions
use the Aspen Framework Server. If you are a Plantelligence/Enterprise
Optimization licensee, ensure that your system administrator has properly
installed the Aspen Framework Server.
Pre-Installation Checklist
Before installing Aspen Audit & Compliance Manager products, you must
perform pre-installation tasks.
 Read the aspenONE Deployment Guide.
 Read this manual in its entirety before starting your
installation.
 Read the Aspen Audit & Compliance Manager Release
Notes.
 Confirm system recommendations. See “System
Requirements” in the “Overview” chapter.
 Complete the Aspen Audit & Compliance Manager pre-
installation worksheet. See the “Checklists and Forms”
chapter.
 Install required third-party software:
Relational database:
 Microsoft SQL Server
 Oracle server and client
Note: For details, see Appendix A, “Third-Party
Applications.”
 If you are using an Oracle database, create a local net
service name as documented on the “Checklists and Forms”
 See Appendix A, “Third-Party Applications”
 See the “Checklists and Forms” chapter
 If you have a Plantelligence/Enterprise Optimization
license, also install Aspen Framework (AFW). See the
Aspen Framework Server Installation Manual.
 Shut down all client applications and all services.
Note: The Aspen Silent Install tool allows system administrators to control
the unattended installation of Aspen products to individual computers without
requiring user interaction. System administrators can create several
configurations for deployment to different groups of computers. For details
about using this client application deployment utility, see the Aspen
Manufacturing Suite Deployment Guide.
You are now ready to install Aspen Audit & Compliance Manager and its
companion applications. In addition to Aspen Audit & Compliance Manager,
you will also install the following applications.

Product For More Information
Software License Manager (SLM) See this chapter and the Software
License Manager (SLM)
Installation and Reference Guide.
Event-generating applications (as See Chapter 2, “Overview,” for
applicable): introductory information about
 Production Execution Manager these applications. Also see this
 InfoPlus.21 chapter and the following
manuals:
 Production Record Manager
Installation Guide
 InfoPlus.21 Installation Guide
Note: For information about configuring your system, see the “After You
Install” section.
Installing Aspen Audit &

Compliance Manager for the
First Time
Log on using the account name and password of an account in the
Administrators group of the target computer.
Note: Before you begin installation, you will want to review the What’s new
document and Release notes and print copies of the Installation Guides for
products that will be installed. Those documents are included under each
suite’s folder on the media in your package.
Getting Started
1. You can begin your software installation by clicking on the media
download or inserting the aspenONE media into the USB drive. The
AutoPlay dialog box is displayed.
2. Select Run aspenONE Install Browser.
3. User Account Control confirmation
Before you see the welcome page, you may see the following:

You must click Yes to continue.
If you do not see this dialog box or something similar, you may have
accessed the installation incorrectly and in doing so, appropriate settings
may not occur. The consequence is that the applications may not run
correctly or errors may appear even though the installation seems to
complete successfully. If this dialog box does not appear, cancel the
installation and re-launch setup.exe to start the installation again.
Carefully read the instructions, make your selections and proceed with the
installation.
Note: If patches are available for the product that you are installing, a
screen may appear that lets you view the patches before you install. You
will also have an opportunity to view the updates after you finish the
installation process.
The AspenTech Suite selection screen displays. The screen you see varies
depending on how you are accessing the Aspen Production Record
Manager installation.

The following links are available:
o Patents – Allows you to download a document with a list of recent
patents.
o Need Help? – Connects to the AspenTech Support Web site, where
you can find knowledge base articles, tips, and solutions to known
problems.
o Getting Started – Links to brochure containing information about
prerequisites, installing and upgrading the software, documentation
and translated versions.
o What’s New? – Links to a description of new features.
4. Click INSTALL NOW.
Installation Welcome Page

The AspenTech Installation Welcome Page provides options to install or
upgrade aspenONE products, configure licensing, and create install scripts for
unattended installations.
The following links are available on the left side of the aspenONE Installer
Welcome Page:
 Get Started Guide – Opens the AspenTech Deployment Solutions Web
site.
 Installation Guides – Opens a folder that contains all the Installation
Guides for the products.
 Release Notes – Opens a folder that contains all the Release Notes for
the products.
 aspenONE Product Documentation – Opens the AspenTech Support
Web site.
 aspenONE Update Center – Connects to the Aspen Support Update
Center so that you can check to see if there are patches available for the

product(s) that you are installing. You must be a registered user on the
Support Web site to access the Update Center.
 Unattended Install Notes – Provides instruction on creating an
unattended installation.
 Support Services – Connects to the AspenTech Support Web site, where
you can find knowledge base articles, tips, and solutions to known
problems.
 AspenTech Home – Connects to the AspenTech Web site.
Contact Us – Connects to the AspenTech Support Web site, where you can
obtain the latest e-mail and telephone contact information and find the
AspenTech Support location closest to you. You can see hours of operation for
global support and submit your support issues.
The following options are available on the aspenONE Installer Welcome Page:
 Install aspenONE products – Launches the installation process during
which you will select new products to be installed on this computer.
 Repair – Repair existing installation errors.
 Prepare Deployments (For IT Personnel/Deployment Groups) –
Create install scripts and copy media to automate software deployment.
Note： Be sure that the SLM license server or standalone license is available
prior to installation. SLM tools are automatically install when installing
aspenONE products.
5. Click Install aspenONE Products.

License Terms and Conditions
6. Select I accept the terms of the agreement and click Next to

continue.
Prerequisite Validation

This screen will only appear if prerequisites are missing.
Note: Since V11, AACM does not require Java Runtime Environment (JRE).
In V12 the capability to install and/or configure some of the product pre-
requisites during the Aspen software installation process – mostly Microsoft
Internet Information Service (IIS) was added. If the prerequisites window
appears, you will see the Install Prequisites option at the bottom of the
screen. Here is a description of the icons related to installing pre-requisites.
(These must be installed before the AspenTech installation can proceed). You
may also encounter other icons that are informational only.
 This item can be installed automatically by selecting Install

Prerequisites.
 or This item cannot be installed automatically by selecting Install

Prerequisites. Select the link in the item’s description to open an
AspenTech support site link that describes how to install this item.
 This item is informational.

To install the prerequisites:
1. Click Install Prerequisites if you want to install or configure the relevant
prerequisites.
2. When the Install Prerequisites option is selected, the Install Prerequisites
screen appears. This will identify which prerequisites can be installed
and/or configured.
3. All options will be checked by default – unselect any that you do not want
installed automatically and then click Install.
4. Click “x” to close the window and return to the installation progress.

Client Installation
Server Installation

File Location
Notes:
 Once the installation of any AspenTech product to the default folder has
been completed, this folder cannot be changed and the Change Current
Destination Folder dialog box will no longer display. Any further
AspenTech installations on the computer are made to that folder by
default.
 Common features are always installed in the Program files\Common
Files\AspenTech Shared folder regardless of the destination location
selected.

Specify Licensing and Security
An option is available to specify buckets. If you use buckets, you can specify
them during the install or later using the SLM Configuration Wizard. Also,
when Resolve server name is checked, the fully qualified server name is used
in the registry. If you use aliases, you can uncheck this setting.

Specify Account Information
Verify Your Installation

Installation Progress
Installing other AspenTech products

At this point, you can choose to install other AspenTech products.
Important: The Product Selection dialog box displays the space required
to install the products you have selected. If there is not enough space on the
destination disk to install all the products you have selected, a warning
message appears. You can choose to install anyway, and the installation
program installs as many of the products that you selected as possible.
After You Install

Creating an Audit & Compliance Database
The Aspen Database Wizard assists you in creating the Audit & Compliance
Database as well as in adding privileged internal users and database objects.
Start the wizard following initial Aspen Audit & Compliance Manager
installation. You may also choose to delay the configuration of the Audit &
Compliance Database to a later time. To launch the Aspen Database Wizard,
select Start | Aspen Configuration | Aspen Database Wizard.
For Windows Server 2012 R2, click and then select Aspen Database
Wizard from the Start interface.

Important: Either an MS SQL Server or Oracle database management
system must be installed and running prior to creating an Audit & Compliance
Database.
Note: MS SQL server collation must not be set to case-sensitive for the
instance of MS SQL Server where the Audit & Compliance Database resides.
You may use MS SQL Server Enterprise Manager to confirm this setting.
Note: Whether you choose to create the Audit & Compliance Database with
system authentication or database authentication, you must be a database
owner with database owner permissions, such as those granted to the
ASPENAE and ASPENREAD user accounts, to successfully create the database.
1 Start the Aspen Database Wizard following an initial Aspen Audit &
Compliance Manager installation. You may also choose to delay the
configuration of the Production Record Manager database to a later time.
To launch the Aspen Database Wizard, select Start | Aspen Configuration |
Aspen Database Wizard and click Next.
For Windows Server 2012 R2, click and then select Aspen
Database Wizard from the Start interface.
Important: Either an MS SQL Server or Oracle database management
system must be installed and running prior to creating an Audit &
Compliance Database.
Note: MS SQL Server collation must not be set to case-sensitive for the
instance of MS SQL Server where the Audit & Compliance Database
resides. You may use MS SQL Server Enterprise Manager to confirm this
setting.
2 On the Choose an AspenTech product dialog box, choose the Aspen Audit
and Compliance Manager option as the Aspen product for which to create
the database.

3 Click Next. The Create a new database or upgrade an existing
database dialog box displays.
4 To configure the Audit & Compliance Database, choose the Create the
database/tablespace, users and database objects (Recommended)
or the Create the database objects in an existing database options
and click Next.
o The Create the database/tablespace, users and database
objects (Recommended) option allows you to automatically create a
complete Oracle or MS SQL Server database.
Note: AspenTech recommends this option for new installations.
o The Create the database objects in an existing database option
allows you to create the tables and objects for the Audit & Compliance
Database, both manually and automatically. Before you select this
option, you must create the database and privileged users.
Note: For details on choosing the Update the existing database and
database objects option, see the “Upgrading the Audit & Compliance
Database” subsection for details on choosing the Update the existing
database and database objects option.

5 Read the Connect to the database message box to determine the type
of database provider and database server you want to use to create your
Audit & Compliance Database. Click Next.
6 Select the Provider tab on the Data Link Properties dialog box. Then
select the Microsoft OLE DB Provider for SQL Server for an SQL
Server database or select Oracle Provider for OLE DB for an Oracle
database.

Data Link Properties dialog box for SQL Server
Data Link Properties dialog box for Oracle

7 Click Next. The Connection tab is displayed.
The Data Link Properties - Connection tab is slightly different for an
Oracle or MS SQL Server connection. For your database type, see “Oracle
Connection” or “MS SQL Server Connection.”
Oracle Connection
o In the Data Source: box, enter an existing server name with which to
connect to the Oracle database.
Or
o Select the Use a specific user name and password option to use
database authentication to access the Production Record Manager
database. If you choose this option, enter the User name and
Password of the relational database user (i.e., system administrator or
database administrator) and check the Allow saving password
option.
Notes:
 AspenTech does not recommend selecting the Blank password check
box.
 You do not need to use the Advanced or All tabs on the Data Link
Properties dialog box.

Connection Tab for Oracle on Data Links Properties dialog box
MS SQL Server Connection

o In the Select or enter a server name: list, select or type an existing
server name with which to connect to the MS SQL Server database.
Note: Click Refresh to update the list of server names.
Or
Select Use a specific user name and password to use database
authentication to access the Production Record Manager database. If
you choose this option, enter the User name and Password of the
relational database user (i.e., system administrator or database
administrator) and check the Allow saving password option.
Note: AspenTech does not recommend selecting the Blank password
check box.
o Select the Select the database on the server: option but leave the
list blank.
Note: You do not need to use the Advanced or All tabs on the Data Link

Connection Tab for SQL Server on Data Links Properties dialog box
8 Click Test Connection. The Microsoft Data Link message box appears
to inform you if the test connection succeeded. If the test connection was
successful, click OK to close the Microsoft Data Link message box.
Note: If the test connection was unsuccessful, return to Step 6 to redefine
your choices on the Connection tab.
9 Click OK on the Data Link Properties dialog box to display the Aspen
Database message box informing you that the database connection was
opened. Click Continue.
10 In the Specify database location dialog box, enter the full path (DOS or
UNIX) or browse to the location where you want to put the Aspen Audit
and Compliance Manager database in the Enter the path of the
directory to store the Audit and Compliance Manager database:
box.
Note: The path is the path of the machine where your database server is
located. It could be a local or remote machine. For a database server
installed on a local machine, the Database Wizard will check the path and
prompt you to create one if the path does not exist. For a database server
installed on a remote machine, the Database Wizard will fail to create the
database if the path does not exist.

11 Type the estimated size of the Audit & Compliance Database and the
amount the database must be expanded each time the size exceeds the
maximum allocated in the Size: and Growth increment: boxes
respectively. The values default to 100 megabytes and 500 megabytes
respectively. Click Next.
Note: The Maximum size: box is the largest size to which the Production
Record Manager database can grow if the Unlimited check box is not
selected. The default value is 500 megabytes in the Size: box.
o Select the Unlimited check box if you want the database to expand
until it reaches the storage capacity of the disk on which it resides. If
this option is selected, the Maximum Size value is overridden.
o Click Next. The Aspen Database Wizard – Database Temporary
Segment/Log File Location dialog box is displayed.
Note: After clicking Next, the Database Wizard will prompt you if the
database has been created before. It is recommended to upgrade the
database rather than perform a new database creation. You could choose
Yes to overwrite the initial database or choose No to cancel the database
creation progress.
12 In the Specify transaction log location dialog box, enter the full path
(DOS or UNIX) or browse to the location where you want to save the
temporary segments (for Oracle) or a log files (for SQL Server) for the
Audit & Compliance Database.
Note: The path is the path of the machine where your database server is
located. It could be a local or remote machine. For a database server
installed on a local machine, the Database Wizard will check the path and
prompt you to create one if the path does not exist. For a database server
installed on a remote machine, the Database Wizard will fail to create the
database if the path does not exist.

13 Enter and verify the password of the Aspen Audit & Appliance Manager
internal database owner account in the Specify the internal database
account dialog box. Click Next.
14 Click Next. The Choose authentication method dialog box displays:

o If you chose the Windows authentication method, select the Create
user for operating system authentication option and enter the

domain and user for the account under which the Audit & Compliance
Server is running.
o If you chose to only use database authentication for Aspen Audit &
Compliance Manager ADO connection string, select the Do not create
user for operating system authentication.
15 Click Next. The Create ADSA data source dialog box displays.

16 Select the Create ADSA data source check box to create the required
ADSA data source to automatically create the database for Production
Record Manager:
o Select the data source from the Data source name list.
17 Click Finish to create the database on the Verify database information
dialog box.
19 Click Close at the Creating the database dialog box indicating that the
Audit & Compliance Database was successfully completed.

Important! When Aspen Database Wizard creates a new SQL Server
database, the Recovery Model will be set to the server's default setting; there
is no opportunity to override this in the wizard. Inappropriate setting of the
Recovery Model feature can lead to failure of the database’s ability to record
information. This will certainly happen if the Recovery Model is set to FULL
but backup logs are not actively being managed by an experienced database
administrator. It should be clear that this is a problem with the database
administration rather than the software.
After creating the new SQL Server database, make sure you manually check
and set the Recovery Model to the appropriate setting for your particular
circumstance. To decide upon the optimal Recovery Model for a particular
database, you should consider both the recovery goals and requirements for
the database and whether you can manage log backups.
For more advice on this please see articles in the Microsoft TechNet Library,
such as “Choosing the Recovery Model for a Database.”
Creating Public Synonyms

You can use database scripts to create or drop public synonyms. The scripts
can be found at:
 For 32-bit systems: C:\Program Files (x86)\Common Files\AspenTech
Shared\DatabaseWizard\Scripts\AuditAndComplianceManager\Oracle
 For 64-bit systems: C:\Program Files\Common Files\AspenTech
Shared\DatabaseWizard\Scripts\AuditAndComplianceManager\Oracle
The script to create synonyms is: create_public_synonyms.sql
The script to drop synonyms is: drop_public_synonyms.sql

Open the script and replace <DBOWNER> with the correct database owner
name, then run the script. During an upgrade the Audit and Compliance
Manager database has public synonyms created. First upgrade the database
to the latest version, then run the script to drop the public synonyms, finally
run the script to create public synonyms. These steps help you to have
synonyms for all the tables including the new ones in the latest version.
Updating an Audit & Compliance Database

The Aspen Database Wizard assists you in updating the Audit & Compliance
Database as well as in adding privileged internal users and database objects.
Note: Whether you choose to update the Audit & Compliance Database with
system authentication or database authentication, you must be a database
owner with database owner permissions, such as those granted to the
ASPENAE and ASPENREAD user accounts, to successfully update the
database.
To update an existing Audit & Compliance database and

database objects:
1 To launch the Aspen Database Wizard, select Start | Aspen
Configuration | Aspen Database Wizard and click Next.
For Windows Server 2012 R2, click and then select Aspen
Database Wizard from the Start interface and click Next.
2 On the Choose an AspenTech product dialog box, choose the Aspen

Audit and Compliance Manager option as the Aspen product for which
to upgrade the database. Click Next.

3 To configure the Audit & Compliance database, choose the Update the
existing database and database objects option. Click Next.
4 Read the Connect to the database message box to determine the type
of database provider and database server you want to use to upgrade
your Audit & Compliance database. Click Next.

5 Go to Step 6 of the “Creating an Audit & Compliance Database” subsection
in “After You Install.” The upgrade dialog boxes from this point on are the
same as the first-time installation dialog boxes.
Configuring ADSA
Before You Configure ADSA

Before configuring ADSA, ensure that your Audit & Compliance Database is
created using the Aspen Database Wizard.
Configure an ADSA Public Data Source

Use the instructions in this section to configure an ADSA Public Data source as
your Audit & Compliance Database.
Important: AspenTech recommends the use of public data sources, not user
data sources.
1 On the ADSA Directory Server computer, open the ADSA Data Source
Config Tool from the Windows Start menu by selecting Start | Aspen
Configuration | ADSA Client Config Tool. The ADSA Properties dialog
box appears.
For Windows Server 2012 R2, click and then select ADSA Client
Config Tool from the Start interface.

ADSA Properties dialog box – Client Installation

ADSA Properties dialog box – Server Installation
2 Click Public Data Sources. The Aspen Public Data Sources dialog box
appears.
Aspen User Data Sources dialog box

Aspen Public Data Sources dialog box
3 From the Aspen Public Data Sources/Aspen User Data Sources list,
select the data source you want to use for Aspen Audit & Compliance
Manager.
4 Click Edit…. The <data source name> dialog box appears.
5 Click Add. The Add Service dialog box appears.

6 Select Aspen Audit and Compliance Database.
7 Click OK. The Aspen Audit and Compliance Database Properties
dialog box appears.
Define a Server Connection String
For an MS SQL Server Database

1 Click Setup… on the Aspen Audit and Compliance Database
Properties dialog box for the Server Connection String option. The
Data Link Properties dialog box appears.
2 On the Provider tab, select Microsoft OLE DB Provider for SQL
Server.

Data Link Properties for MS SQL Server
3 Click Next. The Connection tab appears.

Connection information for MS SQL Server
4 Select or enter a server name with which to connect to the database at
Select or enter a server name.
5 Select an applicable option for your server login in the Enter information
to log on to the server:.
o To use Windows authentication, select the Use Windows Integrated
security option.
o To use database authentication:
Select the Use a specific user name and password option.
Enter the User name and Password of a database user with the
appropriate permission level; for example, ASPENREAD account or
database administrator (DBA).
Select the Allow saving password checkbox.
6 Choose AuditAndCompliance from the Select the database on the server
list.
to inform you of the success of the test.
8 If the test connection was successful, click OK. If the test connection was
unsuccessful, redefine your choices on the Connection tab and return to
Step 4.

Note: You do not need to use the Advanced or All tabs on the Data Link
Your MS SQL Server data source is now configured in ADSA.
For an Oracle database:

1 Click Setup… for the Server Connection String option. The Data Link
Properties dialog box appears.
Data Link Properties dialog box -- Provider Tab for Oracle
2 On the Provider tab, select Oracle Provider for OLE DB.

3 Click Next>>. The Connection tab appears.

Data Links Properties dialog box – Connection Tab for Oracle
4 Enter a server name with which to connect to the database at Enter the
data source and/or location of the data. Also see the “Before You
Install” section above for information on creating this name.
5 Enter the User name and Password of a database user with the
appropriate permission level at Enter information to log on to the
server; for example, system administrator or database administrator
(DBA).
6 Select the Allow saving password checkbox.
to inform you of the success of the test.
8 Click OK to close the message box.
Notes:
 If the test connection was unsuccessful, redefine your choices on the
Connection tab and return to Step 4.
 You do not need to use the Advanced or All tabs on the Data Link
 Additional Oracle software must be installed on the Oracle client and
database to enable NTS authentication.
 Go to the “Define a Server Connection String” section below to continue
configuring ADSA.

Configure an ADSA User Data Source:
Use the instructions in this section to configure a local ADSA user data source
as your Audit & Compliance Database.
Important: AspenTech recommends the use of public data sources, not user
data sources.
1 On the ADSA Directory Server computer, open the ADSA Data Source
Config Tool from the Windows Start menu by selecting Start | Aspen
Configuration | ADSA Client Config Tool. The ADSA Properties dialog
box appears.
For Windows Server 2012 R2, click and then select ADSA Client
Config Tool from the Start interface.
2 Clear the Use Public Data Source check box.
3 Click User Data Sources. The Aspen User Data Sources dialog box
appears.
Aspen User Data Sources dialog box

4 Start at Step 3 and complete instructions in the “Configure an ADSA Public
Data Source” section above.
5 Complete instructions in “Define a Server Connection String” sections
above.

Configuring Security
The Aspen Framework (AFW) or Aspen Local Security (ALS) provides the
framework for Aspen Audit & Compliance Manager security. Both Aspen
Framework and Aspen Local Security use the AFW Security Manager to
configure Aspen Audit & Compliance Manager security.
The AFW Framework Security Manager can be found at the following
locations:
Security Application Is Located On:
Aspen Local Security the computer where Aspen Local

Security is installed
Aspen Framework Security the Framework server
Note: Security is not enabled when Aspen Audit & Compliance Manager is
first installed; users have wide-open access to Aspen Audit & Compliance
Manager. To configure Aspen Audit & Compliance Manager security, complete
the necessary steps described in this section.
For general information about Aspen Framework Security see the Aspen
Framework Server Installation Manual.
To implement Aspen Audit & Compliance

Manager security
General Procedure
To fully implement Aspen Audit & Compliance Manager security, security must
be configured at the application level using the AFW Security Manager. The
general steps that must be completed to fully implement Aspen Audit &
Compliance Manager security include:
1 Import the AuditAndComplianceManager.xml file.
2 Create new user roles.
3 Add members (users) to the roles
These steps are described in the sections below.
Notes:
 Steps 2 and 3 below may not apply to your Aspen Audit & Compliance
Manager system. If you are upgrading from an Alarm and Event 4.1
system that has security configured, all AFW user roles and permissions
will be preserved. Complete steps 2 and 3 only if you want to create new
AFW user roles.
 If you have previously imported the AuditAndComplianceManager.xml file
(if Aspen Audit & Compliance Manager is listed as an application in the
AFW Security Manager), you do not need to re-import the
AuditAndComplianceManager.xml file as described in step 3.

AFW Security Manager
The procedures described in this section are performed using the AFW
Security Manager.
Import the AuditAndCompliance

Manager.xml file
The next step in implementing Aspen Audit & Compliance Manager security is
to import the AuditAndComplianceManager.xml application into the AFW
Security Manager.
1 Open the AFW Security Manager on either the local computer: Start |
AspenTech | Aspen Manufacturing Suite| Aspen Local Security |
AFW Security Manager.
—OR—
On the Framework server: Start | | AspenTech | AFW Security
Manager.
For Windows Server 2012 R2, click and then select AFW Security
Manager from the Start interface.
2 In the left pane of the AFW Security Manager, right-click on Applications.
Then select All Tasks | Import Application.
3 Browse to the AuditAndComplianceManager.xml file. This file is located on
the computer where Aspen Audit & Compliance Manager is installed from
the following location:
o For 64-bit:
C:\ProgramFiles\AspenTech\AuditAndCompliance\Server\setup.
o For 32-bit:
C:\ProgramFiles (x86)\AspenTech\AuditAndCompliance\Server\setup.
4 Click OK. The AuditAndComplianceManager.xml file is loaded into the AFW
Security Manager. Audit & Compliance Manager will be listed under
Applications in the AFW Security Manager.
Create a user role

For each user role you want to create:
1 In the left pane of the AFW Security Manager right-click Roles.
2 From the shortcut menu, select New and then select Role.
3 In the New Roles dialog box, enter the following:
Field Description
Name A name for the new role, for example, Operator.

Description A description of the new role.
4 Click OK. The role now appears in the right pane of the AFW Security
Manager.

Note: For additional information on creating roles, see the Aspen Local
Security Server Installation Manual or the Aspen Framework Server
Installation Manual.
Add members to a role

After you have created user roles you can assign members or user groups to
those roles. All members or user groups assigned to a particular role share all
of the permissions associated with that role.
1 In the right pane of the AFW Security Manager, right-click the role to
which you want to assign members and select Properties.
2 Click the Members tab of the Audit & Compliance Manager
3 Click Add to add members to the role using the Select Users or Groups
dialog box and click OK.
4 Click OK again to return to the AFW Security Manager.
Add Aspen Audit & Compliance Manager

Application Security
Application security allows you to define security that applies to the Aspen
Audit & Compliance Manager application. There are two methods for adding
Aspen Audit & Compliance Manager application level security:
 the Audit & Compliance Manager dialog box
 manual entry
Audit & Compliance Manager Properties dialog

box
For each role that you want to define:

1 In the left pane of the AFW Security Manager, right-click on Audit &
Compliance Manager and select Properties. The Audit & Compliance
Manager Properties dialog box appears.
2 Select a role from the Role list for which you want to assign an Aspen
Audit & Compliance Manager permission and select one of the permissions
below.
Permission Description
Read Read event data
Write Write event data

Full Read and write event data
Administer Aspen Audit & Compliance Manager
administration. This permission includes:
configuration and administration activities,
including the ability to stop and start queue
processing.

Note: Event-generating applications must have Write permission defined for
Aspen Audit & Compliance Manager. Likewise, the Aspen Audit & Compliance
Administrator must have Administer permissions as a minimum.
Caution: Do not change the value id, (0x00000008) of the Administer
permission. This value id is required for Aspen Audit & Compliance Manager
security.
3 Click OK. Security for your Aspen Audit & Compliance Manager system is
now configured.
Manually adding application security
For each role that you want to define:

1 Right-click on Application in the AFW Security Manager and select New |
Application from the shortcut menu.
2 Type Audit & Compliance Manager in the Name box and click OK.
To manually create the Administer permission:

1 Right-click on Audit & Compliance Manager and select Properties.
2 Click the Permission Properties tab.
3 In the Name textbox, type “Administer” and assign the value
0x00000008.
Important: The Aspen Audit & Compliance Manager application name

entered must be Audit & Compliance Manager. The Administer
permission must be assigned the value id of 0x00000008.
4 Click OK. Security for your Aspen Audit & Compliance Manager system is
now configured.
Configuring Microsoft Internet

Information Server (IIS)
In order for security in the Aspen Audit & Compliance Manager to work
properly, it is necessary for users to configure IIS in order to disable
anonymous access and enable integrated security.
IIS is installed with anonymous access enabled. If using an Oracle database
and OS authentication, you must configure Internet Information Services.
This includes disabling Anonymous Access and enabling Integrated
Windows authentication.
Note: Before configuring IIS, you must install Aspen Audit & Compliance
Manager and set up ADSA Directory Server properties as described in the
“New Aspen Audit & Compliance Manager Installation” section above.
Configure IIS as follows:

1 Start the Internet Services Manager.

2 Under Internet Information Services, click on <web server> | Sites
| Default Web Sites.
3 Expand Default Web Site.
4 Right-click on AuditComplianceManager.
5 Select Edit Permissons…. The AuditComplianceManager Properties
dialog box appears.
6 Select the Security tab. Then click on Edit… in the Group or user
names: section. The Permissions for AuditAndComplianceManager
dialog box appears.

7 Click on Add… in the Group or user names: section. The Select
Users, Computers, Service Accounts, or Groups dialog box appears.
8. Specify the user account in the Enter the object names to select field.
The Check Names button can be used to verify the account.
9. Click OK. The user account will display in the Group or user names: field
on the Permissions for AuditAndComplianceManager dialog box.

10.On the Permissions for AuditAndComplianceManager dialog box,
select the desired group or user account from the Group or user names:
filed and grant the proper permissions to the account in the Permissions
for field.
11.Click OK to close.
Note: To the users who use Oracle database on a different machine than the
web server, if integrated security is used, the user’s credentials are not
sufficient to allow for a connection to the Oracle database. The user should do
the follow steps:
 If the Oracle version is older than 11.2.0.4, upgrade to 11.2.0.4.
 Clear Integrated Windows authentication check box and select Basic
authentication check box which will cause the user to "log in" to the web
server.
This will allow the proper credentials to be available when connecting to the
Oracle database. For detailed information refer to the “Oracle connection
issues when database on a different machine than web server” and “Exception
on Oracle connection when database is installed on a different machine than
web server” in “Troubleshooting”.
Verify queue processing

Use the Aspen Audit & Compliance Manager or Aspen Audit & Compliance
Administrator tool to ensure that event messages are being processed.
 Use the Aspen Audit & Compliance Manager to perform a query that will
display recently-processed event messages.
 Use the Aspen Audit & Compliance Administrator to check on queue
processing activity.
o Within the Administrator, click on the Message tree item for the
applicable Audit & Compliance Server in the left pane of the
Administrator. The number of events processed since queue
processing last started displays as a value for Since Queue Start.
Verify the Installation

After completing the entire Aspen Audit & Compliance Manager installation
process, perform the following to ensure the system is operating.
1 Start applicable event-generating applications (AFW, Production Record
Manager, InfoPlus.21).
2 Open the Aspen Audit & Compliance Manager and manually enter events
and comments.
3 Ensure the Aspen Audit and Compliance Server service is started. See
the Aspen Audit & Compliance Administrator Help for more information.
4 Use the Aspen Audit & Compliance Administrator to ensure that queue
processing is started.
5 After a few minutes, use the Event History Query Parameters dialog
box in the viewer to query on all event verification messages transmitted

to the database. Ensure that messages from all event-generating
applications are reaching the database in a timely manner.
Also refer to the chapter “Troubleshooting,” and the chapter “Checklists and
Forms.”

4 Upgrading or Repairing
Features and Subfeatures
Overview
This chapter provides general information and procedures for upgrading
Aspen Audit & Compliance Manager to V12, which includes the actions below:
 Updating features and subfeatures
 Reinstalling features and subfeatures
 Repairing features and subfeatures
Notes:
 The upgrade or repair process only updates those features and
subfeatures which have already been installed. If you want to add features
and subfeatures, run the installation process; refer to the chapter
"Installing features and subfeatures." If you want to remove features and
subfeatures, run the uninstall process; refer to the chapter "Removing
features and subfeatures."
 If you plan to upgrade your database software (such as updating to Oracle
19 or from MS SQL Server to Oracle), see the “Upgrading your database
software” section in this chapter for guidance.
Before You Upgrade

To better understand the requirements and process for your Aspen Audit &
Compliance Manager V12 upgrade, ensure you read this chapter before
starting the upgrade.
Stop event-generating applications

1 Stop applications on any computer that might be submitting events for a
given Aspen Audit & Compliance Manager database. This includes IIS,
Production Record Manager, InfoPlus.21, Production Execution Manager
and Aspen Operations Accounting.
4 Upgrading or Repairing Features and Subfeatures 57

2 Ensure that no user is currently adding roles or changing security
configurations in Aspen Local Security (ALS) or on an Aspen Framework
(AFW) Server, as this will generate events.
3 Ensure that all users of the Aspen Audit & Compliance Manager web client
shut down all viewer pages. This ensures that no new events or comments
are generated by Aspen Audit & Compliance Manager users.
Note: Make sure that all applications integrated with Aspen Audit &
Compliance Manager have been stopped successfully. Otherwise the
upgrading procedure will fail.
Clear the queue

Perform the steps below to ensure that all pending events in the Aspen Audit
& Compliance Manager queue are processed to the database.
1 Ensure that all event and database adapters are running.
2 Open the Aspen Audit & Compliance Manager and create a manual event
with the text “Verifying event queues are cleared before upgrade”.
3 Run a query, using the Viewer. When this verification event displays in
query results, it signifies that this event and all other events that were in
the queue ahead of it have been committed to the database.
Prepare the database

1 Before upgrading, ensure you preserve your database. You may choose
one of various data management scenarios before upgrading your system.
Guidance for two common scenarios is given below.
Administrator Server Backup
Scenario Options
Continue adding Back up your database. Keep the

data to your backup media in a safe place.
existing database.
Use a new You may prefer this scenario if you
database. have been operating Aspen Audit &
Compliance Manager in a testing
environment and want to start real-
time manufacturing operations.
1 To preserve existing data, back
up your existing database.
2 Delete the existing database.
3 After upgrading your AspenTech
software, create a new database
using instructions in the chapter
“Installing Features and
Subfeatures.”
2 If you are performing a database upgrade on a large MS SQL or Oracle
database, you should first expand the temporary log size. Currently, the
temporary logs are set to automatically expand up to 250MB.
58 4 Upgrading or Repairing Features and Subfeatures

If your database contains more than 300,000 rows, increase the maxlimit
of the temporary log file to unrestricted or ensure that it is greater than
the size of the database data file (currently limited to 500MB). This can be
performed with tools supplied by the database vendor:
For: Use:
Oracle Enterprise Manager Console or sqlplus

MS SQL MS SQL Enterprise Manager or Query Analyzer
3 If you are performing a database upgrade on an Oracle database server,
you must have the Oracle database privileges as follows: CONNECT,
RESOURCE, SELECT ANY TABLE, INSERT ANY TABLE, UPDATE ANY TABLE,
SELECT ANY SEQUENCE, CREATE ANY TRIGGER, EXECUTE ANY
PROCEDURE, DROP PUBLIC SYNONYM, CREATE PUBLIC SYNONYM. If any
of these privileges are not granted, see your DBA.
Upgrading Aspen Audit &

Compliance Manager and its
Subfeatures
Upgrade process using an MS SQL Server or
Oracle Server
Since Batch.21 v2004.1, all new features appear in V12 regardless of the
installation path you choose. To upgrade from Batch.21 v2004.1 and later to
Aspen Production Record Manager V12, install V12 and follow the wizard.
Note: Ask your Oracle DBA to supply a database account (such as AspenAE)
to run the Aspen Database Wizard. This account includes the following DB
permissions:
CONNECT
CREATE ANY TRIGGER
EXECUTE ANY PROCEDURE
INSERT ANY TABLE
RESOURCE
SELECT ANY SEQUENCE
SELECT ANY TABLE
UPDATE ANY TABLE
Upgrade the Audit & Compliance Database

The Aspen Database Wizard included with V12 automatically updates your
Audit & Compliance Database with V12 product enhancements. These
enhancements ensure that Microsoft SQL Server or Oracle database supports
all data types and delivers the highest data-precision level. Start the wizard
following your Aspen Audit & Compliance Manager V12 software upgrade.

Important! Either an MS SQL Server or Oracle database management
system must be installed and running as the Audit & Compliance Database
prior to upgrading.
Notes:
 The wizard automatically upgrades your existing database to V12
regardless of the current version of the database and whether it was
created manually or automatically.
 You may choose to delay the configuration of the Audit & Compliance
Database to a later time. To manually launch the Aspen Database Wizard,
select Aspen Database Wizard from the Windows Start menu.
 For Windows Server 2012 R2, click and then select Aspen
Database Wizard from the Start interface.
Complete the database upgrade using the Aspen Database Wizard as
described in the “Using the Database Wizard” section in Chapter 3, “Installing
Features and Subfeatures” Observe the following exception:
 In Step 4, ensure you select the option to Update the existing database
and database objects. This is applicable for all upgrades, regardless of
whether the database was manually or automatically created.
Notes:
 With a database upgrade, you will not see all of the Aspen Database
Wizard dialog boxes as some do not apply for the upgrade scenario.
 Whether you choose to upgrade the Audit & Compliance Database with
system authentication or database authentication, you must be a
database owner with database owner permissions, such as those granted
to the ASPENREAD or ASPENAE accounts, to successfully upgrade the
database.
Upgrading your database software
Upgrading Oracle
If you want to upgrade your Oracle database software, perform the Oracle
software upgrade either:
 Before upgrading to Aspen Audit & Compliance Manager V12.
-OR-
 After installing, configuring, and verifying your Aspen Audit & Compliance
Manager V12 upgrade.
Upgrading from MS SQL Server

If you want to convert from an MS SQL Server to an Oracle database
environment, use the following sequence as a guideline:
1 Complete the upgrade to Aspen Audit & Compliance Manager V12 first.
2 Verify your V12 upgrade is working properly.
3 Preserve your existing database using one of the following methods:

o Backup your MS SQL Server database (for details, see MS SQL Server
documentation). Then purge your MS SQL Server database using the
Purge option available from the Aspen Audit & Compliance
Administrator. Load the Oracle database software.
o Convert your database from MS SQL Server to Oracle using the
database manufacturer’s instructions.
Run the Aspen Database Wizard and create a new Oracle database as the
database for Aspen Audit & Compliance Manager.
Upgrading features and subfeatures

1. Log on the network using the account name and password of an account
in the Administrators group of the target computer.
2. Click on the V12 aspenONE product media download or insert a V12
aspenONE product USB drive. The AspenTech Installation Browser
dialog box is displayed.
Note: If this dialog box does not appear a few seconds after inserting the
USB drive, browse to the USB drive and start setup.exe.
Carefully read the instructions on each dialog box before making your
selections.
AspenTech Installer

License Terms and Conditions
Prerequisite Validation
Note: Since V11, AACM does not require Java Runtime Environment (JRE).

Specify Licensing and Security
Specify Account Information

Verify Your Installation
Installation Progress

After You Upgrade
For more information about the post-installation processes of Aspen Audit &
Compliance Manager V12, see the “After You Install” section of the “Installing
Features and Subfeatures” chapter.
Verify the Upgrade

For more information on verifying the upgrade to Aspen Audit & Compliance
Manager V12, see the “Verify the Install” section of the “Installing Features
and Subfeatures” chapter.
Start the New System

Now that you have completed the Aspen Audit & Compliance Manager
upgrade to V12, you can start using the Aspen Audit & Compliance Manager
V12 system. For information on using the Aspen Audit & Compliance Manager
V12, Viewer, see Aspen Audit & Compliance Manager Help. For information on
using the Aspen Audit & Compliance Administrator, see the Aspen Audit &
Compliance Administrator Help.

5 Removing Features and
Subfeatures
Overview
Use instructions in this section to remove Aspen Audit & Compliance Manager
features or their subfeatures from your system.
Before You Remove

1 Stop event-generating applications (Aspen Framework (AFW), Production
Record Manager, and InfoPlus.21 to ensure they are not transmitting
event messages for processing.
2 After any event message backlog has been transmitted to the database,
stop queue processing using the Aspen Audit & Compliance Administrator.
3 Stop the Aspen Audit and Compliance Server service.
Note: See the Aspen Audit & Compliance Administrator Help for information
on starting and stopping the Aspen Audit and Compliance Server service
and queues.
Removing Features and

Subfeatures
Select one of the following options to remove AspenTech features.
Microsoft Add/Remove Utility

1 On the Microsoft taskbar, select Start | Settings | Control Panel | Add
or Remove Programs. The Add/Remove Programs dialog box appears
with a list of all programs available for removal on the computer.
5 Removing Features and Subfeatures 67

For Windows Server 2012 R2, click and then select Control Panel
from the Start interface. And then select Programs and Features to
display the Programs and Features dialog box.
2 Select the AspenTech feature to remove, such as Aspen Audit &
Compliance Manager and click Remove.
3 Click Yes to confirm removal of the feature. The Windows Installer begins
the removal.
Microsoft Taskbar
1 On the Microsoft taskbar, select Start | Aspen Configuration |
Uninstall AspenTech Software. The AspenTech Uninstaller – Select
Products dialog box appears.
For Windows Server 2012 R2, click and then select Uninstall Aspen
Software from the Start interface.
2 Select the features that you want to uninstall or click Select All to remove
all features listed.
3 Click Uninstall. Removal of the selected features begins.
4 When the uninstallation is complete, click Close on the AspenTech
Uninstaller – Uninstall Progress dialog box.
Removing User Application and Registry

files
User Registry Entries:
 HKEY_USERS\%USER%\Software\Aspentech\[product]
 HKEY_CURRENT_USER\Software\Aspentech\[product]
68 5 Removing Features and Subfeatures

6 Troubleshooting
This chapter contains:

 Information that may help you if you have problems installing Aspen Audit
& Compliance Manager.
 Some typical error messages.
Common Problems
Common problems associated with Aspen Audit & Compliance Manager
include the following error messages:
 Software conflicts may cause the Viewer to malfunction
 Manually-entered event messages do not display in the Viewer
 Unable to set Source properties
 Event query session may time out
 Oracle connection issues when database on a different machine than web
server
 Exception on Oracle connection when database is installed on a different
machine than web server
See the “Error Messages” section in this chapter for details about the
problems and solutions to errors Aspen Audit & Compliance Manager users
may receive.
Error Messages
Software conflicts may cause the Viewer to
malfunction
The default installation of Oracle includes the Oracle HTTP Server. This server
listens on TCP/IP port 80 as a default, which is also the default port used by
Microsoft Internet Information Server (IIS). Therefore, if Oracle and IIS are
installed on the same computer, this port conflict causes problems with IIS
and its Web server applications, including the Aspen Audit & Compliance
Manager, Aspen Local Security, and others.
6 Troubleshooting 69
Workaround options are required only if IIS and another web server are
installed on the same computer. These options include:
 If the Oracle HTTP Server is not required, use the Windows Services
console to stop and disable it.
 If the Oracle HTTP Server is required, ensure that the TCP/IP port number
that it uses is not the same port used by MS IIS.
Note: Aspen Framework will not generate audit trail messages in this
scenario, even when operating in a 21CFR11-enabled mode. You may use the
Aspen Audit & Compliance Manager to document the problem after it is
corrected.
If event messages do not display in the viewer, this typically indicates one of
the following conditions:
Condition Resolution
Queue processing Check the Server State field in the Aspen

is stopped Audit & Compliance Administrator console
and start queue processing if needed.
Network problems Ensure your network components are
communicating. Check the Aspen Audit &
Compliance Administrator console for any
error messages.
Conflict between See the discussion above.
Oracle database
and IIS
Network traffic A very heavy burst of events could
possibly delay delivery of event messages
to the database. Wait a short period of
time and try again.
Database down Check the Server State field in the Aspen
Audit & Compliance Administrator console.
Also see “System Requirements” in Chapter 2, “Overview,” for information on

hardware and software recommendations.
Manually-entered event messages do not

display in the Viewer
If you have entered a manual event message or comment but the event or
comment does not display as expected in the results of a query, this could be
due to one of the following:
Condition Resolution
Network outage Contact your system administrator.

Queue processing Start queue processing in the Aspen Audit &
has been stopped Compliance Administrator.
70 6 Troubleshooting
Unable to set Source properties
Error message:
Description : ActiveX component can’t create object, Error Number : 429
Components for the Aspen Audit & Compliance Application Interface have not
been properly installed and/or are missing. Verify the following file exists:
C:\Program Files\AspenTech\AuditAndComplianceManager
\Client\AtAuditAndComplianceApplicationInterface.dll
Verify the components are registered, or reregister; for example:
C:\Program Files\AspenTech\AuditAndComplianceManager \Client:>
Regsvr32 AtAuditAndComplianceApplicationInterface.dll
Event query session may time out

Due to a default timeout setting in IIS, an event query session will time out
after two minutes. If this occurs, these options are available:
 Resubmit the query for the retrieval of the first 100 (or appropriate
number of) records; then use the double right-arrows to go to the
appropriate page or record number.
 Modify the query criteria to start at the events you are currently viewing;
then submit the revised query.
 Ask the system administrator to modify your timeout period.
Oracle connection issues when database on

a different machine than web server
Problem
Oracle connection issues when database on a different machine than Web
server.
Description
The user will experience connection problems when logging in to the AACM
web site to view events in certain situations. If the Oracle database is on a
different machine than the web server, and integrated security is used, the
user’s credentials are not sufficient to allow for a connection to the Oracle
database.
Workaround
The user can enable basic authentication which will cause the user to "log in"
to the web server. This will allow the proper credentials to be available when
connecting to the Oracle database.
Note: This problem does not exist when connecting to SQL Server.
6 Troubleshooting 71
72 6 Troubleshooting
7 Checklists and Forms
The steps below provide a checklist for the installation and configuration of
Aspen Audit & Compliance Manager.
Step For More Information
Before You Install
Read the aspenONE

Deployment Guide.
Read this manual in its entirety
before starting your installation.
Read the Aspen Audit &
Compliance Manager Release
Notes.
Confirm system See “System Requirements” in
recommendations. Chapter 2, “Overview.”
Complete the Aspen Audit & See the worksheet at the end of
Compliance Manager pre- this chapter.
installation worksheet.
Install required third-party See Appendix A, “Third-Party
software: Applications.”
Relational database:
 Oracle
or
 Microsoft SQL Server
If you are using an Oracle See Appendix A, “Third-Party
database, create a local net Applications”
service name as documented on See Chapter 9, “Checklists and
the “Checklists and Forms” in Forms.”
Chapter 9.
Stop all services. See the “Pre-Installation
Checklist” section in the
“Installing Features and
Subfeatures” chapter.
7 Checklists and Forms 73

Install AMS applications from the Aspen Manufacturing and
Supply Chain
If you have a Plantelligence See “Aspen Framework

license, install Aspen Frame- Configuration Details” in Chapter
work (AFW). 3, “Installing Features and
Subfeatures”
Install the Software License See:
Manager. Chapter 3, “Installing Features
and Subfeatures.”
Software License Manager (SLM)
Installation and Reference Guide.
As a minimum, select the See Chapter 3, “Installing
following: Features and Subfeatures”
On any computer where an Also see the “Related
event-generating application Documentation” section in
(Production Record Manager , Chapter 1, “Introduction,” for
InfoPlus.21, or Aspen information on accessing all
Framework) is also installed: Aspen Manufacturing Suite (AMS)
Audit & Compliance Server Release features.
On any computer:
Aspen Data Source Architecture
(ADSA)
On any computer:
Aspen Framework (AFW) (or
Aspen Local Security (ALS))
Install event-generating See “New Aspen Audit &
applications, as applicable: Compliance Manager Installation”
Aspen Framework, Production in Chapter 3, “Installing Features
Record Manager, and and Subfeatures” Also see
InfoPlus.21. individual product installation
guides.
Create an Audit & Compliance Database
Install your database software – For Oracle, see “Appendix A,

Oracle or MS SQL, as Third-Party Applications.”
applicable. For MS SQL Server, see
“Appendix A, Installing Microsoft
SQL Server.”
Use the Aspen Database Wizard See “Creating an Audit &
to create an Microsoft SQL Compliance Database” in Chapter
Server or Oracle database 3, “Installing Features and
Subfeatures.”
If you are using an Oracle See “Appendix A, Third-Party
database, create a Local Net Applications.”
Service Name as documented
on the “Installation and
Configuration Worksheet” in
Chapter 9.
Configure Aspen Audit & Compliance Manager
74 7 Checklists and Forms

Configure Microsoft Internet See “Configuring Microsoft
Information Server (IIS). Internet Information Server (IIS)”
in Chapter 3, “Installing Features
and Subfeatures.”
Configure Aspen Data Source Architecture (ADSA)
Configure Aspen Audit & See “Configuring ADSA” in

Compliance Manager services in Chapter 3, “Installing Features
ADSA. and Subfeatures.”
In the Aspen Audit & See Aspen Audit & Compliance
Compliance Administrator, Administrator Help.
configure a data source and
start queue processing.
Configure Security
Establish roles in Aspen See the Aspen Framework Server

Framework (AFW), as Installation Manual.
applicable.
Configure Aspen Audit & See the “Configuring Security”
Compliance Manager security. section in Chapter 3, “Installing
Features and Subfeatures.”
The Aspen Audit & Compliance Manager system is now available to accept
event messages from generating applications such as Aspen Framework
(AFW), Production Record Manager , InfoPlus.21, and Aspen Audit &
Compliance Manager.
The following information is needed when installing and configuring Aspen
Audit & Compliance Manager. Determine and note these values before
starting the installation process:
 Administrator Account Name:
From the Administrators group on the target computer.
 Administrator Password:
Do not log password information here without securing this information
from unauthorized users.
 Domain\Username:
For the user responsible for configuring Windows services.
 Password:
For the user responsible for configuring Windows services. Do not log
password information here without securing this information from
unauthorized users.
 Software License Manager (SLM) server:
Name used to identify the server where SLM is installed.
 Oracle Local Net Service Name:
7 Checklists and Forms 75

Name used to identify your local net service. Use the Net Configuration
Assistant to define this name.
 ADSA Data Source Name:
 The data source name for your Audit & Compliance database. Use the
same name in ADSA and when configuring Aspen Audit & Compliance
Manager.
If you are installing Plantelligence (AFW Server):
 BPE Server Name: ______________________________
 Security Server (AFW) Name: ________________________
 Names of additional AFW servers:
________________________________________________________
___________________________________________
 Roles and Users defined for Aspen Audit & Compliance Manager:
Roles Users
________________ ________________
________________ ________________
________________ ________________
________________ ________________
________________ ________________
________________ ________________
________________ ________________
________________ ________________
________________ ________________
________________ ________________
________________ ________________
________________ ________________
________________ ________________
76 7 Checklists and Forms

Appendix A, Third-Party
Applications
Two database options are available for the Audit & Compliance database:
Oracle or Microsoft SQL Server. See the “System Requirements” section of
this guide for supported versions.
Installing Oracle
If you have selected to use Oracle as the database for your Aspen Audit &
Compliance Manager system, follow the instructions below prior to installing
1 Start Oracle setup process.
2 Follow Oracle documentation to guide you through a standard installation.
Ensure you perform the following to ensure that your database will
function properly with Aspen Audit & Compliance Manager.
 Before installing Aspen Audit & Compliance Manager, run the Net
Configuration Assistant to create a Local Net Service Name. Ensure this
name matches the default value used during configuration.
Note: Install Oracle Client on all computers that have ADSA server installed.
See the “System Recommendations” section in Chapter 2, “Overview.”
Installing Microsoft SQL Server

If you have selected to use MS SQL Server as the database for your Aspen
Audit & Compliance Manager system, follow the instructions below prior to
installing Aspen Audit & Compliance Manager.
1 Start MS SQL Server setup process.
2 Follow standard MS SQL Server documentation to guide you through a
standard installation. Use the following values to ensure your database will
function properly with Aspen Audit & Compliance Manager.
Dialog Box Name Option to Select
Computer Name Local Computer
Appendix A, Third-Party Applications 77

Installation Definition Server and Client Tools
Setup Type Typical
Services Accounts Use the same account for each
service, and Use the Local
System account
Authentication Mode Mixed Mode
Choose Licensing Mode (according to your requirements)
78 Appendix A, Third-Party Applications

Appendix B, Deleting an
Existing Audit & Compliance
Database
Log in using an account with an appropriate level of permissions (i.e., system

administrator or database administrator).
Note: Creation or Deletion of the Database and Users option requires a

system/DBA permission level. Creation of Database objects ONLY requires
DBO permission level.
If you are using Oracle:

1 Find the location of the tablespace files that must be deleted on the
Windows file system by using the following statement.
SELECT file_name FROM sys.dba_data_files WHERE tablespace_name
LIKE ‘AUDITANDCOMPLIANCE%';
2 Click Start | Oracle - OraDB19Home1 | sqlplus to start Oracle
SQLPlus. See Oracle documentation for details.
3 Copy this script contents into SQLPlus:
DROP USER AspenAE CASCADE;
DROP USER AspenRead;
DROP TABLESPACE AuditAndCompliance INCLUDING CONTENTS;
DROP TABLESPACE AuditAndCompliance_tmp INCLUDING CONTENTS;
DROP PUBLIC SYNONYM ae_configuration;
DROP PUBLIC SYNONYM vheader_message;
DROP PUBLIC SYNONYM usp_eventheader;
DROP PUBLIC SYNONYM usp_eventref;
DROP PUBLIC SYNONYM usp_messagesingle;
DROP PUBLIC SYNONYM usp_messagechangevalue;
DROP PUBLIC SYNONYM usp_messagechangehistory;
DROP PUBLIC SYNONYM usp_valuesheader;
DROP PUBLIC SYNONYM usp_valuessingle;
DROP PUBLIC SYNONYM usp_valueschangevalue;
DROP PUBLIC SYNONYM usp_valueschangehistory;
4 Drop the databases, objects, and tablespaces from Aspen Audit &
Compliance Manager by executing the SQL statements in the script.
Appendix B, Deleting an Existing Audit & Compliance Database 79

5 Delete the Oracle tablespace files from the Windows file system.
If you are using an MS SQL Server database:

 Delete the MS SQL Server database using the following Transact-SQL
statements:
DROP DATABASE AuditAndCompliance
EXEC sp_revokelogin 'DOMAIN\user'
(where DOMAIN\user is the MS SQL login for the Windows account under
which the Audit & Compliance Server package is running)
Note: The Windows account is the account that you specified in the Aspen
Database Wizard when creating the Audit & Compliance database.
80 Appendix B, Deleting an Existing Audit & Compliance Database

Appendix C, Automating
Backup, Purge, Restore, and
Archive Activities
The following is an example script demonstrating how to access the Audit and
Compliance API to automate Backup, Purge, Restore, and Archive activities.
'===============================================================
'
' Audit & Compliance Manager
'
' Sample to test the Backup methods
'
' Testing the following functionality:
'
' Backup Methods
' Backup
' Purge
' Restore
'
' Archive Information
' ArchiveExists
' GetArchiveInfo
' BackupCount
'
' Integrity Checking
' IntegrityCheck
'
'===============================================================
Option Explicit
'===============================================================
' Backup Methods
'===============================================================
'---------------------------------------------------------------
' BACKUP
'---------------------------------------------------------------
Private Sub Backup_Command_Click()
On Error GoTo ErrorHandler
Appendix C, Automating Backup, Purge, Restore, and Archive Activities 81

'------------------------------------------------------------
' Audit & Compliance Manager and Backup components
'------------------------------------------------------------
Dim a_c_Manager As New AtAuditAndComplianceServer.Manager
Dim a_c_Backup As AtAuditAndComplianceServer.Backup
'------------------------------------------------------------
' Define parameters
'------------------------------------------------------------
Dim inLocaleID As Long
Dim inStartTime As Date
Dim inEndTime As Date
Dim inComment As String
Dim inFileName As String
Dim inArchiveFlag As Boolean
Dim inRemoveFileIfExistFlag As Boolean
Dim outAdjustedFileName As String

Dim outErrorCode As Long
Dim outErrorMessage As String
Dim bStoppedQueue As Boolean

Dim msg As String
Dim bCallFailed As Boolean
'------------------------------------------------------------
' Stop the server from processing messages so we
' can perform the backup operations
'------------------------------------------------------------
bStoppedQueue = False
If (a_c_Manager.ServerState = atProcessingQueue) Then

a_c_Manager.Stop
bStoppedQueue = True
ElseIf (a_c_Manager.ServerState = atProcessingFile) Then
MsgBox "Server is processing a file. Try again later."
Exit Sub
End If
'------------------------------------------------------------
' Get the backup component to perform operations
'------------------------------------------------------------
Set a_c_Backup = a_c_Manager.Backup
'------------------------------------------------------------
' Set parameters for call
'------------------------------------------------------------
inLocaleID = 1033 'English
inStartTime = "03-01-2007"
inEndTime = "04-01-2007"
inComment = "Test Backup"
inFileName = FileNameEdit.Text
inArchiveFlag = True
inRemoveFileIfExistFlag = True
outErrorCode = 0
82 Appendix C, Automating Backup, Purge, Restore, and Archive Activities

'------------------------------------------------------------
' Call method
'------------------------------------------------------------
bCallFailed = False
a_c_Backup.Backup inLocaleID, _
inStartTime, inEndTime, _
inComment, inFileName, _
inArchiveFlag, inRemoveFileIfExistFlag, _
outAdjustedFileName, outErrorCode, outErrorMessage
'------------------------------------------------------------
' Report errors OR Success
'------------------------------------------------------------
If ((outErrorCode <> 0) Or (outErrorMessage <> "")) Then
msg = "ErrorCode:" & Chr(9)
msg = msg & CStr(outErrorCode)
msg = msg & Chr(10)
msg = msg & "ErrorMessage:"
msg = msg & Chr(9)
msg = msg & outErrorMessage
MsgBox msg, vbExclamation, "Call failed for Backup!"
ElseIf (bCallFailed = True) Then
MsgBox Err.Description
Else
msg = "Backup completed successfully!" & Chr(10)
msg = msg & Chr(10)
msg = msg & "FileName: "
msg = msg & outAdjustedFileName
MsgBox msg, vbInformation, "Backup Succeeded!"
End If
'------------------------------------------------------------
' Start the server processing messages
'------------------------------------------------------------
If (bStoppedQueue = True) Then
a_c_Manager.Start
End If
Exit Sub
ErrorHandler:
bCallFailed = True
Resume Next
End Sub
'---------------------------------------------------------------
' PURGE
'---------------------------------------------------------------
Private Sub Purge_Command_Click()
'------------------------------------------------------------

'------------------------------------------------------------
'------------------------------------------------------------
' Define parameters
'------------------------------------------------------------
Dim outMessagesPurged As Long


Dim msg As String
'------------------------------------------------------------
'------------------------------------------------------------

a_c_Manager.Stop
Exit Sub
End If
'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
inEndTime = "04-01-2007"
outMessagesPurged = 0
outErrorCode = 0
'------------------------------------------------------------
' Call method
'------------------------------------------------------------
bCallFailed = False
a_c_Backup.Purge inLocaleID, _
outMessagesPurged, _

outErrorCode, outErrorMessage
'------------------------------------------------------------
'------------------------------------------------------------
msg = msg & Chr(10)
msg = msg & Chr(9)
MsgBox msg, vbExclamation, "Call failed for Purge!"
Else
msg = "Purge completed successfully!" & Chr(10)
msg = msg & Chr(10)
msg = msg & "MessagesPurged: "
msg = msg & CStr(outMessagesPurged)
MsgBox msg, vbInformation, "Purge Succeeded!"
End If
'------------------------------------------------------------
'------------------------------------------------------------
a_c_Manager.Start
End If
Exit Sub
ErrorHandler:
bCallFailed = True
Resume Next
End Sub
'---------------------------------------------------------------
' RESTORE
'---------------------------------------------------------------
Private Sub Restore_Command_Click()
'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
' Define parameters
'------------------------------------------------------------


Dim outMessagesProcessed As Long
Dim outMessagesRestored As Long
Dim outDuplicateMessages As Long
Dim outEventsChanged As Boolean

Dim msg As String
'------------------------------------------------------------
'------------------------------------------------------------

a_c_Manager.Stop
Exit Sub
End If
'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
inEndTime = "04-01-2007"
outMessagesProcessed = 0
outMessagesRestored = 0
outDuplicateMessages = 0
outEventsChanged = False
outErrorCode = 0
'------------------------------------------------------------
' Call method
'------------------------------------------------------------
bCallFailed = False
a_c_Backup.Restore inLocaleID, _
inFileName, inStartTime, inEndTime, _
outAdjustedFileName, _

outMessagesProcessed, outMessagesRestored,
outDuplicateMessages, _
outEventsChanged, _
'------------------------------------------------------------
'------------------------------------------------------------
msg = msg & Chr(10)
msg = msg & Chr(9)
MsgBox msg, vbExclamation, "Call failed for Restore!"
Else
msg = "Restore completed successfully!" & Chr(10)
msg = msg & Chr(10)
msg = msg & "MessagesProcessed:"
msg = msg & Chr(9)
msg = msg & CStr(outMessagesProcessed)
msg = msg & Chr(10)
msg = msg & "MessagesRestored:"
msg = msg & Chr(9)
msg = msg & CStr(outMessagesRestored)
msg = msg & Chr(10)
msg = msg & "DuplicateMessages:"
msg = msg & Chr(9)
msg = msg & CStr(outDuplicateMessages)
msg = msg & Chr(10)
msg = msg & Chr(10)
msg = msg & "EventsChanged: "
msg = msg & CStr(outEventsChanged)
msg = msg & Chr(10)
msg = msg & Chr(10)
msg = msg & "FileName:"
msg = msg & Chr(10)
msg = msg & CStr(outAdjustedFileName)
MsgBox msg, vbInformation, "Restore Succeeded!"
End If
'------------------------------------------------------------
'------------------------------------------------------------
a_c_Manager.Start
End If
Exit Sub
ErrorHandler:
bCallFailed = True

Resume Next
End Sub
'===============================================================
' Archive Information
'===============================================================
'---------------------------------------------------------------
' ARCHIVE EXISTS
'---------------------------------------------------------------
Private Sub ArchiveExists_Command_Click()
'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
' Define parameters
'------------------------------------------------------------

Dim outArchiveExists As Boolean
Dim msg As String

'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
outArchiveExists = False
outErrorCode = 0
'------------------------------------------------------------
' Call method
'------------------------------------------------------------
bCallFailed = False
a_c_Backup.ArchiveExists inLocaleID, _
inFileName, _
outArchiveExists, _

'------------------------------------------------------------
'------------------------------------------------------------
msg = msg & Chr(10)
msg = msg & Chr(9)
MsgBox msg, vbExclamation, "Call failed for ArchiveExists!"
Else
If (outArchiveExists = True) Then
MsgBox outAdjustedFileName, vbInformation, "Archive file
does exist!"
Else
MsgBox inFileName, vbExclamation, "Archive file does NOT
exist!"
End If
End If
Exit Sub
ErrorHandler:
bCallFailed = True
Resume Next
End Sub
'---------------------------------------------------------------
' GET ARCHIVE INFO
'---------------------------------------------------------------
Private Sub GetArchiveInfo_Command_Click()
'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
' Define parameters
'------------------------------------------------------------

Dim outStartTime As Date
Dim outEndTime As Date
Dim outTimeStamp As Date
Dim outComment As String

Dim outUser As String
Dim outDomain As String
Dim outConnectionString As String
Dim outNumberMessages As Long
Dim outVersion As String
Dim outArchive As Boolean
Dim msg As String

'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
outNumberMessages = 0
outErrorCode = 0
'------------------------------------------------------------
' Call method
'------------------------------------------------------------
bCallFailed = False
a_c_Backup.GetArchiveInfo inLocaleID, _
inFileName, _
outStartTime, outEndTime, outTimeStamp, _
outComment, outUser, outDomain, outConnectionString,
_
outNumberMessages, outVersion, outArchive, _
'------------------------------------------------------------
'------------------------------------------------------------
msg = msg & Chr(10)
msg = msg & Chr(9)
MsgBox msg, vbExclamation, "Call failed for
GetArchiveInfo!"
Else
msg = "FileName:" & Chr(9)
msg = msg & outAdjustedFileName

msg = msg & Chr(10)
msg = msg & "StartTime:"
msg = msg & Chr(9)
msg = msg & CStr(outStartTime)
msg = msg & Chr(10)
msg = msg & "EndTime:"
msg = msg & Chr(9)
msg = msg & Chr(9)
msg = msg & CStr(outEndTime)
msg = msg & Chr(10)
msg = msg & "TimeStamp:"
msg = msg & Chr(9)
msg = msg & CStr(outTimeStamp)
msg = msg & Chr(10)
msg = msg & "User:"
msg = msg & Chr(9)
msg = msg & Chr(9)
msg = msg & CStr(outUser)
msg = msg & Chr(10)
msg = msg & "Domain:"
msg = msg & Chr(9)
msg = msg & Chr(9)
msg = msg & CStr(outDomain)
msg = msg & Chr(10)
msg = msg & "NumberMessages:"
msg = msg & Chr(9)
msg = msg & CStr(outNumberMessages)
msg = msg & Chr(10)
msg = msg & "Version:"
msg = msg & Chr(9)
msg = msg & Chr(9)
msg = msg & CStr(outVersion)
msg = msg & Chr(10)
msg = msg & "Archive:"
msg = msg & Chr(9)
msg = msg & Chr(9)
msg = msg & CStr(outArchive)
msg = msg & Chr(10)
msg = msg & "ConnectionString:"
msg = msg & Chr(9)
msg = msg & CStr(outConnectionString)
MsgBox msg, vbInformation, "Archive Information!"
End If
Exit Sub
ErrorHandler:
bCallFailed = True
Resume Next
End Sub
'---------------------------------------------------------------
' BACKUP COUNT
'---------------------------------------------------------------
Private Sub BackupCount_Command_Click()

'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
' Define parameters
'------------------------------------------------------------
Dim outNumberEvents As Long

Dim msg As String

'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
inEndTime = "04-01-2007"
outNumberEvents = 0
outErrorCode = 0
'------------------------------------------------------------
' Call method
'------------------------------------------------------------
bCallFailed = False
a_c_Backup.BackupCount inLocaleID, _
outNumberEvents, _
'------------------------------------------------------------
'------------------------------------------------------------

msg = msg & Chr(10)
msg = msg & Chr(9)
MsgBox msg, vbExclamation, "Call failed for BackupCount!"
Else
msg = "Number of Events: " & CStr(outNumberEvents)
MsgBox msg, vbInformation, "Backup Count!"
End If
Exit Sub
ErrorHandler:
bCallFailed = True
Resume Next
End Sub
'===============================================================
' Integrity Checking
'===============================================================
'---------------------------------------------------------------
' INTEGRITY CHECK
'---------------------------------------------------------------
Private Sub IntegrityCheck_Command_Click()
'------------------------------------------------------------
'------------------------------------------------------------
'------------------------------------------------------------
' Define parameters
'------------------------------------------------------------
Dim outMessagesPassedCheck As Long

Dim outMessagesFailedCheck As Long
Dim outErrorFileName As String
Dim msg As String

'------------------------------------------------------------
'------------------------------------------------------------

'------------------------------------------------------------
'------------------------------------------------------------
inEndTime = "04-01-2007"
outMessagesPassedCheck = 0
outMessagesFailedCheck = 0
outErrorCode = 0
'------------------------------------------------------------
' Call method
'------------------------------------------------------------
bCallFailed = False
a_c_Backup.IntegrityCheck inLocaleID, _
outMessagesPassedCheck, outMessagesFailedCheck, _
outErrorFileName, _
'------------------------------------------------------------
'------------------------------------------------------------
msg = msg & Chr(10)
msg = msg & Chr(9)
MsgBox msg, vbExclamation, "Call failed for
IntegrityCheck!"
Else
msg = "Messages Passed Check:" & Chr(9)
msg = msg & CStr(outMessagesPassedCheck)
msg = msg & Chr(10)
msg = msg + "Messages Failed Check:"
msg = msg & Chr(9)
msg = msg & CStr(outMessagesFailedCheck)
msg = msg & Chr(10)
msg = msg + "Error File:"
msg = msg & Chr(9)
msg = msg & Chr(9)
msg = msg & CStr(outErrorFileName)
MsgBox msg, vbInformation, "Integrity Check Succeeded!"
End If
Exit Sub
ErrorHandler:
bCallFailed = True

Resume Next
End Sub

Appendix D – Installing
Internet Information
Services (IIS)
This chapter contains information about installing and configuration Internet

Information Server (IIS). IIS must be installed and configured for Aspen Audit
& Compliance Manager Server to function.
Note: FTP Server and SMTP Service are not required and can be omitted from
the IIS install.
Prior to install Aspen Audit & Compliance Manager Server, you must install
and configure Internet Information Server.
To install IIS on Windows Server 2012:
1. From the tool bar, click the icon to start the Server Manager.
2. Select Dashboard from the navigation pane and click Add roles and
features from the WELCOME TO SERVER MANAGER section on the
right.
The Add Roles and Features Wizard displays.
Alternatively,
1. From Control Panel, select Programs and then Programs and
Features.
2. In the Tasks list, click the Turn Windows features on or off link. The
Add Roles and Features Wizard displays.
3. On the Add Roles and Features Wizard:
o Click Next for the Before You Begin step.
o Select an installation type and then click Next for the Installation
Type step.
o Select a server or a virtual hard disk on which to install roles and
features and then click Next for the Server Selection step.
4. On the Server Roles step, find Web Server (IIS) node and select the
following roles:
Appendix D – Installing Internet Information Services (IIS) 97

Common HTTP Features Security
 Static Content  Basic Authentication
 Default Document  Windows Authentication
 Directory Browsing  Request Filtering
 HTTP Errors
Performance
Application Development  Static Content Compression
 ASP.NET
Management Tools
 .NET Extensibility
 IIS Management Console
 ASP
 IIS 6 Management Compatibility
 ISAPI Extensions
(NOTE: Enable ALL sub-items for this
 ISAPI Filters
service.)
Health and Diagnostics
 HTTP Logging
 Request Monitor
Click Next when the required roles are all selected.
5. Select the features you want to install and click Next for the Features
step.
6. Confirm the roles and features you select to install and click Install.
7. Close the Add Roles and Features Wizard and Server Manager when
the installation completes.

1. Start the Server Manager.
right.
Alternatively,
Features.
Type step.
following roles:
 HTTP Errors
Performance
98 Appendix D – Installing Internet Information Services (IIS)

 ASP.NET
Management Tools
 ASP  IIS Management Console
 ISAPI Extensions  IIS 6 Management Compatibility
 ISAPI Filters
service.)
 HTTP Logging
 Request Monitor
step.

1. Start the Server Manager.
right.
Alternatively,
Features.
Type step.
following roles:
 HTTP Errors
Performance
 ASP.NET
Management Tools
 IIS Management Console
 ASP
 IIS 6 Management Compatibility
 ISAPI Extensions
 ISAPI Filters
service.)
 HTTP Logging
Appendix D – Installing Internet Information Services (IIS) 99

 Request Monitor
step.
100 Appendix D – Installing Internet Information Services (IIS)

Glossary
21CFR11
Title 21 of the Code of Federal Regulations, Part 11 (21CFR11), “Electronic
Records; Electronic Signatures,” the federal regulations that set forth the
criteria under which the U.S. Food and Drug Administration will permit
electronic records and signatures to constitute valid replacement for paper
records and signatures. This document is available from the U.S. Food and
Drug Administration web site at http://www.fda.gov. A print-ready version of
the document can also be found there.
Note: If you are operating under 21CFR11 conditions, refer to 21CFR11

documentation for guidance on achieving 21CFR11 compliance. While
AspenTech solutions alone do not ensure compliance with 21CFR11, when
combined with standard operating procedures, training, and proper
implementation, they provide a solid foundation that enables manufacturers
to comply with 21CFR11 regulations.
AACM
Aspen Audit and Compliance Manager
AMS
Aspen Manufacturing Suite
A collection of AspenTech products focused on data acquisition and analysis,
production control, and production management.
AACM COM API

The program interface that interacts with the AACM database provided by the
AACM system.
Active Docs
In Aspen Production Execution Manager, the user can design and build
documents which are called Active Docs using the Aspen Production Execution
Manager design facilities.
Glossary 101
API Actions
Aspen Production Execution Manager provides API interaction using web
services to enable users to interact with the Production Execution Manager
system. In the AACM audit system, this is limited to direct SQL operations
only. Other operations should be audited by their own audits system.
Aspen Framework (AFW)

If implemented for a given site, Aspen Framework (AFW) provides an
environment for role-based security for AspenTech applications. Using AFW,
users can be associated with defined roles. Examples of roles include
Administrator, Engineer, Plant Operator #5, and User, each associated with a
set of privileges or tasks, such as read and write. Also see “Security.”
Aspen Production Execution Manager (Production

Execution Manager)
Aspen Production Execution Manager. One of Aspen’s system solutions for
Batch Record System and also provides guides for operators running
operations.
Audit Trail
A chain or trail of events that indicate how and why a particular parameter
has a given value at a given time. All configuration and data changes
associated with the value will be included in the trail.
Production Record Manager

AspenTech’s proprietary batch information management system consisting of
a batch-oriented database and links to real-time databases.
BPL Docs
Similar to Active Docs, but BPL Docs only pertain to a particular BPL.
A BPL is Basic Phase Libraries that are a collection of basic phases. Basic
phases are the fundamental building elements for Aspen Production Execution
Manager applications. In the AACM audit system, BPLs also include BPL
documentation.
Comment
Each event message may have text associated with it to provide additional
information about an event. Event comments may be entered manually using
Database
The Oracle or MS SQL Server database used by Aspen Audit & Compliance
Manager and designated for the secure archival of 21CFR11-compliance-
enabled data.
102 Glossary
Domain
The domain name associated with a given UserID.
Event
Something that occurs at a specific instance that is of significant importance
such that information about it needs to be recorded. This can include
activities such as start/stop, change position or mode, open/close,
sign/approve. Also see “Message” and “Message Type.”
Event-Generating Application
An AspenTech product from which an event message can be initiated.
Generating applications include:
 Aspen Framework (AFW)
 Production Record Manager
 InfoPlus.21
The viewer allows queries as well as the manual entry of events and
comments. AFW, Production Record Manager, and InfoPlus.21 automatically
create event messages. For more information, refer to individual application
documentation as referenced in the “Related Documentation” section of
Chapter 1, “Introduction.”
Guaranteed Event Delivery

Event message delivery is guaranteed. A store-and-forward feature ensures
that event data is preserved even when the event server is unavailable.
InfoPlus.21
AspenTech’s proprietary process information management system consisting
of a real-time database and process historian providing plant-wide operations
information, data monitoring, and analysis capabilities.
MasterRecipe (MR)
MR is a special RPL that functions as an RPL template to allow for setting of
parameters.
Message
Text that describes:
 the activity associated with an event, or
 a manually-entered comment
Message Type
A pre-defined and configured event message structure. Defined message
types that are designed for a 21CFR11-compliance-enabled environment
include:
Glossary 103
Change History Value Event – Modifies data associated with a given event
message in history
Change Value Event – Modifies data associated with a given event message
Single Value Event – Adds a new event message, typically associated with a
generating application such as Aspen Framework, Production Record Manager
, InfoPlus.21, or Aspen Audit & Compliance Manager
General Event – Adds a new generic event message, typically for a system-
level event such as startup and shutdown
Generic Event – Adds a new generic event message for a non-compliant
event type. This is used for unhandled events and by custom applications
such as service projects.
Orders
Aspen Production Execution Manager orders are generated from RPLs and
MRs that include step by step operation phases. In the AACM audit system,
this category also includes parameters, resources, life cycles, and order
archiving.
Queries
In Aspen Production Execution Manager, the user can design queries that
fetch data from Aspen Production Execution Manager database.
Role-Based Security
Role-based security is used to authorize and authenticate users of AspenTech
applications and data sources. By assigning users to roles that define work
activities, administrators can grant security privileges to members of a given
role instead of individual users.
Use Aspen Framework (AFW) Server or Aspen Local Security (ALS) to
establish roles and associate users with them.
Roles
Job-specific functions (such as Administrator, Engineer, Area #5 Operator) to
which user IDs or user groups are associated in order to assign users to
specific servers and a defined set of permissions. Aspen Audit & Compliance
Manager permissions that can be assigned to a role include: Read, Write, Full,
and Administer.
These roles provide profiles for role-based security while giving users
consistent access to tasks, regardless of their network location.
RPL Docs
Similar to Active Docs, but RPL Docs only pertain to a particular RPL. RPLs are
Recipe Procedure Logics that are used to generate orders that can be
executed in operations. In the AACM audit system, the RPLs category also
includes MR (Master Recipe) and RPL documentation. An MR is typically an
RPL with parameters and resources.
104 Glossary
Security
Audit & Compliance Database security is currently provided by database
authentication. Aspen Framework (AFW) provides security for:
 The manual entry of events and comments in Aspen Audit & Compliance
Manager
 Granting Administrator privileges to perform functions in the Aspen Audit
& Compliance Administrator.
If implemented for a given site, Aspen Framework (AFW) provides an
environment for role-based security for AspenTech applications. Using AFW,
users can be associated with defined roles.
Templates
Aspen Production Execution Manager functions that enable users to export
and import Production Execution Manager objects.
UserID
The assigned identifier for a given user.
User Tables
Database tables created and defined by users in the Config Module in Aspen
Production Execution Manager table space. These tables are used for building
Production Execution Manager applications and in operations. In the AACM
audit system, this category also includes user table columns and column data.
Workstations
Computers that are used to work on Production Execution Manager.
Workstations are assigned roles with permissions on Production
Execution Manager functional areas.
Glossary 105
106 Glossary
Index
2
21CFR11 7, 70, 101, 102, 103
A
Adding Application Security 50
After You Install 24, 65
AFW Security Manager 48
Architecture 1, 74, 75
Aspen Audit & Compliance Administrator 9, 54, 61, 65, 67, 70, 75, 105
Aspen Database Wizard 9, 24, 36, 59, 60, 61, 74
Aspen Framework 8, 13, 58, 67, 70, 74, 75, 102, 103, 104, 105
Aspen Framework Security 48
Aspen License Manager 74, 75
Aspen Local Security 48
AspenTech support 2
AspenTech Support Center 2
Audit & Compliance Database 74
Audit & Compliance Server 9, 54, 74
Authentication 78
B
Before You Install 46, 73
C
Checklist 55
Comment 102
customer support 2
D
Database 24, 36, 74, 102
Domain 75, 103
E
e-bulletins 2
Index 107
Event 1, 3, 7, 8, 9, 13, 14, 24, 36, 38, 41, 51, 54, 57, 58, 59, 60, 61, 65, 69,
70, 71, 73, 74, 75, 76, 77, 102, 103, 104, 105
Event-generating application 8, 14
G
Guaranteed Event Delivery 103
H
help desk 2
I
IIS 51, 69, 70, 71, 75
Important 25, 60
InfoPlus.21 1, 8, 14, 54, 57, 67, 74, 75, 103, 104
L
Local Security 58, 69, 74, 104
M
Message 54, 103
Message Type 103
MS SQL 25, 44, 45, 58, 59, 60, 61, 74, 77, 102
N
Note 25, 46, 51, 60, 67, 70, 77, 101
O
Oracle 13, 25, 26, 27, 28, 29, 31, 45, 46, 51, 58, 59, 60, 61, 69, 70, 73, 74,
75, 77, 79, 80, 102
P
Plantelligence 13, 74, 76
Production Execution Manager 14
Production Record Manager 14, 57, 67, 74, 75, 102, 103, 104
Production Record Manager 1
Production Record Manager 54
Q
Queue 54, 58, 70
R
Registry 68
Removing 68
Role 104
role security 49
108 Index
S
Security 44, 48, 52, 75, 76, 102, 104, 105
SQL Server 13, 25, 26, 27, 28, 29, 30, 31, 42, 61, 74, 77, 80
support, technical 2
System Recommendations 13, 70, 73
T
technical support 2
Troubleshooting 55
U
Upgrading 57, 60
V
Verifying 58
Viewer 8, 9, 54, 58, 65, 69, 70, 75, 102, 103, 104, 105
W
web site, technical support 2
Worksheet 13, 73, 74
Index 109
110 Index

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Aspen Audit and Compliance Manager

Aspen Technology, Inc.

3 Installing Features and Subfeatures ..................................................................11

4 Upgrading or Repairing Features and Subfeatures .............................................57

5 Removing Features and Subfeatures ..................................................................67

7 Checklists and Forms .........................................................................................73

Appendix A, Third-Party Applications ....................................................................77

Appendix C, Automating Backup, Purge, Restore, and Archive Activities ..............81

Appendix D – Installing Internet Information Services (IIS) ................................97

This chapter provides an overview of Aspen Audit & Compliance Manager,

Upgrading to the aspenONE Licensing Model for

SLM License Server

Documentation in PDF format can be found in the following ways:

Aspen Audit & Compliance

Aspen Audit & Compliance Manager Data Flow

Aspen Audit & Compliance

Audit & Core server component, Required component.

Audit Integration between Production

3 Installing Features and Subfeatures 11

12 3 Installing Features and Subfeatures

3 Installing Features and Subfeatures 13

Installing Aspen Audit &

14 3 Installing Features and Subfeatures

3 Installing Features and Subfeatures 15

Installation Welcome Page

16 3 Installing Features and Subfeatures

3 Installing Features and Subfeatures 17

6. Select I accept the terms of the agreement and click Next to

18 3 Installing Features and Subfeatures

 This item can be installed automatically by selecting Install

 or This item cannot be installed automatically by selecting Install

 This item is informational.

3 Installing Features and Subfeatures 19

20 3 Installing Features and Subfeatures

3 Installing Features and Subfeatures 21

22 3 Installing Features and Subfeatures

Verify Your Installation

3 Installing Features and Subfeatures 23

Installing other AspenTech products

After You Install

24 3 Installing Features and Subfeatures

3 Installing Features and Subfeatures 25

26 3 Installing Features and Subfeatures

3 Installing Features and Subfeatures 27

Data Link Properties dialog box for Oracle

28 3 Installing Features and Subfeatures

MS SQL Server Connection

3 Installing Features and Subfeatures 29

30 3 Installing Features and Subfeatures

3 Installing Features and Subfeatures 31

14 Click Next. The Choose authentication method dialog box displays:

32 3 Installing Features and Subfeatures

3 Installing Features and Subfeatures 33

34 3 Installing Features and Subfeatures

Creating Public Synonyms

3 Installing Features and Subfeatures 35

Updating an Audit & Compliance Database

To update an existing Audit & Compliance database and

2 On the Choose an AspenTech product dialog box, choose the Aspen