Within Dynamics 365 for Finance and Operations sits a module named the Audit Workbench, this is starting to feel like a start to a short children’s story book but I promise it’s an article ha! This module allows you to setup certain audit policies for Expenses, Purchase Orders and Invoices. Some examples of Audit Policies include the following:
- Checking for duplication of Expense reports based on predetermined criteria
- Check for keywords in Expense Reports to detect for expenses around items such as alcohol, possible bribery etc.
- Check for duplicate invoices to ensure you’re not Invoicing>paying a supplier more than once.
It is also possible to select only a sample of source documents to check for policy violations.
When a policy violation is detected a new case is created, these violations can be grouped into violations such as grouping expense violations by a specific worker or purchase orders by project. The cases can then be followed up to investigate the violation.
To set up a policy is easy simply go to Audit Workbench > Setup > Audit Policies:
Create a new policy by selecting at the top-left of the action pane, as the same with the other policy setup throughout Finance & Operations (Expense, Procurement etc.) you will have to provide a name, description and the Legal Entities the policy governs as shown below:
In this example I will setup a policy that looks for a keyword, in this case any expense report that has the word “alcohol” in it.
First i’ll select the “Expense Keywords” Policy and select “Create a new policy”:
Here you select the table name, so for this particular case ‘Expense Header’ or ‘Expense Lines’ then the field you would like the audit policy to monitor – then select the conditions, or for this example the keywords:
If needed you can test the new policy by selecting the “Test” button, or if you are happy with the setup select “Ok”. The next stage is to set the dates you wish the policy to run for – go to the action pane Audit Policy > Additional Options:
Select the start and end dates then hit “Batch” and then “Ok”.
Now to do a test it, I created an expense report with the following as the ‘Additional Information’ (please excuse the misspelling of bought):
Once this was submitted an approved a new ‘Audit Case’ was produced, I found this by going to Audit Workbench > Audit Cases, a new case was created with the description of “Audit Expense Keywords” and myself as the “Employee Responsible”:
Upon opening the case I can see from the ‘Associations’ fast tab that this relates to the worker ‘William Dorrington’ and for expense ‘000052’ which allows me to droll through and open the expense:
Now you can chase the worker for why they did not invite you to drink some glorious beverages with them!