Define audit policies for source documents

This topic explains how to set up and run audit policy rules. The example uses expense reports with the hotel expense type. This procedure uses the USMF demo company. The auditor role contains the correct permissions in order to perform these tasks.

  1. In the navigation pane, go to Modules > Audit workbench > Setup > Policy rule type.
  2. Select New.
  3. In the Rule name field, type a value.
  4. In the Description field, type a value.
  5. In the Query name field, select Expense report line
  6. In the query type field, select Aggregate
  7. In the Legal entity field, select Legal entity
  8. In the Document date reference field, select Modified date and time
  9. Select Save.
  10. In the navigation pane, go to Modules > Audit workbench > Setup > Audit policies.
  11. Select New.
  12. In the Name field, type a value.
  13. Expand the Policy organizations section.
  14. In the tree, select Contoso Entertainment System USA, then select Add.
  15. In the tree, select Contoso Consulting USA, then select Add.
  16. In the tree, select Contoso Retail USA, then select Add.
  17. Collapse the Policy organizations section.
  18. Expand the Policy rules section.
  19. In the list, find and select the Policy Rule that was created previously.
  20. Select Create policy rule.
  21. In the Effective date field, enter a date and time.
  22. Select Filter.
  23. In the list, select the row for Expense category, and set the details to Hotel.
  24. In the Criteria field, enter or select a value.
  25. Select the Aggregate tab.
  26. Select Add.
  27. In the list, select a field value of Transaction amount.
  28. In the Field field, enter or select a value.
  29. In the AggregateFunction field, select Sum.
  30. Select the Group by tab.
  31. Select Add.
  32. In the list, select a value of Employee .
  33. Select Add.
  34. In the list, select a value of Expense category.
  35. In the Field field, enter or select a value.
  36. Select the Having tab.
  37. Select Add.
  38. Select Transaction amount.
  39. In the Field field, enter or select a value.
  40. In the AggregateFunction field, select Sum.
  41. In the Criteria field, type >2000.
  42. Select OK.
  43. Select Test.
  44. In the Document selection starting date field, enter a date and time.
  45. In the Document selection ending date field, enter a date and time.
  46. Select Run test.
  47. On the Action Pane, select Audit policy.
  48. Select Additional options.
  49. In the Starting date field, enter a date and time.
  50. In the Ending date field, enter a date and time.
  51. Select Batch.
  52. Expand the Run in the background section.
  53. Select Yes in the Batch processing field.
  54. Select OK.
  55. In the navigation pane, go to Modules > Audit workbench > Audit cases.
  56. In the list, find and select the desired record.
  57. Expand the Associations section.
  58. In the list, find and select the desired record.