Finance Demo ScriptAudit workbench.docx

Finance Demo ScriptAudit workbench.docx

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FinanceDemoScriptAuditworkbench

MicrosoftDynamics®AX2012R2

Auditworkbench

January2013

Version1.0.0

Contents

Introduction

ThisdocumentexaminesthenewauditworkbenchfunctionalityincludedinMicrosoftDynamics®AX2012.Theprimaryobjectiveofthisdemoscriptistoprovidetheuserwithanoverviewofthenewauditrules,policiesandcasesandhowitcanimproveoperationaleffectivenessbydetectingfraudearlyandreducethecostsassociatedwithauditing.

Thisdocumentanditsincludedscript:

∙Demonstratestheabilitytodefinecommonauditrules,suchasrandomsamplingofexpensereports,purchaseorders,andvendorinvoices.

∙Explainshowtocreateflexibleauditpolicies,allowingyoutodefinespecificauditruleswhichcanbeappliedtooneormorelegalentitiesinyourorganization.

∙Uponcompletionoftheauditpolicy,violationsaregroupedintoauditcases,allowingauditorstoresearchandrecordallfindingsregardingviolations.

Audience

ThescriptinthisdocumentshouldbeusedtodemonstratethevalueofMicrosoftDynamicsAX2012toabusinessdecisionmaker（BDM）.Theexecutivesthatyoupresenttowillfindvalueinthisscriptiftheyarechallengedwith:

∙Maintainingstrongcontinuouscontrolsonexpendituresintheirorganization

∙Expensive,non-repeatable,timeconsumingaudits

ThisscripttargetsCFO’s,Controllers,andInternalauditorswhoneedtocreatestrongprocesscontrolswhicheffectivelydetectfraudearlyandtowhichactioncanbetakenquicklytoeliminatefraudandstoptheproblem.

Scenario

Thisscriptfocusesonthefollowingprocesses:

∙Policyruletypes:

Managewhichdocumentsaretobeauditedaswellasthequerytypeusedtoauditthosedocuments.

∙Auditpolicies:

Assignpoliciestospecificlegalentitiesinanorganization,schedulethepoliciesaswellasdefinespecificauditrulecriteria.

∙Auditcases:

View,researchandrecordallfindingsregardingauditviolations

ProblemsthisDemoAddresses

Thisscriptfocusesonsolvingissuesaroundtimeconsumingmanualauditsbyprovidingrichuserdefinedauditrulesthatcanbescheduledtorunautomatically.Additionallyanyviolationsfoundareautomaticallygroupedintoauditcasesallowingforeaseofmaintenanceandtracking.

KeyPainsorbusinessimperatives

∙Effectivelymanageauditcostsofcriticalbusinessprocesses

∙Manualauditqueriesaretimeconsumingandexpensive

∙Effectivelytrackandrecordauditviolations

DemoPresetConfiguration:

ThisscriptwaswrittentoworkwiththeMicrosoftDynamicsAX2012R2RTMVirtualMachine（VM）,releasedinDecember2012.MakesurethattheVMisupandrunningandthatyouhaveloggedon.Thescriptaddresseskeypainpointsandchallengesthatdifferentrolesmightface.Howeverthedemocanbecompletedasthesystemadministrator.

∙Domain:

CONTOSO

∙User:

Administrator

∙Password:

pass@word1

Overview

MicrosoftDynamicsAX2012introducestheAuditWorkbenchwhichisafullyautomatedauditingsolutionwhichcanbeuseddetectfraudearlyandstrengtheninternalprocessesandcontrols.Thefollowingprovidesalistofdemonstrationscoveredinthisscript:

∙Policyruletypes

∙Auditpolicies

∙Auditcases

Demo1:

Policyruletypes

ScenarioandBackground

InMicrosoftDynamics2012youcandefineauditrulestypeswhichwillallowyoutoauditexpensereports,vendorpurchaseorderorvendorinvoices.Sixdifferentquerytypescanbeusedtodefinethepolicyrules:

Conditional,aggregate,sampling,duplicate,listsearchandkeyword.InthisscenarioSara,Contoso’sCFOisreviewingseveraldrafttravelbudgetsforthenextfiscalyearandhasnoticedsomesignificantincreasesinhotellodgingyearoveryear.SarawantstogathersomemoredataaroundwhyContosoisspendingmoreonhotelstodetermineiftheyneedtonegotiatebetterrateswithcorporatehotelchains,orchangeContoso’sexpensepoliciesregardingwhereandhowmuchemployeescanspendpernightatahotel.Inaddition,Sarawantstomakesurethattheincreasesarenotattributedtointernalfraud.SaratellsKenthatshewantsContosotostartauditinghighdollarhotelexpensesonexpensereportssotheybetterunderstandwhoisincurringthosecharges,wheretheyareoccurringandforwhatevents.InadditionshetellsKenshewantstounderstandifanyemployeesareattemptingtodefraudContosobyenteringexpenselinesmultipletimesacrossdifferentexpensereports.KenlogsintoDynamicsAXandcreates2policyruletypes,onetocheckforduplicateexpenselinesandthenotherapolicyruletypethatwillallowContosotoaggregateamountsacrossexpensereportsbasedonasetofconditions.

1.OpenComplianceandinternalcontrols>Setup>Audit>Policyruletype

2.ClickNewtoaddaruletype.

3.EnterHighdollarhotelintheRulenamefield.

4.IntheQuerynamefieldselectExpensereportline.

5.IntheQuerytypefieldselectAggregate.

6.IntheLegalentityfieldselectLegalentity.

7.IntheDocumentdatereferencefieldselectModifieddateandtime.

8.ClickNewtoaddanotherruletype.

9.EnterDuplicateintheRulenamefield.

10.IntheQuerynamefieldselectExpensereportline.

11.IntheQuerytypefieldselectDuplicate.

12.IntheLegalentityfieldselectLegalentity.

13.IntheDocumentdatereferencefieldselectModifieddateandtime.

Additionalpolicyruletypescanbecreatedinthisformsuchasarandomsampleofpurchaseordersoveracertainamount,andqueriesforspecificwordsexistingonexpensereportsandsoon.

EndofDemoScenario1

Demo2:

CreateAuditpolicy

Auditpoliciesallowyoutorunacollectionofauditrulesagainstoneormorelegalentitiesinyourorganization.Theauditrulecriteriacanbesetperauditpolicyandeachpolicycanbescheduledtoexecuteonceoronarecurringbasis.NowthatKenhascreatedtheHighDollarHotelpolicyruletypehecanincludethatinanAuditpolicyruleforContoso’sUSlegalentitiesandfurtherspecifythecriteriafortherule.

1.OpenComplianceandinternalcontrols>Common>Policies>Auditpolicies

2.OntheActionPane,clickPolicy.

3.IntheNamefieldtype,ContosoUSApolicy

4.ExpandthePolicyorganizationsFastTabandselectContosoEntertainmentSystemUSA,ContosoConsultingUSAandContosoRetailUSAandclicktheAddbutton..

5.NextexpandthePolicyrulesFastTab

6.SelecttheDuplicateruletypeandclicktheCreatepolicyrulebutton.

7.IntheAuditpolicyruleformenter90intheAdditionaldaystoevaluateforduplicatesfield.

8.NextclicktheSelectbutton.

9.SelecttheGrouptabandselecttheAddbutton.

10.Enterinthefollowingcriteriainthefieldcolumn:

Name

Expensecategory

Transactiondate

Transactionamount

11.ClickOKtocloseform.

12.ClickOKtocloseform.

Thisrulewillconsideranyexpenselinewhichhasthesameemployee,expensecategory,transactiondateandtransactionamountsasaduplicate.

13.NextselecttheHighdollarhotelruletypeandclicktheCreatepolicyrulebutton.

14.IntheAuditpolicyruleformclicktheSelectbutton.

15.SelecttheRangetabandsettheCriteriafieldontheExpensecategoryfieldtoHotel.

16.SelecttheAggregatetabandclickAdd.

17.SelectTransactionamountfortheField.

18.IntheAggregateFunctionfieldselectSum.

19.SelecttheGroupbytabandclickAdd.

20.SelectEmployeeasthefield.

21.ClickAdd.

22.SelectExpensecategoryasthefield.

23.SelecttheHavingtabandclickAdd.

24.SelectTransactionamountasthefield.

25.SelectSumastheAggregateFunction.

26.Enter>2000astheCriteria.

27.ClickOKtocloseform.

28.ClickOKtocloseform.

29.IntheAuditpolicyformselecttheAdditionaloptionsbuttonontheActionpane.

30.Enter1/1/2013intheStartingdatefield

31.Enter1/31/2013intheEndingdatefield.

32.SelecttheBatchbutton.

33.IntheAuditpolicybatchprocessingformselecttheOKbutton.

UponclickingtheOKbuttontheInfologformshouldopenwithamessageindicatingthattheAuditpolicybatchprocessingjobhasbeenaddedtothebatchqueue.

EndofDemoScript2

Demo3:

ViewAuditcases

Uponcompletionoftheauditpolicybatchjobifanyexpensereportswerefoundinviolationofanyoftheauditrulescontainedinanauditpolicyoneormoreauditcaseswillautomaticallybecreated.

34.OpenComplianceandinternalcontrols>Common>Audit>Auditcases.

IntheAuditcaseslistpageyoushouldseeanauditcasecreatedwithaDescriptionofAuditHighdollarhotelandanauditcasecreatedwithaDescriptionofDuplicate

35.DoubleclickontheHighdollarhotelauditcasetoopenthedetails.

36.ExpandtheAssociationsFastTab.

IntheAssociationsgridyoushouldseeoneormoreexpensereportsthatcontainhotelchargesthatcreateacombinedtotalgreaterthan$2000.

37.SelectoneoftheexpensereportsinthegridandselecttheDetailsbutton.

38.IntheExpensereportformyouareabletoviewmoredetailsregardingtheexpensereportincludingthehotelcharges.

AdditionalnoteregardingresearchontheexpensereportsthatareattachedtotheauditcasecanbecapturedintheCaselogsectionoftheauditcase.

EndofDemoscript

Conclusion

Thisdemonstrationhasguidedyouthroughautomatingtheauditprocessby:

∙Creatingpolicyruletypes

oIndicatethedocumentsyouwishtoaudit

oSelectwhichofthesixquerytypesyouwanttouse

∙Executingflexibleauditpolicies

oCreaterichuser-definedauditrulesperpolicy

oExecutethepolicyagainstoneormorelegalentitiesinyourorganization

oScheduletheauditpolicytoexecuteonceoronarecurringbasis

oDocumentscontainingauditviolationsautomaticallyattachedtoaudit