Audit policy rule for duplicate expense reports

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Duplicate expenses are a persistent issue for companies. Submitting the same expense twice is one of the most common errors employees make. In most cases, duplicate expense submissions are honest mistakes. However, occasionally, they are attempts to commit expense fraud. It is important for any organization to detect such expenses, audit, find proofs and take the necessary actions as deemed to companies’ rules and regulations with the use of technology that can be more efficient.

In D365 F&O, we can configure audit policies to detect the potential duplicate expense reports, please find the details below to configure.

Setup case category

Before starting to create any cases in D365 F&O Case categories are mandatory to group similar cases and store information about knowledge articles that are related to cases.

A new case category will be created with category type ‘Audit’ which will used when case gets automatically created after detecting the duplicate expense report, please see below for further details

  • Organization administration > Setup > Cases > Case categories
  • Click New > Add case category and Category type ‘Audit’

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Configure audit rule types and policies

Setup Audit rule type:

The policy rule type specifies the Application Object Tree (AOT) query to use as the starting point for creating the policy rule. It also specifies the query type to use for the policy rule. This is to Evaluate source documents to determine whether they contain duplicate entries in specified fields.

  • Audit workbench > Setup > Policy rule type
  • Click new, enter rule name and description
  • Enter query name, there is option here to select expense header, line or both. Depending on the requirement this can be configured.
  • Select the query type as duplicate and legal entity field as legal entity

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Setup Audit policies:

  • Now setup the audit policy for the duplicate expense report
  • Audit workbench > Setup > Audit policies
  • Click on parameters
  • On the policy rule parameters, Select Companies as Order of precedence’s. This is required to setup the policy precedence rule. The applicable policies will be determined based on the first organization types selected.

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  • Close the Policy parameter form
  • Click new
  • On the General fast tab, add policy name and description
  • On the policy organization fast tab, Select the all the companies to which this policy rule will be applicable

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  • On the policy rule fast tab, click on the Duplicate rule type and click on create policy rule type
  • Click on filter, on the Group by section, select the table and field to which duplication of the record should be identified

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  • Click ok and Enter the Effective date and Expiration date of the policy rule

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Setup audit policy batch job:

After the policy rule has been setup, Click on the Audit policy on the action pane and Additional options

From here audit policy rule batch job can be configured to look for potential duplicate expense reports entered by employees

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See how it works

As the batch job keeps running based on the recurrence, it checks for potential duplicate expenses reports based on the policy setup.

I created and posted a duplicate expense report as below,

  • Employee: <XYZ>
  • Expense category: Car rental
  • Amount: $122
  • Date: 10/01/2019

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As the audit policy rule jobs gets executed, an audit case will be created in Audit workbench automatically

  • Audit workbench > Audit cases
  • On the association fast tab, you would see the details of the duplicate expense report created which will used by the compliance team to investigate and take the necessary action on it.

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Similarly,  audit rules can be configured for duplicate vendor invoice entry, sample audit of purchase orders, audit for out of pocket expenses and much more.

Disclaimer:

The data used for this demonstration is from Contoso demo data in D365 F&O application and it does not contain or imply of any individual or company data.

This is a personal blog. Any views or opinions represented in this blog are personal and belong solely to the blog owner and do not represent those of people, institutions or organizations that the owner may or may not be associated with in professional or personal capacity, unless explicitly stated. All content provided on this blog is for informational purposes only. This blog makes no representations as to the accuracy or completeness of any information on this site.

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