Manage internal controls

Important

This content is archived and is not being updated. For the latest documentation, see Microsoft Dynamics 365 product documentation. For the latest release plans, see Dynamics 365 and Microsoft Power Platform release plans.

Applies To: Microsoft Dynamics AX 2012 R3, Microsoft Dynamics AX 2012 R2, Microsoft Dynamics AX 2012 Feature Pack, Microsoft Dynamics AX 2012

You can use the Internal controls page, which displays the structure of the Internal controls site, to manage documents on the Compliance site. Each node of this structure can contain a document folder where all documents for that location are stored. The permissions granted by the Compliance site administrator determine which document folders you can view. You can add, edit, and remove documents by using the Internal controls site. A document template defines the properties and workflow steps for documents, the order in which each document can be nested or grouped, and how they are grouped. For more information, see About compliance document templates.

When you create documents, there is a relationship between the various document types, which are determined by the template that is selected. Most document types have a child document or parent document that dictates how the documents are related. This relationship is established when you create the documents. For an example of how the document types are used, see Examples: Internal controls.

You can view a list of evidence that is associated with a selected document, and property information about that document, on the Internal controls page.

You can use the default controls library to plan which control documents and properties you will enter on the Internal controls page. The default controls library is located in the Compliance resources shared documents folder.

Create a document

  1. Click Compliance on the top link bar, and then click Internal controls on the Quick Launch.

  2. On the Internal controls page, select the document folder where you want to add a document.

  3. On the Action Pane, in the New group, click Add document.

  4. In the Create document dialog box, enter a name and select the document template to use.

  5. Click the Create and edit button.

  6. On the Edit document page, enter an owner. This is typically the person who is responsible for the process, control, or test.

    Note

    This user must be set up as a user on the Enterprise Portal for Microsoft Dynamics AX SharePoint site.

  7. Set properties and workflow assignments, as required by the document template.

  8. Click Save.

View or modify a document

  1. Click Compliance on the top link bar, and then click Internal controls on the Quick Launch.

  2. On the Internal controls page, select the document to modify.

  3. On the Action Pane, in the Maintain group, click Edit.

  4. To modify the document, make changes on the Edit document page, and then click Save.

    Note

    If you do not have sufficient privileges, the Save button is not available.

Remove a document

  1. Click Compliance on the top link bar, and then click Internal controls on the Quick Launch.

  2. On the Internal controls page, select the document to remove.

  3. On the Action Pane, in the Maintain group, click Delete.

Set up compliance workflow steps for a document

If a document template contains a workflow section, you must modify the first line that is created by default. If you do not, the Completed check box will not appear for the subsequent assignments for that step.

  1. Click Compliance on the top link bar, and then click Internal controls on the Quick Launch.

  2. On the Internal controls page, select the document to modify.

  3. On the Action Pane, in the Maintain group, click Edit.

  4. On the Edit document page, in the Workflow section, under a workflow step, click the Edit line icon.

  5. In the Assigned to column, enter the user who is responsible for the step, in the following format: domain\alias

    Note

    This user must be set up as a user on the Enterprise Portal SharePoint site.

  6. Click the Validate user icon.

  7. Click the Update line icon.

  8. Click Save.

Roll back a compliance workflow step

When you roll back a workflow step, all subsequent steps are also rolled back. The Complete check box is cleared and the step or steps must be repeated.

  1. Click Compliance on the top link bar, and then click Internal controls on the Quick Launch.

  2. On the Internal controls page, select the document to modify.

  3. On the Action Pane, in the Maintain group, click Edit.

  4. On the Edit document page, in the Workflow section, select the compliance workflow step to roll back and then click the icon in the Rollback column.

Troubleshoot managing internal controls

I cannot add a document to the Internal controls site.

You must have Add/Copy permissions or higher to add documents to the Internal controls site; these permissions are granted by using the Set up control environment page.

  • Contact the Compliance site administrator to request the appropriate permissions.

I cannot complete a task that is assigned to me.

You must have Edit permissions or higher to complete assigned tasks; these permissions are granted by using the Set up control environment page.

  • Contact the Compliance site administrator to request the appropriate permissions.

I created a document and cannot make any changes.

Your permissions may have been changed after you created the document. You must have Edit permissions or higher to modify a document; these permissions are granted by using the Set up control environment page.

  • Contact the Compliance site administrator to request the appropriate permissions.

My new document has a status of Complete.

  • By default, documents that do not contain a workflow section are set to Complete.

See also

About compliance

Set up the Internal controls site

Edit document templates

About evidence

About process documentation