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Control 3.3: Compliance and Regulatory Reporting - Troubleshooting

This playbook provides troubleshooting guidance for Control 3.3.

Common Issues and Resolutions

Issue: Compliance Manager Data Not Syncing

Symptoms: Assessment scores not reflecting current state

Resolution:

  1. Navigate to Compliance Manager > Settings
  2. Check data connector status
  3. Manually refresh assessment data
  4. Verify improvement actions are properly assigned

Issue: Report Distribution Fails

Symptoms: Recipients not receiving scheduled reports

Resolution:

  1. Check Power Automate flow run history
  2. Verify email addresses are correct
  3. Check for mail flow rules blocking
  4. Ensure service account has send permissions

Issue: SharePoint Archive Permission Denied

Symptoms: Reports fail to save to archive library

Resolution:

  1. Verify service account has Contribute permissions
  2. Check library is not in read-only mode
  3. Ensure retention labels allow new content
  4. Test with manual upload first

Issue: Examination Package Incomplete

Symptoms: Missing documents in generated package

Resolution:

  1. Review MANIFEST.json for required documents
  2. Verify source document locations
  3. Check document permissions
  4. Validate content freshness dates

Issue: Dashboard Performance Slow

Symptoms: Power BI dashboard takes long to load

Resolution:

  1. Implement incremental refresh
  2. Optimize data model relationships
  3. Reduce visual complexity
  4. Consider Premium capacity for large datasets

Diagnostic Commands

# Verify Microsoft Graph compliance module connection
Get-MgCompliance | Format-List

# Verify SharePoint permissions
Get-PnPListItem -List "Compliance Reports" -Query "<View><Query><Where><Eq><FieldRef Name='Author'/><Value Type='User'>ServiceAccount</Value></Eq></Where></Query></View>"

# Check Power Automate flow status
Get-AdminFlow -EnvironmentName "Default" | Where-Object { $_.DisplayName -like "*Compliance*" }

Escalation Path

Issue Severity Escalate To Response Time
Report generation failure IT Operations 4 hours
Compliance score incorrect Compliance Officer 24 hours
Regulatory deadline at risk CCO Immediate
Data sync issues Microsoft Support Per SLA

Next Steps

Updated: January 2026 | Version: v1.2