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    CaseWare Continuous Monitoring

    CaseWare Monitor

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    Overview: Internal audit, the Corporate Controller’s office, and the Financial Officer organization have embarked on a joint initiative to implement a program to continuously monitor for high-risk transactions at the University. This effort utilizes data analysis to identify transactions that may indicate possible fraud, waste, and non-compliance with University policies and other regulations; and therefore require further review. We are using Caseware Monitor software to automate the data analysis and distribution of transactions identified to the responsible areas for review and/or remediation. Descriptions of each analytic can be found below:

      Description Recipients Frequency Status
    EC1 Identify restricted sponsored research with foreign national involvement Export Compliance Quarterly Active
    EC3 Identify TCP training not complete for restricted Sponsored Research Export Compliance Quarterly Active
    FO1 Identify grant sponsors where employee is listed as a sponsor contact Research Compliance/FO's Quarterly Coming Soon
    FO6 Identify over commitment of PI’s on awards FO Organization Quarterly Coming Soon
    FO9 Identify gifts made by an employee or employee related entity disclosed in COINS Research Compliance/FO's Quarterly Coming Soon
    FO11 Identify excess salary being charged to NSF grant FO Organization Quarterly Coming Soon
    FO22 Identify expenses charged to non-allowed object codes associated with federally funded awards AND identify equipment charged to sponsored awards where no equipment was budgeted FO Organization Monthly Active
    FO24 Identify employees with potential familial relationship being paid on the same budget. FO Organization Quarterly Coming Soon
    PC2 Identify pcard purchases made to a vendor that shares a phone number with a current employee FOs/PCARD Control Coordinator/Manager Quarterly Active
    PC5 Identify potential unauthorized purchases based on keywords through item description or vendor name. Purchase Card Control Coordinator Monthly Inactive
    PC7 Identify employees who are potentially splitting p-card purchases to circumvent transaction limit controls FO Organization Quarterly Active
    PC12 Identify payments to vendors that occur on only one or two purchasing cards and meet specified number and dollar thresholds FO Organization Quarterly Active
    PI2 Identify all capital equipment with missing object code listing and/or improper custodian assignment Property Inventory Bi-Annually Active
    RC4 Cross-verify the USPTO patent database for inventors with faculty member listed in the award Research Compliance Quarterly Coming Soon
    RC5 Identify the startup companies that are awarded the SBIR STTR and sub-contract to sponsored programs Research Compliance Quarterly Active
    TE1 Identify employee with travel expense but no effort charged towards grant FO Organization Quarterly Active
    VM6 Identify any current vendors that might be on the Vendor debarment list Purchasing Monthly Active