UWS Delegations Register. Presentation Paul Woloch – Director Policy and Governance, UWS Ray Cauchi – Developer, (TWEEK!). UWS Delegations Register University Context. In general universities are very decentralised organisations:
Paul Woloch – Director Policy and Governance, UWS
Ray Cauchi – Developer, (TWEEK!)
In general universities are very decentralised organisations:
Large number of staff with delegations (e.g. research delegations involving 229 researchers)
Large numbers of financial cost centres and projects
Complexity and diversity of purchasing
Extensive business travel
Consultancy and other commercial activities
Regular and extensive employment of casual staff
Audit Review at UWS in 2002 pointed to the need to devise an effective mechanism to maintain track of delegates and generate greater awareness of responsibilities. Delegations included in 2009 UWS Audit Program.
What is it?
The Register is an online database that enables extraction of data of individuals holding delegations:
Details of cost centre/project account
The category of delegation held by the individual
Auto extraction from the Policy schedules all relevant delegations
Effective dates on which the delegate holds authority (especially relevant for acting appointments)
The financial limit of any credit card
A complete audit record of all delegations held currently and previously
Notice that the delegate’s signature is in electronic TRIM file
A notes field to describe any restriction or change to a delegation
Accessible via web browser from any location
What is it?
The Register also:
Auto generates signature forms and emails delegates about their delegation and when it changes
Emails delegates when acting in positions and sends reminders on expiry
Has the capacity to email cohorts of delegates
Provides complete audit records of all transactions in the Register
Enables the generation of tailored audit reports.
Provides searching facility to identify individuals or categories of delegates
The Solution (conceptually)
The system was designed so that it:
Could be readily searched
Would facilitate business processing (finance and audit especially)
Could be comprehensive and accurate in its records of individuals and therefore auditable
Could be kept up to date
Contained cost centre, project code and credit card details
Was able to accommodate acting appointments
Could be intuitive and facilitate business processing
Auto generated forms and notices
Account code verification from Oracle financials
Would result in greater awareness of responsibility and accountability
Provided a reliable mechanism to handle specimen signatures
Uses of the Register
The Register is used for:
Verifying that an individual has a delegation
Providing an auditable historical record of delegations held by individuals, including any acting appointments
Providing information to delegates about their delegation including cost account details over which they have authority
A searchable database to establish who might have authority over a particular account or list of delegates for a particular unit
Reinforcing with delegates their responsibilities with respect to the exercise of their delegations in a highly decentralised organisation
Uses of the Register
UWS processes some 5,000 invoices per month ($2M-$5M total). Prior to Register only random manual checks were possible – now all transactions are checked.
Transactions incorrectly approved can be rejected with confidence – also transaction can be quickly routed to appropriate delegate.
Submission of transactions with incorrect delegate has shown marked decline in frequency since the Register’s advent.
Used to scope fraud investigations to immediately define extent of potential risk/exposure – financial accounts, credit cards, staff delegations, historical record of the individual under scrutiny. Remedial actions such as suspension of delegations, monitoring etc. can be put in place quickly. Used in tandem with CAATS.