Compliance Red Flags

Patterns the SAF manual explicitly prohibits or that auditors will look for. Each section maps to a specific manual citation. Items appearing here need finance review and, where appropriate, remediation in SFO.

Checks made out to "Cash", "Bearer", or blank payee

Manual citation: Section V #9 - "Writing checks out to 'Cash' or 'Bearer' or leaving it blank" is prohibited.

No Results

Checks of $25,000 or more (dual-signature required)

Manual citation: Section IV - "All checks over $25,000 require the second signature to be that of the Chief Executive Officer, Chief Academic Officer, Chief Operating Officer, or Managing Director of Finance."

The dashboard cannot see signature documentation directly. This view lists the checks so finance can confirm the second signature is on file for each.

No Results

Checks of $250 or more with no liquidating PO

Manual citation: Section VIII - "Purchase orders must be issued for purchases in excess of $250.00."

Each check below was for $250+ but no PO in the system points to it as the liquidating check. Possible explanations: PO step skipped, PO recorded under a different vendor or amount, or PO predates the scraped date range. Finance should reconcile.

No Results

Checks with prohibited-purpose keywords in description

Manual citation: Section V (full prohibited-uses list) - includes gifts to faculty/employees, alcohol, loans, salary supplements, etc.

Keyword matching is heuristic and will produce false positives (e.g. a "team gift" for graduating students is legitimate). Each match should be reviewed in context.

No Results

Note: heuristic matches in the last section reflect what the description says, not what actually happened. Finance staff should verify each flagged item against the underlying disbursement documentation before acting on it.