Current Control Charts

This page links to the control charts for the current and previous fiscal years. Internal Audit performs follow-up work and reassesses the control environment of units and/or projects until issues ranked as essential are satisfactorily addressed. Internal Audit uses bar charts to provide pictorial displays of the units or projects control environment. These charts are included on all of our standard audit reports.

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Current Control Chart

AuditIssue DateAudit #
Transition Review -Global Programs & Strategy Alliance - Associate VP & DeanJuly 20232401
eConsentJuly 20232402
Transition Review - President August 20232303
Transition Review - Carlson School of Management - DeanSeptember 20232404
Aerospace Engineering & MechanicsSeptember 20232405
Transition Review - College of Liberal Arts -Dean November 20232406
Transition Review - College of Design - Dean November 20232407
Men's  and Women's Cross Country/Track & FieldDecember 20232408
Transition Review - Law School - DeanDecember 20232409
OIT Central Server AdministrationJanuary 20242410
NXT GEN MEDJanuary 20242411
UMD AthleticsJanuary 20242412
GLBA ComplianceJanuary 20242413

Control Charts FY 2023

AuditIssue DateAudit #
Energy ManagementJuly 20222301
Real Estate OfficeJuly 20222302
Systemwide Student Disability ResourcesAugust 20222303
Office of the Vice President for Research-VP Transition ReviewAugust 20222304
Veterinary Medical CenterAugust 20222305
Office of Equity and Diversity - Vice President Transition ReviewAugust 20222306
Research Animal ResourcesAugust 20222307
University of Minnesota Genomics CenterAugust 20222308
College of Biological Sciences - Dean Transition ReviewSeptember 20222309
University Services VP Transition ReviewOctober 20222310
UMD Chancellor Transition ReviewOctober 20222311
CUHCCDecember 20222312
Women's Gymnastics, Women's Tennis, Men's Golf and 
Women's Golf Compliance and Operations		January 20232313
RecWellJanuary 20232314
UMN ITSSFebruary 20232315
Transition Review -University Relations & University Services - VPMarch 20232316
Bell MuseumApril 20232317
I-9 Temporary Process ComplianceApril 20232318
Microbiology and Immunology April 20232319
Civil, Environmental & Geo-EngineeringMay 20232320
The Hormel InstituteMay 20232321
UMD Dining ServicesMay 20232322
Institute on the Environment May 20232323
Athletics Ticket OfficeJune 20232324
Boynton Health June 20232325

Control Charts FY 2022

AuditIssue DateAudit #
Graduate SchoolJuly 20212201
UMN Morris Chancellor Transition ReviewJuly 20212202
OIT Service Desk and Device ManagementAugust 20212203
NCAA Eligibility DocumentsSeptember 20212204
School of DentistrySeptember 20212205
Scholarship Funding, Metrics and OutcomesSeptember 20212206
Canvas and UnizinSeptember 20212207
State of Minnesota COVID-19 Testing ContractOctober 20212208
Academic and Research MisconductOctober 20212209
MN Partnership for Biotechnology and Medical GenomicsOctober 20212210
Employee Visa and Immigration Support Collaborative AssessmentNovember 20212211
School of Public Health - Health Policy & ManagementJanuary 20222212
University Emergency FundsJanuary 20222213
Industrial and Systems EngineeringJanuary 20222214
College of Science and Engineering - Dean Transition ReviewJanuary 20222215
Humphrey School of Public Affairs - Dean Transition ReviewJanuary 20222216
COVID-19 Research - Pre-Award ProcessesFebruary 20222217
School of Public Health - Dean TransitionMarch 20222218
Family Medicine and Community HealthMarch 20222219
UMD Health ServicesMay 20222220
Housing and Residential LifeMay 20222221
Retirement Incentive and Hiring Pause with ExceptionJune 20222222
UMD Chancellors' UnitJune 20222223

Control Charts FY 2021

AuditIssue DateAudit #
Central Job SchedulingJuly 20202101
UMN Duluth Student Life AdministrationJuly 20202102
International ScholarsJuly 20202103
Executive and Dean ExpensesSeptember 20202104
Department of PharmacologyOctober 20202105
University Health & SafetySeptember 20202106
Dean CEHD Transition ReviewOctober 20202107
SVP Finance and Operations Transition ReviewOctober 20202108
Southern Research & Outreach Center (SROC) - WasecaNovember 20202109
Coronavirus Aid, Relief, and Economic Security (CARES) ActDecember 20202110
U Market ServicesDecember 20202111
Baseball and Softball Compliance and OperationsDecember 20202112
Baseball and Softball Compliance and Operations - Support UnitDecember 20202112
UMN Duluth Labovitz School of Business and Economics (LSBE)December 20202113
Anatomy Bequest ProgramDecember 20202114
Prepaid Debit Card ProgramDecember 20202115
OIT Business Services Application DevelopmentDecember 20202116
Idle Time Charged to Sponsored AwardsDecember 20202117
Retirement TransitionJanuary 20212118
Foreign Gift and Contract ReportingFebruary 20212119
Compliance and Remote Working Purchasing PoliciesMarch 20212120
College of Science and Engineering Dean's Office and Reporting CentersMarch 20212121
Telehealth Security and ComplianceMarch 20212122
Board of Regents Internal ReportingApril 20212123
NorthropApril 20212124
Internally Granted ResearchMay 20212125
Openness in ResearchMay 20212126
UMN Duluth Department of Human ResourcesAugust 20212127
VP for Research Transition ReviewJune 20212128

Control Charts FY 2020

AuditIssue DateAudit #
Hospitality and Other Special ExpensesJuly 20192001
Presidential Transition ReviewAugust 20192002
UMD Stores (Including Print Shop and U Card Office)August 20192003
2019 Review of Select Advancing Human Research Protections ItemsSeptember 20192004
College of Veterinary Medicine - Dean Transition ReviewSeptember 20192005
Football Compliance and OperationsSeptember 20192006
Facilities Management District OperationsSeptember 20192007
CFANS - Plant Sciences/Bioproducts and Biosystems Engineering (BBE)September 20192008
Department of Psychiatry and Behavioral Sciences - ResearchOctober 20192009
Disaster Recovery of Information SystemsOctober 20192010
Emergency Management and Continuity of OperationsOctober 20192011
Veterinary Diagnostic LaboratoryJanuary 20202012
Institute for Social Research and Data InnovationJanuary 20202013
UMN Duluth Office of AdmissionsFebruary 20202014
Internal/External Sales OfficeFebruary 20202015
Office of Student FinanceMarch 20202016
Office of Human Resources VP Transition ReviewMarch 20202017
Computer Science and EngineeringMay 20202018
Carlson School of ManagementMay 20202019
Department of Public Safety ITMay 20202020
Executive Vice President and Provost Transition ReviewMay 20202021
University Purchasing Contract ManagementMay 20202022
UMN Duluth College of Liberal ArtsMay 20202023
Aurora Center for Advocacy and EducationMay 20202024
University Identity and Access ManagementJune 20202025
Laboratory Medicine and PathologyJune 20202026

Control Charts FY 2019

AuditIssue DateAudit #
Review of Compliance with Board of Regents Bylaws and Operational Policies for the BoardJuly 20181901
Employment Eligibility VerificationAugust 20181902
2018 Review of Select Advancing Human Research Protection ItemsAugust 20181903
Office of Athletic Compliance Control EvaluationSeptember 20181904
Mechanical EngineeringSeptember 20181905
MN Extension Services Control EvaluationSeptember 20181906
Destiny One Registration System Control EvaluationSeptember 20181907
Fixed Price Closeout ProcessNovember 20181908
Obstetrics, Gynecology and Women's HealthNovember 20181909
Review of Controlled Substances in ResearchNovember 20181910
Academic Health Center Information Systems (AHC-IS)December 20181911
Review of the Request for Outside Consulting (ROC) and Report of External Professional Activities (REPA) ProcessesJanuary 20191912
Residency DeterminationJanuary 20191913
UMD Police Department (UMDPD)January 20191914
Travel ExpensesJanuary 20191915
University of Minnesota LibrariesJanuary 20191916
Libraries - Minitex Control EvaluationJanuary 20191916
School of Physics and AstronomyJanuary 20191917
University of Minnesota, CrookstonJanuary 20191918
UMD School of Fine ArtsMarch 20191919
OIT Business OfficeApril 20191920
Office of Investments and BankingApril 20191921
Technology CommericializationApril 20191922
The Hormel InstituteApril 20191923
College of Veterinary MedicineMay 20191924
Office for Community StandardsMay 20191925
Weisman Art MuseumJune 20191926
Athletics - Other RevenuesJune 20191927

Control Charts FY 2018

AuditIssue DateAudit #
Sponsored Financial Reporting (SFR)August 20171801
Institute for Mathematics and Its Applications (IMA)August 20171802
Office of AdmissionsOctober 20171803
ETHOS ITSeptember 20171804
Department of RadiologySeptember 20171805
UMD Natural Resources Research InstituteSeptember 20171806
School of MathematicsOctober 20171807
College of Education and Human Development (CEHD)November 20171808
Women's Volleyball - Compliance & Operational AuditDecember 20171809
School of NursingDecember 20171810
Chemical Engineering & Materials Science (CEMS) and Materials Research Science & Engineering Center (MRSEC)January 20181812
School of Public Health ITJanuary 20181813
University-Wide Consulting and Professional Service ContractsJanuary 20181814
University of Minnesota, MorrisJanuary 20181815
Department of NeurosurgeryJanuary 20181816
University Public SafetyJanuary 20181817
College of Continuing & Professional StudiesMarch 20181818
Global Programs & Strategy AllianceApril 20181819
UMD Housing & Residence LifeMay 20181820
University Information SystemMay 20181821
Utilization of Federal and State Procurement ContractsMay 20181822
Family Medical Leave ActMay 20181823
University of Minnesota BookstoreJune 20181824
Intercollegiate Athletics Executive and Senior Staff Expense ReviewJune 20181825
Humphrey School of Public AffairsJune 20181826
Executive Officer, Board of Regents and Eastcliff ExpensesJune 20181827
Scholarships and FellowshipsJune 20181828