Summaries of IOPA Performance Reviews

The Office of Internal Oversight and Performance Assurance conducts performance and quality assurance reviews, audits, and inquiries to detect and deter waste, fraud, abuse, and mismanagement in PCAOB programs and operations; and recommends constructive actions that, when implemented, reduce or eliminate identified risks, and promote compliance with applicable laws, regulations, and PCAOB rules and policies.

 

The following are summaries of IOPA performance reviews submitted to the Board. 

Operations Documents
Title Date
Division of Registration and Inspections (DRI) Transformation Project Status (PDF) Oct. 1, 2020
Internal Controls over Financial Reporting Program (PDF) Mar. 1, 2020
Ethics Program Redesign (PDF) Nov. 1, 2019
Procure-to Pay System (PDF) Sep. 1, 2019
Regional Office Space Utilization (PDF) Feb. 9, 2017
Office of Administration Initiatives for 2015-2018 (PDF) Oct. 13, 2016
Payroll and Paid Time Off Reporting (PDF) Oct. 13, 2016
Travel at the PCAOB (PDF) Dec. 23, 2015
Broker Dealer Inspection Program (PDF) Mar. 18, 2015
Facilities Management (PDF) Jan. 13, 2015
Printer Management (PDF) Jan. 13, 2015
Business Processes in the Office of General Counsel (PDF) Feb. 26, 2014
Procedures to Evaluate Firms' Remediation Submissions (PDF) Jan. 3, 2014
Safety and Security Procedures for International Travelers (PDF) Jul. 3, 2013
Procurement Operations (PDF) Jan. 14, 2013
Office of Research and Analysis (PDF) Sep. 6, 2012
Technology in Support of Business Continuity Planning (PDF) Jul. 2, 2012
Enforcement and Investigations Program (PDF) Jan. 11, 2012
Controls Over Employee Internet Activity (PDF) Sep. 27, 2011
IT Governance and Staffing (PDF) Sep. 27, 2011
2010 Inspections Documentation and Other Selected Issues (PDF) Dec. 20, 2010
Past Recommendations from Reports to the PCAOB (PDF) Jun. 1, 2010
Reported Performance for 2009 (PDF) Jun. 1, 2010
International Inspections (PDF) Dec. 14, 2009
Purchase Card Program (PDF) Jul. 30, 2009
Succession Planning (PDF) May 5, 2009
PCAOB's Travel (PDF) Nov. 21, 2008
Recruitment and Retention (PDF) Jul. 8, 2008
Security Policies and Procedures (PDF) Nov. 13, 2007
Large Firm Inspections (PDF) Jul. 18, 2007
Document Management (PDF) Dec. 15, 2006
Enterprise Architecture (PDF) Dec. 15, 2006
Investment Review Committee (PDF) Dec. 15, 2006
Office of Research and Analysis (PDF) Sep. 12, 2006
Division of Enforcement and Investigations (PDF) Aug. 7, 2006
Office of Chief Auditor (PDF) Aug. 7, 2006
Inspection Activities (PDF) Dec. 19, 2005
Finance Function (PDF) Nov. 4, 2005
Human Resource Operations (PDF) May 27, 2005
Information Technology and Security Function (PDF) Nov. 30, 2004
Registration Process (PDF) Jul. 12, 2004