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. 

Title Date
Office of Human Resources: Talent Acquisition and Management Review May 1, 2023
Division of Registration and Inspections: Registration Process Review Dec. 1, 2022
Third-Party Legal Expenditures and Controls Review Sep. 1, 2022
Division of Enforcement and Investigations Program Review Jun. 1, 2022
User Access Controls Over Non-Financial Systems Jan. 1, 2022
Office of the Chief Auditor Standard-Setting Program Sep. 1, 2021
PCAOB Human Resource Information System Implementation Aug. 1, 2021
Division of Registration and Inspections (DRI) Transformation Project Status Oct. 1, 2020
Internal Controls over Financial Reporting Program Mar. 1, 2020
Ethics Program Redesign Nov. 1, 2019
Procure-to Pay System Sep. 1, 2019
Regional Office Space Utilization Feb. 9, 2017
Office of Administration Initiatives for 2015-2018 Oct. 13, 2016
Payroll and Paid Time Off Reporting Oct. 13, 2016
Travel at the PCAOB Dec. 23, 2015
Broker Dealer Inspection Program Mar. 18, 2015
Facilities Management Jan. 13, 2015
Printer Management Jan. 13, 2015
Business Processes in the Office of General Counsel Feb. 26, 2014
Procedures to Evaluate Firms' Remediation Submissions Jan. 3, 2014
Safety and Security Procedures for International Travelers Jul. 3, 2013
Procurement Operations Jan. 14, 2013
Office of Research and Analysis Sep. 6, 2012
Technology in Support of Business Continuity Planning Jul. 2, 2012
Enforcement and Investigations Program Jan. 11, 2012
Controls Over Employee Internet Activity Sep. 27, 2011
IT Governance and Staffing Sep. 27, 2011
2010 Inspections Documentation and Other Selected Issues Dec. 20, 2010
Past Recommendations from Reports to the PCAOB Jun. 1, 2010
Reported Performance for 2009 Jun. 1, 2010
International Inspections Dec. 14, 2009
Purchase Card Program Jul. 30, 2009
Succession Planning May 5, 2009
PCAOB's Travel Nov. 21, 2008
Recruitment and Retention Jul. 8, 2008
Security Policies and Procedures Nov. 13, 2007
Large Firm Inspections Jul. 18, 2007
Document Management Dec. 15, 2006
Enterprise Architecture Dec. 15, 2006
Investment Review Committee Dec. 15, 2006
Office of Research and Analysis Sep. 12, 2006
Division of Enforcement and Investigations Aug. 7, 2006
Office of Chief Auditor Aug. 7, 2006
Inspection Activities Dec. 19, 2005
Finance Function Nov. 4, 2005
Human Resource Operations May 27, 2005
Information Technology and Security Function Nov. 30, 2004
Registration Process Jul. 12, 2004