Professional Oversight Board - Publications List

Publications List

The Professional Oversight Board became subject to the Freedom of Information Act from 6 April 2008. The Publication scheme is awaiting approval from the Information Commissioner.

Part 1: Introduction
Part 2: Classes of Information in the Professional Oversight Board Publication Scheme
Part 3: Publications List

Class A: Administration
Class B: Statutory Duties
Class C: Non Statutory Duties
Class D: Other links

Class	Sub-class	Title	Notes	Availability
A Administration	Oversight Board structure and organisation	Overview of the Professional Oversight Board	An overview of the history of the Oversight Board	Online; Hard copy
		Overview of the Audit Inspection Unit	An overview of the background, scope, monitoring and reporting of the Audit Inspection unit	Online; Hard copy
		The FRC - Organisation chart	Management structure	Online; Hard copy
		The FRC - Funding	Funding of the Oversight Board	Online; Hard copy
		Who we regulate	Covers both the Accountancy and Actuarial professions	Online; Hard copy
		Oversight Board’s aims & objectives	Statutory responsibilities	Online; Hard copy
		The FRC - Regulatory philosophy	Principles of good regulation	Online; Hard copy
		How to find us	Location map	Online; Hard copy
	The Oversight Board and members	Oversight Board Members	List and biographies of the Oversight Board members.	Online; Hard copy
		Schedule of Board Meetings		Online; Hard copy
		Agendas and summary Board minutes for statutory duties	Agendas and summary minutes of the Oversight Board meetings – statutory duties only	Online; Hard copy
	Strategies and plans	FRC Regulatory Strategy: Our Role and Approach	The Oversight Board does not produce its own strategy documents but is included within the overall strategic framework of the FRC	Online; Hard copy
		FRC Plan 2009/10	The Oversight Board does not produce its own Annual Business Plan but is included in the annual business plan of the FRC	Online; Hard copy
		FRC Plan 2009/10, including supporting information		Online; Hard copy
	Annual report Information Policy	FRC Annual Report 2008/09	The Oversight Board does not produce its own Annual report but is included in the Annual report of the FRC.	Online; Hard copy
		FRC Annual Report 2008/09		Online; Hard copy
		Quarterly strategic progress and planning report - February 2010	comparisons against budget	Online; Hard copy
		FOI - Guidance Notes Privacy statement	A guide to requesting information under the Data Protection Act 1998 and Freedom of Information Act 2000	Online; Hard copy
		FOI - Guidance Notes Privacy statement	Details about how the Oversight Board will manage personal information.	Online; Hard copy
		Fee Policy	Details about how and when we charge for the provision of information.	Online, Hard copy
	Staff	List of the Oversight Board and AIU staff members	Contact details for the Oversight Board staff	Online; Hard copy
		FRC - Job vacancies	Details of current job vacancies at the Oversight Board.	Online; Hard copy
		Code of conduct for all staff	Signed by all staff on joining the FRC	Online; Hard copy
	Sitemap	for the Oversight Board section		Online; Hard copy
	Communications	Press Notices	News releases to the general and financial press.	Online; Hard copy
	Complaints	Complaints Policy	How to make a complaint about registered auditors, accountants and actuaries.	Online; Hard copy
B Statutory Duties	Oversight of the Auditing profession	List of RQBs and RSBs		Online; Hard copy
		RQB and RSB recognition processes		Online; Hard copy
		Oversight of the Auditing Profession - Report to the Secretary of State 2007		Online; Hard copy
		Previous Secretary of State reports on the oversight of the Auditing profession		Online; Hard copy
		Complaints about Registered Auditors, Accountants and Actuaries	How to make a complaint about a registered auditor, accountant or actuary, or a firm of accountants, registered auditors or actuaries	Online; Hard copy
	Independent Supervision of the Auditors General	Proposal for conducting supervision		Online; Hard copy
		Memorandum of understanding		Online; Hard copy
		List of statutory audits	Not available yet	Online; Hard copy
		Monitoring arrangements	Not available yet	Online; Hard copy
		Disciplinary arrangements		Online; Hard copy
	Third Country Auditors	Consultation on the implementation of Statutory Audit Directive	3rd Country auditors	Online; Hard copy
		List of third countries deemed equivalent	This list will be updated periodically	Online; Hard copy
		List of third countries granted transitional measures	This list will be updated periodically	Online; Hard copy
		Register of third country auditors	This register will be updated periodically	Online; Hard copy
	Recognition of overseas qualifications	Schedule overseas qualifications recognised in the UK	This schedule will be updated periodically	Online; Hard copy
	Recognition of overseas qualifications	Application for recognition of overseas qualification	Not available yet	Online; Hard copy
	Professional Oversight Board Statutory Regulations	Statutory Auditors (Registration) Instrument		Online; Hard copy
		Statutory Auditors (Transparency reports) Instrument		Online; Hard copy
		Statutory Auditors (Examination) Instrument		Online; Hard copy
	Notification of change of auditor	Steps to follow when you change auditors		Online; Hard copy
C Non statutory Duties	Oversight of the Accountancy profession	Report to the Secretary of State for Business, Innovation and Skills for the year to 31 March 2009	Oversight of the accountancy and auditing professions are included in the same annual report to the Secretary of State	Online; Hard copy
		Previous Reports to the Secretary of State on the oversight of the Auditing profession		Online; Hard copy
		Audit monitoring by the RSBs	RSBs - future ad hoc projects will be made available from the date of publication	Online; Hard copy
		Review of how accountants meet the needs of SMEs		Online; Hard copy
		Key Facts and Trends 2009	A statistical summary of the accountancy profession showing trends in the underlying health and importance of the profession	Online; Hard copy
		Previous Key Facts & trends reports		Online; Hard copy
	Actuarial oversight	Memorandum of Understanding	MoU between the FRC and Actuarial Profession	Online; Hard copy
		Communications Protocol	Arrangements between the FRC and the Actuarial Profession to co-operate, consult and notify each other on issues relevant to their respective responsibilities	Online; Hard copy
		The Actuarial Profession's progress in implementing the recommendations made to it by the Morris Review The Actuarial Profession's progress in implementing the recommendations made to it by the Morris review - follow up	Progress made by the Profession in the implementation of recommendations made to it by the Morris Review	Online; Hard copy
		Review of ethical principles	Oversight Board response to the Profession’s initial consultation on the Actuaries’ Code	Online; Hard copy
		Promoting actuarial quality	A discussion paper on the principal drivers and threats to actuarial quality	Online; Hard copy
		Monitoring and scrutiny of actuarial work	Review of the effectiveness of monitoring of compliance with actuarial standards and scrutiny of actuarial work	Online; Hard copy
	AIU	Operating procedures for maintaining confidentiality	Confidentiality operating procedures	Online; Hard copy
		2008-09 AIU Audit Quality Inspections: An overview		Online; Hard copy
		Previous public reports		Online; Hard copy
		Public reports on individual firms		Online; Hard copy
		Scope of independent inspections	Entities within the scope of the work of the AIU	Online; Hard copy
	Public consultations	(to be listed here)	Public consultations will be made available from the date of publication	Online; Hard copy
D Other Links	Legislation links	Companies Act 2006
		Freedom of Information Act 2000
		Statutory Audit Directive
	Links with other organisations - UK	Institute of Chartered Accountants in England & Wales
		Institute of Chartered Accountants of Scotland
		Institute of Chartered Accountants in Ireland
		Association of Certified Chartered Accountants
		Association of International Accountants
		Chartered Institute of Public Finance Accountants
		Chartered Institute of Management Accountants

		Actuarial Profession (Institute & Faculty)
		Association of Consulting Actuaries
		Pensions Management Institute
		National Association of Pension Funds
		Chartered Insurance Institute

		Department of Business, Enterprise and Regulatory Reform
		Information Commissioner
		The Pensions Regulator
		The Financial Services Authority
	Links with other organisations - Int'l	Association of British Insurers
		International Accounting Standards Board
		International Federation of Accountants
		European Group of Auditors' Oversight Bodies
		European Federation of Accountants
		European Union