Ofqual compliance, whose responsibility?

In our sector sophisticated and simple systems and approaches can coexist very happily, and we know some functions are more developed than others. Factor in different leadership and management styles, governance structures and financials it all makes for no two compliance functions and the RO (Responsible Officer) role being the same too.

When I first got the job as Responsible Officer I had no real idea what it meant. Ofqual was a very new regulator and the General Conditions were alien to me. Talking with colleagues and other AOs I soon felt reassured that we all felt the same!

Some 6 years on things that seemed foreign have become familiar. However, the relationship with Ofqual can still be dysfunctional. Communications from Ofqual can be unpredictable, there are great waves of change, the language used is legalistic and not always helpful. It's not the best situation to help nurture understanding and improve relationships.

However, some recent new behaviours from Ofqual have allowed us to understand them a bit better. Some clear messages about their ‘audit approach’ and what keeps them awake at night have helped with that. There is also more stability and standardisation in how they work from the crazy days when they were first established.

Whilst Ofqual have settled into their role, how has the Responsible Officer role developed? Thinking of the Responsible Officers I know, day to day, none of them have similar jobs. Of course it's partly a product of the AO, its size, qualification portfolio, governance structure leadership style, financials, etc. The common threads of the RO job are the checking on compliance matters – some ROs being much more hands on than others – and signing off on the annual return exercise.

The two most striking things is the level of seniority of ROs, some but not all are involved at the senior management table; and the time available to do the job vary enormously. However, all need similar skill sets. ROs need enquiring minds, ability to be objective, ability to prioritise and find solutions, also to be planners, decision makers and task finishers. For many the compliance tasks are shared with colleagues in the organisation, others hire managers and others to help with compliance.

So where does this take us? Rather than focus on what the RO does I prefer to look at the compliance function. I like to learn that there is a team who are working together to contribute to Ofqual compliance. For me this means the team need to understand compliance.

Cornerstones of compliance are policy, risk assessment, document management and regulatory reviews. In future blogs and in my other news items I will cover these issues and related items. Look out for my fortnightly blog herein. You can also provide your views via the AO Network on LinkedIn, or email me heather@awardingfirst.co.uk