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The Role Of The Responsible Officer (RO): Beyond The Job Title

If you’re a Responsible Officer or are stepping into the role for the first time, you’ll know it’s about far more than fulfilling regulatory duties. You're a key link between your organisation and the regulator, and play a central role in protecting standards, ensuring quality, and maintaining trust.

 

At the recent AO-Forum, Innovate Awarding’s Director of Compliance and Responsible Officer, Lesley Sharp, joined professionals from across the sector to explore what this role really demands, and why it matters more than ever.

 

Defined in regulation but shaped by day-to-day leadership, the RO role is critical to ensuring that Awarding Organisations (AOs) and End-Point Assessment Organisations (EPAOs) remain compliant, confident and fit for purpose.

 

In this blog, we unpack what the role involves in practice and share ten practical tips to help you strengthen your approach, lead with clarity, and build a culture of compliance across your organisation. 

What Does A Responsible Officer (RO) Really Do?

The role of the Responsible Officer (RO) is set out in Ofqual’s General Conditions of Recognition, specifically Condition B1. On paper, the RO is the main point of contact with Ofqual — responsible for ensuring the organisation remains compliant, maintains qualification standards, and protects public confidence in its delivery.

 

But in practice, the role goes far beyond this. It requires leadership, oversight, and the ability to influence at every level of the organisation. An effective RO doesn’t just monitor compliance, they embed it into the culture, guide decision-making, and stay one step ahead of regulatory expectations. 

Creating The Right Environment

No RO can work in isolation. To be effective, the role must be supported by the right internal structure. This includes:

 

  • A clear reporting line to the executive team and board 
  • Processes that ensure timely information flow across departments 
  • A shared understanding of the RO’s role and purpose 
  • Sufficient resource (people, systems and time) to manage compliance effectively

 

Crucially, responsibility for compliance should not sit with one person alone. The most effective organisations embed compliance into every team, from product and assessment services to operations, customer service, and quality assurance. 

What Compliance Looks Like In Practice

For many ROs, compliance work follows a consistent rhythm:

 

  • Daily: Monitoring the Ofqual Portal, answering internal queries, staying alert to new developments 
  • Weekly: Collaborating with colleagues, reviewing policies and procedures, logging events 
  • Monthly: Reporting to internal quality and compliance groups, raising risks or concerns 
  • Annually: Submitting the Statement of Compliance, renewing declarations, preparing for audits 
  • As required: Responding to requests, notifying regulators of events, or managing changes in scope

 

These tasks require strong systems, but also the confidence to challenge, question and lead. Compliance isn’t about box-ticking, it’s about protecting your licence to operate. 

Ten Ways To Strengthen Your Approach

Being a RO is as much about mindset and communication as it is about process. Here are ten ways to approach the role with confidence, clarity and impact.

1. Don’t Wait For Notifications

Ofqual’s Portal may alert you to updates, but it’s not infallible. Relying solely on notifications risks missing something important. Make it routine to check the Portal manually, ideally daily, or at least a few times a week. A consistent habit can prevent last-minute scrambles or missed deadlines.

2. Plan For Cover

You won’t always be available. Annual leave, illness or simply a full calendar can get in the way. Make sure another trusted team member has Portal access and understands how to support key responsibilities. That way, continuity is protected, and nothing falls through the cracks.

3. Ask Questions Early

As RO, you’ll be expected to explain regulatory requirements and guide others. If something isn’t clear to you, take the time to explore it and seek clarification. There’s no harm in asking for help, but waiting too long can cause confusion or delays downstream.

4. Be Proactive With Regulators

Your relationship with regulators should be confident and collaborative. Instead of asking, “What do we need to do to comply?”, frame your response: “We believe this approach meets the requirement, would you agree?” This positions you as a solutions-focused professional and helps build mutual trust.

5. Meet Deadlines (Or Renegotiate Them)

Timeliness matters. Where possible, submit information on or ahead of schedule. If you foresee a delay, communicate early and request an extension with a clear rationale. Regulators appreciate transparency and planning far more than last-minute apologies.

6. Keep Learning

Regulation doesn’t stand still. Changes in policy, emerging risks, or shifts in assessment delivery models all impact your role. Make space to read sector updates, attend events, and reflect on lessons learned. Set aside time in your diary, as even 30 minutes a week makes a difference.

7. Stay Confident In The Role

There may be times when you need to challenge decisions or escalate concerns, even to senior colleagues. That’s not overstepping; it’s your responsibility. Being an effective RO means making difficult calls when necessary and helping the business stay aligned with regulatory expectations.

8. Be Visible Across The Organisation

Your colleagues need to know who you are, what your role involves, and how you can support them. Make time to attend team meetings, respond promptly to questions, and build relationships. When people see you as a trusted adviser (not just a compliance checker) you’re more likely to be brought in early, when it matters.

9. Foster A Culture Of Compliance

Compliance shouldn’t be seen as something separate from delivery — it’s integral to it. Encourage open conversations, create space for learning, and embed compliance into everyday thinking. When teams understand the purpose behind the rules, they’re much more likely to follow them.

10. Focus On The Bigger Picture

You can have the best assessments, products or delivery models in the sector, but without regulatory compliance, none of it can continue. Keep reminding your organisation of this fact. To support your risk and quality processes, guidance from JCQ on malpractice and maladministration is also worth reviewing, especially in dual-regulated or high-volume settings.

Embedding Compliance Into Culture

Ultimately, compliance is everyone’s responsibility. The RO leads the way, but success depends on an organisation-wide commitment to doing things properly, consistently, and transparently.

 

That means investing in training, encouraging openness, and making sure people feel supported, not policed. When compliance is seen as a partner to delivery, not a blocker, everyone benefits. 

Turning Responsibility Into Impact

The Responsible Officer role carries weight, but it’s also a unique opportunity to shape standards, influence decisions, and protect the integrity of qualifications.

 

For those in the role, or supporting someone who is, the message is clear: take ownership, build strong foundations, and create a culture where compliance is part of how you work — not an afterthought.

 

If you're navigating similar responsibilities or developing your organisation’s approach to compliance, we’d be happy to share ideas and experiences. Get in touch with the team at Innovate Awarding to continue the conversation.