How to prepare for an audit or any other meeting with ASQA or their representatives.
- Collect audit reports, facts and related information: Always collect as much information as possible and discuss your information with an experienced compliance consultant prior to your meeting.
- Review prior internal / external audits.
- Consider any new legislation/updates to guidelines etc.
- Conduct a risk assessment.
- Most importantly: Have all your interactions and correspondence with the regulatory body in writing and saved.
- If you have a question or concern, send an email and ask for a response via email.
- If you get a call and an explanation over the phone, request to get the information confirmed in writing.
- Have a plan: plan and prepare yourself for the event or meeting. Do not go unprepared.
- Have someone with you, someone who knows the regulatory guidelines and framework, someone who can support you and if required assist you.
- Brief employees involved in the meeting what to expect.
- Follow the regulatory guidelines and framework: People make mistakes and so do the officers at the regulatory body. Always follow the written regulatory guidelines and framework.
- Take meeting notes.
- Do not argue. Your logic doesn’t work here. It’s very important to understand this point. Do not try and explain. Logic fails when dealing with bureaucracy.
- Be positive – you are trying to solve an issue.
- Be receptive – Show your understanding and willingness to solve issues.
- Acknowledge that the regulatory body has the power over the situation: Remember any government official that you interact with is a “person of power”, but “first and foremost a person”. Treat the government representative with courtesy and respect.
- Be ready: Make sure your house is in order if an audit is requested. Being prepared for a potential audit can save you time and a lot of headaches. Most business (and people in general) dread being audited, but if you’re well-prepared, there’s no reason to worry.