Some tips on how to prepare for a meeting with the regulatory body

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.

Sukh Sandhu

Executive Director

Sukh has been working in the VET and Higher Education Industry for over 25 years. In this time, he has held several roles with RTO's and Higher Education Providers (HEP) including CEO roles for International Colleges and National Compliance and Quality Assurance Manager roles for several RTO's, TAFE's and Universities. Sukh has also worked for the Australian Skills Quality Authority (ASQA) as a Business Systems Project Official. Sukh is a Canadian permanent resident and Australian citizen.

Sukh has had extensive project management experience in risk management, compliance, administration and as a training consultant. He has extensive knowledge in government compliance standards and has participated in nearly one hundred audits across Australia and provided consultancy advice regarding ASQA/VRQA, TEQSA, ACPET, DET-HESG, VQF/Higher Education, ELICOS, NEAS, ANMAC, AHPRA, CRICOS, ESOS and ISO.

Sukh is a member of several independent professional organisations and government bodies including, ACPET, VELG, ACS, AITD, MARA, MIA, ISANA, APEX, IEEE, The Internet Society (Global Member), AISIP, IAMOT, ACM, OISV, APACALL, IWA, Eta Kappa Nu, EDSIG and several others.

Sukh's qualifications include two MBAs, three masters in IT and systems, a Graduate diploma of management learning, Diploma in training design and development, Diploma in vocational education training, Diploma of work, health and safety, Diploma of Quality Auditing, Advanced diploma of management, Advanced diploma in marketing, human resources, information technology, and a number of other courses and qualifications. He has been working as a lecturer and as a trainer and assessor since 1998, Sukh has been a vocal advocate of audit reforms and system centred auditing practices rather than auditor centred auditing practices for many years.