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

June 7, 2018

How to prepare for an audit or any other meeting with ASQA or their representatives.

 

  1. 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.

  2. Review prior internal / external audits.

  3. Consider any new legislation/updates to guidelines etc.

  4. Conduct a risk assessment.

  5. 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.

  6. Have a plan: plan and prepare yourself for the event or meeting. Do not go unprepared.

  7. Have someone with you, someone who knows the regulatory guidelines and framework, someone who can support you and if required assist you.

  8. Brief employees involved in the meeting what to expect. 

  9. 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.

  10. Take meeting notes.

  11. 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.

  12. Be positive – you are trying to solve an issue.

  13. Be receptive – Show your understanding and willingness to solve issues.

  14. 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.

  15. 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.

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