What happens during an audit? What happens during an audit

What happens during an Audit?

We have been through 5 audits at HBA Learning Centres and we thought you might like to know of the general flow of the process. Interestingly, the process seems to have changed in recent times, thus, we will elaborate on our audit of July 2018.

We were advised of an impending audit and asked to provide the details of 1000 learners that had enrolled over the past 12 months. The learners had to be representative of all our qualifications; we were easily able to extract that from our Learner Management System which is made for RTO’s, called Weworkbook. We were also asked to provide certain company documents.

Additionally, the Auditor sent letters to the 1,000 people asking them for targeted feedback about their learning pathway with HBA and once the feedback was received it was collated and certain elements were to be extracted by the auditor. At this point in time we had no idea of who had responded and what they had to say. In saying this, we did have a number of telephone calls from learners telling us they had been contacted. I must admit to feeling very nervous about the impending audit because the regulator had indicated they would audit 7 of our qualifications, a daunting task to say the least.

The first day came and our Compliance Manager and I sat down with the auditor, who was very professional and friendly. The Auditor led a pre audit meeting wherein she advised us of the reason for the audit, the process she would employ and our rights and obligations.

The auditor had a list of names against each of our qualifications and one by one we pulled up the individual learner files and each was interrogated for retention of evidence, feedback from assessors, enrolment forms etc. It was a very extensive audit and no “stone was left unturned”. It is an amazing thing about auditors that they can pick one file out of a thousand and yes, you guessed it, that file was missing something. Luckily, we found it and saved it but there was a non-compliance! The heart of what an RTO does is encapsulated in its Training and Assessment Strategy (TAS) documents and the auditor had a copy of ours and as she went through each of the learner files she was ensuring our assessment processes were being followed to the letter of our TAS.

As an RTO we have to adhere to 2 basic sets of standards. The first is the Standards for RTO’s 2015 and the second is the various Training Package rules. The Auditor was ensuring we had complied with all the requirements of both sets of standards; displaying to us that auditing is a complex and arduous task.

The Audit was completed with a post audit meeting advising us of the findings.

I guess one either loves or dislikes auditors and that depends on what they find or instruct you to do. It safe to say, we liked our Auditor.