My Recent ELICOS Compliance Monitoring Audit Experience
An ASQA Compliance Monitoring Audit: The Good, the Bad, and the Ugly
This audit experience was a true mix of the good, the bad, and the ugly… but in the end, it all worked out well!
To start, I conducted an internal audit, updated and created the necessary documents, and trained staff on how to implement the updated materials.
Then came the ASQA Compliance Monitoring Audit, where I picked up a few new insights. I thought I’d share some key takeaways to help you better prepare for your next ASQA audit.
What to Expect from an ELICOS Compliance Monitoring Audit
Once the auditors arrive and introductions are completed, they will provide you with a list of required evidence that you must present during the audit.
The specific evidence they request depends on why they are auditing you:
If a complaint has been made against your college, they may focus on documents related to that complaint.
If it's a general compliance monitoring audit, they will typically review the pre-submitted documents for compliance.
New Evidence Requests: What ASQA Wanted to See
During this audit, the auditors requested some new documentation, including:
🔹 A Policy & Procedure for Student Placement
They were not satisfied with how the placement test was referenced in existing policies.
They wanted a clear, specific policy outlining when and how students are placed into classes.
🔹 Teacher Qualification and Work Experience Evidence
Auditors required proof of work experience—meaning a Statement of Service or equivalent must accompany the experience listed on the CV.
Copies of qualifications must be validated by letters from the institutions.
Signing a qualification copy with ‘original sighted’ or using a JP certification was not enough.
Yes, this adds more administrative work, but these were the expectations set by ASQA during the audit.
Unexpected Time Restrictions on Presenting Evidence
For the first time, I encountered an auditor who imposed a strict deadline for presenting evidence on the same day.
Normally, when more time is needed (since audits typically last a day or two), auditors allow the college to email additional evidence. However, this particular auditor demanded that all evidence be submitted by a specific time, well before the audit’s scheduled end.
He also stated that any evidence not submitted by the deadline would be deemed non-compliant.
🚨 How We Responded:
My client and I formally challenged the restriction, insisting that we should be allowed to submit documents until the end of the audit day.
In the end, the supporting auditor allowed us to continue providing evidence until the official audit conclusion and even took some documents back for review.
Know Your Rights During an Audit
Auditors do not have the right to disrupt your business operations.
For example, if an auditor wants to enter a classroom during class time, they must first obtain your permission.
Unfortunately, the auditor I encountered this time was less cautious about this, leading to teacher complaints after the audit. As a result, the college filed a formal complaint with ASQA regarding the auditor’s conduct.
Final Thoughts: Turning Audits Into Opportunities
There’s much more I could share, but I don’t want to bore you with a long blog, so I’ll stop here.
Here’s my takeaway:
Audits, while sometimes stressful, offer valuable opportunities to enhance business operations and improve the student experience.
If you approach audits with a positive mindset, you’ll gain insightful feedback, strengthen compliance, and develop your business further.
Key Reminders for Your Next Audit
✔ Work with an experienced compliance expert to prepare.
✔ Use the audit as a learning experience to improve business practices.
✔ Know your rights and push back if necessary.
I’d love to hear about your experiences—comment or share your thoughts!
Good luck!
