Preparing for audit

Whatever the audit if the request is from the regulator Ofqual it can induce anxiety. For me the first thing is get everyone together who is involved in the area/s that are due to be audited and start making a list of evidence that could be used. Agree who is going to source what.

Ofqual is after documentary evidence, so evidence needs to be written down policy, process, agenda, minutes of a meeting, handbook, contract, piece of guidance, etc. If it’s a system that supports a process some page prints of the data base pages or other system might be included. Or you might include copies of completed reports, whether they are handwritten or on a system, for example EQA (external quality assurer) reports. The evidence does need to have a clear connection with the area, be valid and authentic.

Normally evidence needs to be presented in hard copy. A file with the evidence clearly referenced and a list at the front with each page identifying what the document is and its reference and ideally cross referenced to the relevant Condition/s.

Next is who will attend the audit meeting? Again those directly involved in the area makes sense. A cautionary note though is if staff are not used to attending meetings where they are challenged their anxiety can misfire if they are spooked. The best thing in such cases is have them on standby and let Ofqual know that they can be called in if needed, or ask that they might visit the staff member at their work station: where they may be more comfortable. However, management should be able to relay the story of the area under audit.

After-thoughts on evidence won't count unless it's something you can physically hand over as a document whilst the regulator is with you. This makes it all the more important to have done the thinking before they visit. Saying that once presented with Ofqual's report of the audit exercise should you get a lightbulb moment it's worth advising Ofqual of any such additional documentary evidence and sending it through. Whether they will include it you will need to ask.

Working with someone independent of the organisation to check and challenge evidence and the team is a good way to prepare for an audit too.

Ofqual have said they come with the assumption an AO is compliant with the Conditions of Recognition when they undertake an audit. So your job is to provide reassurance that the AO is compliant. Focus on the present -  your evidence should be correctly dated though – policies, processes, accounts etc.

The AO’s conduct and ethics is important. Not misleading the regulator, or misrepresenting evidence is essential. It's also relevant to point out when previous regulatory requirements might have been less rigorous – so arrangements at a previous time were possibly less ‘robust’. Honesty and openness must be followed.

Heather Venis

Principal, Awarding First

Watch out for my next blog on 25th March.