Complaint = Audit: Building a Bulletproof Response Process

In this crucial episode, Angela Connell-Richards sheds light on one of the fastest-growing audit triggers under the 2025 Standards: complaints. Even one unresolved student complaint can lead to a full ASQA investigation—so how you respond matters more than ever.

Key points discussed:
 ✅ How ASQA uses complaints to trigger audits
 ✅ What makes a compliant, defensible response process
 ✅ How to train your team to handle feedback and escalation
 ✅ What documentation you must retain to protect your RTO

Angela provides a framework to turn complaints into opportunities for improvement—and a shield against unexpected audits.

Listen now and download Angela’s free Complaint Response Template to strengthen your process today.

Send us a text

 Join host Angela Connell-Richards as she opens each episode with a burst of insight and inspiration. Discover why compliance is your launchpad to success, not a limitation. 

Wrap up with gratitude and guidance. Subscribe, leave a review, and join our community as we continue supporting your compliance journey in vocational education. 

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Episode Transcript

Speaker 1 (00:03):
Hey there, superheroes, and welcome back to
the RTO Superhero Podcast.
I'm your host, angelaConnell-Richards, and today
we're going to talk about one ofthe most overlooked and
dangerous compliance risks forRTOs complaints.
Under the new standards, asingle unresolved complaint can

(00:23):
now trigger a full audit.
That's right.
One bad review, one frustratedstudent, one frustrated trainer,
one mismanaged process and youcould find yourself under
investigation by ASQA.
The good news handled properly,complaints don't have to be a
threat.
They can actually strengthenyour RTO's culture, improve your

(00:47):
systems and demonstrate yourcommitment to quality.
So today I'm going to walk youthrough how ASQA uses complaints
to initiate audits, what acomplaint handling process
actually looks like, how totrain your team to respond
appropriately and thedocumentation you need to keep

(01:09):
to stay protected.
This episode is practical,timely and, potentially, audit
saving.
Let's get into it.
Why complaints are now a majoraudit trigger.
Let's start with the why.
Why complaints are now a majoraudit trigger.
Let's start with the why.
Asqa's new risk-based approachmeans they're not waiting for

(01:30):
re-registration to assess you.
Instead, they monitor scope,additions, delivery of high-risk
products, trainer credentialsand you guessed it complaints.
Here's what happens A studentfiles a complaint directly to
ASQA.
Asqa assesses whether yourinternal process was actually

(01:51):
followed.
If they see gaps, noacknowledgement, no resolution
or no evidence, they mayescalate to an audit or
investigation.
And this isn't limited toone-off situations.
If multiple complaints mentionsimilar issues like trainer
quality, inconsistent assessment, lack of support or placement,

(02:12):
you're flagged.
So let me say this clearlyComplaints are not just customer
service issues, they'recompliance issues.
What makes a compliant complaintresponse process?
So how do you know and makesure your complaint process is

(02:36):
bulletproof?
The outcome standards and thecompliance requirements are very
clear.
Here's what your system mustinclude.
One a publicly availablecomplaints policy.
It should be on your website,in your student handbook and
accessible at enrolment.
Two a clear procedure.
This includes how complaintsare lodged, who manages them,

(03:06):
who manages them, timeframes forresponse, escalation steps,
appeal options.
Three a complaints register.
You need to document datereceived, complainant details,
summary of the issue, actionstaken, resolution outcomes and
time taken to resolve.
Four evidence of continuousimprovement.

(03:27):
Asco wants to see that you havetracked trends, you've updated
your systems and you've trainedyour staff on complaint themes.
How to train your team tohandle complaints.
How to train your team tohandle complaints.
Even with the best policies inplace, your people are the front

(03:51):
line.
Here's some tips on how you cantrain your team.
Step one awareness.
Make sure everyone, fromreception to trainers, knows
what a complaint is and how tolog it.
Some complaints start as simplefeedback or frustration.
Train your team to flag theseearly.
Step two language Staff shouldlearn to stay neutral.

(04:15):
Avoid defensiveness.
Don't take it personally.
Focus on the facts.
Offer clear next steps.
Steps Phrases like Thank youfor bringing this to our
attention.
Let me find out the next stepin our process.
This helps calm situationswhilst keeping you compliant.

(04:38):
Step three internalcommunication.
Build a flowchart so staff knowwho handles what, when to
escalate it and when to logformally.
Step four response timing.
Asqa expects timely resolution.
Set internal KPIs 24 hours foracknowledgement, five to 10

(05:03):
working days for investigation,20 working days max for full
resolution, depending on thecomplexity Document each step
along the way, the documentationthat protects your RTO.
This part is critical.
Asqa isn't just looking forresults.

(05:24):
They want to see records.
You must retain the complaintitself, written or verbal
summary, a copy of theacknowledgement sent to the
student, investigation notes andstaff responses.
Communications with the student, communications with the

(05:47):
student, the resolution outcome,any follow-up or systematic
improvement made.
Pro tip store complaints in asecure but accessible system
like your student managementsystem, clickup, sharepoint.
If you can show you received acomplaint, you took it seriously
, you resolved it promptly, youimproved your system based on it

(06:11):
, then you've nailed it, woohoo.
Common mistakes that can lead toaudit.
Let me quickly run through afew common mistakes and errors
that can trigger red flags Notacknowledging complaints in
writing.
Red flags Not acknowledgingcomplaints in writing, even if
the student was angry orunreasonable.
You need a formal response.
No version control ordocumentation.

(06:32):
If it's not logged, it didn'thappen.
No appeals process Studentsmust be able to escalate.
This doesn't mean they alwayswill, but the option must exist
Staff brushing it off.
If someone on your team says,oh, that student complains all
the time and takes no action,that's a huge risk Not acting on

(06:58):
themes.
If the same issue is raisedthree times in a month or six
months and you've done nothing,you're failing the continuous
improvement obligation.
To help you implement everythingwe've covered today, I've
created a free, compliantresponse template.
It includes a step-by-stepcomplaint process flow, sample

(07:23):
email acknowledgements, alogging template, documentation,
checklists, escalation guidance.
It's simple, practical andready to drop straight into your
internal systems.
Go to vivacitycomau or find thelink in the show notes or find

(07:43):
the link in the show notes.
So remember, a complaintdoesn't have to lead to an audit
, but a poorly handled one,that's a different story.
Train your team, log everything, improve your systems and use
complaints as a tool to growstronger, not weaker.
Thanks again for listening tothe RTO Superhero Podcast.

(08:06):
Next week we'll talk about oneof the most misunderstood risks
post 1 July policies that lookupdated but aren't actually
aligned to the new standards.
Until then, stay compliant andkeep thriving.