Top Tips for RISQS Audit Preparation!
If you’re applying for RISQS Certification you’ll have to undergo a RISQS Audit. We’ve put together these key tips for preparing for the RISQS Audit.
An audit can feel a bit daunting, but with the right preparation and a good understanding of the requirements you’ll feel much better equipped. Simpson Consultancy has undergone and overseen thousands of audits, so our experienced auditors have put together their top tips that’ll make the process much easier and more manageable for you.
Our Top Tips For RISQS Audit Preparation
“Failing to prepare is preparing to fail”
Organise Documents & Evidence:
The organisation of evidence is critical for a smooth and pain-free audit. Prepare for the audit best, you can arrange evidence into folders relating to each question. It includes health, safety, quality, environmental, technical, etc. It makes it easier to manage and retrieve schedules, when the time comes.
Conduct A Pre-Audit And Review Your System:
Another essential tip that you should consider is undertaking a pre-audit and review of your systems to ensure compliance with requirements. By doing this, you will ensure all system elements have been reviewed and are up to pass standard. Any potential issues can then be addressed and rectified in plenty of time.
Don’t Forget To Consider The Rail Group And NR Standards:
When it comes to RISQS audit preparation, the rail group and NR standards play an essential role. It defines functional or technical requirements to be met where the railway system’s management does not need RGSS. So, it’s good to review the rail and NR standards and ensure all relevant standards are captured along with issue numbers, dates, and records.
CIRAS Membership & Unannounced Testing
CIRAS Membership needs to be valid, for all operators sponsored under the Sentinel scheme. You should check and ensure that all memberships are up-to-date and valid. In addition to this you need to complete adequate levels of unannounced drug & alcohol testing, throughout the year. The audit will include a check of the Sentinel portal to ensure unannounced testing has been completed and logged within the portal. If you are not doing so already, put a schedule in place to ensure unannounced testing is taking place.
Assign A Project Manager:
The RISQS audit and certification process is time-consuming, having one person responsible for managing the process from start to finish will ensure complete oversight. Ensure the project manager reviews the list of work papers and schedules requested by the auditors, making sure to obtain clarification of requested information when necessary. When planning the workflow of the project make sure that the most time-consuming and difficult tasks are tackled first, and conduct regular progress meetings to ensure everything stays on track with the critical path timeline.
Do a practice Audit:
Practice makes perfect. To avoid any issues, doing a practice before audit preparation is essential. Microsoft Teams is very useful for simulating and carrying out your practice audit. You should make yourself as available as possible during the practice audit to answer any questions.
Do Not Wait To Perform Reconciliations Until Year-End:
Maintain your management system throughout the year, do not leave things last minute. It allows you to identify, investigate and resolve reconciling items in a timely manner. If you wait until year-end, you may not have enough time to resolve the issue before the audit.
Again prepare to make it easy on the day.
What happens if you fail the audit?
Failing the audit will notify all the buying community, and you’ll be unable to tender for work in the rail sector or be suspended from any current rail works. It is highly recommended to use a RISQS consultant for the certification and audit process to ensure you do not fail. With the right organisation, management and understanding of the requirements, you’ll have little chance of failure. If in doubt, hire a RISQS consultant.
Simpson Consultancy can support you with your RISQS audit. As both qualified auditors for the scheme holders and as RISQS consultants for our rail clients, we have undertaken thousands of audits. Our vast wealth of experience within the Railway Industry means that you are in safe hands. Moreover, we help you by providing complete guidance for future audits or any consultancy related to RISQS accreditation or certification.
For a highly competitive free quote, get in touch with us today.
For more information about the RISQS Certification check out our Guide to RISQS Certification.
