For businesses looking to work within the UK rail industry, RISQS accreditation can be an important step towards securing new contracts and becoming part of an established supply chain.

But if you've ever looked into the application process, you'll know that it's not necessarily as straightforward as filling in a few forms and waiting for a certificate to arrive.

There's documentation to prepare, evidence to gather, requirements to understand and, depending on the services you provide, potentially an audit to complete.

For busy contractors and business owners, it can feel like yet another administrative mountain to climb.

However, with the right preparation and a clear understanding of what's expected, the process becomes considerably more manageable.

In this article, we'll look at some of the most common mistakes businesses make when applying for RISQS accreditation, along with practical advice on how to avoid them.

What Is RISQS Accreditation?

RISQS stands for the Railway Industry Supplier Qualification Scheme.

It's a supplier qualification and assurance scheme used within the UK rail industry to help buyers assess organisations wishing to provide products, services and works.

RISQS allows suppliers to demonstrate information about their business, capabilities, management systems and relevant compliance arrangements through a recognised platform.

For organisations hoping to work with Network Rail and other rail industry buyers, RISQS registration and the appropriate qualification status can be an important part of the procurement process.

However, not every supplier requires the same level of assessment.

The requirements depend on the products and services being supplied, the risks involved and the expectations of the relevant buyer.

You can find further information about the scheme on the official RISQS website.

Why Is RISQS Important for Rail Industry Suppliers?

Rail is a highly regulated and safety-conscious industry, and understandably so.

Work can involve operating close to live railway infrastructure, managing specialist equipment, maintaining critical assets or carrying out activities where mistakes could have serious consequences.

Buyers therefore need confidence that the organisations they engage have suitable systems, competent people and effective controls in place.

RISQS helps provide a structured approach to assessing that information.

For suppliers, the benefits can include:

• Demonstrating relevant qualifications and management arrangements to rail industry buyers.
• Supporting eligibility for procurement opportunities where RISQS status is required.
• Building confidence in your business's ability to manage safety and operational risks.
• Identifying weaknesses in existing procedures and management systems.
• Providing a framework for maintaining and improving organisational standards.

Of course, registration alone doesn't guarantee new contracts.

But having the appropriate RISQS status can help remove a significant barrier when pursuing opportunities within the rail supply chain.

Mistake 1: Selecting the Wrong RISQS Product and Service Codes

One of the first important decisions during the application process is selecting the appropriate Railway Industry Commodity Classification List (RICCL) codes.

These codes identify the products and services your business intends to supply to the rail industry.

It might sound like a fairly simple administrative task, but selecting the wrong codes can create problems further down the line.

Some codes require verification, while others trigger additional auditing requirements.

Selecting codes that don't accurately reflect your activities could mean undertaking unnecessary assessments or failing to obtain the qualification status needed for the work you actually want to carry out.

How to Avoid It

Before starting your RISQS application, take time to review your business activities carefully.

Consider the products and services you currently provide, the contracts you're hoping to secure and any specialist activities you intend to undertake.

Check the applicable RICCL codes and understand the assessment requirements associated with each one.

It's also worth considering your future business plans, but avoid selecting additional codes simply because you think they might be useful one day.

The aim is to choose codes that accurately reflect your business and its intended scope of work.

Mistake 2: Relying on Generic Health and Safety Documentation

We've said it before, and we'll probably say it again: having a folder full of impressive-looking documents doesn't necessarily mean your business has effective management systems.

This becomes particularly important when preparing for a RISQS audit.

Businesses sometimes rely on generic policies and procedures that have been downloaded, adapted slightly and filed away.

The problem is that these documents may not reflect the work actually being carried out or the risks the organisation faces.

If an auditor asks how a particular process works, your team needs to be able to explain it and demonstrate that it's being followed.

How to Avoid It

Make sure your policies and procedures are relevant to your actual operations.

Depending on the scope of your RISQS assessment, this could include reviewing:

• Health and safety policies and management arrangements.
• Risk assessments and safe systems of work.
• Competence, qualifications and training records.
• Incident reporting and investigation procedures.
• Contractor and subcontractor management.
• Inspection, monitoring and audit processes.
• Document control and management review arrangements.

The precise evidence needed will depend on the audit modules and requirements applicable to your organisation.

Remember, good documentation should describe how your business works, not how somebody else thinks it should work.

Mistake 3: Leaving Audit Preparation Until the Last Minute

Few things create unnecessary stress quite like discovering that important evidence is missing shortly before an audit.

Unfortunately, it can be tempting to put off preparing documentation when there are projects to complete, staff to manage and customers demanding attention.

Then the audit date approaches, and suddenly everyone is searching for training certificates, insurance documents and records they haven't looked at for months.

Not ideal.

RISQS uses a two-stage audit approach for relevant assessments.

Stage 1 focuses on reviewing submitted management system documentation, while Stage 2 examines how those arrangements are implemented within the organisation.

That means preparation needs to go beyond simply gathering paperwork on the morning of an audit.

How to Avoid It

Start preparing as early as possible.

Review the audit requirements applicable to your business, identify any missing information and give yourself sufficient time to address gaps.

Create a straightforward action plan that identifies:

• What documentation needs reviewing or updating.
• Which evidence needs collecting.
• Who is responsible for each action.
• When everything needs to be completed.
• Which staff members may need to explain particular processes.

RISQS provides guidance on its two-stage auditing system, including document submission requirements and the audit process.

A little organisation early on can prevent a great deal of frustration later.

Mistake 4: Having Procedures That Nobody Actually Follows

This is closely related to generic documentation, but it deserves attention in its own right.

An organisation might have a perfectly reasonable procedure for managing employee competence, inspecting equipment or reporting incidents.

But is that procedure being followed?

And can the business demonstrate it?

During an audit, assessors may look beyond written policies to understand how systems operate in practice.

For example, a company may have a training procedure stating that employee qualifications are regularly reviewed.

If nobody can produce up-to-date training records or explain who monitors renewal dates, that could raise questions about whether the process is effective.

How to Avoid It

Make sure the people responsible for implementing procedures understand their roles.

Keep appropriate records and carry out regular internal checks to confirm that systems are working.

Where weaknesses are identified, take action and retain evidence of the improvements made.

It's better to recognise and address a problem internally than discover it for the first time during an external audit.

Mistake 5: Underestimating the Importance of Employee Competence

In the rail industry, competence is particularly important.

Depending on the work involved, businesses may need to demonstrate that employees have the appropriate qualifications, training, experience, authorisations and ongoing assessments for their roles.

However, simply having a collection of certificates isn't always enough.

Businesses also need arrangements for identifying competence requirements, maintaining records and ensuring that employees remain suitable for the work they're carrying out.

How to Avoid It

Develop a clear system for managing employee competence.

This might include a training matrix showing relevant qualifications, refresher requirements, expiry dates and any role-specific authorisations.

Assign responsibility for keeping this information up to date and reviewing it regularly.

Where activities involve additional rail industry requirements, make sure these are properly understood and incorporated into your management arrangements.

The important thing is being able to demonstrate that competence is actively managed, rather than simply assumed.

Mistake 6: Assuming an External Consultant Can Handle Everything

Working with an experienced consultant can make RISQS preparation considerably easier.

However, there's an important distinction between receiving professional support and handing over responsibility for your management systems.

Your business must understand its own procedures and be able to demonstrate how they operate.

RISQS guidance also states that external consultants cannot attend RISQS audits on behalf of suppliers. The supplier needs to demonstrate its own understanding and ability to meet the relevant requirements.

How to Avoid It

Use professional support to identify gaps, strengthen procedures, prepare documentation and improve your team's understanding of what's required.

But make sure the people within your business remain involved throughout the process.

They should understand the systems being assessed, know where evidence is held and be confident explaining their responsibilities.

The objective isn't simply to get through an audit.

It's to develop management arrangements that your business can operate effectively long after the assessment has finished.

Mistake 7: Treating RISQS as a One-Off Exercise

It's tempting to think that once you've achieved the necessary RISQS qualification status, the hard work is over.

Unfortunately, that's not quite how effective compliance works.

Management systems need to remain current, and changes within your business may affect your RISQS requirements.

Perhaps you've taken on additional employees, introduced new services or started working on activities outside your existing qualification scope.

Your arrangements need to reflect those developments.

RISQS also has ongoing membership, verification and audit requirements, depending on the supplier's circumstances.

How to Avoid It

Make RISQS compliance part of your wider business management rather than a separate annual paperwork exercise.

Regularly review your documentation, maintain competence records and monitor any changes to your activities or applicable requirements.

Keep track of important renewal dates and ensure that information held within the RISQS system remains accurate.

This helps avoid unnecessary problems and makes future assessments more manageable.

Preparing for a RISQS Audit: A Practical Checklist

If you're planning a RISQS application or preparing for an upcoming audit, the following checklist provides a useful starting point.

• Confirm your scope: Check that your selected RICCL codes accurately reflect the products and services you intend to supply.
• Understand the requirements: Identify which verification and audit modules apply to your business.
• Review your documentation: Make sure policies, procedures and management systems are relevant and up to date.
• Gather supporting evidence: Check training records, inspection reports, competence information and other applicable records.
• Identify any gaps: Review what you already have against the relevant requirements and address weaknesses.
• Prepare your team: Ensure employees understand the procedures and responsibilities relevant to their roles.
• Check submission deadlines: Allow enough time for documents to be reviewed before your audit.
• Plan for ongoing compliance: Put arrangements in place to maintain your systems after qualification.

It's not about producing mountains of paperwork.

It's about demonstrating that your business has appropriate processes, understands its responsibilities and can manage its activities effectively.

How BOP Safety Associates Can Help with RISQS Applications

At BOP Safety Associates, we understand that the RISQS application and audit preparation process can feel daunting, particularly for smaller businesses entering the rail supply chain for the first time.

Our approach is straightforward: we help you understand what's required, identify what needs improving and put practical arrangements in place.

We can support your business with:

• Reviewing existing health and safety arrangements and management systems.
• Carrying out gap analyses against relevant RISQS requirements.
• Helping develop and improve policies, procedures and supporting documentation.
• Providing guidance on application information and evidence requirements.
• Preparing your team and management systems for assessment.
• Supporting ongoing compliance and continuous improvement.

We work alongside your business, helping you develop systems that are proportionate, practical and relevant to the services you provide.

And because we believe health and safety should make sense to the people responsible for it, we focus on helping you understand your arrangements rather than simply handing over another set of documents.

Whether you're preparing your first RISQS application, extending your scope or getting ready for your next audit, we're here to help make the process more manageable.

Need help with your RISQS application or audit preparation?

Find out more about our RISQS Applications service and how we can support your business.