How to use our new two-stage auditing system
You asked us questions about the review of evidence at suppliers’ locations. These showed us we could streamline our auditing process so that it is more efficient and aligned with processes in other auditing schemes. The new two-stage process also enables buyers to see what processes we have already covered with you when they are planning any future contract, product or service specific audit with you.
Historically, this process has also been called the ‘hybrid’ process.
This webpage covers:
- what the new process involves
- key benefits
- portal instructions
- what happens when documents have been submitted
- implications for timeframes
- consequences of not submitting documents on time
- getting help.
What does the new process involve?
The new approach has two stages. It allows suppliers to upload a part of the required documentation prior to the audit (Stage 1). This ensures that the time spent in a Stage 2 audit, whether it is face-to-face or remote, can focus on areas that need further clarification or an in-depth review.
Although the new process is in two stages, it has advantages for both suppliers and buyers.
Key benefits
There are three key benefits:
- increased efficiency: By submitting evidence in advance, you will help us find areas for improvement with you before our audit visit. This makes our audit even more valuable to your business.
- targeted focus: Auditors will be able to concentrate on key high-risk evidence. This makes the audit process more effective whether it is in-person or remote
- alignment with industry standards: This change aligns us with similar schemes in industry. This ensures we maintain a consistent and rigorous approach to supplier assurance.
Portal instructions
When you log in to the portal, you will be notified of the new requirements for our two-stage process in your 'To Do List'.
To upload your evidence, you can either:
- Click the 'Fix' button on the 'Resolve Requirement Issues' item, as shown below.
- Navigate to the 'Your Requirements' section using the menu on the left-hand side.
Each module will have a specific requirement listed under the ’Requirements Needing Attention’ section. To start uploading your evidence, click the pencil icon next to each requirement. Upload one file at a time and avoid using zip files.
Requirements function as usual, allowing you to access and update them as needed. You can also assign requirements to other users.
Ensure your final submission aligns with the deadline provided in your audit summary page and by the scheduling team. Once ready, click the submit button in the top right corner.
What happens when documents have been submitted?
Once the relevant documentation has been submitted Stage 1 auditors will review it. They will do this in line with the relevant RISQS Protocol, ahead of Stage 2 being carried out by (an) auditor(s) either on site or remotely.
All documentation that has been reviewed at Stage 1 will be noted on the portal. If any evidence needs further clarity or review this will be flagged as an issue to the lead auditor. They will then discuss this when they carry out the Stage 2 audit. The lead auditor will either attend the site or carry out Stage 2 of the audit remotely. The report will be created using the same process as the previous procedure.
All evidence that has been uploaded to the portal is also viewable by the lead auditor. This means that if they have any queries about the notes from Stage 1 of the process they can review before Stage 2 takes place.
Implications for timeframes
When an audit is raised on your profile, new requirements will be assigned to your portal to allow you to start the upload process.
The new hybrid process has two stages:
- Stage 1 is carried out by our audit team as a desktop process
- Stage 2 is conducted by (an) auditor(s) either on site or via a remote call.
To enable this split, you need to submit certain elements of your documentation to the portal. Please see the portal instructions below for how to carry out this process.
The necessary evidence for Stage 1 audit must be uploaded at least 8 weeks before your Stage 2 audit. This applies whether your Stage 2 audit is on site or via a remote call. 8 weeks is the minimum time period we need to review all the documents before we can proceed with Stage 2.
Please take note of the deadline to upload documents because failure to do so will result in your Stage 2 audit being cancelled.
Consequences of not submitting documents on time
The deadline for submitting documentation is 8 weeks before your audit. This will be communicated by the RISQS scheduling team in their initial contact with you.
If the documentation submitted is:
- deemed to not answer the requirements
- insufficient in coverage to make the Stage 2 reduced time feasible
- or not submitted in time
you will be given two options to choose from. These are as follows:
- Late submission application
You can request a late submission application which will give upload access and an unscheduled Stage 1 audit (desktop review). A late submission application is £250 + VAT and ensures your lead audit date remains as booked.
- Full audit without the desktop requirement
You can request a full audit (Stages 1 and 2) without the desktop requirement. This option will result in your current lead audit being cancelled, cancellation fees applied, and a new lead audit date being scheduled. If a full lead audit cannot be scheduled prior to a suppliers’ expiry date the supplier will not be given an extension and your audit status will expire.
Getting help
We believe this new process will bring significant improvements to the audit experience and help us all maintain high standards of safety and quality.
If you have any queries about it, please contact info@risqs.org.