Evidence expectations at Stage 1 audit

To ensure a proportionate and efficient review:

  • Submit one or two representative examples per requirement
  • Avoid uploading large volumes of similar or duplicate evidence

The aim of the Stage 1 audit is to confirm that appropriate processes and controls are in place – not to review every individual record.

Further detail may be explored during the Stage 2 audit, where lead auditors may carry out targeted spot checks or request additional examples if necessary.

This approach helps to:

  • Reduce unnecessary uploads
  • Minimise confusion within the portal
  • Support a more streamlined audit process

Document management in the portal

Documents will remain in the portal if they are current, unless they are removed.

To maintain clarity and accuracy:

  • Remove outdated or superseded documents before uploading new versions
  • Ensure the latest version is always the one available for review

Example: if a policy has been updated following its annual review, remove the previous version before uploading the updated document.

If you were previously asked to amend a document during your audit, ensure the updated version is uploaded ahead of your next audit.

Personal information and Stage 1 audit submissions

To protect personal data and ensure compliance, do not submit:

  • Individual competence records
  • Individual certificates

You should still submit company certifications, where applicable, such as ISO, CHAS or Constructionline certification.

When uploading these supporting documents, please note:

  • Training matrices: Remove or redact all personal data
  • CVs: Remove personal addresses, phone numbers and any unnecessary personal data. Business or tender CVs are acceptable
  • Job descriptions: Must be signed copies. Unsigned documents will need to be revisited at your Stage 2 audit

Communication ahead of Stage 2 audit

A common question is why suppliers do not receive feedback after submitting Stage 1 audit evidence.

In most cases:

  • You will not usually receive communication after submitting your Stage 1 audit evidence
  • You will only be contacted as part of standard pre-audit engagement from your lead auditor

We will contact you earlier only in exceptional circumstances, if:

  • Documents are uploaded in the wrong language
  • Files are corrupted or inaccessible
  • No documents are submitted

Stage 1 audit submission deadline

Stage 1 audit requirements must be submitted:

  • By end of day (EOD), eight weeks prior to your Stage 2 audit date

At this point:

  • The portal will automatically lock, preventing further changes

Please note:

  • This deadline applies to all applicable modules for your renewal audit
  • This is regardless of when modules were previously closed – including after re-audits

We are currently working to update the RISQS portal to better reflect this deadline. It may currently display as “Due now”, “Overdue” or “Incorrect date”.

Supporting an efficient audit process

Thank you for your continued support in helping the RISQS audit process run as efficiently and smoothly as possible.