RISQS Accreditation Guide

Preview: this guide is being reviewed by Harcon Solutions and content may change.

Stage 5 of 8: Evidence

Documentation alone is not enough.

Having policies and procedures is not the same as being able to show that they work.

Having it is not the same as doing it

An organisation can have a full set of policies, procedures, forms and registers and still not be ready. What matters is whether those arrangements are followed in practice, and whether you can show it.

This is often where organisations new to rail find their biggest gap: the documents exist, but the records that show they are used do not.

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Harcon's evidence model: from procedure to assurance

  1. ProcedureWhat you say you will do, written down.
  2. ImplementationWhat people actually do, consistently, as part of normal work.
  3. EvidenceRecords that show it happened: completed, dated and traceable.
  4. AssuranceJustified confidence that your arrangements work.

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What an audit looks for

RISQS describes its audits as collecting evidence of, and reviewing processes for, each audit module. In other words, an audit looks both at what you have written down and at Objective evidenceRecords and other verifiable information that show something has actually been done, as opposed to a statement that it will be.Glossary that it is being done.

Source: .

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Examples of evidence

  • Completed records

    Forms and checklists that have actually been filled in, signed and dated.

  • Competence records

    Records showing each person holds the competence their role needs, and when it expires.

  • Formal appointments

    Letters or records appointing named people to defined roles and responsibilities.

  • Inspections

    Records of workplace, plant and equipment inspections, with any actions followed up.

  • Audits

    Internal audit plans, reports and findings, and the actions taken in response.

  • Meeting records

    Minutes and actions from safety, quality and project meetings.

  • Management reviews

    Records of senior management reviewing performance and deciding what to change.

  • Registers

    Registers kept up to date, for example for legal requirements, risks, training or plant.

  • Supplier assessments

    Records of how suppliers and subcontractors were assessed, approved and monitored.

  • Briefings

    Records of who was briefed, on what, and when, with signatures where appropriate.

  • Training records

    Evidence that training was delivered, attended and, where relevant, assessed.

  • Corrective actions

    A log of issues raised, root causes identified, actions taken and close-out confirmed.

  • Monitoring records

    Performance data and trends, and evidence that they were reviewed and acted upon.

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What makes evidence useful

  • Real: produced by doing the work, not created for the audit.
  • Traceable: dated, attributable and linked to the arrangement it supports.
  • Consistent: shows the arrangement is followed over time, not once.
  • Proportionate: enough to show the arrangement works, without unnecessary paperwork.

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Illustrative, not a checklist

The exact evidence expected depends on your scope and the requirements that apply to you. The examples on this page are illustrative. They are not a checklist of RISQS requirements.

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Guidance on this page last reviewed: .