Compliance Audit — Summit Roofing Contractors Ltd

Audit Ref.

Audit Date

Prepared by

Audit Type

Version

Document Review — RAG Status

Red / Amber / Green assessment per document type

Each document type is assessed as: GREEN (compliant / adequate), AMBER (present but requires improvement), RED (missing or significantly non-compliant), or N/A (not applicable to this business).

Document Type	RAG Status	Document Exists?	Findings / Comments
Health & Safety Policy	R A G N/A	Y N Part	H&S Policy in place — last reviewed November 2023. Policy does not reflect current activities (pitched roofing, working at height, hot works for flat roofing). Named responsible persons, current task list, and working at height arrangements must be incorporated. Update required within 28 days.
General Risk Assessments	R A G N/A	Y N Part	No written risk assessments sighted for any principal task (strip & re-roof, ridge work, flat roofing). Risk assessments are conducted informally and verbally — but are not documented. This is a legal requirement under the Management of H&S at Work Regulations 1999, Reg. 3. Immediate action required.
COSHH Assessments	R A G N/A	Y N Part	SDS sheets held for some products (bitumen primer, adhesive). No formal COSHH assessment completed for any substance. Exposure controls, substitution, and PPE selection requirements not formally documented. Formal assessments required for all hazardous substances in use.
Risk Assessment & Method Statement (RAMS)	R A G N/A	Y N Part	No formal RAMS document produced. Current domestic roofing works are not notifiable under CDM 2015. However, a generic RAMS covering strip & re-roof methodology would strengthen Summit's position when tendering and demonstrate safe systems of work to principal contractors and householders.
Fire Risk Assessment	R A G N/A	Y N Part	No fixed employer premises — business operates from director's home address. FRA not required under current arrangements. Note: hot works (bitumen torch) should be covered under COSHH/RA arrangements — not a standalone FRA.
Manual Handling Assessment	R A G N/A	Y N Part	No formal manual handling assessment. Operatives routinely carry concrete roof tiles (approx. 4kg per tile), ridge tiles, and lead sheet — cumulative daily loads are significant. Assessment and toolbox talk on correct lifting technique and mechanical aids required. Include in the general risk assessment package.
Working at Height Assessment	R A G N/A	Y N Part	No formal Working at Height Assessment in place. This is the most critical gap — falls from height are the single leading cause of fatal injuries in construction. Working at height is Summit's primary activity for every job. A formal assessment of the hierarchy of controls (avoid, collective prevention, personal protection) is a legal requirement under the Work at Height Regulations 2005. Immediate action required.
Noise / Vibration (HAVS) Assessment	R A G N/A	Y N Part	No HAVS or noise assessment in place. Vibration exposure from angle grinders and disc cutters used for cutting ridge tiles and flashing — these should be assessed. Likely below daily EAV given intermittent use, but a brief assessment should be documented to demonstrate compliance with COSHH Regs 2002 / Control of Vibration at Work Regs 2005.
Lone Working Policy / Procedure	R A G N/A	Y N Part	No lone working policy. Operatives occasionally attend site alone for small repairs or quotation/assessment visits involving roof access. A simple documented check-in procedure and risk assessment for lone working on roofs is required. Note: lone working at height on a pitched roof carries significant risk — minimum two-person working should be considered for all active roofing tasks.
Driving at Work Policy	R A G N/A	Y N Part	Small operator — driving for work is incidental to trade. Formal driving at work policy not required at current size. Vehicle maintenance records should be kept. Recommend reviewing if fleet grows beyond 2 vehicles.
First Aid Arrangements (records + kit checks)	R A G N/A	Y N Part	EFAW certificate held by Gary Sutton — expires September 2027. First aid kit present in work vehicle and sighted during audit — contents checked and adequate. First aid provision is appropriate for current workforce size (3 persons). Continue to ensure kit is restocked after use and certificate is renewed before expiry.
Accident / Near-Miss Log (RIDDOR)	R A G N/A	Y N Part	Accident book on site — 3 entries in past 12 months (minor lacerations, 1 bruise from tile). Near-miss recording is not consistently practised. RIDDOR reportable incident thresholds not clearly understood by director. Recommend toolbox talk on incident reporting and RIDDOR triggers.
Training Records & Competency Evidence	R A G N/A	Y N Part	CSCS cards held by all three operatives — confirmed on site. No central training register maintained. Copies of certifications not held together — risk of oversight when cards expire. Recommend establishing a simple training matrix: name, certificate, issue date, expiry date, renewal reminder.
Plant & Equipment Inspection Records (LOLER/PUWER)	R A G N/A	Y N Part	Visual pre-use checks carried out on ladders and scaffold boards — confirmed verbally by operatives — but not documented. No formal LOLER/PUWER inspection records for any equipment. Ladder inspection checklists and a simple weekly equipment register should be implemented as a minimum.
Induction Records	R A G N/A	Y N Part	Site induction records in place and signed by operatives — records sighted covering the past 6 months. This is a genuine strength for this business. Continue to ensure inductions are completed before new operatives commence work and that records are retained. Well done.
Emergency Procedures	R A G N/A	Y N Part	No formal written emergency procedures. Operatives aware of general emergency actions — confirmed verbally. A brief written emergency plan covering: emergency contacts, nearest A&E, incident reporting, and fall-from-height rescue procedure should be documented and kept with the first aid kit.
PPE Issue & Inspection Records	R A G N/A	Y N Part	PPE provided and being worn correctly on site during audit visit — hard hats, hi-vis, safety boots and gloves observed. No formal PPE issue records. Introduce a simple issue log to document what has been provided to each operative and when. Mark as GREEN as PPE is genuinely in use — issue records to be formalised.
Asbestos Register / Survey (if applicable)	R A G N/A	Y N Part	Works frequently carried out on pre-2000 domestic roofs where asbestos-containing materials (asbestos cement slates, soffit boards, flue pipes) may be present. No formal asbestos awareness procedure in place. All operatives should hold Category A Asbestos Awareness training — no evidence sighted. This should be addressed as a priority — asbestos exposure can arise unexpectedly during roofing strip-outs.
Toolbox Talk Records	R A G N/A	Y N Part	No toolbox talks conducted or recorded — no evidence of any formal safety briefings beyond the initial induction. Toolbox talk records are expected by principal contractors when tendering and are a simple, low-cost way to demonstrate ongoing safety engagement. Recommend a minimum of 3–4 talks per year on key topics: working at height, manual handling, COSHH, incident reporting.
Contractors / Subcontractor Management	R A G N/A	Y N Part	Summit Roofing Contractors Ltd does not currently use subcontractors — all works carried out by direct employees. No formal subcontractor management procedure required at this time. If subcontractors are engaged in future, a formal pre-qualification process (PL insurance, RAs, CSCS) must be established before works commence.

Summary of Findings

Overall rating and key observations

Overall Compliance Rating

COMPLIANT

BROADLY COMPLIANT — IMPROVEMENTS REQUIRED

NON-COMPLIANT — URGENT ACTION REQUIRED

RAG Count Summary

3 Red — Non-Compliant

10 Amber — Needs Improvement

4 Green — Compliant

Key Strengths

Key Gaps / Concerns

Immediate Risks Identified

Priority Action Plan

Actions required to achieve full compliance

Priority	Action Required	Document / Area	Responsible	Target Date	Status

P1 actions represent immediate compliance risks and should be addressed before any new contracts or tenders are submitted.

Recommendations

Proposed services and next steps

Based on this audit, AB SiteSafe recommends the following services:

COSHH Assessment (up to 5 substances · +£15 per extra)from £95 Risk Assessment(s)from £75 RAMS / Method Statement£120 H&S Policyfrom £150 Monthly Retainer (Fully Covered)from £150/mo Follow-up Audit in 6 months

Additional Recommendations

Estimated Cost to Full Compliance

Conclusions & Recommendations

Overall commentary and audit limitations

Conclusions / Overall Commentary

This audit is based on documents provided and information given at the time of assessment. It does not constitute a full on-site inspection unless specified.

Limitations of Audit

Next Recommended Audit Date

Sign-Off

Preparer and client authorisation

Role	Name	Qualifications	Date
Prepared by	Alexander Banister	BSc(Hons) Biology \| Accredited H&S \| NEBOSH NGC (In Progress) \| Health & Safety Consultant — AB SiteSafe
Client Representative	Gary Sutton	Director / Owner — Summit Roofing Contractors Ltd

Role	Signature
Prepared by	Signature redacted for online preview
Client Rep.

Client acknowledgement: I confirm I have received this audit report and understand the findings and recommended actions.