Why should a principal contractor assess subcontractors before engagement?

Under the WHS Act 2011, a principal contractor has a primary duty of care for the health and safety of all workers on the construction project, including subcontractor workers. Assessing subcontractors before engagement is a critical part of ensuring, so far as is reasonably practicable, that the subcontractor has the competence, systems and resources to work safely. A documented assessment also provides evidence of due diligence in the selection process, which is a key consideration in any regulatory investigation following a workplace incident.

How often should subcontractor assessments be reviewed?

A full assessment should be completed before each new engagement and at least annually for ongoing subcontractor relationships. Insurance certificates and licences should be verified at each renewal date. Reassessment should be triggered immediately if the subcontractor has a notifiable incident, receives regulator enforcement action or undergoes a significant change in management or ownership. For long-duration contracts exceeding six months, a mid-contract performance review is recommended.

What minimum insurance should a subcontractor hold?

At a minimum, a subcontractor should hold current public liability insurance and current workers compensation insurance covering all workers. The required public liability coverage level varies by client and project, but many principal contractors and tier-one builders require a minimum of $10 million to $20 million. Workers compensation insurance is a legal requirement in all Australian states and territories for any business that employs workers. Professional indemnity insurance may also be required for design consultants and engineers.

What is the difference between a subcontractor assessment and contractor prequalification?

These terms are often used interchangeably, but some organisations distinguish between them. Prequalification is the initial screening that determines whether a subcontractor is eligible to tender for work, based on baseline criteria such as insurances, licences and safety management system. Assessment is a more detailed evaluation that may include scoring of SWMS quality, incident history analysis, plant condition review and overall capability rating. In practice, a thorough subcontractor assessment covers both prequalification and capability evaluation.

Can a subcontractor be conditionally approved?

Yes. A conditional approval means the subcontractor meets most assessment criteria but has specific gaps that must be addressed before work can commence. Common conditions include obtaining a missing licence, increasing insurance coverage to the required level, revising a SWMS to address identified gaps or providing evidence of specific worker training. The conditions must be clearly documented, and the subcontractor must satisfy them before receiving site access. The principal contractor should verify compliance with each condition and record the verification.

Free subcontractor assessment template

Jump to download form ↓

Enter your email below to download this subcontractor assessment template as a ready-to-use PDF.

Free subcontractor assessment template (PDF-ready). Covers WHS competency, insurance verification, safety systems and performance scoring. Download free.

Jarrod Milford

Commercial Director

Updated 3 May 2026

How to use: download the PDF, print or complete digitally on any device.

✓PDF format, ready to print or fill on screen
✓Use as-is or customise to suit your operation
✓Go digital in MapTrack for photos, alerts and audit trails

See template in action →

Download free PDF template

Trusted by teams across Australia and New Zealand

We respect your privacy. Unsubscribe anytime.

Preview the template

See the first part of the subcontractor assessment template below. Download the full version above.

Download to get full template →

What is a subcontractor assessment template?

A subcontractor assessment template is a structured evaluation document used by a principal contractor or head contractor to assess the health and safety competency, capability and compliance of a subcontractor before awarding work. The assessment covers the subcontractor WHS management system, licences and trade registrations, insurances (public liability and workers compensation), incident history, training and competency records, SWMS and risk assessment quality, plant and equipment condition, and previous safety performance. Each criterion is scored or rated, and the subcontractor receives an overall assessment outcome of approved, conditionally approved or not approved.

In Australia, when a principal contractor engages subcontractors on a construction project, both parties hold concurrent duties under the WHS Act 2011. The principal contractor cannot transfer their duty of care to the subcontractor, and the subcontractor is also a PCBU with their own primary duty under Section 19. Assessing a subcontractor before engagement is a critical part of the principal contractor obligation to ensure, so far as is reasonably practicable, the health and safety of all workers on site. A rigorous assessment process helps identify subcontractors who may lack the competence, systems or resources to work safely, before they enter the workplace. It also provides documented evidence that the principal contractor exercised due diligence in their selection process, which is a key consideration in any regulatory investigation following an incident.

Learn more about compliance and inspections in MapTrack.

Benefits of using this subcontractor assessment template

Due diligence: demonstrate that the principal contractor assessed subcontractor competency and safety systems before engagement, as part of their duty of care under the WHS Act.
Risk reduction: identify subcontractors who lack adequate safety management systems, training, insurance or incident track records before they enter the workplace.
Consistent evaluation: apply the same assessment criteria and scoring methodology to every subcontractor, removing subjective judgement from the selection process.
Insurance protection: verify current public liability and workers compensation insurance coverage before work begins, reducing the principal contractor financial exposure.
Performance tracking: record assessment scores over time to build a performance history for each subcontractor, enabling data-driven decisions about re-engagement.
Client and tender requirements: demonstrate a formal subcontractor assessment process to clients, tier-one contractors and tender evaluation panels who require evidence of supply chain safety management.

Benefits of digitising forms in MapTrack

When you move your assessments from paper to MapTrack, you get:

Field users can easily scan a QR code to complete a form on mobile. Unlimited users.
Automatically get alerts when faults are identified.
Link every form digitally as a PDF to the relevant asset, location or person.
Receive a digital PDF copy with every submission to your email.
Ability to share forms digitally.
Build conditional logic (show or hide questions based on answers).
Take pictures or attach photos. Not possible with a paper-based form.
Electronic signatures.
Edit forms later without reprinting.
Restrict permissions (who can view, complete or approve).
Build forms with AI (describe what you need and MapTrack suggests the form).
Escalate critical hazards instantly to safety managers via push notification.
Maintain an auditable safety register that satisfies WHS regulator requests.
Correlate incident trends across sites with built-in safety analytics.

Book a demo to see how MapTrack handles assessments.

Try MapTrack free for 30 days

Full access to every feature. No credit card required. Per-asset pricing so you scale as your fleet grows.

Start free trial

No credit card required
30 days free trial
Cancel anytime

What to include in a subcontractor assessment template

This subcontractor assessment template covers 9 key areas:

Subcontractor details: company name, ABN, registered address, primary contact name, phone, email, trade or scope of work, number of employees, years in operation.
WHS management system: does the subcontractor have a documented WHS management plan or policy, safety procedures, hazard reporting process and incident investigation procedure.
Licences and registrations: current trade licences, high-risk work licences for workers, builder registration, demolition licence, asbestos removal licence or any other licence required for the scope of work.
Insurance verification: current public liability insurance certificate with policy number, coverage amount and expiry date, current workers compensation insurance certificate with policy number and expiry date.
Incident and claims history: number of notifiable incidents, lost time injuries, workers compensation claims and regulator enforcement actions over the past three years, with a brief description of each.
Training and competency: evidence of worker training records, including WHS induction, trade-specific competencies, high-risk work licences, first aid, working at heights and any task-specific training required for the scope.
SWMS and risk assessment quality: sample SWMS and risk assessment reviewed for completeness, accuracy, site-specificity and compliance with WHS Regulations for high-risk construction work.
Plant and equipment: does the subcontractor have a plant register, maintenance schedules, pre-start inspection checklists and current registration or certification for major plant items.
Assessment scoring and outcome: numerical or categorical rating for each criterion, overall assessment score, assessment outcome (approved, conditionally approved, not approved), conditions to be met before engagement, assessor name and date.

How to use this subcontractor assessment template

Issue the assessment template to the subcontractor and request them to complete their sections with supporting documentation, including insurance certificates, licences, SWMS samples and incident history.: Provide the subcontractor with the blank assessment template and a cover letter explaining the purpose, required documentation, submission deadline and the assessment criteria. Allow sufficient time for the subcontractor to gather their documentation, typically five to ten business days. Specify that incomplete submissions will not be assessed.
Verify the subcontractor insurance certificates and licences against the original issuing authority records, confirming they are current and cover the scope of work.: Check the public liability insurance certificate for adequate coverage (many principal contractors require a minimum of $10 million to $20 million). Verify the workers compensation insurance is current and covers all workers. Confirm trade licences and high-risk work licences are valid and not expired or suspended. Contact the issuing authority if there is any doubt about the authenticity or currency of a document.
Review the subcontractor WHS management system, SWMS samples and risk assessments for completeness, accuracy and compliance with WHS Regulations.: Assess whether the subcontractor has a documented WHS management plan proportionate to their business size and risk profile. Review a sample SWMS to check that it identifies the high-risk construction work, lists specific hazards and controls, names responsible persons and includes a sign-on sheet. Review a sample risk assessment for site-specificity and use of a recognised methodology. Score each element using the assessment criteria.
Review the subcontractor incident history, enforcement actions and workers compensation claims for the past three years, and assess the trend.: Examine the number and severity of notifiable incidents, lost time injuries and workers compensation claims. A single incident is not necessarily disqualifying, but a pattern of recurring incidents, regulator enforcement actions or high-frequency claims indicates systemic safety failures. Consider the subcontractor response to incidents, including investigation quality and corrective actions implemented.
Calculate the overall assessment score, determine the outcome (approved, conditionally approved or not approved) and communicate the result to the subcontractor with any conditions to be met before engagement.: Tally the scores for each criterion and determine the overall assessment outcome. If the subcontractor is conditionally approved, clearly document the conditions they must satisfy before work can commence, such as obtaining a specific licence, increasing insurance coverage or revising their SWMS. Record the assessor name, date and rationale. File the completed assessment in the subcontractor register and provide a copy of the outcome to the subcontractor.

In MapTrack, you can digitise safety inspections and compliance forms. Each submission is stored as a timestamped PDF against the asset record.

Get the free template

Enter your email above to download the full subcontractor assessment template as a PDF.

Back to download form

How often should you complete this assessment?

A subcontractor assessment should be completed before each new engagement or contract award. For subcontractors on long-term or ongoing arrangements, a full reassessment should be conducted at least annually to verify that insurances, licences and safety management systems remain current. Insurance certificates should be checked at each renewal date and updated copies filed. If a subcontractor has a notifiable incident, receives a regulator improvement or prohibition notice, or undergoes a significant change in ownership or management, a reassessment should be triggered immediately regardless of the normal review cycle. Some organisations also conduct a mid-contract performance review against the original assessment criteria for engagements exceeding six months.

Frequently asked questions

Why should a principal contractor assess subcontractors before engagement?: Under the WHS Act 2011, a principal contractor has a primary duty of care for the health and safety of all workers on the construction project, including subcontractor workers. Assessing subcontractors before engagement is a critical part of ensuring, so far as is reasonably practicable, that the subcontractor has the competence, systems and resources to work safely. A documented assessment also provides evidence of due diligence in the selection process, which is a key consideration in any regulatory investigation following a workplace incident.
How often should subcontractor assessments be reviewed?: A full assessment should be completed before each new engagement and at least annually for ongoing subcontractor relationships. Insurance certificates and licences should be verified at each renewal date. Reassessment should be triggered immediately if the subcontractor has a notifiable incident, receives regulator enforcement action or undergoes a significant change in management or ownership. For long-duration contracts exceeding six months, a mid-contract performance review is recommended.
What minimum insurance should a subcontractor hold?: At a minimum, a subcontractor should hold current public liability insurance and current workers compensation insurance covering all workers. The required public liability coverage level varies by client and project, but many principal contractors and tier-one builders require a minimum of $10 million to $20 million. Workers compensation insurance is a legal requirement in all Australian states and territories for any business that employs workers. Professional indemnity insurance may also be required for design consultants and engineers.
What is the difference between a subcontractor assessment and contractor prequalification?: These terms are often used interchangeably, but some organisations distinguish between them. Prequalification is the initial screening that determines whether a subcontractor is eligible to tender for work, based on baseline criteria such as insurances, licences and safety management system. Assessment is a more detailed evaluation that may include scoring of SWMS quality, incident history analysis, plant condition review and overall capability rating. In practice, a thorough subcontractor assessment covers both prequalification and capability evaluation.
Can a subcontractor be conditionally approved?: Yes. A conditional approval means the subcontractor meets most assessment criteria but has specific gaps that must be addressed before work can commence. Common conditions include obtaining a missing licence, increasing insurance coverage to the required level, revising a SWMS to address identified gaps or providing evidence of specific worker training. The conditions must be clearly documented, and the subcontractor must satisfy them before receiving site access. The principal contractor should verify compliance with each condition and record the verification.

Applicable regulatory standards

This template aligns with the following regulations and standards:

WHS Act 2011 Section 19 (Primary duty of care)
WHS Act 2011 Section 46 (Duty to consult, cooperate and coordinate)
WHS Regulations 2011 (High-risk construction work)
Safe Work Australia Code of Practice: Construction Work

Need to digitise safety inspections and compliance forms?

Register every asset in MapTrack, attach digital forms, and get a complete history of every inspection, service and compliance record.

Start free trial Book a demo

Compliance and inspections · All templates · Pricing · Book a demo