Free subcontractor assessment template

• The MapTrack subcontractor assessment template contains 20 checks across 6 sections. Sections covered: Company Details, Insurance & Licences, WHS Management System, Training Records, Recent Incident History, References.
• A subcontractor is also a PCBU: under sections 14 and 16 of the model WHS Act, duties are held concurrently and cannot be transferred.
• Section 46 requires duty holders who share a duty to consult, cooperate and coordinate, so far as is reasonably practicable.
• Ask for a sample SWMS: regulation 299 requires one before any high risk construction work starts.
• Check insurance certificates and licences against the issuer and expiry date, and reassess after a notifiable incident or a regulator notice.

Learn more about compliance and inspections in MapTrack.

• 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.

• 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.

1. 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.

2. 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.

3. 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.

4. 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.

5. 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.

Practical answers about the form, record keeping and using MapTrack.

This form is a starting point. Check the current requirements that apply to your equipment, work and location. The form alone does not establish compliance.

Each source was read at its publisher and the page checked on 26 October 2026. The publisher's current text is the authority.

• Model Codes of Practice (Safe Work Australia)
• Model WHS Regulations (Safe Work Australia)

MapTrack publishes this template. The linked authorities publish their own guidance; they haven't endorsed this form.

• Contractor prequalification checklist
• Contractor induction checklist
• Contractor management checklist
• SWMS template
• Risk assessment template
• Compliance and inspections
• Safety compliance
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