Part B — Chemicals & SDS
Subcontractor prequalification checklist
Workbook section 13
Owner
HSE Manager / Document Controller
Review / trigger
Annual review; update immediately if legal, authority, project, client, or scope requirements change.
Primary references
Plan B13 Subcontractor Registration; Plan B12 Contractor and Supplier Prequal
Checkpoints
88
| # | Area | Checkpoint / Requirement | Evidence / Acceptance Criteria | Responsible | Frequency |
|---|---|---|---|---|---|
| 1 | Legal & Licensing Status | Valid DED/Free Zone trade license matching subcontracted trade scope | License copy verified against activity code and expiry | Procurement Manager | Per prequalification |
| 2 | Legal & Licensing Status | MOHRE establishment card current and matching license | Establishment card cross-checked with MOHRE portal | Procurement Manager | Per prequalification |
| 3 | Legal & Licensing Status | Chamber of Commerce membership certificate valid | Certificate copy on file with expiry tracked | Procurement Officer | Per prequalification |
| 4 | Legal & Licensing Status | No blacklisting/debarment record with municipality/Civil Defence/employer | Clearance declaration and reference check completed | Contracts Manager | Per prequalification |
| 5 | Legal & Licensing Status | Company registered with relevant Free Zone/Trakhees authority if working within jurisdiction | Registration certificate matched to project location | Procurement Manager | Per prequalification |
| 6 | Legal & Licensing Status | VAT registration certificate (TRN) provided and valid | FTA TRN certificate verified | Finance Officer | Per prequalification |
| 7 | Legal & Licensing Status | Ultimate Beneficial Owner (UBO) declaration submitted per Cabinet Resolution 58/2020 | UBO declaration copy on file | Legal Advisor | Per prequalification |
| 8 | Legal & Licensing Status | Litigation/dispute history disclosed and assessed for risk | Litigation disclosure form reviewed by legal team | Legal Advisor | Per prequalification |
| 9 | Financial Capability | Audited financial statements for last 2-3 years submitted | Auditor-signed financial statements reviewed for solvency ratios | Finance Manager | Per prequalification |
| 10 | Financial Capability | Bank reference letter confirming credit standing and facility limits | Bank reference letter verified directly with issuing bank | Finance Manager | Per prequalification |
| 11 | Financial Capability | Annual turnover meets minimum threshold relative to contract value | Turnover figures cross-checked against financial statements | Finance Manager | Per prequalification |
| 12 | Financial Capability | Credit rating/financial risk assessment conducted via third-party agency | Credit report obtained and risk score recorded | Finance Manager | Per prequalification |
| 13 | Financial Capability | Capacity to provide performance bond/advance payment guarantee confirmed | Bank/insurer confirmation letter for bonding capacity | Contracts Manager | Per prequalification |
| 14 | Financial Capability | No history of insolvency, liquidation or winding-up proceedings | Declaration and company registry search confirming clean status | Legal Advisor | Per prequalification |
| 15 | Financial Capability | Adequate working capital demonstrated for concurrent project commitments | Cash flow statement and current workload declaration reviewed | Finance Manager | Per prequalification |
| 16 | HSE Management System & Certification | ISO 45001 or ADOSH-SF certified OSH management system in place | Certificate current and scope matches trade activities | HSE Manager | Per prequalification |
| 17 | HSE Management System & Certification | Documented HSE policy signed by senior management | Signed HSE policy statement reviewed for adequacy | HSE Manager | Per prequalification |
| 18 | HSE Management System & Certification | HSE manual covering risk assessment, PTW, incident reporting available | HSE manual reviewed against project HSE requirements | HSE Manager | Per prequalification |
| 19 | HSE Management System & Certification | Lost Time Injury Frequency Rate (LTIFR)/incident statistics for last 3 years disclosed | Historical safety statistics verified against insurance/regulatory records | HSE Manager | Per prequalification |
| 20 | HSE Management System & Certification | Dedicated qualified HSE personnel proposed for project (NEBOSH/IOSH certified) | CVs and certificates of proposed HSE staff reviewed | HSE Manager | Per prequalification |
| 21 | HSE Management System & Certification | Emergency response and incident investigation procedures documented | Procedure documents reviewed for completeness | HSE Manager | Per prequalification |
| 22 | HSE Management System & Certification | Environmental management system (ISO 14001) certification held, if applicable | Certificate verified for scope and validity | Environmental Officer | Per prequalification |
| 23 | HSE Management System & Certification | Method statements and risk assessments for proposed scope of work submitted | Sample RAMS reviewed for technical adequacy and hazard coverage | HSE Manager | Per prequalification |
| 24 | Quality Management & Technical Capability | ISO 9001 quality management certification held and valid | Certificate scope matches proposed works | QA/QC Manager | Per prequalification |
| 25 | Quality Management & Technical Capability | Inspection and Test Plans (ITP) sample submitted for review | Sample ITP reviewed against project specification requirements | QA/QC Manager | Per prequalification |
| 26 | Quality Management & Technical Capability | Organization chart and key technical staff CVs/qualifications submitted | CVs verified against project requirements and experience | Project Manager | Per prequalification |
| 27 | Quality Management & Technical Capability | Track record of similar completed projects within UAE provided | Reference project list with client contacts verified | Project Manager | Per prequalification |
| 28 | Quality Management & Technical Capability | Client reference letters/completion certificates for past projects obtained | Reference letters verified by direct contact with previous clients | Procurement Manager | Per prequalification |
| 29 | Quality Management & Technical Capability | Proposed construction methodology and program aligned with project schedule | Methodology statement and preliminary program reviewed | Planning Manager | Per prequalification |
| 30 | Quality Management & Technical Capability | Non-conformance and defects rectification track record reviewed | NCR history from previous projects assessed | QA/QC Manager | Per prequalification |
| 31 | Manpower & Labour Compliance | Sufficient skilled/unskilled manpower resource plan submitted for project scope | Manpower histogram reviewed against project program | Project Manager | Per prequalification |
| 32 | Manpower & Labour Compliance | Workforce holds valid MOHRE work permits and Emirates ID | Sample audit of permits and Emirates ID against MOHRE records | HR Manager | Per prequalification |
| 33 | Manpower & Labour Compliance | Wage Protection System (WPS) enrollment confirmed for all employees | WPS enrollment certificate/report verified | Finance Officer | Per prequalification |
| 34 | Manpower & Labour Compliance | Labour accommodation compliant with MOHRE/municipality camp standards | Camp inspection report or approval certificate reviewed | HSE Manager | Per prequalification |
| 35 | Manpower & Labour Compliance | No record of labour disputes, strikes or non-payment complaints with MOHRE | Declaration and MOHRE compliance check completed | HR Manager | Per prequalification |
| 36 | Manpower & Labour Compliance | Training records for trade-specific certifications (welding, scaffolding, rigging) available | Sample training certificates verified for currency | HSE Manager | Per prequalification |
| 37 | Manpower & Labour Compliance | Overtime and working hours compliance with UAE Labour Law demonstrated | Sample timesheet audit against statutory limits | HR Manager | Per prequalification |
| 38 | Insurance & Bonding Capacity | Contractors All Risk (CAR) insurance capability confirmed for project value | Insurance broker confirmation letter reviewed | Insurance/Contracts Manager | Per prequalification |
| 39 | Insurance & Bonding Capacity | Workmen's Compensation/Employer's Liability insurance in place for existing workforce | Current policy certificate reviewed for coverage adequacy | Insurance/Contracts Manager | Per prequalification |
| 40 | Insurance & Bonding Capacity | Third Party Liability (TPL) insurance coverage confirmed | Policy certificate reviewed against minimum coverage requirement | Contracts Manager | Per prequalification |
| 41 | Insurance & Bonding Capacity | Performance bond and advance payment guarantee issuance capacity confirmed by bank/insurer | Bank/insurer letter of bonding capacity verified | Finance Manager | Per prequalification |
| 42 | Insurance & Bonding Capacity | Professional indemnity insurance held where design responsibility included | PI insurance certificate reviewed for coverage period | Design Manager | Per prequalification |
| 43 | Equipment & Resource Capability | Owned/leased plant and equipment list matches proposed scope of work | Equipment list cross-checked with ownership/lease documents | Plant Manager | Per prequalification |
| 44 | Equipment & Resource Capability | Equipment maintenance and third-party inspection certificates current | Sample inspection certificates reviewed for validity | Plant Manager | Per prequalification |
| 45 | Equipment & Resource Capability | Equipment operators hold valid UAE-recognized licenses/certifications | Sample operator license verification completed | HR Manager | Per prequalification |
| 46 | Equipment & Resource Capability | Backup/standby equipment arrangement confirmed to avoid schedule disruption | Standby equipment agreement or fleet capacity letter reviewed | Plant Manager | Per prequalification |
| 47 | Equipment & Resource Capability | Material procurement and supply chain capability assessed for project scope | Supplier list and lead-time capability reviewed | Procurement Manager | Per prequalification |
| 48 | Environmental & Sustainability Compliance | Environmental management procedures for waste, dust and noise control documented | Environmental management plan sample reviewed | Environmental Officer | Per prequalification |
| 49 | Environmental & Sustainability Compliance | Hazardous waste handling and disposal arrangements with licensed contractors confirmed | Waste management agreement/licenses reviewed | Environmental Officer | Per prequalification |
| 50 | Environmental & Sustainability Compliance | Sustainability/green building compliance track record demonstrated where applicable | Reference project sustainability certifications reviewed | Sustainability Manager | Per prequalification |
| 51 | Environmental & Sustainability Compliance | Spill prevention and hazardous material storage procedures documented | Procedure document reviewed against project risk profile | Environmental Officer | Per prequalification |
| 52 | Contractual & Risk Management | Standard subcontract agreement terms reviewed and accepted | Signed acknowledgement of contract terms and conditions | Contracts Manager | Per prequalification |
| 53 | Contractual & Risk Management | Risk register for proposed scope of work submitted and reviewed | Risk register reviewed for completeness and mitigation measures | Project Manager | Per prequalification |
| 54 | Contractual & Risk Management | Conflict of interest declaration submitted | Signed declaration form on file | Procurement Manager | Per prequalification |
| 55 | Contractual & Risk Management | Anti-bribery and anti-corruption policy acknowledgement obtained | Signed acknowledgement/code of conduct on file | Compliance Officer | Per prequalification |
| 56 | Contractual & Risk Management | Sub-subcontracting policy and approval process agreed | Sub-subcontracting clause reviewed and accepted | Contracts Manager | Per prequalification |
| 57 | Contractual & Risk Management | Data protection and confidentiality agreement signed per Federal Decree Law 45/2021 | Signed NDA/data protection agreement on file | Legal Advisor | Per prequalification |
| 58 | Site-Specific Mobilization Readiness | Site-specific induction attendance plan for workforce confirmed | Induction attendance schedule reviewed | HSE Officer | Prior to mobilization |
| 59 | Site-Specific Mobilization Readiness | Emergency contact list and next-of-kin details collected for all deployed workers | Records verified as complete for all mobilized personnel | HR Manager | Prior to mobilization |
| 60 | Site-Specific Mobilization Readiness | Site-specific PPE provision plan matches hazard assessment for scope of work | PPE matrix reviewed against risk assessment | HSE Officer | Prior to mobilization |
| 61 | Site-Specific Mobilization Readiness | Transportation arrangements for workforce comply with vehicle safety standards | Vehicle registration and driver license verification completed | Transport Supervisor | Prior to mobilization |
| 62 | Site-Specific Mobilization Readiness | Communication and coordination protocol with main contractor agreed | Coordination procedure document signed by both parties | Project Manager | Prior to mobilization |
| 63 | Site-Specific Mobilization Readiness | Long lead material/equipment delivery schedule confirmed against project program | Delivery schedule cross-checked against master program | Planning Manager | Prior to mobilization |
| 64 | Performance Monitoring & Continuous Evaluation | Subcontractor performance scorecard system established for HSE, quality, schedule | Scorecard template reviewed and baseline established | Project Manager | Per project |
| 65 | Performance Monitoring & Continuous Evaluation | Periodic reprequalification review conducted for long-term framework subcontractors | Reprequalification review report on file | Procurement Manager | Annually |
| 66 | Performance Monitoring & Continuous Evaluation | Corrective action tracking for identified non-conformances during works | CAR log reviewed for closure status | QA/QC Manager | Monthly |
| 67 | Performance Monitoring & Continuous Evaluation | Feedback from site supervision incorporated into vendor rating database | Vendor rating database updated with site feedback | Procurement Manager | Monthly |
| 68 | Performance Monitoring & Continuous Evaluation | Subcontractor's insurance and license validity monitored throughout contract duration | Expiry tracker maintained with renewal alerts | Contracts Manager | Ongoing |
| 69 | Health & Welfare Provisions | Occupational health surveillance program for workforce exposed to specific hazards documented | Health surveillance program document reviewed | Occupational Health Nurse | Per prequalification |
| 70 | Health & Welfare Provisions | First aid provision and trained first aiders proposed for site deployment | First aid certificates and staffing plan reviewed | HSE Officer | Per prequalification |
| 71 | Health & Welfare Provisions | Heat stress management plan for summer working conditions documented | Heat stress plan reviewed against MOHRE guidelines | HSE Manager | Per prequalification |
| 72 | Health & Welfare Provisions | Welfare facilities (rest areas, drinking water, sanitation) provision plan submitted | Welfare facilities plan reviewed against site conditions | HSE Officer | Per prequalification |
| 73 | Health & Welfare Provisions | Mental health and grievance support mechanism for workforce described | Grievance mechanism document reviewed | HR Manager | Per prequalification |
| 74 | Business Continuity & Local Commitments | Business continuity plan for supply chain disruption or manpower shortage submitted | Business continuity plan reviewed for adequacy | Contracts Manager | Per prequalification |
| 75 | Business Continuity & Local Commitments | Digital HSE monitoring tools (apps, dashboards) usage capability confirmed | Demonstration of digital HSE tools reviewed | HSE Manager | Per prequalification |
| 76 | Business Continuity & Local Commitments | Key person dependency risk assessed with succession arrangements described | Succession plan for key technical staff reviewed | Project Manager | Per prequalification |
| 77 | Business Continuity & Local Commitments | Local content/Emiratization commitments disclosed where applicable to project requirements | Emiratization percentage and plan reviewed against project targets | HR Manager | Per prequalification |
| 78 | Business Continuity & Local Commitments | No use of forced or child labour declared and verified | Ethical labour declaration reviewed and site audit conducted | HR Manager | Per prequalification |
| 79 | Document Control & Digital Readiness | Document control procedure for submittals, RFIs and as-builts described | Document control procedure reviewed for compatibility with main contractor system | Document Controller | Per prequalification |
| 80 | Document Control & Digital Readiness | Site progress reporting format and frequency agreed with main contractor | Sample progress report format reviewed | Planning Manager | Per prequalification |
| 81 | Document Control & Digital Readiness | Record-keeping system for permits, inspections and training compliant with retention requirements | Records management procedure reviewed | Document Controller | Per prequalification |
| 82 | Document Control & Digital Readiness | IT security and data confidentiality measures for shared project information confirmed | Data security policy reviewed | IT/Compliance Officer | Per prequalification |
| 83 | Document Control & Digital Readiness | Code of conduct addressing worker welfare and ethical labour practices signed | Signed code of conduct on file | HR Manager | Per prequalification |
| 84 | Community & Public Interface | Community/public interface management plan submitted for occupied/adjacent sites | Community management plan reviewed for adequacy | Project Manager | Per prequalification |
| 85 | Community & Public Interface | Noise and working hour restrictions near residential areas acknowledged and planned for | Working hours compliance plan reviewed against municipality bylaws | HSE Manager | Per prequalification |
| 86 | Community & Public Interface | Cultural sensitivity and local regulation awareness training for expatriate staff confirmed | Training records reviewed for management staff | HR Manager | Per prequalification |
| 87 | Community & Public Interface | Public safety and third-party protection measures for scope of work described | Method statement reviewed for public interface safety controls | HSE Officer | Per prequalification |
| 88 | Community & Public Interface | Grievance escalation contact point for public/neighbour complaints established | Escalation contact procedure reviewed | Project Manager | Per prequalification |
Each checkpoint records Status (Yes / No / N/A), Comments, Corrective Action and Sign-off. Switch to Complete in-app to fill it here, or download the blank version to complete on site.
Next step
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