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2. Pre-qualifying the contractor

Pre-qualification to establish a shortlist of tenderers need not be adopted in all cases, but where it is used there can be a number of benefits. Also, even where there is no pre-qualification process, the information will still need to be requested and examined during the following stages of the tender. A pre-qualification process is not only useful to contracting companies but the principles can also be applied to staffing agencies.

Pre-qualification is to determine competency
The sample pre-tender questionnaire at the end of this section contains a range of questions to help determine how well contractors manage health and safety. It asks the contractor to demonstrate an effective health and safety management system, as well as asking for information on the management of specific hazards.

Information required
Pre-qualification should look at the general ability and competence of the contractor for the work. Health and safety commitment and procedures should also be a part of the criteria. The level of detail required for pre-qualification should be appropriate for the type of project being undertaken and will depend on the project’s size, type and complexity.

Broadly then, a pre-tender questionnaire will cover the following dimensions of health and safety:

• documentation e.g. health and safety plan for the type of activity concerned, existence of a health and safety policy, hazard assessments, method statements (and other procedures for ensuring the safety of the work) accident compensation, public liability, and other insurances
• personnel e.g. qualifications and training, demonstrating competence in the required areas
• subcontractors e.g. arrangements for assessing and appointing subcontractors
• health and safety performance e.g. employee participation systems, accidents, incidents, employee health monitoring, enforcement action, outcome of safety audits, etc.

Principals should be wary of pre-prepared or printed materials submitted at the pre-­tendering or tendering stages and encourage specific answers to their questions.
Where the pre-tender questionnaire is asking about critical aspects of health and safety, e.g. essential accreditation of personnel, this should be indicated in the questionnaire itself.

Where contractors or subcontractors are needed quickly, a simplified form of capability assessment should have been completed beforehand. It is important for principals to have contingency plans and, where reasonably practicable, anticipate circumstances where contractors may be required at short notice. It is essential to remember commercial urgency will never be a defence to a flawed assessment.

Example

Using the pre-tender information
Satisfactory completion of the initial assessment will usually allow contractors onto a principal's list of approved/ preferred tenderers or contractors. Approval may be restricted to certain key tasks or occasional activities, depending on the nature of the work.

It should be stressed again that pre-tendering is concerned with determining the general capability of potential tenderers, whereas their ability to manage a particular contract is determined in the tendering process itself. Examples of questions that are more specific to a contract are given in the information for tenderer document in section 3 of this guide. The information gained from that form may be recorded and, after the contract has been signed, used to develop and implement a health and safety plan. However, for some contracts it may be appropriate to gather the information at the pre-tender stage.

Benefits of pre-qualification for subsequent tenders/ contracts
As noted above, many organisations which regularly engage contractors use a pre-qualification procedure to help establish a shortlist of tenderers, or contractors, that they can use for contracts not requiring a tender process. This means any organisation which regularly contracts out work may be able to go directly to an already established shortlist of tenderers or pre-qualified contractors developed from past similar projects. This could result in considerable savings of time and expense during subsequent letting of contracts.

Pre-tender/ pre-qualifying questionnaire
The following three pages provide an example of some of the health and safety issues and questions that might be added to a questionnaire for pre-qualification of tenderers, with sample questions for completion by a tenderer. It is extensive and appropriate to a significant contract, but all or part of its contents may be used by principals as a basis to developing their own checklists. Checklists or questionnaires on health and safety may be integrated with other materials or may stand alone.

The health and safety information gained – along with that on financials, credit ratings, contractperformance, technical and other subjects – can be used to develop a profile of potential contractors. In some situations it may not be appropriate to collect all the information, such as details on subcontractors, before tendering.
The purpose of the questionnaire is to help discover how effectively the contractor is managing health and safety. The information gained will be combined with project specific information and questions at the tender stage or when commissioning work that is not tendered.
It is important to remember that supporting documentation will also need to be provided with the checklist as evidence health and safety procedures are in place and are carried out.

Note: Where a pre-qualification checklist is not used at the pre-tender stage, the information will still need to be requested, and questions below considered during the full tendering stage.

Sample pre-tender questionnaire

Subject	Information required / expectations
Tender title
Business information	This category may include questions or invite respondents to provide information on: the numbers of employees corporate structure a summary of experience relevant to the work being tendered for, and references. A principal should ask its contractors: “What do you expect from us as the client?"
Key personnel	Supply the name, qualifications and experience of the person proposed to be in control of the place of work for the project. Supply details of key employees on the project, and health and safety qualifications held. Name: Qualification:
Insurance and accident compensation	Provide details of: public liability insurance held; and accreditation in ACC injury prevention programmes.
Compliance with standards	Where relevant, contractors may be required to provide evidence of their conforming with ISO 9000, AS/NZS, or other standards for health and safety compliance.
Associations/memberships	Provide details of the following memberships: trade or employers' association health and safety organisation Indicate the type and extent of health and safety information provided by the associations.
Health and safety experience	The principal must be made aware of the contractor's health and safety experience. Does the contractor have an employee participation system for dealing with health and safety issues? Which of the following safety records does the contractor maintain: an accident register as required by the HSE Act? a hazard register? hazard information, such as Safety Data Sheets? Where necessary the contractor should supply records for the last five years of health and safety interventions, such as: fatalities lost days from injury to workers accidents resulting in environmental damage or pollution notices, warnings or prosecutions by an enforcement authority such as the Department of Labour.
Health and safety management
Policy	Is there a written health and safety policy? (if yes, provide a copy) Is the policy signed by the managing director? How is the policy communicated to employees?
Subcontractors	List subcontractors that will be used, and for which tasks. Has their competence been formally assessed? Was health and safety considered in their selection? Is there an induction/orientation programme for new subcontractors and their employees? Are there procedures for controlling the safety performance of subcontractors?
Organisation	Name the senior manager in charge of health and safety. Provide details of how the work is supervised, and who will be responsible for supervision.
Arrangements	An outline of the procedures in place to ensure a safe system of work. Are there documented working practices and safety instructions? How often are these audited? Are there procedures for maintaining plant, equipment and vehicles in a safe condition? Are there procedures in place for employees to actively participate in the improvement of health and safety systems and procedures? How is personal protective equipment supplied to all employees?
Information, training and supervision	Summarise the health and safety training and information managers and supervisors receive to help ensure health and safety in the work they manage or supervise. Summarise the health and safety information, instruction, and training employees have received in relation to their work and the equipment they use. Is formal safety training given to employees? Have the personnel who will undertake specific work received formal training in all relevant areas? If so, what form does it take? Is there an induction/orientation programme for new employees? Are there health and safety representatives?
Emergency procedures	Provide details of emergency procedures and planning. Does the emergency plan identify responsibilities and procedures to be followed? Have all staff received training in emergency procedures? Have emergency drills been carried out within the last 12 months?
Planning and setting performance standards	More detail will be required for more complex or higher-hazard projects.
Hazard assessment	Are formal hazard assessments carried out and recorded? (The contractor may be asked to provide examples with related information e.g. method statements, explaining health and safety controls and other precautions.) Where hazards are identified, is there a system to identify and assess significant hazards? Are accidents and incidents reviewed for the existence or otherwise of significant hazards Is there a system for identifying new hazards? Are there procedures for eliminating, isolating or minimising significant hazards?
Accident investigation	Is the accident register maintained and reviewed for hazard assessment Is there an investigation into any accident that results in harm, or could have resulted in harm? Do investigations include remedial action plans to initiate future prevention? Are the following advised of accidents: The employees and health and safety representatives? Where there is serious harm, the Department of Labour? The principal Describe the responsibilities for notifying specified work, and reporting illness or injury
Hazardous substances	List the hazardous substances used. Are the key hazardous substances recorded? Are there safety data sheets accessible for hazardous substances? Are test certificates current for required sites? Are there approved handlers for hazardous substances where required? Are MOSHH assessments carried out and regularly reviewed?
Plant and equipment	Are plant and equipment, lifting gear, etc. inspected, tested, examined and maintained, and proper records available?
Health monitoring/surveillance	Describe the monitoring/surveillance of employees and the workplace, particularly with regard to any specific hazards outlined by the principal.
Measuring and improving health and safety	Describe how performance is systematically assessed by inspection, audits etc. Are there: In-house safety meetings and/or safety committees? Safety inspections or audits? Other forms of employee participation?
Review	Describe what happens to the results of checks, investigations and audits. How will the principal be involved in the review process?
Completed by	Name: Contact details: Date: Signed:

 

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