Contractor prequalification
survey
Nuclear facilities are best constructed and modified using suppliers whose core values include a strong
emphasis on safety, superior quality, principles of integrity and environmental responsibilities. Suppliers are
typically pre-qualified in these areas in advance of formal bid invitations to limit the bidders to those
companies that can demonstrate acceptable performance in these areas. For joint ventures, each company in
the joint venture would typically answer separately to each question in the prequalification survey.
This checklist contains a list of typical prequalification areas and information to be requested. It should be
adapted by Member State owners to suit local conditions. Some criteria from the questionnaire (e.g. minimum
health and safety performance results) may be considered mandatory (“go-no go” criteria), while others may
be evaluated using a predetermined points system.
Depending on the environment a two-step screening process may be employed with a general screening step
(to ensure potential suppliers meet mandatory requirements), followed by a more detailed project-specific
screening step done closer to the start of the formal bidding process. Project-specific screening would typically
be limited to general execution plans, personnel and subcontractors, with the contractor providing examples
of relevant work experience to demonstrate capacity. Detailed plans and identification of key resources and
subcontractors should be requested at the formal bidding / tendering stage rather than the project-screening
stage. Other organizations use a different two-step process in which they prequalify first based on financial
and administrative factors, and then evaluate project-specific factors for those that pass the first set of criteria.
Reponses to qualification questions should be assessed by an evaluation team in a fair, open and transparent
manner. The team should have qualified reviewers with adequate knowledge of technology, finance and safety
related to the services being requested. The team should seek clarifications when necessary, to ensure the
proper identification of the contactor’s capability and capacity, while clearly identifying potential gaps.
Because it may be determined that a contractor’s specific qualifications require mitigation to either meet the
minimum standard or to meet the level of the other contractors (e.g., the client may decide to include a
contractor on the bid list whose qualifications and experience is less than the other contractors), to fairly
evaluate the companies, the evaluator should clearly identify the gaps, how to mitigate them and the cost of
mitigation to achieve the expected performance.
Typical contractor qualification questionnaire topics.
General area
Financial criteria
Managerial criteria
Reference:
Questionnaire subject
Company identification
Provide details regarding your company and/or
companies involved in a joint venture related to this
project (names, addresses, lead company, bankers,
insurance companies, including contact details and
insurance certificates).
Financial strength
Provide financial details regarding your company
and/or companies involved in a joint venture related
to this project (capital, annual value of projects,
work backlog, financial statements, banking
references, country of incorporation, any bankruptcy
reorganizations, financial interests in other
businesses). Information provided should include
parent companies and any predecessor companies.
Key personnel
Provide biographies/CVs of key personnel (name,
position, years of experience, experience with
particular technology to be employed on this
project, major projects completed, language ability
(if relevant) etc.)
Purpose / comment
Provides details on the specific
companies involved in the
proposed contract.
Provides details on the financial
stability specific companies
involved in the proposed
contract.
Provides details on key
personnel to be assigned to the
proposed contract.
Released: 01/10/2015
Contractor prequalification
survey
General area
Questionnaire subject
Purpose / comment
Major violations
Indicate if the company or any of its corporate
officers, partners, owners, or directors have been
previously disbarred from bidding and/or convicted
of construction fraud, felony, or other crime. Provide
details on any regulatory, civil or criminal citations in
the last ten years.
Business connections
Indicate if any corporate officers, partners, owners,
or directors are connected to any other engineering,
construction, or supplier firms, or with the proposed
project (including the future plant owner
organization, operator, or regulatory body).
Proposed structure
Provide details regarding the proposed structure and
organization of the company (ies) planned for this
project (location, description, experience nationally,
internationally, and in country of this project,
involvement of parent company). Provide an
organization chart showing company structure and
key personnel, numbers of staff in technical and
administrative positions, and company directors.
Provide details surrounding use of unionized versus
non-unionized personnel and any major contractual
agreements.
Management system
Provide details on the quality assurance programme
/ management system to be applied to this project.
Provide copies of most recent certifications and
audit reports. Provide details on your corrective
action programme and most recent findings.
Project failures
Provide a list of projects that your company or key
individuals (e.g. corporate officers, partners, owners,
directors , or project managers) did not complete
due to disputes or being considered in default of
contract.
Provides information regarding
potentially unknown issues in
this area and potential for future
fraudulent or corrupt activity.
Provide details on any legal disputes or contract
arbitrations completed in the past 10 years or that
are still ongoing (year, companies involved, issue in
dispute, amounts, and result).
Industry engagement
Provide information on any relevant membership
affiliations (e.g. industry associations, contractors
associations etc.).
Sub-contractor control
Describe how the company ensures subcontractors
have and maintain adequate quality, OSH and
environmental programmes (e.g. selection methods
for subcontractors, documentation, orientation,
training, auditing, etc.). Describe how
subcontractors are managed, including management
or risks and corrective action programmes.
Reference:
Provides details on potential
conflicts of interest or
corruption.
Provides details on the methods
the proponent will organize
activities related to the
proposed contract.
Allows for review to compliance
to IAEA and other management
system standards.
Provides information regarding
potential for future legal
disputes with this organization.
Provides information regarding
engagement of company in
continual improvement of the
industry.
Provides information regarding
ability of main contractor to
manage subcontractors.
Released: 01/10/2015
Contractor prequalification
survey
General area
Performance
criteria
Reference:
Questionnaire subject
Provide details on the environmental policy and
programme used within your company and that will
be applied to the project. Provide copies of any
most recent certifications (e.g. ISO 14001) and audit
reports.
Training
Provide details on your training and qualification
programme for technical and trades/construction
personnel. Do you have and maintain training
records for employees (provide examples of
employee safety, health and environmental training
records)?
Project experience
Provide background on relevant projects completed
in the past 10 years, projects currently in progress,
and projects expected to proceed (e.g. letter of
intent or formal contract signed). Include countries,
customers (employer /owner etc.), architect
engineers responsible for supervision, contract
value, % of project work responsible for, and
schedule and cost performance. Indicate whether
you agree to have these customers discuss detailed
financial and technical details surrounding these
projects.
Purpose / comment
Allows for comprehensive
review of environmental
provisions.
Provides information regarding
seriousness of organization with
respect to training issues.
Provides background on
previous, current, and future
work, plus allows for validation
of contractor claims.
Released: 01/10/2015
Contractor prequalification
survey
General area
Questionnaire subject
Health and safety
Provide data on company key health and safety
performance indicators (KPIs) such as:
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Total recordable incident rate (TRIR);
Total nonfatal recordable incident rate
(Nonfatal TRIR);
Days away, restricted or job transfer rate
(DART);
Fatality rate per 100,000 employees;
Total number of fatalities;
Incident severity (in days);
Worker compensation claims.
Purpose / comment
Allows for comprehensive
review of industrial safety / OSH
provisions.
Note commercial organizations
exist (e.g. ISNetworld) that can
assist in assessment and prequalify contractors based on
OSH performance.
Provide details on the industrial safety /
occupational safety and health (OSH) programme
used within your company and that will be applied
to the project. Include details on (as applicable)
your:
 Hazard communication programme;
 Respiratory protection programme;
 Hearing protection programme;
 Back injury prevention procedures;
 Housekeeping policy;
 Accident/incident investigation procedure;
 Unsafe condition reporting procedure;
 Inspection and audit forms and procedures;
 Training programmes related to health and
safety, including leadership/first line
supervisor training;
 Equipment lockout and tag-out / work
protection procedures;
 Confined space entry procedures;
 Fall protection, scaffold use, scaffold
building procedures;
 Personal protective equipment
requirements;
 Portable electric / power equipment
procedures;
 Vehicle safety procedures;
 Compressed gas cylinder safety procedures;
 Electrical equipment grounding assurance
procedures;
 Emergency preparedness procedures,
including evacuation plans;
 Waste disposal procedures;
 Heat stress prevention procedures;
 NDT & radiography programmes;
 Substance abuse programme (include
substances tested and levels).
Provide name and contact details of highest ranking
safety/health professional in the company.
Indicate whether company employs:
a.
Reference:
Full time safety/health directors;
Released: 01/10/2015
Contractor prequalification
survey
General area
Questionnaire subject
b.
c.
Purpose / comment
Full time site safety/health supervisor;
Full time job safety/health coordinator.
Indicate whether company has or provides:
a.
b.
a safety/health incentive programme;
company paid safety/health training.
Describe how you will provide first aid and other
medical services for your employees while on-site.
Specify who will provide this service.
Reference:
Released: 01/10/2015