Programme overview
Technical depth: Practitioner · Practical mode: Case study
Introduction
When contractors reach a tender list without proper checks, the consequences surface later as failed projects, safety incidents, insolvencies mid-contract and compliance breaches deep in the supply chain. Prequalification is often a paper exercise, classification bands are out of date and certificates expire unnoticed. This Core Concept course equips staff to assess contractors on financial, technical, safety, quality and integrity evidence, assign them to classification bands and keep them compliant after approval. Using cases from several sectors, participants produce a Contractor Prequalification and Compliance Framework for a contract category in their own organisation.
Course Objectives
- Design a prequalification process with pass or fail gates and scored criteria in proportion to contract value and risk
- Assess contractor financial capacity, technical capability and safety, environmental and quality systems from submitted evidence
- Assign contractors to classification bands by work field, grade and financial capacity, and maintain the approved contractor list
- Carry out supply-chain compliance due diligence covering bribery, sanctions, beneficial ownership, labour and environmental requirements
- Monitor ongoing compliance through certificate tracking, audits, performance scores and requalification triggers
- Produce a Contractor Prequalification and Compliance Framework ready for adoption
Target Audience
- Prequalification and vendor registration staff who assess contractor and supplier applications
- Procurement and contracts staff who maintain approved contractor and supplier lists
- HSE and quality staff who review contractor safety, environmental and quality management evidence
- Compliance and integrity staff who run third-party due diligence and screening
- Project and site staff who report contractor performance and non-conformities
- Supplier audit staff who carry out capability and compliance audits
Course Outline
Day 1: Prequalification, Classification and Compliance Foundations
- Prequalification Approaches: Open, Restricted and Standing List
- Contractor Classification Schemes: Work Field, Grade and Financial Capacity Bands
- Supply-Chain Compliance Obligations Map: Legal, Contractual and Voluntary
- Third-Party Risk Tiering by Spend, Criticality and Exposure
- Current-State Review of the Vendor Master and Approved Contractor List
Day 2: Standards and Frameworks for Contractor Assessment
- PAS 91 Prequalification Question Modules
- ISO 9001:2026, ISO 14001:2026 and ISO 45001:2018 Certification Evidence Review
- ISO 37001:2025 Due Diligence on Business Associates
- OECD Due Diligence Guidance for Responsible Business Conduct: Six-Step Process
- ISO 28000:2022 Supply Chain Security Management Requirements
Day 3: Assessing Contractors and Assigning Classification
- Prequalification Questionnaire and Evidence Checklist Design
- Financial Capacity Assessment: Ratio Analysis and Altman Z-Score
- Technical Capability Assessment: Past Performance, Key Personnel and Equipment Registers
- HSE Performance Review Using Lost Time Injury Frequency Rate and Incident Records
- Weighted Scoring Model and Classification Band Assignment
Day 4: Compliance Risk, Red Flags and Ongoing Monitoring
- Sanctions, Beneficial Ownership and Adverse Media Screening
- Subcontractor Flow-Down Clauses and Tier-Two Visibility Mapping
- Supplier Information Security Requirements Under ISO/IEC 27036-1
- Certificate Expiry Tracking and Requalification Triggers
- Contractor Compliance Audit Checklist and Corrective Action Request
Day 5: Case Work and the Prequalification Framework
- Infrastructure Contractor Case Study: Scoring Competing Prequalification Submissions
- Energy Services Case Study: Subcontractor Compliance Failure
- Prequalification Scoring Model Build for an Own Contract Category
- Contractor Prequalification and Compliance Framework Drafting
- Peer Review Panel and Framework Defence
Skills You Will Gain
- Prequalification Design
- Contractor Financial Assessment
- Technical Capability Evaluation
- HSE Prequalification Review
- Contractor Classification
- Third-Party Due Diligence
- Compliance Monitoring
- Supplier Audit
Why Attend This Course
- Return to work with a Contractor Prequalification and Compliance Framework for a real contract category, already reviewed by peers
- Screen out contractors lacking financial, technical or safety capacity before they reach the tender list
- Detect ownership, sanctions and subcontracting red flags that standard questionnaires miss
- Compare prequalification practice with colleagues from other sectors and countries
Conclusion
The quality of a contractor base is decided at the gate and maintained by monitoring. This course moves from prequalification approaches, classification schemes and compliance obligations, through the international standards used as evidence, to the practical assessment of financial, technical and safety capacity and the red flags that call for deeper due diligence. The final day applies that method to a real contract category, and participants return with a Contractor Prequalification and Compliance Framework that makes approval decisions consistent, documented and defensible.