AI Prequalification Form - Standard (Level 1)

Overview

The ComplyFlow Standard Prequalification (AI) form is a comprehensive supplier prequalification questionnaire that combines traditional compliance data collection with AI-powered document and response analysis.

When deployed to your suppliers, this form:

Establishes ongoing compliance requirements — Insurance declarations, certifications, and licences captured during prequalification become the supplier's ongoing obligations to maintain
Provides instant AI-powered review — Uploaded documents and written responses are analysed by AI against defined compliance criteria, giving you immediate visibility into supplier safety maturity

Insurances

Each insurance question the contractor answers creates a compliance requirement on their profile. The contractor will be required to upload evidence of that insurance (e.g. a Certificate of Currency), and the requirement remains active on their profile going forward. If a policy expires or evidence is not provided, the contractor's compliance status will reflect this.

Question	What It Captures	Ongoing Requirement
Select the level of public liability insurance held by your business	Coverage level ($20M+ or $5M–$20M)	Maintain declared level and provide current Certificate of Currency. If you have a minimum coverage requirements the lower coverage can be assessed manually.
Select all states your business holds workers compensation insurance	Coverage by state (ACT, NT, SA, Vic, NSW, QLD, Tas, WA, or NA for sole traders)	Maintain cover in all declared states and provide current policies
Do you have Personal Accident insurance?	Yes / No	If declared, must maintain and evidence this cover
Do you have Professional Indemnity Insurance?	Yes / No — relevant for engineering, design, or consulting	If declared, must maintain and evidence this cover
Number of workers engaged by your organisation	Workforce size (1–10, 11–50, 50+)	Establishes scale of the contractor's operation
Do you engage subcontractors?	Yes / No	Flags subcontractor management obligations

General Safety

This is the core AI-reviewed section. It assesses the contractor's approach to workplace health and safety management.

Contractors choose one of two paths:

Option A — Upload a Safety Management System (SMS) document for a comprehensive AI review
Option B — Type responses into individual form fields, each reviewed by AI separately

Both paths are reviewed against the same 24 criteria across 6 areas, detailed below. If the contractor uploads an SMS, the entire document is assessed against all 24 criteria in a single review. If they type responses, each response is assessed against the criteria for that area individually.

For a detailed breakdown of what the SMS should cover, suppliers can refer to: Safety Management System Review for Prequal Level 1

Health and Safety Policy (all contractors)

Regardless of which path is chosen, all contractors upload their WHS Policy. The AI reviews the policy against 4 criteria:

Criteria	What the AI Looks For
1a. Safe Work Practices	Does the policy provide clear, comprehensive guidance on safe work practices, procedures, and general safety expectations?
1b. Injury Prevention	Does the policy outline specific injury prevention measures, hazard identification processes, and proactive safety steps?
1c. Safety Equipment	Does the policy address safety equipment requirements, safety checks, inspections, and specific safety procedures?
1d. Incident Response	Does the policy include clear incident response procedures, reporting requirements, and post-incident actions?

1. Risk Management Procedure

"Describe how the company identifies HSE risks, prioritises through assessment and defines controls to ensure the work can be performed safely and without harm to the environment."

Criteria	What the AI Looks For
1a. Hazard Identification	Does it describe a process for identifying and assessing hazards and risks in the workplace?
1b. Risk Control	Does it explain how identified risks are managed and controlled?
1c. Periodic Review	Does it describe periodic reviews of risks and hazards?
1d. Hierarchy of Control	Are hazards and risks assessed and managed according to the hierarchy of control?

2. Communication and Consultation

"Describe what communication and consultation regarding HSE occurs within the company."

Criteria	What the AI Looks For
2a. Communication Methods	Does it describe methods for HSE communication and consultation (e.g. toolbox talks, safety committee, pre-start meetings, team meetings)?
2b. Regular & Ongoing	Is there evidence of regular/ongoing communication and consultation (not just ad-hoc)?
2c. Worker Involvement	Does it demonstrate worker involvement in HSE matters (two-way communication)?

3. Contractor Management

"Explain how your company determines sub-contractors have suitable HSE standards and performance."

Criteria	What the AI Looks For
3a. Subcontractor Suitability	Does it describe how subcontractor suitability is determined before engagement?
3b. Procedure Review	Is there evidence of reviewing contractor procedures and safety documentation?
3c. Insurance & Licence Verification	Does it describe collection and verification of insurances and licences?
3d. Safety History	Does it consider contractor safety experience, history, or performance?

4. Incidents and Corrective Actions

"Describe the process for incident reporting, investigation and corrective actions that the company follows."

Criteria	What the AI Looks For
4a. Incident Reporting	Does it describe a process for incident reporting?
4b. Regulator Notification	Is there reference to notifying relevant government bodies/regulators for notifiable incidents?
4c. Investigation	Does it describe an incident investigation process?
4d. Corrective Actions	Does it describe how corrective actions are identified and implemented following incidents?

5. Worker Training and Competency

"Provide details on how you manage worker training and competency."

Criteria	What the AI Looks For
5a. Induction	Does it describe a company induction process for new workers?
5b. On-the-Job Training	Is there evidence of on-the-job training processes?
5c. Training Needs Analysis	Does it describe a training needs analysis process?
5d. Competency Verification	Is there a process for verification of competency?
5e. HRW Licences	Does it address management of High Risk Work (HRW) tickets and licences?

6. Psychosocial Management

"Describe how your organisation manages psychosocial risks and supports worker wellbeing (for example, through policies, training, consultation, or employee assistance programs)."

Criteria	What the AI Looks For
6a. Hazard Identification	Does it describe how psychosocial hazards are identified in the workplace?
6b. Risk Assessment	Is there a process for assessing psychosocial risks?
6c. Control Measures	Does it describe control measures for managing psychosocial risks?
6d. Support Resources	Are there support resources available for workers (e.g. EAP, counselling)?

High Risk Works

This section identifies whether the contractor undertakes dangerous activities as defined under WHS legislation.

Question	What Happens
Do you undertake any High Risk activities?	Yes/No — if Yes, triggers activity selection and SWMS upload
Select activities and upload a SWMS	The AI reviews the SWMS to assess whether it adequately addresses the selected high-risk activities

The 18 High Risk Activity categories:


Artificial extremes of temperature	Confined space	Demolition of load bearing structures
Diving work	Excavation >1.5m or tunnel	Road, railway, or traffic corridor
Temporary load-bearing support	Use of explosives	Powered mobile plant
Chemical, fuel or refrigerant lines	Contaminated or flammable atmosphere	Disturbance of asbestos
Energised electrical installations	Near water or drowning risk	Pressurised gas mains or piping
Telecommunication tower	Tilt-up or precast concrete	Work at height

Other Certifications

If the contractor declares a certification, they must provide supporting evidence. These become ongoing compliance requirements.

Question	What It Captures	Ongoing Requirement
Environmental Certifications (ISO 14001 / None)	Whether the contractor holds ISO 14001	If declared, must maintain and upload certificate
Provide details on environmental management	Written description of practices	Supports the certification claim
Upload ISO 14001 certificate	Certificate document	Evidence of current certification
Quality Certifications (ISO 9001 / None)	Whether the contractor holds ISO 9001	If declared, must maintain and upload certificate
Provide details on quality management	Written description of practices	Supports the certification claim
Upload ISO 9001 certificate	Certificate document	Evidence of current certification

Modern Slavery

This section helps you build a clear picture of your supply chain's modern slavery posture. The contractor's responses are not AI-reviewed — they are to provide you visibility into labour practices, risk awareness, and potential areas of concern across your contractor base.

Question	Purpose	If Flagged
Any breaches relating to bribery, corruption or labour/human rights?	Identifies prior compliance issues	YES — Explanation required
Do employees receive training on modern slavery or human rights?	Indicates awareness and proactive measures
Do you source products/services from overseas?	Identifies international supply chain risk	YES — Must list countries
Have you assessed modern slavery risks in your operations or suppliers?	Indicates maturity of risk management
Do you employ labour hire providers?	Labour hire is a known risk factor for modern slavery
Do workers pay any recruitment or placement fees?	Identifies potential exploitative practices	YES — Explanation required
Do all workers have clear written contracts before starting?	Ensures transparent employment arrangements	NO — Explanation required
Do workers have a safe way to raise concerns or complaints?	Ensures grievance mechanisms are in place	NO — Explanation required
Do you pay workers in cash?	Identifies potential for wage exploitation	YES — Explanation required
Any comments or improvement plans for next 12 months?	Forward-looking commitments

Once submitted a human reviews all responses.