This is an HTML version of an attachment to the Freedom of Information request 'Zero data loss of EPC information'.



 
 

 
 
 
 
 
 
 
COMMERCIAL ENERGY CERTIFICATE REGISTER & 
ASSOCIATED SERVICES 
(Procurement Reference: CPD004\078\026) 
 
INVITATION TO SUBMIT OUTLINE PROPOSAL: 
QUESTIONNAIRE 
 
 
 
 
 
 
 

 
FOREWORD 
Definition 
Reference to “the Authority” means the Department for Communities and Local 
Government, who will be the Contracting Authority for this project.  
 
Purpose of this document 
 
This Invitation to Submit Outline Proposal: Questionnaire ("Questionnaire") has been 
produced to enable the Authority to evaluate which organisations that have met the pre-
qualification criteria should be taken through to the next stage of the procurement 
process.   
 
 
Related documents 
 
Instructions to suppliers: This gives a background to the project and instructions on 
the completion of this questionnaire. 
 
Services Requirements SpecificationThis gives an outline of the service required.   
 
Pre-Qualification Questionnaire Responses: These form the baseline for the 
selection of the ‘long-list’ of suppliers invited to submit Outline Proposals. 
 
Financial Model the Authority requires the Suppliers to provide a populated financial 
model as a precondition to contract negotiations. 
 
Draft Contract: The Authority requires potential suppliers to comment upon or mark up 
the draft contract as a precondition to contract negotiations. Full instructions are set out 
in the Instructions to Suppliers document. 
 
 
All these documents may have one or more Annexes.  These will be listed in the Table 
of Contents at the front of each document. 
 
 
ISOP: Questionnaire 
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QUESTIONNAIRE  
1 ORGANISATION IDENTITY 
This is a repeat of the information requested in the PQQ. Please restate and 
confirm these details or highlight any changes in bold font. 
 
1.1  Name of the company (Prime or single 
 
contractor) in whose name the tender would 
be submitted 
1.2  Contact name: 
 
1.3  Address: 
 
 
 
1.4  Telephone number: 
 
1.5  Facsimile number: 
 
1.6  E-mail address: 
 
1.7  Company Registration number: 
 
1.8  Date of Registration: 
 
1.9  Registered address if different from the 
 
above: 
1.10 VAT Registration number: 
 
1.11 Website address (if any) 
 
 
 
 
 
ISOP: Questionnaire 
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2. PRIME CONTRACTOR 
This is a repeat of the information requested in the PQQ. Please restate and 
confirm these details or highlight any changes in bold font. 
 
2.1  Please tick the box below which applies 
a)  Your organisation is bidding to provide the services required 
 
b)  Your organisation is bidding in the role of Prime Contractor and intends to use third   
parties to provide specific elements of the services 
2.2  If your answer to 3.1 is (b) please identify intended subcontractors/ partners for the bid (if 
currently known) below: 
Organisation name 
Organisation address and contact details 
Service provision 
responsibility 
 
 
 
 
 
 
 
 
 
2.3 Please give a brief outline on your policy regarding the use of sub-contractors and, if 
applicable, the extent to which you might envisage using them for this requirement. 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
ISOP: Questionnaire 
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3. BUSINESS CAPABILITY 
 
3.1 
Please provide a description of your proposed business model (with diagrams) clearly 
stating how it is intended the various elements will interact and an outline plan 
covering all resourcing required for: 
 
(a) preparation and planning,  
(b) design, delivery, testing and implementation of the proposed system solution 
(c) business as usual 
(d) exit plan  
 
Please also state any assumptions made, risks identified and proposed mitigating 
measures. 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
ISOP: Questionnaire 
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4 MANAGEMENT 
SUMMARY 
4.1 
Please provide a statement (maximum of 
 
six A4 pages of not less than 11pt font)  
to include, but not be limited to the following 
items: 
 
a)  An overview of your approach for 
the work described in this ISOP  
 
b)  Why you believe your organisation 
is best placed to deliver those 
services to the Authority. 
 
 
 
ISOP: Questionnaire 
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PROGRAMME INFORMATION AND PLANS 
5.1 
Implementation and testing will take 
Please provide a draft Implementation Plan 
place according to a timetable with 
identifying appropriate milestones. 
contractually binding milestones 
 
agreed by both parties.  Failure to 
Please provide a draft Testing programme to 
meet these milestones may lead to 
support the Implementation Plan. 
payment of liquidated damages and, 
 
eventually, could lead to termination. 
In the separate Financial Proposal please state 
what amounts would be payable and under 
what circumstances. 
 
5.2 
Please attach an outline Exit Plan.  
 
 
Please list the assumptions made and 
issues for discussion. 
5.3 
Value added services and continuous 
Please describe such value adding services if 
improvement.  The Authority would 
any you would propose if you are selected. 
like to understand whether you 
Please give details of the services they would 
propose to offer other specific 
apply to. 
improvements during the term of the 
contract. These could include 
improving Service Level Agreements, 
committing to deliver specific savings 
on top of the pricing that you will be 
submitting or passing on efficiency 
savings. 
5.4 
Please confirm the 3 customer 
 
references that have used or are 
using your main products/services 
and who will be available for 
discussions with the Authority team 
and possible site visits. The Authority 
will select 2 of these organisations to 
meet with.   You must be able to 
demonstrate your experience in 
providing and implementing a 
comparable solution together with a 
case study(s) and suitable customer 
reference(s) for that piece of work. 
We would like to talk to these 
customer references after submission 
of your responses. Where you 
suggest delivering the services via a 
Related Organisation, we would like 
to talk to customers using the same 
Related Organisation. 
Representatives from the Authority 
may need to visit reference sites to 
evaluate the Supplier’s capabilities. 
ISOP: Questionnaire 
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5.5 
Specify your project delivery team 
 
including those members of staff who 
will have key operational roles once 
the service 'goes live'. 
5.6 
Please provide an example of a 
 
relevant business continuity strategy, 
and up to 3 examples of detailed 
related procedures. 
5.7 
Please attach a diagram outlining 
 
your proposed internal change control    
process. 
 
 
Please provide an example of these 
procedures. 
5.8 
Please indicate the location where 
 
data will be held. Please also 
describe the procedure(s) you will use 
to ensure data is secure at all times. 
 
5.9 
Please provide a proposal on quality 
 
arrangements that would be used on 
this project. 
 
ISOP: Questionnaire 
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6   PERSONNEL 
6.1 
Please highlight the future career 
 
opportunities, training and 
development that would be made 
available to staff working on the 
register.  
6.2 
What is your approach to 
 
performance management and 
appraisal? 
6.3 
What is your approach to training and 
 
development? Please provide figures 
relating to spend per employee (if 
applicable) and detail any external 
accreditation you have achieved  
6.4 
What methods of training and 
 
development do you utilise within 
your organisation? 
6.5 
Please provide details of your equal 
 
opportunities policies, procedures and 
practices in relation to your staff and 
customers. 
6.6 
What policies do you operate in 
 
relation to disability, age, religious 
belief, race, gender, sexual 
orientation and family issues? 
6.7 
What induction programme will you 
Please provide a summary with supporting 
provide for staff? 
evidence covering all questions opposite. 
 
What methods of induction do you 
use? 
 
How will you align and integrate staff 
into your organisation and culture? 
 
How would you describe your 
organisation’s culture and how do you 
measure this? 
6.8 
What specific measures do you 
Please provide a summary covering all 
intend to use to recruit and retain 
questions opposite. 
staff? 
6.9 
What do you consider the major HR 
 
issues during implementation and 
how would you address these issues?
6.10  How would you manage staffing 
 
issues during implementation? Please 
cover training and communications 
approaches, timescales (key 
milestones and generic plan), 
resource profile and dependencies. 
ISOP: Questionnaire 
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7 AUDIT 
 
Describe your proposed internal audit and 
 
7.1 
management review procedures to 
 
minimise the scope for fraud. 
 
 
 
 
7.2 
By submitting your proposals you agree 
 
that the Authority and the National Audit 
 
Office shall be entitled to access the 
 
scheme records whenever they deem 
 
necessary
 
 
Provide details of any way in which you 
could facilitate this access  
 
 
 
 

ISOP: Questionnaire 
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ECONOMIC and FINANCIAL CAPACITY 
If identical information has been provided in your pre qualification submission, it 
only needs to be confirmed here that there are no changes.  
 

The following financial information is required to be provided. 
(a) A copy of the most recent audited accounts for your organisation that cover the last two 
years of trading or for the period that is available if trading for less than two years. 
(b) A statement of the organisation’s turnover, Profit & Loss and cash flow position for the most 
recent full year of trading (or part year if full year not applicable) and an end period balance 
sheet, where this information is not available in an audited form at (a). 
(c) Where (b) cannot be provided, a statement of the organisation’s cash flow forecast for the 
current year and a bank letter outlining the current cash and credit facility position. 
(d) If the organisation is a subsidiary of a group, (a) to (c) are required for both the subsidiary 
and the ultimate parent. Where a consortium or association is proposed, the information is 
requested for each member company. 
(e) A separate statement of the organisation’s turnover that relates directly to the supply of this 
service for the past two years, or for the period the organisation has been trading (if less than 
two years). 
(f) Parent company and/or other guarantees of performance and financial standing may be 
required if considered appropriate. Confirmation of the organisation’s willingness to arrange for 
a guarantee or a performance bond 
(g)  The name and 
 
address of your 
 
banker 
 
 
 
(h) Please provide details of your organisation’s insurance protection in respect of professional 
indemnity cover 
Policy 
Insurer` 
Indemnity Value (£) 
 
 
 
 
 
 
 
 
 
 
 

ISOP: Questionnaire 
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9.0 
FINANCIAL PROPOSAL 
 
9.1 

In a SEPARATE spreadsheet (together with all other information with actual monetary £ 
values) please provide a financial proposal and cash flow models for: 
 
(a) preparation and planning,  
(b) design, delivery, testing and implementation of the proposed system solution 
(c) business as usual 
(d) exit plan  
 
You should also include your key cost drivers and indicative costings stating any 
assumptions made, risks identified and proposed mitigating measures. This should be 
based on a flat rate for the duration of the contract to enable comparison however 
alternative proposals will be considered. 
 
 
 
9.2 
Comment on the need for a working 
capital facility and the proposed 
source of such a facility, if required. 
Where possible, provide bank letters 
indicating that the anticipated working 
capital facility can be arranged. 
 
9.3 
To protect service operability, the 
Authority may require that an on-
demand performance bond to the 
value of £500,000 be lodged by the 
Prime Contractor and/or one or more 
of its Relevant Organisations as a 
precondition to detailed Contract 
negotiation and final offer stage. This 
will be issued by a bank or bond 
issuer and on terms which are 
acceptable to DCLG. 
Please state whether you are 
agreeable to providing such a bond.  
If not, please provide reason why and 
proposed alternative approach(es): 
 
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10 SERVICES 
REQUIREMENTS 
 
This response grid is based on Part B – Functional Requirements (Section 5) of the 
Commercial Energy Certificate Register Services Requirements Specification (SRS). 
 
10.1 
Requirement Definition/Summary 
Request Unique Property Reference Number 
Please refer to SRS section 5, requirement R01: 
 
• Requirement 
Outline 
• Non-Functional 
Requirements 
 
Please provide an outline design of solution covering the business processes and technical 
architecture required. Please also state any assumptions made, risks identified and proposed 
mitigating measures.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
ISOP: Questionnaire 
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10.2 
 
Requirement Definition/Summary 
Submit and Lodge Energy Documents & Model Data 
Please refer to SRS section 5, requirement R02: 
 
• Requirement 
Outline 
• Non-Functional 
Requirements 
 
Please provide an outline design of solution covering the business processes, technical 
architecture required. Please also state any assumptions made, risks identified and proposed 
mitigating measures.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
ISOP: Questionnaire 
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10.3 
 

Requirement Definition/Summary 
Change in status of Energy Documents and Model 
Data 

Please refer to SRS section 5, requirement R03: 
 
• Requirement 
Outline 
• Non-Functional 
Requirements 
 
Please provide an outline design of solution covering the business processes, technical 
architecture required. Please also state any assumptions made, risks identified and proposed 
mitigating measures.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

ISOP: Questionnaire 
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10.4 
 

Requirement Definition/Summary 
Retrieve and view Energy Documents & Model Data 
Please refer to SRS section 5, requirement R04: 
 
• Requirement 
Outline 
• Non-Functional 
Requirements 
 
Please provide an outline design of solution covering the business processes, technical 
architecture required. Please also state any assumptions made, risks identified and proposed 
mitigating measures.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
ISOP: Questionnaire 
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10.5 
 

Requirement Definition/Summary 
Lookup of Energy Assessor 
Please refer to SRS section 5, requirement R05: 
 
• Requirement 
Outline 
• Non-Functional 
Requirements 
 
Please provide an outline design of solution covering the business processes, technical 
architecture required. Please also state any assumptions made, risks identified and proposed 
mitigating measures.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
ISOP: Questionnaire 
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10.6 
 

Requirement Definition/Summary 
Update Energy Assessor Index 
Please refer to SRS section 5, requirement R06: 
 
• Requirement 
Outline 
• Non-Functional 
Requirements 
 
Please provide an outline design of solution covering the business processes, technical 
architecture required. Please also state any assumptions made, risks identified and proposed 
mitigating measures.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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10.7 
 

Requirement Definition/Summary 
Reporting / Data Extract (Non-Subscription) 
Please refer to SRS section 5, requirement R08: 
 
• Requirement 
Outline 
• Non-Functional 
Requirements 
 
Please provide an outline design of solution covering the business processes, technical 
architecture required. Please also state any assumptions made, risks identified and proposed 
mitigating measures.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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10.8 
 

Requirement Definition/Summary 
Transitional CECR 
Please refer to SRS section 5, requirement R07: 
 
• Requirement 
Outline 
• Non-Functional 
Requirements 
 
Please provide an outline design of solution covering the business processes, technical 
architecture required. Please also state any assumptions made, risks identified and proposed 
mitigating measures.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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11 OPERATIONAL 
REQUIREMENTS 
This is response grid is based on Part B – Non-Functional Requirements (Section 6)  of 
the Commercial Energy Certificate Register Services Requirements Specification (SRS). 
 
11.1 

Requirement Definition/Summary 
Non-Functional Requirements 
Please refer to SRS section 6: 
 
N01 – Integrity 
N02 – Data Consistency 
N03 – Usability 
N04 – Transactional Volumes 
N05 – Backup & Recovery 
N06 – Disaster Recovery and Business Continuity 
N07 – Archiving 
N08 – Security 
N09 – Availability 
N10 – Scalability 
N11 – Extensibility 
N12 – Data Protection 
N13 – IT Governance 
N14 – Change Management 
N15 – Test Environment 
N16 – Network 
N17 – Multi Language 
N18 - Technologies 
For each Non-Functional Requirement please provide an outline design of solution covering 
the processes, technical designs required to implement the requirements. Please also state 
any assumptions made, risks identified and proposed mitigating measures. It is expected that 
documentation for existing processes and procedures may be submitted to meet these 
requirements with relevant cross-referencing from requirements to solution. 
 
 
 
 
 
 
 
 
 
 

ISOP: Questionnaire 
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12 OTHER 
RESPONSIBILITES 
 
This is response grid is based on Part B – Constraints (Section 7) of the Commercial 
Energy Certificate Register Services Requirements Specification (SRS). 
 
12.1 
 
Requirement Definition/Summary 
Please refer to SRS section 7: 
 
C01 – Delivery 
C02 – Messaging 
 
 
Please provide where applicable an outline design of solution covering the business 
processes, technical architecture required to meet the constraints. Please also state any 
assumptions made, risks identified and proposed mitigating measures.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

ISOP: Questionnaire 
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13 POTENTIAL 
FUTURE 
REQUIREMENTS 
 
This is response grid is based on Part B – Additions and variations to Core 
Requirements (Section 8) of the Commercial Energy Certificate Register Services 
Requirements Specification (SRS). 
 
13.1 
 
Requirement Definition/Summary 
Please refer to SRS section 8: 
 
P01 – Data Extract 
P02 – Bulk Data Extract 
P03 – Central Information Point 
 
Please provide an outline design of solution covering the business processes, technical 
architecture required. Please also state any assumptions made, risks identified and proposed 
mitigating measures.  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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WHEN YOU HAVE COMPLETED THE QUESTIONNAIRE, PLEASE READ AND SIGN 
THE SECTION BELOW. 
 
 
 
 
 
I/WE CERTIFY THAT THE INFORMATION SUPPLIED IS ACCURATE TO THE BEST 
OF MY/OUR KNOWLEDGE AND THAT I/WE ACCEPT THE CONDITIONS AND 
UNDERTAKINGS REQUESTED IN THE QUESTIONNAIRE.  I/WE UNDERSTAND 
THAT FALSE INFORMATION COULD RESULT IN THE EXCLUSION OF THE PRIME 
CONTRACTOR FROM FURTHER PARTICIPATION IN THE PROCUREMENT. 
 
 
 
 
 Signed: 
 
 
 Name: 
 
 
 Position1: 
 
 
 
For and on behalf of: 
 
 
 Date: 
 
 
 
 
 
This declaration must be signed by an authorised signatory, in his/her own name, and 
for and on behalf of the Relevant Organisation.   
 
 
 
 
 
 
 
 
 
 
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Document Outline