Monitoring and Compliance
The SMICoP requires Members to undertake the following Monitoring and Compliance Techniques:
- Self-certification of compliance
- Independent audit of compliance
- Customer Surveys
Each Member is responsible for ensuring that they implement and maintain suitable management and record-keeping processes to evidence compliance with provisions in the SMICoP.
For SMICoP obligations that require submissions to the Code Administrator, compliance is monitored by the Code Administrator and suspected non-compliance may be reported to Ofgem. More information on the submission requirements is provided on the Code Member Submissions page.
An initial Constituency Self-Declaration submission must be submitted on the date a Supplier first becomes a SMICoP Code Member. A further submission must be made by 1 June each year.
The Self-Declaration is required to take part in SMICoP Governance Board discussions and voting.
A Self-Certification template is available on the Guidance, Forms and Templates page.
SMICoP Members must procure the services of an external market research agency to carry out a survey of customers that have had a smart meter installed. This survey is designed to establish whether the obligations and standards set out in the SMICoP are being followed by Suppliers (or their appointed agents) during the smart metering installation process.
Further information can be found within SMICoP Section B, Clause 3.4. Customer Surveys.
Please note that Suppliers are required to provide quarterly submissions, the results of which are collated and provided to the SGB meetings for consideration – in 2020 the SGB meetings where surveys will be discussed will take place in March, April, August, and November. To review these reports, please refer to the Meeting Register or Meeting Calendar webpage.
A single independent audit will be commissioned on all Members, with over 10,000 electricity and/or gas Domestic and/or Micro Business Customers, to provide assurance that processes and compliance is in place for all relevant aspects of the Code from the time of the last Self-Certification statement. Any Member that exceeds the 10,000 electricity and/or gas Domestic and/or Micro Business Customers, will require an independent audit.
The scope and activities of the independent audit has been defined by the SMICoP Governance Board and provided within the Audit Specification document.
Further information can be found within SMICoP Section B, Clause 3.3. Independent Audit of Compliance.
A Webinar, recorded in February 2020 sets out Monitoring and Compliance activities for SMICoP Suppliers