Section B

Code Governance

 1.0 Roles and Responsibilities

 1.1 Governance Bodies and Structure

1.1.1There are a number of bodies and groups that are required to operate the Code. These are represented in a structure below and their roles and responsibilities are set out below.

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 1.2 The Authority

1.2.1Observational/monitoring role (including observation at the SMICoP Governance Board and Sub-Groups as appropriate);

1.2.2Recipient of reports from the Code change management and monitoring;

1.2.3Responsible for, on receipt of a recommended code Change Request, taking one of the following actions within 30 working days;

1.2.3.1Providing its approval in writing to the proposed revisions; or

1.2.3.2Providing notice that it is withholding approval; or

1.2.3.3Providing notice that it is unable to reach a decision on whether to approve or withhold approval within the 30-working day period but that it will aim to do so within the timescale specified in the notice; or

1.2.3.4Making no response within 30 working days of receiving a recommended Change Request in which case the Change Request will be treated as having been approved by the Authority.

1.2.4Responsibility for enforcement of the Code outside of these governance arrangements; and

1.2.5Has the power to direct a review and a subsequent change to the code.

 1.3 SMICoP Governance Board

1.3.1The SMICoP Governance Board will:

1.3.1.1Be responsible for the efficient operation and governance of processes within the Code;

1.3.1.2Be custodians of the live version of the Code;

1.3.1.3Make decisions on Change Requests for submission to the Authority;

1.3.1.4Own and manage the reporting and monitoring process, including publication of the Domestic Customer Survey Reports;

1.3.1.5Provide overall assurance of robustness of Code; and

1.3.1.6Prioritise and consider issues for resolution.

1.3.2The SMICoP Governance Board will decide to take action as appropriate to discharge its role;

1.3.3The SMICoP Governance Board should have the appropriate balance of skills, experience, independence and knowledge of the Code to enable them to discharge their respective duties and responsibilities effectively;

1.3.4The SMICoP Governance Board will be constituted of the number of representatives, for   the constituencies (each a “constituency”), as set out in the table below:

Table 1: SMICoP Governance Board Constitution

Constituency

Number of Representatives

Large suppliers

1 representative from each Member that is a Large Supplier (with the total number of representatives for this constituency being equal to the number of Members that are a Large Supplier).

Small suppliers

1 representative from each Member that is a Small Supplier (with the total number of representatives for this constituency being equal to the number of Members that are a Small Supplier).

Micro Business Suppliers

1 representative from each Micro Business Supplier (with the total number of representatives for this constituency being equal to the number of Members that are a Micro Business Supplier).

Citizens Advice Service1

2 representatives.

1Citizens Advice Service (which throughout the document shall be read as including Citizens Advice Service Scotland) represents Domestic and Micro-Business Customers.

1.3.5A Licensee can at any given time only fall within one constituency;

1.3.5.1The constituency within which a Licensee (taken together with all other Licensees within the same Group) falls at any given time shall be determined by the self-declaration form, set out in Appendix 2 of this Section B ('SMICoP Supplier Constituency Self-Declaration Form'), as completed by the Licensee (taken together with all other Licensees within the same Group), and held by the Code Administrator at that specific time.

1.3.5.2Where the Licensee (acting both in its own capacity as a Licensee and for and on behalf of all other Licensees within the same Group) is a Member as at 1 March 2019, it shall:

1.3.5.2.1Complete and submit to the Code Administrator a SMICoP Supplier Constituency Self-Declaration Form on 1 March 2019; and

1.3.5.2.2thereafter complete and submit to the Code Administrator a SMICoP Supplier Constituency Self-Declaration Form on 1 June annually up to but not including 01 June 2021.

1.3.5.3Where the Licensee (acting both in its own capacity as a Licensee and for and on behalf of all other Licensees within the same Group) is not a Member as at 1 March 2019 it shall:

1.3.5.3.1complete and submit to the Code Administrator a SMICoP Supplier Constituency Self-Declaration Form on the date it first becomes a Member; and

1.3.5.3.2thereafter complete and submit to the Code Administrator a SMICoP Supplier Constituency Self-Declaration Form on 1 June annually up to but not including 01 June 2021.

1.3.5.3AWhere the Licensee has submitted a valid SMICoP Supplier Constituency Self-Declaration Form in accordance with the provisions of Clause 1.3.5.2 or Clause 1.3.5.3 (as the case may be) on or after 1 June 2020, the information contained in that submitted form shall apply for the purposes of Clause 1.3.5.1 until the date on which this Code to have effect

1.3.5.3BFor the avoidance of doubt, nothing in Clauses 1.3.5.2, 1.3.5.3, or 1.3.5.3A above affects or changes the obligations set out in Clause 3.2 of Section B2 (Self-Certification of Compliance).

1.3.5.4A SMICoP Supplier Constituency Self-Declaration Form completed and submitted by a Licensee (acting both in its own capacity as a Licensee and for and on behalf of all other Licensees within the same Group) shall be valid where it is completed and submitted to the Code Administrator in accordance with the requirements in paragraphs 1.3.5.2 or 1.3.5.3 (as the case may be). Where the Code Administrator does not hold a valid SMICoP Supplier Constituency Self-Declaration Form for a Licensee, the Licensee shall not fall within any constituency and shall not therefore, have any voting rights.

1.3.6Not Used

1.3.7The following parties will be invited to send a representative to the SMICoP Governance Board as observers:

• The Authority

• BEIS

• Network operators

• Meter Operators

• Ombudsman Services: Energy (also known as the energy ombudsman)

1.3.8 The Chair can invite relevant observers;

1.3.9The SMICoP Governance Board is the decision-making body for change to the Code, as described in the Code Change Management process within this document. Change should be agreed by discussion and then consensus wherever possible;

1.3.10Where consensus cannot be reached, a vote will be taken in respect of the resolution with one vote for each Representative.   Where a vote is taken, the vote cast in respect of the resolution by each Representative shall be allocated a weighted voting percentage in accordance with the following formula:

WVP = P/N

where, in respect of each Representative who casts a vote:

WVP is the weighted voting percentage for each constituency and allo­cated to the vote of that Representative; for each constituency;

P    is:

50%, in the case of the Large Supplier constituency;

(ii) 16.67%, in the case of the Small Supplier constituency;

(iii) 16.67%, in the case of the Micro Business Supplier constituency; and

(iv) 16.67%, in the case of the Citizens Advice constituency; and

N   is the total number of votes cast by Representatives in the same con­stituency as that Representative.

1.3.10ASubject to the quorum requirements set out in clause 1.3.12. below, for a res­olution to be passed by way of a vote taken under and in accordance clause 1.3.10, the sum of the weighted voting percentages allocated to all of the Rep­resentatives who voted in favour of the resolution must be greater than 50%.

1.3.11Where a Representative cannot attend a meeting, they shall either send the nominated back-up person, or submit a proxy vote to the Chair. The Chair shall read that vote out in the meeting; and

1.3.12The SMICoP Governance Board will be quorate with 7 attendees, and/or proxy votes where submitted, but only where the attendees, and/or proxy votes where submitted, include Representatives from at least two of the four constituencies listed in clause 1.3.4 above.

 1.4 Chair of the SMICoP Governance Board

1.4.1The Chair will be an individual provided by the Code Administrator and will facilitate the meetings as a non-voting independent party;

1.4.2The Chair is responsible for agreeing the SMICoP Governance Board meeting agenda with the Code Administrator and ensuring that the Code Administrator sends all relevant papers to the SMICoP Governance Board in advance of the meeting; and

1.4.3The Chair will ensure meetings are convened as quorate.

 1.5 Code Administrator

1.5.1Must be a suitably experienced and qualified body;

1.5.2Responsible for discharging activities within this Code for change management and monitoring;

1.5.3Secretariat for the SMICoP Governance Board and any sub-groups;

1.5.4Responsible for maintaining documentation and baseline products, including the Code itself;

1.5.5Responsible for publishing outputs from the change management and reporting processes;

1.5.6Responsible for publishing the Domestic Customer Survey Reports; microbusiness survey results are not required to be published; and

1.5.7Responsible for procurement and contract management of any contracted parties.

 1.6 Change Advisory Group

1.6.1As set out in the Code change management process within this Code.

 1.7 Ad-Hoc Sub-Groups

1.7.1The SMICoP Governance Board may convene ad-hoc sub-groups to consider issues, draft Change Requests or deliver tasks should/as they arise;

1.7.2The SMICoP Governance Board will set the Terms of Reference for any sub-groups, which could either be structured to operate in the same manner as the Change Advisory Group, feeding end results and/or draft Change Requests into the SMICoP Governance Board to be ratified, or could be more informally convened as a group of experts to feed analysis and recommendations into the SMICoP Governance Board; and

1.7.3The Code Administrator will notify the Change Advisory Group and publish the agendas for any ad-hoc sub-groups that are convened.

 1.8 Information to the Authority

1.8.1All information associated with the Code operation will be made available to the Authority on request.

 2.0 Code Change Management

 2.1 Raising Change Requests

2.1.1A Change Request is a request for the Code to be modified and may be made, using a Change Request proforma, by:

2.1.1.1A Supplier;

2.1.1.2Citizens Advice; and

2.1.1.3in respect of (a) a change which does not impact the nature and scope of a requirement in the Code nor have an impact on consumers (a 'housekeeping change'), or (b) a change identified by the SMICoP Governance Board under Clause 2.8.1, the Code Administrator

(and where any such person make a Change Request they are the Proposer).

2.1.2A Change Request is made by a Supplier or the Citizens Advice Service by sending it to the Code Administrator. The Code Administrator may, for the purposes of providing clarity to and/or taking comments from interested parties, facilitate the advance discussion and notification of the likely proposed change by completing and issuing an 'issues form' or issuing in draft form the Change Request received by it.

2.1.3On receipt of, or in making, a Change Request, the Code Administrator will:

2.1.3.1review it to ensure that it is fully and properly completed (and may consult with the Proposer for that purpose);

2.1.3.2instruct the SMICoP Legal Advisor to either draft the legal text for the proposed changes to the Code in respect of the Change Request or review and advise on, and where required amend, the draft legal text of the proposed changes as included within, or accompanying, the Change Request;

2.1.3.3prepare, and in all cases where it is not the Proposer submit to the Proposer for its review and approval, a report on and in respect of the Change Request (the Change Request Report); and

2.1.3.4submit the Change Request and Change Request Report to the Change Advisory Group, publish the documents on the Code Administrator's web-site (as relating to the Code) and send a copy of them to the Authority.

 2.2 Change Advisory Group   

2.2.1The Change Advisory Group constitutes:

2.2.1.1those persons that have made a request to the Code Administrator to be included on its list of persons interested in receiving a copy of each Change Request that is made and who represent one of the following organisations/categories:

2.2.1.1.1Supplier;

2.2.1.1.2Citizens Advice and Citizens Advice Scotland;

2.2.1.1.3The Authority;

2.2.1.1.4Meter operators;

2.2.1.1.5Network Operators; and

2.2.1.2any other person that has made a request (via the Code Administrator) to be represented on the Change Advisory Group and the request has been approved by the SMICoP Governance Board.

2.2.2The Change Advisory Group shall in accordance with its rules of procedure consider each Change Request and Change Request Report submitted to it under Clause 2.1.3.4 and notify the Code Administrator of:

2.2.2.1its recommendations on the changes proposed in the Change Request;  

2.2.2.2any additional comments or views it has on or in respect of the Change Request; and

2.2.2.3any suggested improvements to the Change Request or the Change Request Report.

2.2.3The Change Advisory Group's recommendations on the Change Request are for guidance to the Proposer, and to the SMICoP Governance Board who will make a decision on whether it approves or rejects the Change Request.

 2.3 Code Administrator - Preparation of Final Change Report

2.3.1Following its receipt of the Change Advisory Group's recommendations and comments on the Change Request, the Code Administrator will produce, and submit to the SMICoP Governance Board, a final report (a Final Change Report) comprising the Change Request and setting out the recommendations, comments and suggested amendments to the proposed changes to the Code (if any) of the Change Advisory Group.

 2.4 SMICoP Governance Board - Review and Decision

2.4.1The SMICoP Governance Board shall decide whether to approve or reject a Change Request.

2.4.2The Proposer of the Change Request shall be entitled to attend the SMICoP Governance Board meeting at which the Change Request is to be decided upon. Where the Proposer attends the meeting, the SMICoP Governance Board may accept and consider any supplementary supporting information presented by the Proposer at the meeting in relation to the Change Request.

2.4.3The Proposer may, where it considers (whether prior to or during the SMICoP Governance Board's meeting at which the Change Request is to be considered) that there are material issues which need to be addressed in respect of, or improvements to be made to, the proposed Change Request, request that the SMICoP Governance Board defers making a decision on the Change Request until a later date.

2.4.4Where the SMICoP Governance Board concludes that it has sufficient information to make a decision on the Change Request, it:

2.4.4.1will approve or reject (as the case may be) the Change Request;

2.4.4.2may in approving the Change Request, make such minor non-material or housekeeping amendments (as identified by it or the Proposer) to the changes to the Code proposed in the Change Request; and

2.4.4.3will, where it approves the Change Request, indicate the date from which the changes should be made to the Code.

2.4.5Where the SMICoP Governance Board concludes (whether of its own volition or following a request from the Proposer) that there are material issues which need to be addressed in respect of, or improvements to be made to, the Change Request, it may defer its decision on the Change Request, and where it does so defer it will:

2.4.5.1refer the Change Request back to the Proposer for revision as required (taking into account any revisions that may be recommended by the SMICoP Governance Board); and

2.4.5.2determine, following consultation with the Proposer, the date by which the Change Request shall be re-submitted to the Code Administrator for the purposes of further consideration and decision by the SMICoP Governance Board.  

2.4.6The Proposer shall determine whether to revise and resubmit the Change Request and where it does revise and resubmit whether:

2.4.6.1the revised Change Request is to be progressed such that it replaces (and is therefore treated as) the original Change Request; or

2.4.6.2the revised Change Request is to be progressed in addition, and therefore as an alternative, to the original request (and in this case the revised version shall be known as the Alternative Change Request). An additional party may also raise an Alternative Change Request.

2.4.7A Change Request (including any revised version of it) may not be deferred more than once.

2.4.8Where a Change Request is deferred and not subsequently resubmitted by the Proposer by the date specified in accordance with Clause 2.4.5.2:

2.4.8.1the Code Administrator will notify the Change Advisory Group that the Change Request was not resubmitted; and

2.4.8.2unless another party that can make a Change Request informs the Code Administrator, within 10 working days of the date of the notification referred to in Clause 2.4.8.1, that it wishes to become the Proposer for the Change Request, the Change Request will be deemed as withdrawn.

2.4.9Where there is an Alternative Change Request:

2.4.9.1both the Alternative Change Request and the original Change Request will be re-submitted to the Change Advisory Group pursuant to Clause 2.1.3.4; and

2.4.9.2unless the Proposer subsequently withdraws either the original Change Request or the Alternative Change Request, the SMICoP Governance Board shall consider and decide upon both the Original Change Request and on the Alternative Change Request.

 2.5 Withdrawal of a Change Request

2.5.1A Proposer may withdraw a Change Request at any time by giving notice of the   withdrawal to the Code Administrator.

2.5.2A Change Request is deemed to be withdrawn where:

2.5.2.1the Proposer does not re-submit a revised version of the Change Request in accordance with the timetable determined by the SMICoP Governance Board under Clause 2.4.5.2; and

2.5.2.2no other person requests to be named as the Proposer in accordance with Clause 2.4.8.

2.5.3In each case, the Code Administrator will notify the SMICoP Governance Board and the Change Advisory Group that the Change Request is withdrawn and note the Change Request as “Closed. - Withdrawn”.

 2.6 Authority Decision on Change Request

2.6.1The Code Administrator shall notify the Change Advisory Group and the Authority of the SMICoP Governance Board's decision to approve or reject a Change Request.

2.6.2Any member of the Change Advisory Group that is a representative of -

2.6.2.1a Supplier; or

2.6.2.2Citizens Advice or Citizens Advice Scotland,

may within 10 working days of being notified of the SMICoP Governance Board's decision, submit representations to the Code Administrator on that de­cision.

2.6.3The Code Administrator will, as soon as reasonably practicable, submit:

2.6.3.1any representations received by it under Clause 2.6.2 to:

2.6.3.1.1the SMICoP Governance Board;

2.6.3.1.2the Change Advisory Group; and

2.6.3.1.3   the Authority; or

2.6.3.2Notify the Authority that no-representations have been made.

2.6.4The Authority shall, within 30 working days of receiving any representations referred to in Clause 2.6.3 or of being notified by the Code Administrator that it has not received any representations, issue a notice (the Notice) to the Code Administrator which provides that the Authority:

2.6.4.1approves the Change Request;

2.6.4.2does not approve the Change Request;

2.6.4.3is unable to reach a decision within the 30-working day period on whether or not to approve the Change Request but will aim to do so within the timescale set out in the Notice; or

2.6.4.4is unable, on the basis of the information before it, to reach a decision on whether or not to approve the Change Request and is issuing a send back notice to the SMICoP Governance Board (a Send Back Notice) via the Code Administrator.

2.6.5The Code Administrator shall within 5 working days of receipt of:

2.6.5.1the Notice, send a copy of it to the Proposer, all Members, the Change Advisory Group and the SMICoP Governance Board; and

2.6.5.2a Send Back Notice, send a copy of it to the SMICoP Governance Board.

2.6.6Where the Authority fails to issue a notice under Clause 2.6.4, the decision of the SMICoP Governance Board to approve or reject the Change Request shall be the final decision on the Change Request.

2.6.7Where:

2.6.7.1Clause 2.6.4.1 or Clause 2.6.6 applies; or

2.6.7.2the Authority gives approval to a Change Request within the timescale set out in the Notice given under Clause 2.6.4.3,

the Code Administrator will make the approved changes to the Code such that they take effect from:

2.6.7.3the next scheduled update of the Code (updates are scheduled to take place in February, June and November in each calendar year); or

2.6.7.4where the changes need to be made before the next scheduled update, the implementation date specified by the Proposer, SMICoP Governance Board or the Authority (as the case may be).

 2.7 Send Back Process Timetable

2.7.1Where the Authority issues a Send Back Notice it will:

2.7.1.1give its reasons for not being able to reach a decision on whether to approve or withhold approval;

2.7.1.2identify the issues that need to be addressed in respect of, or improvements to be made to, the Change Request to enable it to make such a decision;

2.7.1.3indicate the revisions that may be required to the proposed changes, the implementation date and/or the implementation method; and

2.7.1.4request that the Change Request is revised and re-submitted to the Authority for approval.

2.7.2Where the Authority issues a Send Back Notice:

2.7.2.1the original implementation date or timetable for the Change Request shall no longer apply; and

2.7.2.2the Code Administrator will in relation to that Send Back Notice, propose, for approval by the SMICoP Governance Board at its next scheduled meeting, the process (which shall include the proposed procedure and timetable) to be applied for the reconsideration and resubmission of the relevant Change Request (the Send Back Process).

2.7.3The procedure and timetable proposed by the Code Administrator may, without prejudice to Clause 1.7 of Section B, provide that further consultation is carried out with all relevant parties on:

2.7.3.1the Authority's reasons for issuing the Send Back Notice;

2.7.3.2the Authority's proposed revisions to the Code, the implementation date, and/or the implementation method; and

2.7.3.3any additional or supplementary revisions that may be required to the Code in light of the Authority's reasons for issuing the Send Back Notice.

2.7.4The SMICoP Governance Board may, having regard to the comments made by the Authority in the Send Back Notice:

2.7.4.1approve the proposed Send Back Process; or

2.7.4.2instruct the Code Administrator to make specified changes to the Send Back Process and to resubmit it for approval by the SMICoP Governance Board.

2.7.5Following its approval of the Send Back Process, the SMICoP Governance Board shall consider the Change Request (which may be revised in accordance with or to reflect the Send Back Notice), and decide whether to:

2.7.5.1send it to the Change Advisory Board to consider and make recommendations;

2.7.5.2reconsider its original decision on the Change Request; or

2.7.5.3make a decision on the Change Request as amended in accordance with the Send Back Notice (for the avoidance of doubt an amended Change Request resulting from the Send Back Process shall not constitute an Alternative Change Request) without sending it to the Change Advisory Group for further consideration,

and having followed, as appropriate for each case, the procedure and timeta­ble set out in the approved Send Back Process, the SMICoP Governance Board shall instruct the Code Administrator to re-submit the Change Request (revised or otherwise as appropriate) to the Authority for approval.

 2.8 Authority Directed Review or Subsequent Change

2.8.1The Authority can direct a review and subsequent change to the Code as set out in supply Licence Conditions below:

(c) the Authority;

(i) at any time to require the Licensee, together with all other licensed electricity and gas suppliers of Domestic Premises, to review such features of the Domestic Installation Code as it may specify (‘the specified features’);

(ii) following such a review, to issue a direction requiring the Licensee and all other licensed electricity and gas suppliers of Domestic Premises to make such modifications to any of the specified features as it may direct.

 2.9 Review of the Code

2.9.1The SMICoP Governance Board is, from time to time to review the Code to determine whether any revisions should be made to it.

2.9.2It is expected that where there are revisions needed to the Code, that it will be more efficient to discuss in advance of any formal Change Request being raised.

 3.0 Monitoring and Compliance

 3.1 Monitoring and Compliance Techniques

3.1.1The following techniques will be used for monitoring and compliance:

3.1.1.1Self-certification of compliance;

3.1.1.2Independent audit of compliance;

3.1.1.3Customer surveys; and

3.1.1.4Publishing monitoring and compliance data.

3.1.2Members are responsible for implementing and maintaining suitable management and record-keeping processes to evidence compliance with provisions in the Code that can be provided to the Authority on request.

 3.2 Self-Certification of Compliance

3.2.1Self-certification is a statement signed by a board director of the Member stating compliance (at the time of signature) with all relevant clauses of the Code, along with confirmation that there is supporting material evidence of compliance;

3.2.2Self-certification statements provided in accordance with Section B Appendix 1 including any additional Member statements will be provided to and retained by the Code Administrator;

3.2.3Self-certification will be annual.

3.2.3.1The first self-certification is due prior to a Member starting the Code Section 2 Pre-Installation process for Smart Metering Systems. For subsequent Member self-certification, these Members will comply with the annual timetable as defined in Clause 3.2.5.

3.2.4The first self-certification statement should state that processes are in place for providing the material evidence of compliance for all relevant elements of the Code (post-approval from the Authority); and

3.2.5Subsequent self-certification statements shall state that those processes are working appropriately, in addition to confirming that material evidence is available if requested by the Authority. Each subsequent self-certification statements will be in place by the 1st June each year.

 3.3 Independent Audit of Compliance

3.3.1A 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.

3.3.2Any Member that exceeds the 10,000 electricity and/or gas Domestic and/or Micro Business Customers, will require an independent audit.

3.3.3The Code Auditor (an independent auditor), will be procured by SMICoP Ltd and managed by the Code Administrator. The SMICoP Governance Board will make a recommendation on the appointment of the independent body and a final decision on the Audit specification to be used. The SMICoP Ltd Board will make the final decision on appointment of the independent body.

3.3.4Independent audits will be conducted early in the mass roll-out of smart metering.  The independent audits may be staggered over time to ensure the workload is manageable for the Code Auditor.

3.3.5Costs for the independent audits will be borne directly by the individual Member’s that are being audited.

3.3.6Below is a diagrammatic representation of the audit process, which has been defined in the subsequent clauses.

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3.3.7Pre-Notification

3.3.7.1Members shall use reasonable endeavours to send a notification to the Code Administrator up to six months in advance of when the Member expects to be ready to be audited.

3.3.8Audit Initiation

3.3.8.1Members that have a Self-Certification form in place on 1 September 2016 will use all reasonable endeavours to ensure that their audit is completed by February 2017 and will notify the Code Administrator when they are ready to be audited.

3.3.8.2Members that do not have a Self-Certification form in place on 1 September 2016 shall notify the Code Administrator when they are ready to be audited and will use all reasonable endeavours to ensure that their audit is completed within six months of installing 1500 Smart Metering Systems. For the avoidance of doubt, an audit is only required where the Member exceeds the 10,000 electricity and/or gas Domestic and/or Micro Business Customers, in accordance with Clause 3.3.2.

3.3.8.3Within five working days of the notice described in Clause 3.3.8.1 and Clause 3.3.8.2, the Code Administrator shall issue the Code Auditor with an application for audit, containing the Member’s contact details, code constituency and a date by which the audit should be carried out. The Code Administrator shall also confirm, to the respective Member, the receipt of the notification and that the application has been forwarded to the Code Auditor, who shall subsequently contact the Member.

3.3.8.4Within ten working days of receipt of an application described in Clause 3.3.8.3, the Code Auditor shall:

A. Acknowledge receipt of the application to the Code Administrator;

B. Agree the audit dates with the Member, including when the initial findings report will be provided; and

C. Confirm an estimate of the applicable charges.

3.3.8.5The audit activities shall commence within 601 working days of receipt of the application, unless otherwise agreed with the SMICoP Governance Board.

3.3.8.6The audit activities shall not commence within 20 working days of initial contact from the Code Auditor, unless otherwise agreed with the Member.

3.3.8.7Where a Member fails to confirm the audit dates with the Code Auditor, within 20 working days of initial contact by the Code Auditor, the Code Auditor will advise the Code Administrator. The Code Administrator will advise this anonymous failure to the next convened SGB.   

3.3.9Audit

3.3.9.1Members shall ensure appropriate staff are available and be ready to provide demonstrable evidence of compliance with the SMICoP.

3.3.10Audit Completion

3.3.10.1Following completion of an audit, the Code Auditor will bilaterally meet with the Member to share initial findings. This will include:

A. Setting out how they have assessed evidence of compliance against each relevant clause of the Code;

B. Discussing with the Member where non-compliances have been iden­tified;

C. Discussing with the Member where observations have been identi­fied.

3.3.11Audit Reporting

3.3.11.1The Code Auditor will develop and agree an audit report format with the SMICoP Governance Board.

3.3.11.2An initial findings report will be issued to the Member within 10 working days of the initial findings being shared with the Member, as defined in Clause 3.3.10. This report will detail whether the Member is compliant with each relevant clause and if not, its rationale for stating that the Member is not compliant.

3.3.11.3Members will have no more than 20 working days from the receipt of the initial findings report to provide any response to the Code Auditor. Where non-compliances have been identified, Members responses should detail whether they agree that they are not compliant and if not, provide further evidence / rationale to support their view. Where the Member agrees that it is non-compliant, it should resolve the non-compliance or provide a rectification plan setting out how the non-compliance will be resolved. For the avoidance of doubt, Members’ comments and proposed rectification plans should be provided within this 20 working day period as there will be no further opportunities to provide comments to the Code Auditor.

3.3.11.4Within five working days from the end of the Members initial findings response period, detailed within Clause 3.3.11.3, or receipt of a response from the Member, the Code Auditor shall produce a final audit report.

3.3.11.5For each relevant Clause, the final audit report shall state:

A. Whether the Member was compliant;

B. If the Member was compliant, whether any observations were iden­tified in order for the Member to improve its processes; and

C. If the Member was not compliant, the Member’s response to the ini­tial findings report, whether the non-compliance has been rectified or whether a suitable rectification plan has been provided.

3.3.11.6The final audit report shall be issued to the respective Member and the Code Administrator.

3.3.11.7Copies of the final audit reports shall be available on request by the Authority.

3.3.11.8The Code Auditor shall also provide the SMICoP Governance Board with monthly reports, detailing the activity and status of the audit process. All information contained within the report will be anonymised and shall include the below:

A. Number of completed audits during the reporting period;

B. Percentage of compliant and non-compliant audit outcomes during the reporting period;

C. Number of audits currently ongoing or scheduled;

D. Number of outstanding non-compliances; and

E. For non-compliant audits the report will summarise actions taken and progress towards rectification.

3.3.12Corrective Actions

3.3.12.1Members are responsible for implementing any corrective actions agreed as part of the audit process and arranging for the Code Auditor to carry out an assessment on these corrective actions.

3.3.12.2Upon receipt of the notification of a Member’s corrective actions, the Code Auditor shall agree with the Member the extent of further assessment and determine whether an additional site visit is necessary.

3.3.12.3The Code Auditor shall agree with the Member:

A. The length and scope of corrective action assessment;

B. Key dates;

C. Terms and contract; and

D. Estimate of additional charges.

3.3.12.4On agreement, a corrective action assessment schedule will be developed and provided to the Member and the Code Administrator.

3.3.12.5The Code Auditor will carry out an assessment against non-compliances identified within the final audit report.

3.3.12.6The Code Auditor will develop and agree a corrective action assessment report format with the SMICoP Governance Board. On completion of the corrective action assessment, the process defined in Clauses 3.3.10 and 3.3.11 will be followed for the areas of non-compliance.

 3.4 Customer Surveys

3.4.1Customers will be surveyed by a suitably qualified independent Survey Organisation to monitor individual Members’ compliance against the Code;

3.4.2Individual Members will procure their own Survey Organisation and provide Customer data (for all completed installations except for those installations which include the provision (by the Member to the Customer) of an Alternative Display) to the independent Survey Organisation;

3.4.3The Independent Survey Organisation will sample the data and survey the Customers using the SMICoP Governance Board approved survey specification set out in SMICoP Section C:

3.4.4The reports will be made available to;

3.4.4.1The SMICoP Governance Board on an aggregated, anonymised basis, when results are available from at least three participating suppliers (e.g. percentages, rather than finite numbers);

3.4.4.2Individual Members on their Customers’ responses2 to facilitate issue resolution;

3.4.4.3The Authority and/or the Programme with both of the above reports on request.

3.4.5The SMICoP Governance Board has set the:

3.4.5.1Purpose, scope, and methodology;

3.4.5.2Thresholds, sample size, and frequency;

3.4.5.3Domestic and Microbusiness Questions to be asked of Customers;

3.4.5.4Format of the data and reports.

 3.5 Publication of Domestic Customer Survey Reports

3.5.1The first Domestic Customer Survey Report, setting out survey results from Q4 2019, will be published by the end of April 2020. Thereafter, reports will be published within 3 months of the end of the calendar quarter to which it relates.

3.5.2Each Domestic Customer Survey Report will cover a maximum of 12 months on a rolling basis. Results from prior to Q4 2019 will not be published on the SMICoP website.

3.5.3The Domestic Customer Survey Reports will:

3.5.3.1   contain the results reported by each Domestic supplier against survey questions 1, 2, 3, 4, 4a, 4b, 5, 5a, 6a and 6b (see para. 3 of Section C (Monitoring and Compliance Customer Survey Specification) Customer Survey Specification Overview, Survey questions) except where the sample size for an individual question is 30 or fewer responses;

3.5.3.2exclude free text comments from customers and demographic data;

3.5.3.3provide a descriptive explanatory narrative;

3.5.3.4for Suppliers reporting on a quarterly cycle, contain a time series of data reported in the current and previous three quarters, commencing from Q4 2019; and

3.5.3.5for Suppliers reporting on an annual cycle, contain the most recent data reported, commencing from Q4 2019.

3.5.4The design of the report is for the SMICoP Governance Board to determine, in line with the above requirements.

 3.6 Escalation Process

3.6.1The escalation process set out in clauses 3.5.2 to 3.5.6 below will be triggered and followed where:

(i)a Supplier is proposing or purporting to meet the obligations imposed on it under Standard Licence Condition 41 and/or 42 of its Electricity Supply Licence and/or Standard Condition 35 and/or 36 of its Gas Supply Licence through its compliance with this Code but has not signed up to adhere to this Code;

(ii)a Member has failed or is failing to complete such documents or provide such information to the Code Administrator that it is required to complete and/or provide under and in accordance with this Code; or

(iii)a Member has failed or is failing to undertake any tasks required to be undertaken by it under the Code in the manner specified in or by this Code,

and therefore, has failed or is failing to fulfil a 'relevant obligation'.

3.6.2The Code Administrator will:

(i)send an email to the relevant contact3 at the Supplier/Member reminding them of the relevant obligation4, explaining that it has not been fulfilled by the Supplier/Member, and inviting them to engage with the Code Administrator within 15 working days of the communication being sent5; and

(ii)where applicable, send with the letter the documents and/or details of the information that the Supplier/Member should complete and/or send to the Code Administrator.

3.6.3Where the Supplier/Member fails to engage with the Code Administrator within 15 working days referred to in Clause 3.5.2(i), the Code Administrator will follow up with a call6, to the relevant contact at the Supplier/Member to remind them of the relevant obligation and the steps that the Supplier/Member is advised to take within 10 working days of the call.

3.6.4Where the Supplier/Member fails to engage with the Code Administrator and/or fails to fulfil the relevant obligation within the 10 working days referred to in Clause 3.5.3, the Code Administrator will:

(i)send a letter to the Director of the Supplier/Member reminding them of the relevant obligation, explaining that it has not been fulfilled by the Supplier/Member and inviting them to engage with the Code Administrator within 15 working days of the letter being sent;

(ii)where applicable, the documents and/or details of the information that the Supplier/Member should complete and/or send to the Code Administrator.

3.6.5The letter referred to in Clause 3.5.4 will also be copied to the relevant contact at the Supplier/Member and to the Authority.

3.6.6Where the Supplier/Member fails to engage with the Code Administrator and/or fails to fulfil the relevant obligation within the 10 working days referred to in Clause 3.5.4, the Code Administrator will:

(i)at the next scheduled meeting of the SMICoP Governance Board, notify the SMICoP Governance Board that one or more (as the case may be) Suppliers/Members7 have failed to engage with the Code Administrator and fulfil their relevant obligations; and

(ii)escalate the Supplier/Member's failure to fulfil the relevant obligation to the Authority for it to determine the next steps.

 APPENDIX B1: Self-Certification Statement of Compliance

[TO BE PRINTED ON COMPANY’S LETTERHEAD]

 

The Code Administrator

SMICoP Limited

Third Floor, Northumberland House

303-306 High Holborn

London

WC1V 7JZ

 

SMICoP Self Certification Statement of Compliance

I hereby confirm that [Insert Company Name] is compliant (at the time of signature of this Self Certification) with all relevant clauses8 of the Smart Metering Installation Code of Practice (the “Code”) and I confirm that there is supporting material evidence of compliance.

[I confirm that processes are in place for providing the material evidence of compliance for all elements of the Code]. [I confirm that the processes that are in place for providing the material evidence of compliance for all elements of the Code are working appropriately and that material evidence of this can be provided if requested by the Authority.]9

Company Name:……………………………………………………………………………….........................................

Company Address:...………………………………………………………………………………...................................

…………………………………………………………………….…………………….………………......................................

Signature (Board Director):.………………………………………………………………….....................................

Name (please print): …………………………………………………….....……………………...................................

Contact Details: Tel:.…………........………….…….................……………..……………………….......................

E-mail:……....…………………………………………………………………………………….........................................

Date of Signature:………………….....……………………………………………………….......................................

 

 APPENDIX B2: Supplier Constituency Self-Declaration

[TO BE COMPLETED BY THE MEMBER AND PRINTED ON MEMBER’S LETTERHEAD]

 

The Code Administrator

SMICoP Limited

Third Floor, Northumberland House

303-306 High Holborn

London

WC1V 7JZ

 

SMICoP Supplier Constituency Self-Declaration

I hereby confirm that as at the date of signing this Self-Declaration [Insert Member Name], taken together with every other Licensee in the same Group10 as [Insert Member Name] is a [Insert the Supplier constituency11 the Member falls within].

I also hereby confirm that, as at the date falling one month prior to the date given in the Date of Signature (as completed below), [Insert Member Name] taken together with every other Licensee in the same Group12 as [Insert Member Name]:

(i) supplied gas to [insert number] registered MPRNs13 14; and

(ii) supplied electricity to [insert number] registered MPANs15 16.

Company Name:.…………………………………………………………………………………....................................

Company Address:.………………………………………………………………………………...................................

………………………………………………………………………………………….……………….......................................

Signature (Board Director):………………………………………………………………….....................................

Name (please print):.………………………………………….…………………………………...................................

Contact Details: Tel: …………………………….……..............……………………………………….........................

E-mail: …………………………………………………………………………………………….........................................

Date of Signature: …………………………………………………………………………….......................................

1.   The Code Auditor shall highlight to the SMICoP Governance Board instances where the audits are not initi­ated within 60 working days, together with the rationale for this delay.

2.   This information will only be provided in anonymised form.

3.   It is expected that for a Member the relevant contact will be the SMICOP contact for whom the Code Admin­istrator holds contact details and for a Supplier that has not signed up to adhere to the Code the relevant contact will be the Supplier's Regulatory Manager (or similar/equivalent).

4.   It is expected that the communication sent to the relevant contact of any Supplier, will be to the Contract Manager, if known, or company Director as confirmed via Companies House.

5.   This communication will be made via email where known and if not, then a letter will be sent to the Sup­plier's registered address.

6.   If the call cannot be connected or is not responded to then the process will move to the next escalation step (3.5.4)

7.   The names of the Suppliers/Members will not be disclosed to the SMICoP Governance Board - only the num­ber of Suppliers/Members subject to the escalation process.

8.   Parties should decide themselves which are the relevant clauses within the SMICoP taking into account the different requirements for Domestic and Micro Business customers and being mindful of the specific clauses relating to Vulnerable customers.

9.   For the initial self-certification Members should use only the first sentence in square brackets and should delete the second sentence. For all subsequent self-certifications Members should delete the first sentence in square brackets and should only use the second sentence in square brackets.

10.   ‘Group’ has the meaning given to it in the Glossary of Terms of the Code.

11.   Large Supplier or Small Supplier or Micro Business Supplier.

12.   ‘Group’ has the meaning given to it in the Glossary of Terms of the Code.

13.   MPRN means the Meter Point Reference Number, as the reference number used to uniquely identify gas sup­ply points in Great Britain.

14.   The number to be provided shall be the total number of MPRNs, relating to gas supply points of Domestic Customers and Micro Business Customers, for which either the Member or other Licensees in the same Group as the Member are registered at the relevant date.

15.   MPAN means the Meter Point Administration Number, as the reference number used to uniquely identify electricity supply points in Great Britain.

16.   The number to be provided shall be the total number of MPANs, relating to electricity supply points of Domestic Customers and Micro Business Customers, for which either the Member or other Licensees in the same Group as the Member are registered at the relevant date.