Updated SIT1 functionality (annex to SIT Approach Document) request for SEC Panel approval

To: SEC Panel 2 nd Floor, Ibex House 42 47 Minories London EC3N 1DY 15 th July 2015 Dear colleague, Updated SIT1 functionality (annex to SIT Approach Document) request for SEC Panel approval Purpose This letter requests approval from the SEC Panel for the updated SIT1 functionality annex. Background DCC recently consulted 1 on changes to the Implementation Milestones which set targets for DCC to meet during the implementation phase. Implementation Milestone 8 is proposed to require DCC to demonstrate that it is ready for the start of SIT 2 by 1 st September 2015. The proposed criteria for Implementation Milestone 8 require DCC to develop an annex to the SIT Approach Document 3, which sets out the functionality to be tested in each release into SIT 4. The SIT functionality annexes must be approved for each release into SIT 30 working days prior to the commencement of that release into SIT. For the first release into SIT, this is 17 th July 2015. It was proposed that the functionality should be annexed to the SIT Approach Document because it sets out the manner in which it will be assured. The SIT Approach Document that was approved by the SEC Panel on 15 th May 2015 5 includes a placeholder for this annex. 1 Proposed changes to DCC s Implementation Milestones, accessible here: http://www.smartdcc.co.uk/consultations/dccconsultations/proposed-changes-to-dccs-implementation-milestones/ 2 SIT Systems Integration Testing 3 Approved SIT Approach Document, accessible here: http://www.smartdcc.co.uk/media/271758/dt.0033_system_integration_test_approach_v2.0.pdf 4 This was previously referred to as SIT phase, however we have now clarified the terminology to avoid any confusion with the term Test Phase 5 Approved SIT Approach Document, accessible here: http://www.smartdcc.co.uk/media/271758/dt.0033_system_integration_test_approach_v2.0.pdf DCC PUBLIC Page 1 of 10 Smart DCC Limited. Registered office: 17 Rochester Row, London, SW1P 1QT. Registered in England and Wales number 8641679

SIT1 functionality annex consultation On 26 th June 2015, we issued a consultation 6 seeking Registration Data Providers views on the proposed SIT1 functionality annex. That consultation closed on 3 rd July 2015. We consulted for a short period of time on the basis that the content of the annex would not impact the test approach itself and the inclusion of the annex would not affect the testing that RDPs would need to undertake. We received two responses to that consultation both of which had no comments on the proposed SIT1 functionality annex. In accordance with Section T2.8 of the SEC, copies of both of the responses are set out in Appendix B of this letter, and will also be published on the DCC website. We initially submitted the request for approval to SEC Panel on 7 th July 2015 and we understand that TAG reviewed the proposed annex. Following comments from SEC Panel on 9 th July 2015 7, we have included further detail in relation to the subsequent releases into SIT below: The second release into SIT is scheduled to commence in November 2015. That release into SIT will address most of the remaining scope of Systems Integration Testing. We plan to have consulted on and sought approval of the functionality to be tested, 30 working days before that release into SIT begins, in another annex to the SIT Approach Document The third release into SIT is scheduled to commence in January 2016 and will include a number of changes which are still to be impact assessed and agreed. We plan to have consulted on and sought approval of the functionality to be tested, 30 working days before that release into SIT begins, in another annex to the SIT Approach Document. In addition, we received some suggested clarifications from DECC 8 on 13 th July 2015 9. As a result of those suggestions we have made some amendments to further clarify the SIT1 functionality annex, they are: To clarify alignments to the SIT test baseline To correct a typographical error which stated that 39 of 112 Service Requests would be tested, which should have read 38 of 115 (this is explained below) To include a list of the Service Requests to be included in SIT1 To include a table of acronyms to aid the understanding of the annex. The number of Service Requests we originally consulted on reflected the Service Request list before it was updated in the March 2015 version of DUIS 10. In that version of DUIS, one Service request was made redundant (8.1.2) hence the number of Service Requests in the first release into SIT is actually 38 instead of 39. Furthermore another Service Request (8.14) was divided into four 6 SIT1 functionality consultation, accessible here: http://www.smartdcc.co.uk/consultations/dcc-consultations/sit-phase-1-functionality/ 7 Discussed at SEC Panel Meeting 22 on 9 th July 2015, meeting details accessible here: https://www.smartenergycodecompany.co.uk/meetings/meetings-calender/all-meetings/meeting-details?id=f7929fad-f26d-69b4-bb96- ff0000a6837f 8 DECC Department of Energy and Climate Change 9 Comments received in an email from DECC to DCC on 13 July 2015 at 10:49 which suggested that three clarification/revisions were made prior to submission, and because they are clarifications only DECC did not believe it would be necessary to re-consult RDPs 10 DUIS DCC User Interface Specification DCC PUBLIC Page 2 of 10 Smart DCC Limited. Registered office: 17 Rochester Row, London, SW1P 1QT. Registered in England and Wales number 8641679

separate Service Requests hence the total number of Service Requests for the entire SIT phase is in fact 115 instead of 112. Request for approval Following the results of the consultation, we do not propose to amend the SIT1 functionality annex further, although we have updated it for the clarifications points discussed above. We are now seeking approval from the SEC Panel on the SIT1 functionality annex, which is set out in Appendix A of this letter. Next steps Following SEC Panel approval we will incorporate the annex (in Appendix A) to the main SIT Approach Document and publish on the DCC website. We plan to consult on, and request the relevant SEC Panel approval for, the remaining functionality ahead of the start of each of the subsequent releases into SIT. Please accept my apologies for very tight timescales for approval and thank you for your willingness to consider this request in short order and ex-committee. If you have any questions in relation to this request for approval, please contact Ekta Sareen on ekta.sareen@smartdcc.co.uk. Yours sincerely, Paul Hawkins Regulation Director DCC PUBLIC Page 3 of 10 Smart DCC Limited. Registered office: 17 Rochester Row, London, SW1P 1QT. Registered in England and Wales number 8641679

APPENDIX A - 1.1 SIT1 test baseline Table 1 below, sets out the functionality to be tested in the first release into SIT (referred to as SIT1 ). The SIT test baseline should be aligned to SMETS v1.58 and CHTS v1.46 (which align to GBCS v0.8.1 (November 2014)). For DUIS we have stated alignment to SEC 4.1 directly as this was the version extant in March 2015 when DUIS v0.8.1 was issued is to test against GBCS v0.8.1 (November 2014) and DUIS 0.8.1 ((May 2015). Meter stubs will be used for SIT1 testing in addition to GBCS 0.8.1 compliant meters when available. The Service User Simulator is being used; there will be no involvement from prospective Users in SIT. Aim of release into SIT Functionality Technical readiness Link test of connection points between systems (DSP, CSP, TSP) Confirmation of load of registration data and test data check on all systems to ensure readiness for SIT start. Smoke test communication between the DSP and a CSP. Link testing of connections between DSP and: Service User Simulator, CSPs, TSP, DCC licensee. Mutual authentication will be tested using DCCKI signed certificates. Test of load of Registration data files generated from St Clements and Xoserve and sent by encrypted email to DSP. The file format and DSP loader functionality will be tested. Test of CSRs submitted by Service User Simulator to TSP and associated generation and issuing of device and organisational certificates. A sample service request will be processed during technical readiness to prove connectivity between the DSP and CSP. All required static test data will be checked in DSP, CSP TSP and Service User Simulator systems and confirmed ready to start SIT SIT1 Test the install and commission process. DSP (SIT1) 39 out of 112 38 out of 115 Service Requests and Service Request Variants. Please see below for a list of Service Requests included in SIT1 Installation and commission of CHF, ESME, GSME, GPF. DCC PUBLIC Page 4 of 10

Technical readiness SIT1 Limitations testing. File transport of registration files is via encrypted email and not using DUGN and file transfer protocols. DCCKI processes for submission and distribution of certificates will need to be manual and have yet to be agreed. ESI interfaces not available for technical readiness testing Only small Service Requests (no use of General Block Transfer (GBT) messages as defined by GBCS), for example update tariff not supported. Prepayment not supported. Update and management of security credentials not supported. Read/Delete schedules by device ID not supported. File transport of registration files is via encrypted email and not using DUGN and file transfer protocols. Table 1 - SIT1 functionality DCC PUBLIC Page 5 of 10

1.2 Service Requests included in SIT1 [new section] Service Request Service Request Variant Service Request Name Notes 1.1 1.1.1 Update Import Tariff Simple Gas Tariffs only in SIT1 - must fit inside small 1.2 1.2.1 Update Price Simple Gas Tariffs only in SIT1 - must fit inside small 1.5 1.5 Adjust Meter Balance 4.1 4.1.1 Read Instantaneous Import Registers 4.1 4.1.2 Read Instantaneous Import Registers (TOU) 4.1 4.1.3 Read Instantaneous Import Registers (TOU with blocks) 4.1 4.1.4 Read Instantaneous Import Registers (Blocks) 4.2 4.2 Read Instantaneous Export Registers 4.8 4.8.1 Read Profile Data (Active Import) Limited date/time range in SIT1 - must fit inside small 4.8 4.8.2 Read Profile Data (Reactive Import) Limited date/time range in SIT1 - must fit inside small 4.8 4.8.3 Read Profile Data(export) Limited date/time range in SIT1 - must fit inside small 4.11 4.11.1 Read Tariff Simple Gas Tariffs only in SIT1 - must fit inside small 4.16 4.16 Read Active Power Import 5.1 5.1 Create Schedule DCC PUBLIC Page 6 of 10

Service Request Service Request Variant Service Request Name Notes 5.2 5.2 Read Schedule 5.3 5.3 Delete Schedule 6.2 6.2.3 Read Device Configuration (Billing Calendar) 6.2 6.2.4 Read Device Configuration (CHF Identity, Identify exc MPxN) 6.2 6.2.7 Read Device Configuration (MPxN) 6.4 6.4.1 Update Device Configuration (Load Limiting General Settings) 6.4 6.4.2 Update Device Configuration (Load Limiting Counter Reset) 6.8 6.8 Update Device Configuration (Billing Calendar) 6.11 6.11 Synchronise Clock 6.13 6.13 Read Event or Security Log (CHF) 8.1 8.1.1 Commission Device (Time) 8.2 8.2 Read Inventory 8.3 8.3 Decommission Device 8.4 8.4 Update Inventory 8.7 8.7.2 Join Non-Critical (GSME-GPF) 8.8 8.8.2 Unjoin Non-Critical (GPF-GSME) 8.9 8.9 Read Device Log DCC PUBLIC Page 7 of 10

Service Request Service Request Variant Service Request Name Notes 8.11 8.11 Update HAN Device Log 9.1 9.1 Request Customer Identification Number 11.1 11.1 Update Firmware 11.2 11.2 Read Firmware Version 11.3 11.3 Activate Firmware 12.1 12.1 Request WAN Matrix 12.2 12.2 Device Pre-Notification 1.3 Acronyms [new section] Term Meaning CHF Communications Hub Function CSP DCC DCCKI DSP DUGN ESI ESME GPF Communications Service Provider Data Communications Company DCC Key Infrastructure Data Service Provider DCC User Gateway Network (also known as DCC Gateway) Enterprise Systems Interface Electricity Smart Metering Equipment Gas Proxy Function DCC PUBLIC Page 8 of 10

Term GSME SIT SIT1 Smoke Test TSP Meaning Gas Smart Metering Equipment Systems Integration Testing First release into Systems Integration Testing The Smoke Test consists of a series of tests to verify connectivity between the DSP system and CSP systems via the DUGN. A sample Service Request will be processed as part of Smoke Testing to prove connectivity between the DSP and CSP. Smoke Testing will highlight any serious connectivity issues between the DSP and CSP systems, for example as a result of network layer configuration failures or syntactically invalid data formats sent in messages between the two systems. Trusted Service Provider DCC PUBLIC Page 9 of 10

APPENDIX B CONSULTATION RESPONSES Consultation response from ENWL Sent: 29 June 2015 09:50 Subject: RE: Consultation on SIT1 functionality (annex to SIT Approach Document) Hi, We have no comments to make regarding this consultation. Kind Regards, The information contained in this email is intended only for the individual to whom it is addressed. It may contain legally privileged or confidential information or otherwise be exempt from disclosure. If you have received this message in error or there are any problems, please notify the sender immediately and delete the message from your computer. YOU MUST NOT use, disclose, copy or alter this message for any unauthorized purpose. Neither Electricity North West Limited nor any of its subsidiaries will be liable for any direct, special, indirect or consequential damages as a result of any virus being passed on, or arising from the alteration of the contents of this message by a third party. Electricity North West Limited 304 Bridgewater Place, Birchwood Park Warrington WA3 6XG, Registered in England and Wales Registration No 02366949 Consultation response from UKPN Sent: 30 June 2015 09:47 Subject: RE: Consultation on SIT1 functionality (annex to SIT Approach Document) Good morning Ekta Myself and Dean Kelshall have no comments to make on the table to be inserted into the SIT Approach document. It is as expected Kind regards This email and any attachments are strictly confidential and may contain legally privileged information. It is intended for the addressee(s) only. If you are not the intended recipient, please do not print, copy, store or act in reliance on the e-mail or any of its attachments. Instead, please notify the sender immediately and then delete the e-mail and any attachments. Unless expressly stated to the contrary, the opinions expressed in this e-mail are not necessarily the opinions of UK Power Networks Holdings Limited or those of its subsidiaries or affiliates (together Group Companies) and the Group Companies, their directors, officers and employees make no representation and accept no liability for the accuracy or completeness of this e-mail or its attachments. This e-mail has been scanned for malicious content but the Group Companies cannot accept any liability for the integrity of this message or its attachments. No employee or agent of the Group Companies is authorised to conclude any binding agreement on behalf of a Group Company or any related company by e-mail. All e-mails sent and received by any Group Company are monitored to ensure compliance with the Group Companies information security policy. Executable and script files are not permitted through the mail gateway of UK Power Networks Holdings Limited. The Group Companies do not accept or send emails above 30 Mb in size. UK Power Networks Holdings Limited Registered in England and Wales No. 7290590. Registered Office: Newington House, 237 Southwark Bridge Road, London SE1 6NP DCC PUBLIC Page 10 of 10