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SMICoP Audit Guidance The table below sets out the audit specification for each SMICoP clause as of January 2019. Please note that the audit is only to be conducted against the clauses, which have been classified as in scope. Out of scope clauses are not included the table below. Certain clauses in the SMICoP will only apply to micro business or domestic supplies (as set out in Appendix 1 of the SMICoP itself). Clauses that do not apply to both domestic micro business supplies have been highlighted in the table below. The SMICoP Auditor must ensure that the requirements of the SMICoP have been met with regards to each applicable SMICoP clause. The SMICoP audit is not intended to replicate the provisions of any other audit. Where proposals are received which overlap other industry audits, SMICoP Ltd reserves the right to amend the proposed process.

For the avoidance of doubt, the audit of clauses within Section B of the SMICoP should be limited to assessing whether the Supplier has systems and processes in place to meet the SMICoP requirements. The auditor is not required to confirm the accuracy of each Supplier's self-certification forms. Self-declaration forms or customer survey submissions.

SMICoP Clause

SMICoP Requirement Micro Business/Domestic

Approach and Methodology Types of evidence Comments

A1.1 A Member (as that term is defined in the Code) that –

(a) proposes or purports to meet the obligations imposed on it under Standard Licence Condition 41

and/or 42 of its Electricity Supply Licence and/or Standard Licence Condition 35 and/or 36 of its Gas Supply Licence through its compliance with the Code;

Both Visit to supplier and examination of documentation in place to confirm compliance

Date of submitted application to SMICoP Limited

System evidence of when threshold of 50,000 customers was reached.

(b) at any given time supplies either gas or electricity (or both) to more than 50,000 Customers (being Domestic Customers and/or Micro Business Customers); and

(c) is not a member of the Company,

must, by not later than 30 working days after the date on which it first satisfies the circumstances specified in paragraph (b), have made an application (pursuant to and in accordance with the Articles of Association) to become a member of the Company.

For the avoidance of doubt, where the Code uses the term ‘member of the Company’, the meaning given to the word ‘member’ in that term has the same meaning as given to “Member” in the Articles of Association (and not the term Member as defined in the Code).

A1.3 Third Parties

Where a Member contracts with a third party for the provision of installation services, the Member is responsible for ensuring compliance with all components of the Code.

Both Visit to supplier and examination of documentation in place to confirm compliance

Contract with third party, with clear reference to the Code

Minimum requirement should be the contract that is in place with the third party installer.

There is no difference in the standards and requirements applied to contracted third parties and their employees from those applied to a Member and its employees.

A2.0 PRE-INSTALLATION The purpose of this section is to ensure Suppliers take measures to raise awareness to customers that their meter will be replaced with a Smart Meter, and that the visit will be undertaken in accordance with the SMICoP, that they have suitably trained and accredited staff and that they offer suitable appointments to meet variety of customer needs

A2.3.1 Promoting the Code

It is each Member’s responsibility to ensure that;

2.3.1.Prior to or during the Installation Visit, all reasonable endeavours should be used to inform the Customer (by whatever means deemed appropriate) that the Member is a signatory to the Code and what this means

Both Visit to supplier and examination of documentation in place to confirm compliance.

Communication to a customer indicating that the member is a signatory to the code and what this means.

A record to indicate when the communication occurred.

Communication could take the form of literature, phone call etc.

A copy of the script used on the call is deemed to be sufficient evidence.

A2.3.2 Promoting the Code


2.3.2. Relevant smart metering related literature states that the Member is a signatory to the Code.

Both Covered elsewhere A2 3.1

A2.4.1 Engagement and Customer Awareness

It is each Member’s responsibility to ensure that their communication materials regarding Smart Metering System installations and energy efficiency goods and services;

2.4.1.Complement any Programme provided consumer engagement material;

Both Visit to supplier and interview with management to determine how the relevant documentation complements each other.

Management verbal assurance supported by presentation of relevant documentation.

Internal policy to be reviewed (if exists).

Judgement will be made based upon management representation.

A2.4.2 It is each Member’s responsibility to ensure that their communication

Both Visit to supplier and examination of documentation in place to

Example of communication issued to

Compliance will be based upon auditor's objective view

materials regarding Smart Metering System installations and energy efficiency goods and services;

2.4.2.Are clear, concise and drafted in a way that it is reasonably expected that they will be understood by the Customer.

determine compliance. customers.

Review of marketing communications process to ensure tone is reviewed prior to publication.

over documentation.

This is subjective but will be based on whether auditor deems communication is easy to understand, e.g. avoid jargon, abbreviations and complex words.

A2.4.3.1 It is each Member’s responsibility to ensure that their communication materials regarding Smart Metering System installations and energy efficiency goods and services;

2.4.3.Are made available to the Customer in a variety of media and in a format appropriate to or tailored for;

2.4.3.1.Groups with specific needs – such as the visually impaired, hearing impaired, and those with low levels of literacy;

Both Visit to supplier and interview with management to determine the various media used, including how groups with special needs are catered for.

Example of communication issued to customerse.g. braille, large print, audio CD.

Best practice would be to see a see a specific instance of communication to a customer.

Will not always be possible; where not all customers will have specific needs.

A2.4.3.2 It is each Member’s responsibility to ensure that their communication materials regarding Smart Metering System installations and energy efficiency goods and services;

2.4.3. Are made available to the Customer in a variety of media and in a format appropriate to or tailored for;

2.4.3.2. Vulnerable Customers;

Domestic Only

Visit to supplier and interview with management to determine the various media used, including how vulnerable customers are catered for.

As per A2.4.3.1 As per A2.4.3.1

A2.4.4 It is each Member’s responsibility to ensure that their communication materials regarding Smart Metering System installations and energy efficiency goods and services;

2.4.4.Alert the Customer to the benefits smart metering can bring, for example, an improved understanding of energy consumption, bills for actual consumption rather than estimated, information and advice about their Smart Metering System and how they can use it to improve their energy efficiency, and the availability and range of energy efficiency goods and services available;

Both Visit to supplier and review of process/policy in place and training materials.

Communication materials provided to customer; review whether benefits are mentioned.

Internal documentation, e.g. phone script, customer ‘leave behinds’.

A2.4.5 It is each Member’s responsibility to ensure that their communication materials regarding Smart Metering System installations and energy efficiency goods and services;

2.4.5.Point the Customer to sources from which they may obtain additional and impartial information or assistance about improving the efficiency with which they use the electricity and/or gas supplied to them, for example, generic information about the Green Deal programme;

Both Visit to supplier and review of process/policy in place and training materials.

A2.4.4Ensure that 3rd party websites / phone numbers are referenced in the communications provided to customers.

A2.4.6 It is each Member’s responsibility to ensure that their communication materials regarding Smart Metering

Both Visit to supplier and interview with management to determine how the relevant documentation is updated

Management verbal assurance supported by presentation of relevant

To confirm timeliness and frequency of updating documentation, is likely to be

System installations and energy efficiency goods and services;

2.4.6.Are updated regularly and in a timely way;

and the frequency. documentation, e.g. periodic update policy of communications provided to customers.

Procedural document which sets out how updates are ensured.

subjective, hence judgement will be made based upon management representation.

Talk through how the communication material is updated and the process in place.

A2.4.7 In addition;2.4.7.Members should use all reasonable endeavours in communicating with the Customer for whom English is not their first language;

Both Visit to supplier and interview with management to determine the various media used, including communicating with customers for who English is not their first language.

Example communication issued to customers, e.g. reference to translation services.

SGB recommendation is 6/7 languages (as a benchmark – not pass or fail based on this number).

A record of all employees with language skills to call upon if required.

Review and document the process around translation services offered (whether written or verbal communication).

Minimum expectation for English and Welsh.

A2.4.8 2.4.8.All interactions with the Customer in relation to the Installation Visit (verbal or written) should follow the principles as set out in this section and complement the principles of the Code; and

Both Visit to supplier and interview with management to determine the various media used follow the principles as set out in the code.

Representation from management.

Installation visit procedures, including communications to ensure they complement the Code.

Evidence obtained from other areas.

A2.4.9 2.4.9.All reasonable endeavours should be used to provide the

Both Visit to supplier and interview with management to determine the

Review of the process in place to issue guidance to

To be traced as part of sample testing (random

Customer with a copy of the Data Guide or make the Customer aware of the Data Guide commitments prior to the Installation Visit.

process. customer. sample of 50 installations).

Any form of communication (email / phone script / written material).

Review how the data guide is provided to the customer, assess appropriateness (e.g. a website link may not be appropriate for vulnerable customers).

Ensure the data guide is referenced / provided as part of the pre-installation communications.

A2.5 Recruitment

A2.5.1 Only suitable individuals are engaged as Installers;

2.5.2.Qualifications and experience are validated;

2.5.3.Suitable registration is verified with the Gas Safe Register in terms of work on gas meters;

2.5.4.All reasonable endeavours are taken to obtain information about the individual’s previous relevant employment;

2.5.5. For England and Wales, a Disclosure and Barring Service check

Both Visit to supplier and an examination of documentation in place to confirm compliance.

Evidence for recruitment process for installers e.g. include DBS checks, etc., or prescribed requirements agreed to within contract for third party installers.

- Gas safe certificates / other confirmation

- Whether references are obtained for new employees

- DBS checks- Leavers process to

ensure that installers

Sample of 10 installers to be chosen at random and tested to ensure:- general training record- gas safe certificate in place

(as appropriate)- data protection training- vulnerability training- ID check on file- If a leaver, the leaver form /

process has been followed and can be evidenced.

is carried out for all new Installers recruited, and the results of the Disclosure and Barring Service check are appropriately factored in to the recruitment decision. For Scotland, a Disclosure Scotland check is carried out for all new Installers recruited, and the results of the Disclosure Scotland check are appropriately factored into the recruitment decision; and

2.5.6. When an Installer leaves their employment, Members must ensure IDs and any other branded materials related to the role are returned to the Member, and if appropriate, duly destroyed.

return equipment

A2.6 Training and Accreditation

A2.6.1 Installers receive appropriate training so they are able to deliver the requirements in the Code section 3.0.Installation Visit;


Training records, training materials, i.e. specific training on SMICoP considerations in Section 3.0.

Requirements set out in contract with installers if using a third party.

See A2.5.1 above – sample of 10 installers to be checked at random.

A2.6.2 Before being permitted to install Smart Metering Systems, Installers have received training at a level appropriate to the installation (taking into account the knowledge and skills


Installer evidence such as training records, accreditation, qualifications, are up to date and being checked


necessary to fulfil the role), including, in the case of installations for Domestic Customers, training and accreditation from a National Skills Academy for Power accredited provider or equivalent training and accreditation. An exception is installations that are for training purposes that are supervised by an appropriately qualified Installer ;Installers engaged to undertake gas meter work are appropriately registered with Gas Safe Register;

by supplier.

Requirements set out in contract with installers using a third party.

A2.6.3 Installers engaged to undertake gas meter work are appropriately registered with Gas Safe Register;


Internal engineers – ensure gas safe register is checked periodicallyRequirements set out in contract with installers using a third party.


A2.6.4 Installers are competent in addressing Customer queries and/or can refer them to an appropriate contact;


Complaint procedures left with customers.

Coverage within training materials. Records kept of all trained installers.

A2.6.5 Installers are trained and competent to provide Energy Efficiency Guidance that is appropriate to the


Coverage within training materials and with communication materials

Customer’s needs; provided to customers.

Records kept of all trained installers.

A2.6.6 Installers have a basic knowledge and understanding (appropriate to their role) of data protection and privacy;


Coverage within training materials.

Records kept of all trained installers – e.g. signed acknowledgement of GDPR policy.


A2.6.7 Their training materials and standards take into account changes in the market and to goods/services, legislation and regulation; and

Both Visit to supplier to gain an understanding of the process and policies in place.

Review of policies and procedures in place – ensure there is a policy for regular updates.

A2.6.8 Installers receive training that would enable them to have an understanding of the definition of vulnerability, are able to identify potential cases of vulnerability, and any guidance offered is responsive to the needs of Vulnerable Customers (e.g. Priority Services Register).

Domestic Only

Visit to supplier and an examination of documentation in place to confirm compliance.

Coverage within training materials (ideally, specific vulnerability training).

Records kept of all trained installers.


A2.7 Scheduling Visits ALL ITEMS IN THIS SECTION WILL BE TRACED FOR COMPLIANCE FOR 50 INSTALLATIONS SAMPLED AT RANDOM

A2.7.1 The Customer receives notification prior to the Installation Visit (by whatever method the Member deems most appropriate) that their


Database which includes a record of all customers, including dates of notification.

Verbal agreement to appointments acceptable.As is online scheduling.

meter(s) is due to be replaced with a Smart Metering System, and when the Member anticipates this will happen;

Visual observation over database or system used for scheduling installations.

Template communications sent to customers, including details on the installation for arranging visits or see the online system and gain an understanding of how the process works.

Need to get an understanding of the process, phone scripts and see "documentation" of how visits are schedules for the sample of 50 tested.

A2.7.2 The Customer is provided with the relevant contact details to arrange an Installation Visit

Both Visit to supplier and interview with management to determine how customers are informed of contact details.


Template communications sent to customers for arranging visits include website link / email / phone number.

See A2.7.1 above.

A2.7.3 The Domestic Customer is advised in advance of the Installation Visit that they will not be charged an upfront or one-off charge for the supply and installation of the Smart Metering System8;

Domestic Only


Template communications sent to customers for arranging visits, explicitly stating that this will be free.

See A2.7.1 above.

A2.7.4 For Micro Business Customers, where there is a charge for the Smart Metering System and installation, the Customer is advised prior to the Installation Visit;

Micro Business Only


Template communications sent to customers for arranging visits, explicitly stating that there will be a charge.

See A2.7.1 above.

A2.7.5 Where an Installation Appointment has been agreed with the Customer, the date and time band are confirmed with the Customer, by any appropriate media prior to the Installation Visit;



Database which includes a record of all customers, including agreed for visit.

Template communications which explicitly state the time and date.

Method of confirmation is flexible when looking for evidence.

A2.7.6 When scheduling an Installation Visit, the Member will accommodate reasonable Customer requirements, e.g. any arising from specific cultural traditions or religious beliefs, the needs of Vulnerable Customers, the needs of Domestic residents at a Micro Business supply point, the needs of Protected Micro Business sites, or any operational business needs of a Micro Business Customer;

Both Visit to supplier and interview with management to determine how customer requirements are catered for.


Database which includes a record of all customers, including where vulnerable customers and relevant considerations (e.g. take shoes off, speak louder if customer is deaf) are identified.

Evidence within the engineer’s handheld to confirm that the engineer is made aware of such instances.

Review of policies and the process in place to identify vulnerable customers.

If no vulnerable customers in sample of 50 then not a fail.

A2.7.7 Where possible, the Customer is notified in advance as to how many Personnel will attend the Installation Visit, if a third party organisation is being used, and the name of the organisation;


Template communications sent to customers for arranging visits, call script, internal process flow to notify of this.

Any form of media.

A2.7.8 If the first appointment offered for an Installation Visit is inconvenient, the Customer is made aware of the range of Installation Appointment

Both Visit to supplier and interview with management to determine how scheduling is undertaken

Customer database for scheduling installations and possibility to reschedule as necessary.

Any form of media.

time bands that the individual Member operates and that are available to the Customer;


A2.7.9 If the Customer requests to cancel or reschedule an Installation Visit, that is accommodated (in line with existing policies and processes);

Both Visit to supplier and interview with management to determine how re-scheduling is undertaken.


Database which includes a record of all customers and details for scheduling and cancelling installations.

Any form of media.

A2.7.10 The Customer is informed about their rights in relation to the Installation appointment, where relevant ;


Template communications sent to customers for arranging visits, including such rights as: the right to refuse the installation and that it is free.

Look at process in place in absence of actual instance of this.

A2.7.11 Where appropriate, the Customer is alerted to the Member’s password scheme, for example PSR (Priority Service Register) Customers or other circumstances where it appears appropriate;

Domestic Only


Template communications sent to customers for arranging visits.

Call scripts demonstrating the PSR.

Database which includes a record of all customers and details for scheduling installations.

Evidence within the handhelds used by engineers to show use of

Look at internal training process and scripts for compliance with this item of the code.

the PSR in practice.

A2.7.12 Their communications regarding the Installation Visit should clearly explain to the Customer what the Installation Visit will entail; the need for the Customer to be at the premises, an indication as to how long a typical Installation Visit takes, that safe access, working conditions, and access to the meter will be required, that the gas and/or electricity supply will be shut off, that the operation of the Smart Metering System will be demonstrated, and that Energy Efficiency Guidance will be offered;


Template communications sent to customers for arranging visits, ensuring the visit is explained in clear terms, and what the impact on the customer will be.

A2.7.13 Where both fuels are supplied by one company, all reasonable endeavours shall be made to exchange both meters at the same Installation Visit. In instances where this may not be possible, the Member will provide an explanation to the Customer and advise what will happen;



Review process in place and policies around dual installations at the same time.

A2.7.14 At sites where different energy providers supply the electricity and gas, the Member will advise the Customer that the installation of the Smart Metering System may be undertaken on two separate Installation Visits, which meter they are replacing and that the individual Suppliers will make their own contact arrangements;


Template communications sent to customers for arranging visits, specifying the different energy provider aspect.

Review training, process and scripts in place and policies

A2.7.15 For an Installation Visit that is being Both Visit to supplier and an examination Template Review process in place and

scheduled for housing that is known to be sheltered accommodation, approval should be gained from the warden, or other person in authority before making approaches to the residents; and

of documentation in place to confirm compliance.


communications sent to customers for arranging visits.

Database which includes a record of all customers and details for scheduling installations and recording such details.

policies.

Communication around this is often generic "is there anything we should be aware of as part of installation"


A2.7.16.1

2.7.16.When arranging an appointment for an Installation Visit, all reasonable endeavours will be used (by checking records and through discussion with the Customer), to identify whether the Customer;

2.7.16.1. has specific needs –such as the visually impaired, hearing impaired, and those with low levels of literacy;






Review training, process and scripts in place and policies.

A2.7.16.2

2.7.16.When arranging an appointment for an Installation Visit, all reasonable endeavours will be used (by checking records and

Domestic Only



Review training, process, scripts in place and policies.

through discussion with the Customer), to identify whether the Customer;

2.7.16.2.Is known to be Vulnerable;

2.7.16.2.1. Where it is identified that the Customer is Vulnerable and that has not previously been recorded, it is to be notified to the appropriate Member Personnel to be recorded; and

2.7.16.2.2. Where appropriate, the Installation appointment should be arranged with the carer or the person with legal responsibility over the Customer, and they should be present during the Installation Visit (if required or requested by the Customer).



A3 INSTALLATION VISIT The purpose of this section is to ensure that Suppliers carry out installations in a professional manner with the aim of providing a positive customer experience and it details the activities Suppliers must carry out during an installation visit and activities that are not allowed. Activities should be tailored to meet a variety of Customer needs. POTENTIAL FOR EVIDENCE FROM CUSTOMER SURVEYS TO BE USED TO ILLUSTRATE THESE POINTS, BUT HAS NOT BEEN MADE PART OF THE "MINIMUM REQUIREMENTS" AS NOT ALWAYS AVAILABLE

A3.3 General Principles

A3.3.1 The Installer maintains a suitable standard of presentation when attending the Customer premises, for example is suitably attired;

Both Visit to supplier and discussion around processes and policies.

Review of company policy, code of conduct, third party contracts setting out requirements, training and processes in place, communication materials, and internal quality assurance process in place.

A3.3.2 The Installer is courteous and professional;

Both As per A3.3.1 As per A3.3.1As per A3.3.1

In addition, consideration of records, scripts in place.

A3.3.3 On attending the Customer premises, the Installer identifies themselves, the Member they represent, and states the purpose of the visit. The Installer will show a valid identity card which clearly displays the Member or Member’s third party name, contact phone number, and the Installer’s name and photograph;

Both As per A3.3.1 As per A3.3.1 In addition, consideration of records, scripts in place.

A3.3.3.1 The Customer is able to check the validity of the identity card with the Member;

Both As per A3.3.1 As per A3.3.1

A3.3.3.2 Where the Member operates a password scheme, the Installer will

Domestic Only

As per A3.3.1 As per A3.3.1 In addition, consideration of records, scripts in place.

use the password when one has been requested by the Customer;


A3.3.3.3 The Installer carries the Gas Safe Registration ID Card when undertaking work on gas Smart Metering System installations;


A3.3.3.4 On occasions where more than one person attends the Installation Visit, e.g. with a mentor/trainee/auditor, all Personnel are to present a valid identity card and each person's role is clearly explained to the Customer;


A3.3.4.A A site inspection is undertaken before commencing any work at the Installation Visit and the Customer is advised that the inspection will take place;


A3.3.5 The Customer premises is left in a similar state “as found” as far as is reasonably possible;


A3.3.6 Ahead of any work starting, if the proposed meter location or configuration is different from existing, the Installer will discuss with the Customer where the meter and communications module can be installed. Work is not to commence without the Customer’s agreement;

Both As per A3.3.1 Process note, verbal confirmation with management.

In addition, consideration of records of inspections.

A3.3.7 A record is maintained of which Installer visited the Customer;

Both Visit to supplier and examination of documentation in place.

Visual observation over database or

Database reviewed which includes a record of which engineer performed the

system used for scheduling installations

installation.

A3.3.8 Processes are maintained for managing abortive or no access Installation Visits, so that the Customer can be made aware that the Installation Visit has failed, the reasons for the failure, what happens next, and what action(s) the Customer can take;


‘Leave behind’ cards such as: No access cards, abort cards, including what steps the customer must take.

Abort process

In addition, consideration of training, processes, scripts and policies in place.

A3.3.9 No aspect of the Smart Metering System installation is undertaken (at an occupied premises) on occasions when the Customer is not in attendance, except for situations where work can/needs to be carried out without the Customer being present, for example; the replacement of tampered meters;


A3.3.10 Where meters are to be installed in sheltered housing (where it is known), approval should be gained from the warden, or other person in authority before making approaches to the residents;


A3.3.11 On occasions where the Customer has requested or requires a carer or other adult who has legal responsibility over them to be present, and they are not, no aspect of the Smart Metering System installation is to be undertaken;


A3.3.12 Where potential cases of Domestic As per A3.3.1 As per A3.3.1 In addition, consideration of

vulnerability are identified during the Installation Visit, they are to be reported to the appropriate Member Personnel;

OnlyIn addition, request process details of how records and maintained.

training, processes, scripts and policies in place.

A3.3.13 When undertaking an installation for a Micro Business Customer that will impact the supply and the resident present has specific needs or, is identified as Vulnerable, the Member will use all reasonable endeavours to minimise the impact on the resident;

Both As per A3.3.1 As per A3.3.1 In addition, consideration of training, processes, scripts and policies in place.

A3.3.14 Taking account of the circumstances of the installation, the Installer gives the Customer guidance on electrical safety, for example not storing objects too close to the meter ;


Leave behind, including electrical safety tips.


A3.3.15 Taking account of the circumstances of the installation, for gas Smart Metering Systems Installation Visits, the Installer informs the Customer about the dangers of carbon monoxide (CO) and the need to regularly have all gas appliances serviced and checked by a Gas Safe Registered engineer;


Leave behind, including gas safety tips.


A3.3.16 The Customer is made aware of who to contact after the Installation Visit for further information in relation to the Smart Metering System for support, query resolution, or to provide feedback (verbally or in writing), and non-premium rate helpline numbers are provided; and


Leave behind, including contact details such as email and phone number.


A3.3.17 The Customer is made aware of any Both As per A3.3.1 As per A3.3.1

additional sources of help and information, including from independent and impartial sources, help-lines, websites and other appropriate organisations able to offer assistance. This could include any centrally co-ordinated consumer engagement programme (related to smart metering or energy efficiency information, goods and services).

Leave behind, including impartial sources of where to get further information.

A3.4 Testing the System

It is each Member’s responsibility to take appropriate steps to ensure the full Smart Metering System is operating correctly, including WAN, HAN and IHD (if provided).


Installation process note.

A3.5.1 In Home Display (IHD)


3.5.1.An IHD is offered at the Installation Visit and if accepted, installed in an appropriate location and set up as far as practicable to meet the needs of the household e.g. tariff and payment type;

Domestic Only





Customer database should show this.

In addition, consideration of records, scripts in place.

3.5.2.Instances are recorded where the Customer has opted not to take an IHD, and where provided;

Evidence within the engineer’s handheld to confirm that the engineer is able to make a record.



3.5.3. The IHD is suitably located to accommodate the Customer with specific needs, e.g. mobility problems.


A3.6 Demonstrating the System to the Customer

A3.6.1 Use of the Smart Metering System is demonstrated to the Customer in a clear and accurate manner, and is easy to understand, including what information is available from the Smart Metering System, how this can be accessed, and use of the IHD (where provided);


Leave behind / user guide – instructs the customer how to use it.

In addition, consideration of scripts in place.

A3.6.2 Where a Smart Metering System is to be operated in Prepayment mode, the Customer is provided with a demonstration of the Prepayment functions – including, where appropriate, tariff detail, debt screens, releasing emergency credit and re-enabling supply, and guidance (with demonstrations where

Both As per A3.3.1 As per A3.3.1, A3.6.1 In addition, consideration of scripts in place.

As per A3.3.12

possible) on getting credit and the topping up process;

A3.6.3 Instructions in a written or other suitable material format, on how to use the Smart Metering System and IHD (if provided), are left with, or sent to the Customer;

Both As per A3.3.1 User guide in different formats.

A3.6.4.1 When demonstrating the Smart Metering System to a Customer, the demonstration is informed by;

3.6.4.1. Any specific needs – such as the visually impaired, hearing impaired, and those with low levels of literacy;


To confirm policy covers specific needs.

A3.6.4.2 When demonstrating the Smart Metering System to a Customer, the demonstration is informed by;

3.6.4.2.Any known Vulnerability;

Domestic Only


A3.6.5 If the Customer requires or has requested someone to be present at the Installation Visit, for example, if the Customer is known to be Vulnerable or with specific needs, that person is included in the Smart Metering System demonstration; and


A3.6.6.1 Any information provided is available in a variety of media and in a format appropriate to or tailored for;

3.6.6.1 Groups with specific needs – such as the visually impaired, hearing impaired, and those with low levels


To confirm communication materials covers specific needs.

of literacy;

A3.6.6.2 Any information provided is available in a variety of media and in a format appropriate to or tailored for;

3.6.6.2. Vulnerable Customers.

Domestic Only

As per A3.3.1 To confirm communication materials covers specific needs.

A3.7 Provision of Energy Efficiency Guidance

A3.7.1 Energy Efficiency Guidance is offered to the Domestic Customer at the Installation Visit;

Domestic Only

As per A3.3.1 As per A3.3.1

User guide, leave behind.

In addition, consideration of records.

A3.7.2 Energy Efficiency Guidance is offered to a Micro-Business Customer at a time appropriate to their needs, whether before, during, or after the Installation Visit;

Micro Business Only

As per A3.3.1 As per A3.3.1

User guide, leave behind.

In addition, consideration of records.

A3.7.3 The Energy Efficiency Guidance provides the Customer with information and advice about their Smart Metering System and how they can use their Smart Metering System to improve their energy efficiency. The Customer is also directed to additional, impartial sources of information that might, for example, include generic information about the Green Deal programme and the Energy Company Obligation (ECO);


User guide, leave behind, specifically on the energy efficiency benefits of smart metering.

A3.7.4 Energy Efficiency Guidance offered to the Customer complements any centrally co-ordinated consumer


Verbal confirmation from

engagement campaign; management on any other initiative that the organisation offers, and to evidence that this complements smart meters.

A3.7.5.1 Energy Efficiency Guidance and materials are provided in a format that is suitable for the needs of the Customer that;

3.7.5.1 Has specific needs – such as the visually impaired, hearing impaired, and those with low levels of literacy;

Both Covered elsewhere As per A3.3.1

To confirm communication materials specifically covers specific needs as examples detail.

A3.7.5.2 Energy Efficiency Guidance and materials are provided in a format that is suitable for the needs of the Customer that;

3.7.5.2.Is known to be Vulnerable;

Domestic Only

As per A3.3.1 As per A3.3.1 In addition, consideration of records.

A3.7.6 Where possible, when giving Energy Efficiency Guidance to a Vulnerable Customer or a Customer with specific needs, appropriate steps are taken to ensure a carer or the person with legal responsibility over the Customer is present (if required or requested by the Customer);

Both As per A3.3.1 As per A3.3.1 In addition, consideration of records.

A3.7.7 Where the Customer requests energy efficiency information over and above the Energy Efficiency Guidance provided at the Installation Visit, the

Both Visit to supplier and review of process/policy in place.

As per A3.3.1

Example communication materials issued to

Customer is given appropriate details of where and how they can obtain tailored or suitable advice; and;

customers including further sources for information.

A3.7.8 Where the Customer requests Energy Efficiency Guidance to be given at a later date, the Member records this and follows it up as appropriate.

Both Visit to supplier and review of process/policy in place.

Check with database or system used for scheduling installations for customer details.

Information provided by installer post visit.


Process note for following up request for further, later information.

A3.8 Marketing ALL OF THESE ARE N/A WHERE NO MARKETING IS OFFERED DURING SITE VISITS

A3.8.1 Consent must be obtained from the Customer prior to the Installation Visit (for chargeable goods and services only). Consent can be secured by any appropriate, recordable method that allows a freely given and specific indication of the Customer’s wishes, e.g. by telephone, text, in writing, or electronically (web-form or email).

Domestic Only

Visit to supplier and examination of documentation in place to confirm consent.

Check with database or system used for scheduling installations for customer confirmation.

Review of database which includes a record of all customers and details of consent given for marketing.

Review of policy/process.

A3.8.2 The Marketing discussion is ended immediately at the Customer’s request or if the Customer indicates

Both Visit to supplier and review of process/policy in place and training materials used for marketing staff.

Records held of marketing activity.

that it is inconvenient, unwelcome or inappropriate; Documentation should include

records of customers contacted and the outcome.

Records of complaints.

A3.8.3 When obtaining prior consent from a Domestic Customer to engage in Marketing at the Installation Visit, the Member must specify the type of goods and services that may be discussed during such Marketing;

Both Visit to supplier and review of process/policy in place and training materials used for marketing staff.

Documentation should include training materials and guidance issued to operatives involved in marketing activities.

Training materials and guidance issued to operatives involved in marketing activities.

A3.8.4 Marketing is conducted in a fair, transparent, appropriate and professional manner;

Both Covered elsewhere A3.8.2 and 8.3

A3.8.5 The Customer’s inexperience, vulnerability, credulity or loyalties are not exploited;


A3.8.6 No high pressure tactics are used; Both Covered elsewhere A3.8.2 and 8.3

A3.8.7 Details of the goods or services offered are accurately presented and the benefits are not over stated, including any possible constraints on Interoperability;


A3.8.8 Credible information is provided (drawn from relevant evidence) of performance of energy efficiency goods or services;


A3.8.9 Marketing support materials do not give false or misleading information;


A3.8.10 It is explained to the Customer that only the goods and services available from (or through) the Member are


being offered, and that others are available; and

A3.8.11 For a Customer that wants to know more about a Member’s propositions, but has not given prior consent for Marketing at the Installation Visit, the Member can;3.8.11.1. Leave the Customer with written information, so that they can initiate further contact with the Member; and

3.8.11.2.Agree that the Member will contact the Customer at a future date to follow-up the discussion15;

Domestic Only

Covered elsewhere A3.8.2 and 8.3

A3.8.12 Referrals should be followed up after a minimum period of two working days (unless the Customer requests earlier action), allowing the Customer time to explore alternatives and compare the prices they are being offered.


A3.9 Sales

A3.9 For a Domestic Customer, no Sales transactions are to be concluded at the Installation Visit.

Domestic Only

Visit to supplier and review of process/policy in place and training materials used.

Contract with installers with clear reference for a Domestic Customer, no Sales transactions are to be concluded at the Installation Visit.

A3.9.1 For Members engaging in Sales Micro Visit to supplier and review of Example communication

transactions (Micro Business Customers only) at the Installation Visit, they must ensure that;

The key terms and conditions of any agreement or contract are explained, including the Customer’s right to cancel the contract and the period within which this can be done without penalty;

Business Only

process/policy in place and training materials used.

materials issued to customers.

A3.9.2 For Members engaging in Sales transactions (Micro Business Customers only) at the Installation Visit, they must ensure that;

Sales are conducted in a fair, transparent, appropriate and professional manner;

Micro Business Only


Example communication materials issued to customers.


A Customer’s inexperience, vulnerability, credulity or loyalties are not exploited;

Micro Business Only

Visit to supplier and discuss with management the processes in place to ensure that for staff/contractors engaging in sales transactions (Micro Business Customers only) at the Installation Visit, how they ensure that a customer’s inexperience, vulnerability, credulity or loyalties are not exploited.

Review to determine extent of complaints received in relation to inappropriate sales tactics.

Management verbal assurances.

Review of complaints data.

A3.9.4 For Members engaging in Sales transactions (Micro Business Customers only) at the Installation

Micro Business Only

Visit to supplier and discuss with management the processes in place to ensure that for staff/contractors


Visit, they must ensure that;

No high pressure tactics are used;

engaging in sales transactions (Micro Business Customers only) at the Installation Visit, how they ensure that no high pressure tactics are used.




The discussion is ended immediately at the Customer’s request or if the Customer clearly indicates that contact is inconvenient, unwelcome or inappropriate;

Micro Business Only

Visit to supplier and discuss with management the processes in place to ensure that for staff/contractors engaging in sales transactions (Micro Business Customers only) at the Installation Visit, how they ensure that the discussion is ended immediately at the Customer’s request or if the Customer clearly indicates that contact is inconvenient, unwelcome or inappropriate.





It is explained to the Customer that only the goods and services available from (or through) the Member are being offered, and that others are

Micro Business Only



available;A3.9.7 For Members engaging in Sales

transactions (Micro Business Customers only) at the Installation Visit, they must ensure that;

Details of the goods or services offered are accurately presented and the benefits are not over stated, including any possible constraints on Interoperability;

Micro Business Only

Visit to supplier and discuss with management the processes in place to ensure that for staff/contractors engaging in sales transactions (Micro Business Customers only) at the Installation Visit, how they ensure that details of the goods or services offered are accurately presented and the benefits are not over stated, including any possible constraints on Interoperability.

Review to determine extent of complaints received in relation to inaccurate presentation of details.

Management verbal assurances plus Example communication materials issued to customers.



A credible written estimate is provided (drawn from relevant evidence) of performance of energy efficiency goods or services; and

Micro Business Only




Sales support materials must not give false or misleading information.

Micro Business Only



A3.10 Incomplete Installations

For an installation that cannot be

Both Visit to supplier and review of process/policy in place and training materials used.


Look for incomplete installations as art of ample testing of 50 installations and

commenced or completed during the Installation Visit, it is each Member’s responsibility to ensure that;

3.10.1.The Customer is made aware of the reason(s) the installation could not be completed, for example if the site inspection highlighted areas for concern;

3.10.2.The site is left in a safe state before departing; and

3.10.3. They have processes in place for re-arranging the Installation Visit.

Check with database or system used for scheduling installations for customer confirmation.

Confirm the reason for the incomplete installation.


Abort leave behind cards.

how this was resolved (see history of the installation).

A4 POST INSTALLATION The purpose of this section is to ensure that Suppliers provide Customers with the opportunity to feedback on their installation experience.

A4.2.1 Customer Feedback


4.2.1. The Customer has the means available for providing feedback on their experience of the Installation Visit. This could for example, be in the form of an addressed and franked feedback card, via a website, or verbally; and


Review of governance process, including frequency of meetings, oversight bodies, etc.

Look at the process and mechanisms for feedback.

Policy in place.

Contact details on leave behinds / other customer communications.

A4.2.2 4.2.2. This information is taken into account for future Installation Visits and, where appropriate, adjustments are made to Member policies and processes.

Both Covered elsewhere A4.2.1

Process of continuous development based on feedback received.

A5 FAULT RESOLUTION The purpose of this section is to ensure Suppliers keep Customers informed where there are any faults to the Smart Metering System identified during the installation and that Customers are provided with contact details if they identify a fault post installation.

A5.1.1 Procedures for Handling Faults


5.1.1.If a fault is identified with the Smart Metering System during the Installation Visit, the Customer is made aware of the problem, what the resolution is likely to be, who will be resolving the fault, and the approximate timescales of the resolution;


Review of customer database to determine time taken between initial visit to follow up.



Training of engineers to identify and explain faults.

A5.1.2 5.1.2.The Customer is provided with contact details for additional information related to the Smart Metering System fault, for example should they wish to check progress;

Both Covered elsewhere Leave behind contact details.

A5.1.3 5.1.3.It is made clear to the Customer that they will not be charged for rectifying the Smart Metering System fault;

Both Covered elsewhere A5.1.1 – company policy, training materials.

A5.1.4 5.1.4.Information is provided as to who the Customer is to contact if they identify a fault with the Smart Metering System;

Both Covered elsewhere A5.1.1 – leave behind contact details.

A5.1.5 5.1.5.If the IHD, if provided, is found to be faulty within 12 months of Installation, the IHD is either repaired or replaced16; and


Records maintained of faulty IHDs, including details/dates of repairs and replacement activity.

Review of records to determine if faulty IHDs are repaired or replaced within 12 months.

Process note.

A5.1.6 5.1.6. The Customer is informed about their rights in relation to components of the Smart Metering System that are identified to be faulty.

Both Covered elsewhere A5.1.1 – i.e. not going to be charged for it.

A6.0 COMPLAINT RESOLUTION The purpose of this section is to ensure that Suppliers deliver a robust complaints handling procedure.

A6.2.1 Procedures for Resolving Complaints

The Customer should have clarity as to whom to go to if they have queries or problems and where they can get redress. It is each Member’s responsibility to ensure that;

6.2.1.Complaint handling and redress systems with appropriately trained staff are put in place ahead of the mass rollout of smart meters;


Review of complaints process to ascertain if available to customers.

Review records maintained to show staff have been trained on complaints process.

Details of complaints process provided to customers.

Training records for staff dealing with complaints.

Review of communication materials as applicable.

Evidence of a complaints system, including escalation.

A6.2.2 6.2.2.The Member that receives any complaint related to the Installation Visit makes all reasonable endeavours to investigate the Customer’s concerns and takes appropriate steps to resolve the issue;


Review records of complaints to identify if steps taken are in line with procedures, e.g. time taken and form of response.

Training materials to evidence customer interaction.

A6.2.3 6.2.3.Suitable operational arrangements are in place with service providers and network operators so complaints are addressed in a timely manner; and

Both Covered elsewhere A6.2.2

Contract with third parties, with clear reference to complaints procedures and escalation.

A6.2.4 6.2.4. Requirements or obligations in relation to the reporting of the nature of complaints regarding the Installation Visit are complied with.

Both Covered elsewhere A6.2.1 and A6.2.2

Including reporting on their own website, and to Ofgem.

Section B

CODE GOVERNANCE The purpose of Section B is to set out the SMICoP governance arrangements including the role of the Governance Board, the change management process and the assurance regime.

B1.3.5 A Licensee can at any given time only fall within one constituency;

1.3.5.1 The constituency within which a Licensee 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, and held by the Code Administrator at that given time.

1.3.5.2 Where the Licensee is a Member as at 27 November 2017, it shall:

1.3.5.2.1 complete and submit to the Code Administrator a SMICoP

To confirm that a self-declaration process is in place and a self-declaration has been submitted within the last 12 month period, as in accordance with the Code requirements.

Copy of self-declaration

Supplier Constituency Self-Declaration Form on 27 November 2017; and

1.3.5.2.2 thereafter complete and submit to the Code Administrator a SMICoP Supplier Constituency Self-Declaration Form on 1 June in each year.

1.3.5.3 Where the Licensee is not a Member as at 27 November 2017 it shall:

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

1.3.5.2.2 thereafter complete and submit to the Code Administrator a SMICoP Supplier Constituency Self-Declaration Form on 1 June in each year.

1.3.5.4 A SMICoP Supplier Constituency Self-Declaration Form completed and submitted by a Licensee 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.

B3.2 Self-Certification Process To confirm that a self-certification process is in place and a self-certification has been submitted.

Review policy for annual compliance and see a copy of the certificate.

B3.4 Customer Survey To confirm that a customer survey process is in place.

Check that an independent body has been appointed for customer surveys.Review the process for extracting data (to ensure that management are including all survey results and not cherry picking).

Could sense check number of installations vs. number of survey responses (or even just look and see if there is an internal control / reconciliation process that does this).

May have to rely entirely on management representations only.

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