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. Any dissemination, distribution, or unauthorized use is strictly prohibited.

Smart Metering
Implementation
Programme

By Chris Beard

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Smart Metering Implementation Programme For Dummies

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Table of Contents
Introduction........................................................ 1
About This Book......................................................................... 1
Foolish Assumptions.................................................................. 2
How This Book Is Organised..................................................... 2
Icons Used in This Book............................................................. 3
Where to Go from Here.............................................................. 3

Chapter 1: Setting the Scene. . . . . . . . . . . . . . . . . . . . . . . . 5

Why Roll Out Smart Meters?..................................................... 5
Delving into the History of the SMIP........................................ 6
Taking a Quick Guided Tour...................................................... 7

Chapter 2: Stakeholders. . . . . . . . . . . . . . . . . . . . . . . . . . . 11
The DCC and its Service Providers......................................... 12
Data Communication Company.................................... 12
Data Service Provider.................................................... 13
Communication Service Providers............................... 13
Trusted Service Provider............................................... 13
Parse and Correlate Provider........................................ 14
Registration Data Providers.......................................... 14
DCC Users.................................................................................. 14
Import Supplier............................................................... 15
Gas Supplier.................................................................... 15
Export Supplier............................................................... 15
Electricity Distributor.................................................... 16
Gas Transporter.............................................................. 17
Registered Supplier Agent............................................. 18
Other User....................................................................... 18
NonGateway Supplier.................................................... 19
Multitalented.................................................................. 19
Other Stakeholders................................................................... 20
Consumers....................................................................... 20
Department of Energy and Climate Change................ 20
Secretary of State............................................................ 20
Office of Gas and Electricity Markets........................... 21
SEC Panel......................................................................... 21
Smart Energy Code Company....................................... 22
SEC Administrator and Secretariat............................... 22

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iv

Smart Metering Implementation Programme For Dummies

Competent Independent Organisation......................... 22
SEC Parties....................................................................... 23
SMIP working groups..................................................... 23
Device manufacturers.................................................... 24
Smart Energy GB............................................................. 24

Chapter 3: Devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
SMETS and CHTS....................................................................... 25
SMETS.............................................................................. 26
CHTS................................................................................. 27
Smart Devices............................................................................ 27
Communications Hubs................................................... 27
Electricity and Gas Smart Meters................................. 29
Type 1 and Type 2 Devices...................................................... 30
Type 1 Devices................................................................ 32
Type 2 Devices................................................................ 32
Hand Held Terminals (HHTs).................................................. 34
Testing Devices......................................................................... 34
Types of testing.............................................................. 34
Mandatory or optional?................................................. 39
Whos responsible?........................................................ 40
Why test?......................................................................... 40
Providing evidence of testing........................................ 40
Smart Metering Device Assurance............................... 41

Chapter 4: Messaging. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Grasping the Basics of DCC Messaging.................................. 43
A dubious analogy.......................................................... 44
Service Requests/Responses........................................ 45
Service Request Variants............................................... 46
Critical and NonCritical Service Requests.................. 46
Sensitive Messages......................................................... 47
Understanding the Mechanics of
Sending/Receiving Messages............................................... 49
Mode of Operation.......................................................... 49
Command Variants......................................................... 52
Protocols.......................................................................... 54
Sequencing...................................................................... 55
Message IDs..................................................................... 57
Sequence Diagrams........................................................ 60
Getting technical............................................................. 61
Coping When Things Go Wrong.............................................. 61
Error handling................................................................. 62
Anomaly detection......................................................... 62

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Table of Contents

Chapter 5: Messages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Service Request Types............................................................. 65
Product Management..................................................... 66
Prepay.............................................................................. 67
Customer Management.................................................. 67
Reading............................................................................ 67
Scheduling....................................................................... 68
Device Management....................................................... 68
Supply Management....................................................... 69
Device Estate Management........................................... 70
Customer Consent.......................................................... 70
Firmware.......................................................................... 71
Pre Device Installation................................................... 71
Record Network Data..................................................... 71
DCC Alert Types........................................................................ 71
Power Outage.................................................................. 71
Device Status Change Event.......................................... 72
DSP Schedule Removal.................................................. 72
Command Failures.......................................................... 73
Firmware Distribution Failure....................................... 73
Update HAN Device Log Result..................................... 73
Change of Supplier......................................................... 74
Device Log Restored...................................................... 74
CHF Post Commissioning Incomplete.......................... 74
PPMID............................................................................... 74
Device Alert Types.................................................................... 75
Access Control................................................................ 75
Battery.............................................................................. 76
Clock................................................................................. 76
Command Confirmation/Failure................................... 76
(De)Commissioning........................................................ 77
Firmware.......................................................................... 77
Billing Data Log............................................................... 77
Prepayment..................................................................... 77
SMKI.................................................................................. 78
Supply Enablement/Disablement................................. 78
Tamper............................................................................. 78
Voltage............................................................................. 78
RoleBased Access Control...................................................... 78
Energy suppliers............................................................. 79
Network operators......................................................... 79
Registered Supplier Agents........................................... 80
Other Users..................................................................... 80

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Smart Metering Implementation Programme For Dummies

Chapter 6: EndtoEnd Security. . . . . . . . . . . . . . . . . . . . . 81

Rethinking the Security Model................................................ 82
Cryptography............................................................................ 82
Symmetric cryptography............................................... 83
Asymmetric cryptography............................................ 84
Asymmetric versus symmetric cryptography............ 85
Public Key Infrastructure (PKI)............................................... 87
PKI Roles.......................................................................... 88
SMKI, DCCKI and IKI....................................................... 89
Known and Unknown Remote Parties.................................... 93
Recovery.................................................................................... 95
Using the Recovery Key................................................. 96
Armageddon.................................................................... 97

Chapter 7: The Smart Energy Code (SEC) . . . . . . . . . . . . 99

Getting to Know the SEC........................................................ 100
Anatomy of the SEC................................................................ 101
SEC Schedules......................................................................... 103
SEC Subsidiary Documents.................................................... 104
Interface Specifications................................................ 104
Security.......................................................................... 106
Codes of Connection.................................................... 107
Communication Hubs................................................... 107
Service Management.................................................... 107
Testing........................................................................... 108
Other.............................................................................. 108
SEC Named Documents.......................................................... 108
Security.......................................................................... 109
Testing........................................................................... 109
Service Management.................................................... 109
Other.............................................................................. 110
Guidance Documents............................................................. 110
Enduring Responsibility......................................................... 111

Chapter 8: The SMIP. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113

Regulatory Framework........................................................... 113
Working Groups...................................................................... 114
Smart Metering Steering Group (SMSG).................... 114
Smart Metering Delivery Group (SMDG)................... 115
Technical and Business Design Group (TBDG)........ 115
Implementation Managers Forum (IMF).................... 116
Others............................................................................ 116
SMIP transition working groups................................. 116

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Table of Contents

vii

SMIP Phases............................................................................. 117

PreIntegration Testing................................................ 117
Systems Integration Testing........................................ 118
PreUser Integration Testing....................................... 119
SMKI and Repository Entry Process Testing............ 120
Interface Testing........................................................... 120
Operational Acceptance Testing................................ 121
DCC Live!........................................................................ 122
EndtoEnd Testing....................................................... 122
Constrained launch...................................................... 122

Chapter 9: Life as a DCC User . . . . . . . . . . . . . . . . . . . . . 125

Becoming a DCC User............................................................. 125
Becoming a SEC Party.................................................. 126
Getting security assessed............................................ 126
Getting privacy assessed............................................. 127
Getting RAPPed............................................................ 127
Passing SMKI and Repository Entry
Process Testing......................................................... 128
Sorting out your key strategy...................................... 128
Connecting to the DCC................................................. 130
Buying, building, renting or stealing
a DCC Adapter........................................................... 131
Having a practise.......................................................... 131
Passing User Entry Process Testing........................... 132
Passing Interface Testing............................................. 133
Surviving as a DCC User......................................................... 134
Smartening up your business processes................... 134
Setting up your own test lab....................................... 136
Outsourcing device testing......................................... 137
Making use of the SSI.................................................... 138
Paying your dues.......................................................... 139

Chapter 10: The Future . . . . . . . . . . . . . . . . . . . . . . . . . . . 141

Foundation Adoption............................................................. 141
Dual Band Communications Hub.......................................... 143
An Alternative HAN Solution................................................. 144
Centralised Registration........................................................ 144
Elective Communication Services........................................ 146
Other Services......................................................................... 146
Half Hourly Settlement........................................................... 147
Mobile Workforce Mayhem................................................... 148
SEC Changes............................................................................ 148

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Smart Metering Implementation Programme For Dummies

Chapter 11: Ten Top SMIP Tips. . . . . . . . . . . . . . . . . . . . 151

Dont Go for a SupplierLed Rollout...................................... 151
Get Through User Entry Process Testing
(UEPT) as Quickly as You Can.......................................... 151
Tighten Up Your UEPT Scripts.............................................. 152
Dont Hold Your Breath.......................................................... 152
Fill Your Boots......................................................................... 152
Take Control............................................................................ 152
Why Wait When You Can Have It Now?............................... 153
Beware Hand Held Terminals (HHTs).................................. 153
Keep the Lawyers Away......................................................... 153
Outsource Your Device Testing............................................ 154

Glossary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .155

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Introduction

elcome to Smart Metering Implementation Programme

For Dummies, your essential pocket guide to the Smart
Metering Implementation Programme. This book has it all
action, suspense, romance and a broad introduction to one of
the most challenging industry programmes ever attempted in
Great Britain. (Well, one out of four isnt too shabby!)

About This Book

If youve bothered to pick up this book, youre probably
already aware that the UK government has mandated energy
suppliers to roll out smart meters to all their domestic and
small business customers in Great Britain by 2020. To achieve
this, the Department of Energy and Climate Change (DECC)
has created the Smart Metering Implementation Programme
(SMIP), a customerfocused, supplierled approach to rolling
out an estimated 53 million smart electricity and gas meters
to more than 30 million homes and small businesses across
Great Britain.
The SMIP is a behemoth of a programme, arguably bigger
than any other retail utility industry change programme to
date. Its 51 industry working groups represent just the tip of
an iceberg of individuals, all slaving away to make the largest
single rollout of smart meters ever attempted in the world a
reality.
This book makes an ambitious attempt to summarise the key
features of the programme, its main stakeholders and the
smart metering infrastructure it aims to deliver.

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Smart Metering Implementation Programme For Dummies

Foolish Assumptions
Ive made a few assumptions while writing this book.
Youre not entirely unfamiliar with the GB energy industry
but are looking for a relatively painless introduction to
this major industry change programme that everyone
else is talking about or that youve happened to end up in.
Having read the highly entertaining chapter on the SMIP
in GB Electricity Industry For Dummies, youd like to know
a bit more.
Youre reasonably familiar with the concept of smart
meters, what they are, what they do and why everyone
should want one. If youre not, I recommend a perusal of
Smart Metering For Dummies.

How This Book Is Organised

SMIP For Dummies comes in eleven informative and easyto
digest morsels.
Chapter1: Setting the Scene: A quick rsum of how the
SMIP came about.
Chapter2: Stakeholders: A summary of the key
participants in the SMIP, and their roles and motivations.
Chapter3: Devices: A brief description of the bits of kit
that will hopefully end up in your home by 2020.
Chapter4: Messaging: The nuts and bolts of sending/
receiving messages via the Data Communication
Companys (DCCs) infrastructure.
Chapter5: Messages: A prcis of the different types of
messages available to send and receive.
Chapter6: EndtoEnd Security: The unique security model
that underpins the SMIP.
Chapter7: The Smart Energy Code (SEC): An essential
digest of whats worth reading in the SEC and its vast
array of SEC Subsidiary Documents.
Chapter8: The SMIP: A quick tour of the programme itself,
including its working groups and phases.
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Introduction

Chapter9: Life as a DCC User: A crash course in becoming, and surviving as, a DCC User.
Chapter10: The Future: Some crystalball gazing at the
role of the DCC beyond Go Live.
Chapter11: Top Ten SMIP Tips: Some pearls of wisdom for
you to take away.
As those of you whove had any exposure to the utility
industry well know, jargon is an insidious feature and
acronyms abound. However, similar to working abroad,
learning the local lingo is essential, so this guide makes
unapologetic use of industry terminology throughout. I
do, however, introduce each term I use, remind you of the
meaning of acronyms at first use within each subsequent
chapter and provide a mammoth jargonbusting glossary at
the end of the guide.

Icons Used in This Book

To make navigating to particular information even easier,
these icons highlight key text.
Important points to keep in mind.

A warning for casual readers not wanting to get drawn into

too much technical detail to turn the page.

This icon highlights potential pitfalls.

Here, you can benefit from the authors suggestions.

Where to Go from Here

This book aims at breadth rather than depth. Its highly likely
that you have a far more detailed knowledge than the author
of some areas covered, but hopefully the guide provides you
with an insight into areas of the programme with which youre
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Smart Metering Implementation Programme For Dummies

perhaps not so well acquainted. As with all For Dummies
guides, you can dip in and out of this book as you like, or read
it from cover to cover.
Use the headings to guide you to the information you need.
If you require any more information, visit www.cgigroup.
co.uk/utilities and feel free to contact us at enquiry.uk@
cgi.com.
All For Dummies guides have a shelf life, but this is particularly true for one about a transitional programme. Inevitably,
by the time you read this book some of the contents will be
outofdate so I recommend keeping your ears to the ground.

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Chapter1

Setting the Scene

In This Chapter
Explaining how the SMIP came about
Understanding why Britain is different to the rest of the world
Examining how all the bits hang together, from DCC Users to devices

o, you may ask, why are we rolling out smart meters and
how did we end up with the programme that we have
today? This chapter attempts to answer these questions and
give a very highlevel overview of what we should end up with
once the SMIP has successfully delivered. For those with only
a passing interest in the SMIP, this chapter may be all you
need to read.

Why Roll Out Smart Meters?

The national rollout of electricity and gas smart meters to
domestic and small business customers is a key plank in the
UKgovernments strategy for achieving its carbon reduction
commitments. The theory goes that making us more aware of
how much energy were actually using will make us use less of it.
Currently, unless youre a prepayment customer, a massive
disconnect exists between using energy and paying for it. By
the time your bill arrives, the energys long gone, and chances
are that the bills estimated and bears little relation to your
actual usage. For us to start using less energy (thus, saving
the world and our bank balances at the same time), we need
to become more aware of the link between energy usage and
its cost, not just how much were using but also when we use
it. Smart meters are the governments solution to making us
more energy savvy.

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Smart Metering Implementation Programme For Dummies

Aside from the governments carbon reduction commitments,
a series of government impact assessments have shown a
favourable business case for a national rollout. The latest,
published in January 2014, estimated the programme as costing just under 10.5 billion but returning benefits of almost
15 billion over a 19year period. The majority of the cost (a
little over 6 billion) is incurred by suppliers in providing and
installing meters in homes. However, suppliers also receive
the majority of the estimated benefits (8 billion) through
avoided site visits, fewer customer complaints and so on.
And if all of that wasnt incentive enough, you also have the
European Directives 2009/72/EC (Electricity) and 2009/73/EC
(Gas) which require member states to provide at least 80 per
cent of consumers with smart meters by 2020.

Delving into the History

of the SMIP
The industry has been discussing a national rollout of smart
meters for an embarrassingly long time. It considered various
models, from Regional Franchise (a centrally managed, street
bystreet rollout) to Supplier Hub (a continuation of the status
quo where suppliers are responsible for not only providing
and installing meters, but also the infrastructure required
to communicate with them). What weve ended up with is
a hybrid Central Communications Model in which suppliers
retain responsibility for procuring, installing and maintaining
meters, but are required to use a common, franchised central
communication infrastructure.
In most other countries, metering is the responsibility of regulated distribution companies and any attempt at rolling out
smart meters follows the Regional Franchise model. In Britain,
were a bit different. Weve spent the past 20 years stripping
away anything vaguely competitive from the natural monopoly businesses (that is, the network operators and their
distribution assets) and this includes metering. Since 1996,
the supplier has been responsible for providing settlement
metering. Hence, weve ended up with a supplierled rollout
mandated through a supplier licence obligation to replace all
domestic and small business energy meters with smart equivalents by 2020. I talk more about the SMIP itself in Chapter8.
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Chapter1: Setting the Scene

So weve ended up with a programme driven by government

policy, delivered by suppliers (exhibiting varying levels of
enthusiasm), partially paid for by distribution network operators (most of whom are unconvinced of the benefits), underpinned by commercial organisations (focused on delivering to
their contracts) and heavily dependent on device manufacturers (who recognise the prize of 53 million sales but are struggling with ever changing requirements and a chequered track
record of delivery). Not a promising start... .
Smart metering hasnt experienced a complete hiatus whilst
the SMIP has been established. Some suppliers have elected
to forge ahead in the interim, procuring their own communication services to service the smart meters they deploy in
the socalled Foundation phase (thats the period before the
DCC goes live I talk about whats likely to happen to these
Foundation smart meters in Chapter10.)

Taking a Quick Guided Tour

For those that find even For Dummies guides hard going,these
next few paragraphs may be all you need. Heres a whistle
stop tour of the key parts of the SMIP in terms of technology
and stakeholders (which I pull apart in more detail in rest of
the guide).
Figure 1-1 depicts the high level endtoend architecture for
the GB smartmetering rollout. At the heart of this is the Data
Communications Company (DCC), the body responsible for
enabling communication between smart devices within the
home and those who want to talk to them (DCC Users). I look
at the different flavours of DCC User and smart devices in
Chapters 2 and 3, respectively.
In some ways, the smart metering infrastructure is the tale of
three networks:
Home Area Network (HAN): Smart devices communicate with each other via the HAN, a ZigBeebased
network established by the Communications Hub (CH),
one of the smart devices installed within the home. In
addition to establishing the HAN, the CH also provides
connectivity to the SM WAN that connects the smart
devices to the DCC.

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Smart Metering Implementation Programme For Dummies

Figure 1-1:Endtoend GB smart metering infrastructure.

Smart Metering Wide Area Network (SM WAN): The

responsibility of the Communication Service Provider
(CSP), a subcontractor to the DCC whos also responsible for providing the CHs. National CSP WAN coverage
is split into three regional contracts, held by two CSPs
(Arqiva and Telefnica). The SM WANs connect the HANs
to a central system, the DCC Data Systems provided by
the Data Service Provider (DSP), another subcontractor
to the DCC (in this case, CGI).
DCC User Gateway Network: In addition to providing the
DCC Data Systems that manage smart communications,
the DSP also provides DCC Users with a tothedoor
connection service comprising another wide area network (the DCC User Gateway Network) and a piece of kit
(the DCC User Gateway Equipment) with which to connect
to it. I take a closer look at the roles of the DCC and its
service providers in Chapter2.
The reason for this chain of networks (the HAN, SM WAN
and DCC User Gateway Network) is to enable messages to be
sentfrom DCC Users to smart devices and vice versa. Heres
the lowdown on the types of message that fly around the
networks:
Service Requests: Messages sent from DCC Users to
devices (or the DCC).
Service Responses: Replies from the devices (or the
DCC) to DCC Users.

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Chapter1: Setting the Scene

Device Alerts: Unsolicited messages sent by devices to

DCC Users.
DCC Alerts: Unsolicited messages sent by the DCC to
DCC Users.
Chapter4 looks at the mechanics of sending/receiving messages and Chapter5 summarises the different types of messages you can send/receive and what theyre for. Chapter6
attempts the hopeless task of explaining the security model
for keeping these messages safe from malevolent interference.

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10

Smart Metering Implementation Programme For Dummies

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Chapter2

Stakeholders
In This Chapter
Examining the key players in the SMIP
Understanding stakeholders roles and what motivates them

uccess of the SMIP rests on a disparate set of stakeholders, ranging from the government to consumers and
taking in a myriad of organisations, roles and working groups
in between. Figure 2-1 attempts to highlight the key stakeholders involved in the SMIP.
Not surprisingly perhaps, its a population thats stuffed full of
acronyms, some of which change depending on which industry document you look at. So heres a brief tour of some of the
key participants in the programme. In attempting to impose a
little order, Ive divided them up into the DCC and its service
providers, DCC Users and others.

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12

Smart Metering Implementation Programme For Dummies

Figure 2-1:Stakeholder map.

The DCC and its

Service Providers
At the heart of the programme sits the Data Communications
Company (DCC), ably assisted by an array of service providers.
In the sections that follow, I take a closer look at who they are.

Data Communications Company

The Data Communications Company (DCC) is the party responsible for providing energy suppliers, network operators and
energy service companies with access to smart meters installed
in homes and small businesses. The Department of Energy and
Climate Change (DECC) awarded a brand new DCC licence to
Smart DCC Ltd, a subsidiary of Capita plc, on 23 September
2013 following a competitive tendering process. Smart DCC Ltd
has the DCC licence for 12 years and has inherited a number of
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Chapter2: Stakeholders

13

DCC Service Provider contracts, procured by DECC in parallel

to the DCC Licensee; namely, the Data Service Provider (DSP)
and Communication Service Provider (CSP) contracts (which I
describe in the following sections). When its time to reprocure
these service providers, the DCC will get to choose but, for
now, theyre stuck with the choices made by DECC.

Data Service Provider

The Data Service Provider (DSP) is responsible for delivering
and operating the central DCC Data Systems to which DCC
Users interface when communicating with smart devices. This
includes the DCC User Gateway Network to which DCC Users
connect. The DSP also acts as the DCCs Systems Integrator,
managing the integration of the various components of the
central solution, including the Interface Testing phase of the
SMIP in which the DCC gets to formally test with wouldbe
DCC Users for the first time (see Chapter8 for more detail).
Following a twoyear procurement run by DECC, CGI was
awarded the DSP contract on 23 September 2013, a contract
that the DCC has since inherited. Its an eightyear contract
with three optional oneyear extensions.

Communication Service Providers

The Communication Service Providers (CSPs) are responsible
for providing the Smart Metering Wide Area Network (SM WAN)
and Communication Hubs (CHs) through which the DCC Data
Systems communicate with smart devices. The CSP and DSP
procurements ran in parallel with three CSP regions up for
grabs. Arqiva was successful in winning the Scotland/North
of England contract, and Telefnica won the Wales/Central
England and Southern England contracts. The CSP contracts
are fifteen years in duration with the option of five oneyear
extensions.

Trusted Service Provider

The Trusted Service Provider (TSP) is responsible for providing
the Smart Metering Key Infrastructure (SMKI) and Infrastructure
Key Infrastructure (IKI) solutions that underpin the endtoend
security model used in the SMIP (described in more detail
than youd like in Chapter6). The TSP is BT, however, unlike

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Smart Metering Implementation Programme For Dummies

the DSP and CSP contracts, the TSP contract has yet to be
made public, even in redacted form, so details are unknown.
Just because the DCC has a trusted service provider, doesnt
necessarily mean that its other service providers are shifty
and unreliable. It may just appear that way.

Parse and Correlate Provider

The Parse and Correlate (P&C) Provider is responsible for
developing the software application used by DCC Users to
convert GBCS (the protocol used by the DCC to talk to smart
devices) into DUIS (the protocol used by DCC Users to talk to
the DCC). P&C also checks that the DSP has done its job correctly when translating critical commands (really important
ones) into GBCS (the correlate bit of Parse and Correlate).
This will all make much more sense when youve read
Chapter4 (trust me). Critical Software was appointed P&C
Provider on 29 April 2014 under a threeyear contract with the
option of two oneyear extensions.

Registration Data Providers

Registration Data Providers (RDPs) arent DCC service providers in that theyre not appointed by, or contracted to, the
DCC. Neither do RDPs qualify as DCC Users (see the next section). They do, however, provide an essential service to the
DCC by providing daily updates of registration data that the
DCC uses to determine the level of access to a smart device
to which a DCC User is entitled. For example, its the RDP that
tells the DCC who the legitimate supplier is for a smart meter
at any given time. Electricity registration data is held within
Meter Point Registration Systems (MPRSs) maintained by the
Distribution Network Operators (DNOs) and independent DNOs
(iDNOs), and the gas equivalent is held by Xoserve. Xoserve
and the DNOs have a licence obligation to fulfill the RDP role.

DCC Users
DCC Users are SEC Parties (that is, signatories to the Smart
Energy Code see Chapter7) that have successfully completed
User Entry Process Testing (UEPT see Chapter8) and, as
such, are allowed to use DCC Services. They come in different
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Chapter2: Stakeholders

15

flavours, termed DCC User Roles, and each role has access to a
different set of services. A SEC Party has to go through UEPT
for each DCC User Role that it wants to operate as.
When turning the DCC User Gateway Interface Design
Specification (DUGIDS) into its SEC Subsidiary alter ego, the
DCC User Interface Specification (DUIS see Chapter7), someone thought it would be a good idea to rename most of the DCC
User Roles. So, when you turn up at the SEC Party convention
and are asked what DCC User Role you are, the correct etiquette
for answering this question is, DUGIDS or DUIS? To avoid confusion, I include both terms (leading with the DUIS version).

Import Supplier
The Import Supplier (IS) is the supplier from whom a consumer
buys his or her electricity and is the party that installs electricity smart meters. An IS has access to nearly all the functionality within an electricity smart meter (theres just a few export
and networkrelated functions that it cant use). Its also the
party that pays the largest fixed monthly charge for every
electricity smart meter serviced by the DCC (almost half of the
total, in fact). IS translates into Electricity Import Supplier (EIS)
in DUGIDS dialect.

Gas Supplier
The Gas Supplier (GS) is the supplier from whom the customer
buys his or her gas. As per the IS, the GS is responsible for gas
smart meter installations and has access to the majority of
its functionality. It also picks up the entire fixed monthly DCC
charge per gas meter. A GS is a Gas Import Supplier (GIS) when
conversing in DUGIDS.

Export Supplier
The Export Supplier (ES) is the supplier to whom the customer
sells surplus electricity from his or her Feed In Tariff Scheme
(FITS) installation (typically solar panels). As such, an ES can
only access messages relating to export registers on the electricity smart meter and makes only a modest contribution to
the monthly DCC charge for an electricity meter. ES translates
into Electricity Export Supplier (EES) in DUGIDS.

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Smart Metering Implementation Programme For Dummies

Measuring spill
In addition to measuring consumption, smart electricity meters are
capable of recording electricity
exported to the distribution grid.
Under the governments FITS, consumers who install their own generation (usually in the form of solar
panels) get paid for every kWh
they generate and a much smaller
amount for every kWh they dont use
and, therefore, spill onto the grid.
Because traditional meters dont
record export, export suppliers currently assume spill to be 50 per cent
of generation.
Smart meters now mean that suppliers can measure spill. However, given
that an average 4kW array will generate between 10 and 15kWh per day
(300 to 450kWh per month), a 50per
cent spill at 0.04/kWh equates to an

average monthly payment of around

7.50 for spilt generation. If metering
were to show that the customer is
only spilling 40 per cent rather than
the estimated 50 per cent, the export
supplier would save 1.50 per month,
which would more than offset the
fixed monthly ES charge per meter
of 3p. However, on a sunny day, an
empty household (with the occupants
out at work or school) could easily
spill three quarters of its generation,
costing the ES an additional 3.75 per
month for the privilege of metering,
rather than estimating, the export.
Given this dubious business case, its
unlikely well end up with many ESs
unless the government chooses to
mandate the use of smart meters for
measuring export.

Electricity Distributor
The Electricity Distributor (ED) is responsible for the cables
and wires that deliver electricity to a consumers house.
EDs are more commonly referred to in the industry as
Distribution Network Operators (DNOs) and, just to confuse
matters, are referred to as Electricity Network Operators
(ENOs) in DUGIDS.
Other than changing their own security certificates (see
Chapter6) and setting some alert thresholds and maximum
demand registers, EDs are restricted to reading information
from smart meters and receiving alerts. EDs incur a fixed
monthly charge for every smart meter installed on their
network, regardless of whether they make any use of it, so
theres some incentive (and, indeed, expectation from Ofgem,

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Chapter2: Stakeholders

17

the energy regulator) for them to make use of DCC services.

That said, I can best describe the smart metering benefits
identified by most DNOs in their recent price control submissions as modest. Even the governments impact assessment
only identifies 877 million of network benefits over 19 years
(which is about a tenth of those identified for suppliers).

Gas Transporter
The Gas Transporter (GT) is responsible for the pipes that
take gas to a consumers house. GTs, like EDs, are restricted
primarily to reading information from smart meters and
receiving alerts. Unlike EDs, GTs dont (currently) incur any
fixed charges for having smart meters installed on their networks and have, not surprisingly, shown little interest to date
in becoming DCC Users. A recent DECC consultation may
change all this by placing an obligation on GTs to become
DCC Users within a defined period after the DCC goes live. GT
translates into Gas Network Operator (or GNO) in DUGIDS.

Starting the clock on Customer

Minutes Lost
Spend any time chatting to a DNO
about smart metering and it wont
be long before you hear the words
last gasp. This is the alert issued
by a dying Communications Hub
following a power cut and is probably at the top of most DNOs smart
metering agendas. DNOs monitor
their high and mediumvoltage networks, but the lowvoltage network
that feeds most domestic customers
is largely invisible. So the first that
DNOs currently hear about power

cuts on the lowvoltage network is

when customers pick up the phone
to complain. At that point, the clock
starts on Customer Minutes Lost
(or CML, for short), a very important
measure of a DNOs performance.
On the plus side, a customer with a
smart meter will no longer need to
pick up the phone to start the CML
clock. However, from a DNOs perspective, the threat exists of higher
CMLs and associated penalties.

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Smart Metering Implementation Programme For Dummies

Registered Supplier Agent

The Registered Supplier Agent (RSA) is the Meter Operator
(MOP) appointed by the IS or the Meter Asset Manager (MAM)
appointed by the GS to physically install and maintain the
smart meters. It could also be the Meter Asset Provider (MAP)
in both cases (thats the party that owns the meter and rents
it to the import supplier).
The RSA has been granted access to a relatively paltry set
of Service Requests and can only extract information from
meters to see how theyre being used (for example, read the
configurations that have been placed on the meter by other
DCC Users). Just to confuse matters, RSAs are called Supplier
Nominated Agents (SNAs) in DUGIDS.
If youre a MOP or MAM and you aspire to become an RSA in
the hope of being able to install meters on your own, think
again. The commands required to commission a device are
only available to the installing supplier (the IS in the case of
an electricity smart meter, and the GS in the case of a gas
smart meter). If youre an independent MOP or MAM looking
to secure lucrative smart meter installation contracts, youll
need to ensure that you can communicate with your employers to instigate the necessary DCC Service Requests to install
meters, either via the SM WAN or locally via your Hand Held
Terminal (HHT see Chapter3).

Other User
As its name suggests, the Other User (OU) DCC User Role
covers a hotchpotch of parties and is likely to include energy
service companies, price comparison websites and Customer
Access Device (CAD) providers (see Chapter3). OUs have a
meagre set of messages available to them, but they can read
consumption data (with appropriate customer consent, of
course) and provide services for installing CADs. Remarkably,
Other User is OU in both DUIS and DUGIDS.
OUs need to have a privacy assessment from the Independent
Privacy Auditor (one of the roles of the Competent Independent
Organisation appointed by the SEC Panel). See Chapter9 for
more details.

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Chapter2: Stakeholders

19

NonGateway Supplier
Technically not a DCC User, a NonGateway Supplier (NGS) is a
supplier thats still going through User Entry Process Testing
(UEPT) and has yet to become a bona fide DCC User.
When a supplier whos a DCC User gains a DCCserviced meter
through the change of supplier process, they instruct the DCC
to put their Organisation Certificate on the meter to claim
ownership (see Chapter6). The supplier does this by sending
a Service Request via the DCC User Gateway. If a NonGateway
Supplier gains a DCCserviced smart meter, theyre still
required to instruct the DCC to put their own Organisation
Certificate on the meter. They cant, however, do this by
sending a Service Request via the DCC User Gateway, so they
require some other mechanism. This mechanism is the Non
Gateway Interface (which is, essentially, email). NGSs do, however, need to go through the Smart Metering Key Infrastructure
Registration Agency Policies and Procedures (SMKI RAPP) in
order to be able to request Organisation Certificates. (Dont
worry, all is revealed in Chapter6.)
Whilst small suppliers (that is, those with fewer than 250,000
customers) and nondomestic suppliers arent obliged to use
DCC Services from day one, a recent DECC consultation is
likely to require small suppliers to become DCC Users within
12 months of DCC Go Live and may deny nondomestic suppliers the right to opt out of using DCC Services to communicate
with their smart meters. Small suppliers and nondomestic
suppliers who thought they could happily ignore the SMIP
should think again.

Multitalented
A DCC User may have multiple DCC User Roles. For example, a
dual fuel supplier needs accreditation as an IS and GS. If theyre
an export supplier and want to use smart meters to measure
export, they also need to be an ES. And if they want to be able
to provide quotations to potential new customers based on
their historic consumption, they also need to be an OU.
A DCC User needs to go through User Entry Process Testing
(UEPT see Chapter8) for each individual DCC User Role that
they want to operate as.

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Smart Metering Implementation Programme For Dummies

Other Stakeholders
Okay, Ive covered the DCC, its service providers and the DCC
Users who use it. Now its time to move on to some other key
stakeholders in the SMIP.

Consumers
The government would probably argue that consumers
should be in the centre of the stakeholder map in Figure 2-1.
According to their website, smart meters put consumers in
control of their energy use, allowing them to adopt energy
efficiency measures that can help save money on their energy
bills and offset price increases. Many of the forecasted benefits of the SMIP depend on consumers changing their energy
consumption behaviour as a response to becoming more
energy savvy through use of their smart meter. Theyre also
the ones wholl ultimately pay for the programme through
their energy bills.

Department of Energy
and Climate Change
The Department of Energy and Climate Change (DECC) is the
government department responsible for instigating the SMIP.
DECC left Ofgem (another stakeholder who we introduce in
the Office of Gas and Electricity Markets section) to manage
the early stages of the programme, but it took back the reigns
for the twoyear central procurement that appointed the DCC,
DSP and CSPs, and DECC has been active in shaping much
of the programme ever since. When the rollout is underway,
responsibility for the SMIP will pass back to the industry
under the adjudication of Ofgem, but for the time being its
DECC that makes the key decisions driving the programme.

Secretary of State
Powers conferred by the Energy Act 2008 and extended by
the Energy Act 2011 allow the Secretary of State (SoS) to make
changes to legislation, licences and codes for the purposes of
supporting the rollout of smart meters. These same powers

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Chapter2: Stakeholders

21

allowed the SoS to introduce the new DCC licence and the
Smart Energy Code (SEC see Chapter7). The SEC and its
Subsidiary Documents are being developed by a number of
parties including DECC, numerous working groups and the
DCC. Following industry consultation, they must all go to
the SoS for designation before coming into force. Given the
number of documents involved (45 and counting), the SoS is
going to be very busy.

Office of Gas and Electricity

Markets
The Office of Gas and Electricity Markets (Ofgem) is the energy
regulator charged with protecting the interests of existing
and future electricity and gas consumers. Ofgem managed
the first phase of the SMIP before DECC wrested control.
However, Ofgem is destined to become the final adjudicator
for any changes to the SEC or its Subsidiary Documents once
transition is complete and we reach steady state.

SEC Panel
The SEC Panel is charged with managing the Smart Energy
Code (SEC) and its Subsidiary Documents (which I examine
in more detail in Chapter7). It comprises an independent
chair and elected representatives from the industry, plus
representatives from the DCC and consumer groups.
The SEC Panel is also responsible for appointing a number of
SEC SubCommittees; namely:
SEC Change Board: The body charged with assessing
modifications to the SEC and making recommendations to
Ofgem as to whether or not they should be implemented.
Smart Metering Key Infrastructure Policy Management
Authority (SMKI PMA): A panel of security experts
responsible for governance of the SMKI Document Set and
assurance of the DCCoperated SMKI services (I describe
the SMKI in Chapter6).
Technical SubCommittee (TSC): Another bunch of experts
responsible for providing support and advice on technical
specifications and the endtoend technical architecture.

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Smart Metering Implementation Programme For Dummies

Security SubCommittee (SSC): Responsible for developing and maintaining security documents under the end
toend security architecture that escape the grasp of the
SMKI PMA.
Like the SEC Panel, membership of the Change Board, SMKI PMA
and SSC have prescribed compositions to ensure that the views
of all stakeholders are represented. Membership of the TSC, on
the other hand, is wholly determined by the SEC Panel. Cross
fertilisation also exists between subcommittees (for example,
the SSC and TSC both provide a member to the SMKI PMA).

Smart Energy Code Company

The SEC Company (SECCo) is the commercial alter ego of
the SEC Panel and is the corporate vehicle set up to support
SEC Panel business. Its board of directors comprises the SEC
Panel members and its used for contracting services with
third parties such as SECAS (see the next section).

SEC Administrator and Secretariat

The SEC Administrator and Secretariat (SECAS) is contracted
by SECCo to provide the daytoday management of the Smart
Energy Code and SEC Subsidiary Documents. It will take on this
role fully only when DECC relinquishes control of the SEC at the
end of transition after the DCC goes live. Gemserv was awarded a
fouryear contract to provide the SECAS role in September 2013.

Competent Independent
Organisation
Not to be confused with the Inept Prejudiced Organisation
(IPO), the Competent Independent Organisation (CIO) is
responsible for conducting security and privacy assessments
for DCC Users and SEC Parties wanting to become DCC Users.
In doing so, the CIO wears two hats:
User Independent Security Assurance Service Provider
(UISASP): Does the security assessments (against DCC
User obligations set out in sections G3 to G6 of the SEC)
for anyone using or wanting to use the DCC. (No, I dont
know how youre supposed to pronounce UISASP either.)
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Chapter2: Stakeholders

23

Independent Privacy Auditor (IPA): Conducts privacy

assessments (against SEC, section I2) for DCC Users with
a DCC User Role of Other User (OU).
The CIO is appointed by SECCo and, at time of writing, were
all waiting with bated breath to find out wholl get the job.

SEC Parties
Some industry participants (for example, suppliers and network operators) have licence obligations that require them
to sign up to the SEC. In doing so, they must register for
the DCC User Role(s) under which they intend to operate.
However, anyone with 450 to spare and a passing interest
in smart metering can become a SEC Party. If youre such
a person and youre toying with the idea of offering smart
meteringrelated goods or services, its a small price to pay
to gain access to a wealth of information. As of 15 May 2015,
there were 139 SEC Parties from 91 different organisations, as
shown in Table 2-1.

SMIP working groups

Too numerous to mention, a host of working groups, change
boards, design authorities, expert groups, subcommittees
and advisory groups contribute to the SMIP. Most will cease
to be at the end of transition, but some will endure by morphing into their enduring counterparts. I revisit the most notable
groups in Chapter8.

Table 2-1

SEC Parties as of 15 May 2015

Category

SEC Parties

Organisations

Large suppliers

23

Small suppliers

41

32

Electricity Network
Operators

20

10

Gas Network Operators

16

Others

39

33

Totals

139

91

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24

Smart Metering Implementation Programme For Dummies

Device manufacturers
Central to the whole SMIP are the manufacturers responsible for producing the smart devices that will be rolled out.
Because the build standards for these devices are regulated,
the government is obliged to notify the standards to the
European Commission under the Technical Standards and
Regulations Directive 98/34. This requirement, combined with
problems agreeing on the specifications in the first place, has
placed the availability of certified devices well and truly on
the SMIPs critical path.
Based on experience in the Foundation market (the smart
meters that have been, and are being, installed prior to DCC
Go Live see Chapter10), probably no more than a dozen
meter manufacturers will vie to provide devices for rollout
and not all will succeed in producing working devices in the
required timescales.

Smart Energy GB
Formerly known as the Central Delivery Board (CDB), Smart
Energy GB is a notforprofit organisation set up in 2013 with
the unenviable task of getting Joe Public excited at the prospect of getting a smart meter. Analogous to Digital UKs role in
promoting the switchover from analogue to digital TV, Smart
Energy GB is funded by the energy suppliers.
Smart Energy GB has settled on two cartoon characters (Gaz
and Leccy) to convey to the public the benefits of smart
metering. Digital UK had a cute silver robot with an unfeasibly large head, but Gaz and Leccy have the potential of being
infinitely more annoying. Smart Energy GBs selfproclaimed
role is to be the voice for the consumer at the heart of the
national smart meter programme. So if you havent heard of
them by the time you read this, either the programmes been
delayed again or theyre not doing a great job.

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Chapter3

Devices
In This Chapter
Getting to grips with smart devices
Understanding the differences between Type 1 and Type 2 Devices
Ensuring that smart devices work

smart meter rollout is a tad difficult to achieve without

an adequate supply of tested, reliable devices to install.
And the rollout doesnt only require smart meters. The engineer turning up to replace your meter will need an array of
smart devices in his or her kit bag. Several types of smart
device exist (for example, GSMEs, ESMEs, CHs, IHDs, PPMIDs
and HCALCSs), many of which come in different variants
(likesingle element, twin element and polyphase ESMEs). The
devices themselves will come from competing manufacturers but will need to work with each other, and all need to be
tested and certified. Sounds a bit confusing? Well, it is. And
its probably fair to say that availability of smart devices is
currently the greatest threat to the SMIP.
In this chapter, I have a look at the devices that sit behind the
acronyms and explain what theyre for. I try to get a handle on
why delivery of smart devices is on the SMIPs critical path,
and I finish up by looking at whos responsible for ensuring
that they work and how theyre going about achieving this.

SMETS and CHTS

Discussing smart devices without mentioning SMETS or CHTS
is virtually impossible, so heres a brief explanation of both.

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Smart Metering Implementation Programme For Dummies 

SMETS
The Smart Metering Equipment Technical Specification
(SMETS) is an industry document that defines the minimum
physical, functional, interface, data, testing and certification
requirements for smart devices wishing to connect to the
DCC. In the case of electricity and gas smart meters, SMETS
is also the yardstick that determines whether a meter needs
replacing by 2020. (If its SMETScompliant, it can stay.
Otherwise, it goes.)
SMETS comes in two flavours: SMETS1 and SMETS2. SMETS1 is
the minimum standard a Foundation smart meter must meet
to be eligible for adoption by the DCC (thats meters installed
and operated outside of the DCC and then brought into the
DCC fold some time later). Official figures from DECC put the
number of Foundation meters installed in GB domestic homes
at just over a million, as of 31 March 2015. I touch on adoption of Foundation meters again in Chapter10 but, clearly,
adoption cant happen until the DCC is live. SMETS2 applies to
smart devices that are installed and enrolled in the DCC from
the getgo.
Truth be told, theres not much between SMETS1 and SMETS2
meters in terms of functionality. The major differences are the
security model they use (see Chapter6) and their SM WAN
communications. Whereas SMETS2 devices communicate with
the DCC via Communications Hubs and SM WANs provided by
the Communication Service Providers (CSPs), SMETS1 devices
initially use Communications Hubs and SM WAN providers
chosen by the installing supplier. If the DCC deigns to take on
a SMETS1 meter, it will adopt the meters SM WAN communications contract and enroll the meter within its meter estate,
thus allowing DCC Users to communicate with it via the DCC
User Gateway Network as they would any other SMETS2
device.
SMETS is an important document for device manufacturers and suppliers alike as its one of the key measures that
determines whether a device gets to talk to the DCC.

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Chapter3: Devices

27

CHTS
The Communications Hub Technical Specification (CHTS) is
essentially the SMETS equivalent for Communications Hubs.
It sets out the minimum physical, functional, interface, data,
testing and certification requirements for Communications
Hubs to be procured by the DCC.
SMETS1, SMETS2 and CHTS figure prominently in the myriad
of industry documents (discussed in Chapter7) that underpins the SMIP. CHTS first emerged in July 2012 and has been
through 29 iterations to get to version 1.46, the latest version
at time of writing. SMETS2 has taken less than two years and
a mere 15 iterations to get to its current version 1.58. In contrast, SMETS1 has proved a veritable rock, first appearing in
December 2012 and only being reissued once (version 1.1,
published on 31 March 2014).

Smart Devices
Here are the smart devices that you may see appearing in
your home, hopefully sometime before 2020.

Communications Hubs
The Communications Hub (CH) has three key functions:
Establishing the Home Area Network (HAN) over which
smart devices within the home communicate with each
other.
Connecting to the Communication Service Providers
(CSPs) Smart Metering Wide Area Network (SM WAN)
over which the DCC communicates with the smart
devices.
Relaying messages to and from the gas meter (something
I explain in the later section, GSMEs and GPFs).
The first two of these tasks are performed by the
Communications Hub Function (CHF) component of the
CH whilst the latter falls to the Gas Proxy Function (GPF)
component.

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Smart Metering Implementation Programme For Dummies 

CHs are provided by the CSP, and each CSP provides its own
version incorporating its own preferred SM WAN technology.
So which CH you have installed in your home depends on
where you live:
If you live in Scotland or the north of England, youll be
getting an Arqiva CH.
If you live anywhere else, youll be getting a Telefnica CH.
Arqivas CHs come in a single, onesizefitsall variant, manufactured by EDMI. They communicate via an SM WAN that
uses longrange radio technology.
Telefnica has gone for a combination of cellular and mesh
technology to achieve their obligated SM WAN coverage. This
complicates things a little in that their CHs come in three
flavours: cellular, mesh and cellular/mesh. Cellular and cellular/mesh CHs communicate directly with the CSP over the
2G/3G mobile network. However, in areas with no mobile
coverage (estimated by Telefnica as less than 10 per cent),
Telefnicas mesh CHs use Radio Frequency (RF) mesh technology to pass messages to neighbouring mesh CHs until they
reach a cellular/mesh CH thats got access to the mobile network. The RF mesh network is referred to as a Neighbourhood
Area Network, or NAN for short.
Its up to an installing supplier to determine which type of
Telefnica CH to use depending on information provided
by Telefnica via the DCCs SelfService Interface (see
Chapter9). Toshiba and WNC are manufacturing Telefnicas
CHs, with Toshiba providing cellular, cellular/mesh and
mesh variants and WNC only providing a cellular variant.
Communications Hubs get their power via an Intimate
Physical Interface (ooh err, Missus!) so youll find them
snuggling up to the electricity meter.
CHs are owned by the DCC; therefore, suppliers dont need to
pay for them. They will, however, have to pay a fixed monthly
CH charge for each meter they access via a CH and also
charges for CHs held in stock or returned unused.

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Chapter3: Devices

29

Electricity and Gas Smart Meters

Any selfrespecting For Dummies guide aims to give its
reader the jargon essential to get by in the chosen topic. So
forget all thoughts of electricity and gas smart meters. From
now on, theyre ESMEs and GSMEs. ESME stands for Electricity
Smart Metering Equipment (Ill leave you to work out GSME as
a homework exercise).

ESMEs and ALCSs

ESMEs come in three flavours: single element, twin element
and polyphase.
Most of us will be getting a single element ESME, but those
of us with electricity storage heating are likely to need a twin
element ESME. Twin element ESMEs have two measuring
elements, which means that they can record the electricity
used for an auxiliary load separately from electricity used in
the rest of the home, allowing the supplier to apply different
tariffs for each. The most common example of auxiliary load is
electric storage heating where the electricity used for heating
is charged at a cheaper rate than that used to boil the kettle
or watch TV. In the future, auxiliary load may also include
heat pumps and electric vehicle charging.
Twin element ESMEs are also likely to incorporate up to
five Auxiliary Load Control Switches (ALCSs). As its name
suggests, an ALCS switches the auxiliary load on and off
according to a calendar held within the ESME that a supplier
can update remotely via the DCC. When switching auxiliary
loads, the ESME applies a randomised offset to prevent all
the houses in a particular area switching their heating on at
exactly the same time, thus blowing up the network. Suppliers
can also override the calendar remotely, switching the
heating circuit on or off on as required.
Twinelement ESMEs can also include a Boost function that
allows the customer to override the switching calendar and
activate the ALCS by pressing a button (for example, to turn
the heating on during the day during a cold snap).
The functionality of all ESME variants, the ALCS and the boost
function are defined in SMETS.

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Smart Metering Implementation Programme For Dummies 

ALCSs dont have to be built into an ESME. HAN Connected
ALCSs (or HCALCSs) are standalone devices that perform the
same function as an ALCS but can be installed on the HAN anytime. Think of them as ALCSs that have grown up and left the
ESME to make their own way on the HAN. Just bought an electric car and want to start home charging? No problem. ESMEs
are being futureproofed to support up to five HCALCSs.
Finally, polyphase ESMEs contain three measuring elements
and are used for larger customers (almost certainly non
domestic) on a threephase supply.
ESMEs can respond to the greatest proportion of Service
Request types of any device type, handling just over three
quarters of the 115 Service Request types.

GSMEs and GPFs

Compared to ESMEs, GSMEs are a bit simpler because
its a case of onesizefitsall, but GSMEs have their own
complexities.
Given the potentially disastrous consequences of mixing gas
and electricity and the often remote location of the gas meter
from any power supply, GSMEs must rely on power from a
battery for their entire life. This means that they spend most
of their time asleep, waking only every half hour to take measurements and respond to any commands that may have been
sent to them while they were snoozing. Because they spend so
much time asleep, GSMEs need a proxy to field any enquiries
and hold on to requests that arrive while theyre sleeping. The
Gas Proxy Function (GPF aka the gas mirror) is the GSMEs
permanent representative on the HAN and it lives within the
CH (the third function of the CH that I touched on earlier).
Like ESMEs, the functionality of GSMEs is defined in SMETS.
GSMEs can receive just over half of all Service Request types
(see Chapter5), with GPFs handling about a third.

Type 1 and Type 2 Devices

Getting up to speed with ESMEs, GSMEs, ALCs, HCALCs, CHs,
CHFs and GPFs is only part of the picture (see the preceding
sections). Unfortunately, thats not quite the end of it. You need

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Chapter3: Devices

31

to know about some more smart devices that fall into two categories, namely Type 1 and Type 2 Devices.
To understand what they are and how they differ, you need
to know about the security model that underpins GB smart
metering (which I discuss at some length in Chapter6).
In brief, some smart devices only talk to other devices that
theyve been introduced to whereas others are less discerning and will talk to anyone. Your discerning device is a Type
1 Device whereas its less discriminating cousin is a Type 2
Device.
Unlike Type 2 Devices, a Type 1 Device has a Device Log in
which it stores details of other devices with whom its allowed
to communicate. These details (which actually take the form
of Public Certificates, something that I discuss in detail in
Chapter6) allow the Type 1 Device to check that another
device is who it says it is. Only a suitably authorised DCC User
can update a Type 1 Devices Device Log and they do this by
sending a Service Request via the DCC. Type 1 Devices could,
therefore, be considered a bit snooty as they wont talk to any
other device without this formal introduction. Some devices,
on the other hand, are far more trusting and are happy to talk
to anyone. These more gregarious devices that dont have
Device Logs are called Type 2 Devices.
Clearly, Type 1 Devices are a bit more reliable than their less
discerning Type 2 brethren and, as a result, get to do more. A
capability that both Type 1 Devices and Type 2 Devices share
is the ability to access information stored in ESMEs, GSMEs
and GPFs. But what separates the men from the boys is that
Type 1 Devices also get to issue and execute HAN commands,
whereas Type 2 Devices dont. What this means is that Type 1
Devices get to do things whereas Type 2 Devices only get to
commentate on whats happening.
Although we dont refer to GSMEs, ESMEs, GPFs and CHFs
as Type 1 Devices, they look a lot like them, in that they get
to execute and issue HAN commands and have their own
Device Logs for storing the details of devices with which they
communicate.

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Smart Metering Implementation Programme For Dummies 

Type 1 Devices
Given the absence of GSMEs, ESMEs, GPFs and CHFs, the
category of Type 1 Devices is currently limited to HCALCSs
and Prepayment Interface Devices (PPMIDs). Ive talked a bit
about HCALCSs already (see the section ESMEs and ALCSs),
but its probably worth saying something about PPMIDs.
As youre no doubt aware, a prepayment meter is one that
requires customers to pay for energy in advance. Both ESMEs
and GSMEs can operate in prepayment mode. Suppliers are
likely to offer a whole range of different means of paying for
topups (for example, over the web, by phone and at the
corner shop) and, once paid, will apply the credit remotely
via the DCC.
However, topups can also be applied locally if, for some
reason, the remote topup fails. To do this, the customer has
to enter the Unique Transaction Reference Number (UTRN)
that theyre given at time of purchase directly into the ESME
or GSME. This isnt always that easy if the meters in the far
corner of the garage or buried under the stairs.
A PPMID is a device that allows customers to enter UTRNs into
ESMEs and GSMEs and, because its HANconnected and probably batterypowered, it can be located anywhere. In addition
to supporting local topups, a customer can also use a PPMID
to display prepayment related info, activate emergency credit
and (in the case of ESMEs) reenable supply if he or she goes
off supply having used up all their credit. PPMID functionality is defined in SMETS, including the ability to process their
meagre allocation of four Service Request types.
HCALCSs qualify as Type 1 Devices because they get to switch
auxiliary load on and off, whereas PPMIDs earn their Type 1
status by being able to add credit, activate emergency credit
and reenable supply. Like PPMIDs, only a handful of Service
Request types (eight, to be precise) are directed towards
HCALCSs and their functionality is defined in SMETS.

Type 2 Devices
Type 2 Devices, if you remember, cant do very much other
than access data in ESMEs, GSMEs and GPFs. So what are

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Chapter3: Devices

33

they for? Well, they can provide a wealth of near realtime

information to customers, as the following sections show.

In Home Displays (IHDs)

In addition to installing smart meters, suppliers are obliged to
provide customers with an In Home Display (IHD), assuming
they want one. The minimum functionality that an IHD must
provide is defined in the SMETS and includes:
Cumulative daily, weekly and monthly consumption and
its cost
Historic consumption
Tariff, balance and prepayment values
According to the government, its the IHD that will tell us how
much it costs to boil a kettle or microwave a chicken jalfrezi
and, thus, make us more energy savvy.

Customer Access Devices (CADs)

The other Type 2 Device in discussion is the Customer Access
Device (or CAD for short). This is (or, rather, will be) a
commercially available device that a customer can install on
the HAN to access the same data set available to an IHD. A
CAD provides the link between the regulated smart metering
HAN (or SM HAN) and a nonregulated customer HAN (or C
HAN). A minimum set of CAD functionality is expected to be
added to the SMETS, but has yet to materialise.
The C HAN is where you can expect to see exciting, innovative
energyrelated products and services developing; from energy
management systems and energy brokerage solutions through
to smart washing machines and dishwashers.
Imagine that instead of a cute cuddly toy, your switching site
of choice offered you a branded CAD that linked your SM HAN
to a cloudbased, realtime brokerage service via your home
ADSL router. No more filling in house type, number of bedrooms, the value of last months bills and the name of your
current supplier and tariff. The switching site now has continual access to your current and historic consumption and your
active tariff, and can proactively tell you when its time to
switch and to whom. With the prospective of a shorter, more
efficient switching process through centralised registration

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Smart Metering Implementation Programme For Dummies 

(see Chapter10), the CAD could also conceivably switch
supplier for you! Okay, probably not as good as a cuddly toy,
but nothing stops you providing your CAD embedded in, say,
a cute, cuddly meerkat (a meerCAD, perhaps?).

Hand Held Terminals (HHTs)

For completeness, I should also mention Hand Held Terminals
(HHTs), which may be used by suppliers to support meter
installations or configuration of meters in the absence of the
SM WAN. When submitting Service Requests over the DCC
User Gateway, suppliers can ask the DCC to return HANready
commands for local delivery via an HHT as opposed (or in
addition) to being sent over the SM WAN. Like CADs, the
SMETS is set to include a minimum set of HHT functionality,
but its yet to make an appearance.
Whereas most existing meters have some means of connecting an HHT (optical ports, for example), SMETS2 meters have
none (a facet of the endtoend security model). The intention is for HHTs to be able to communicate with the CH for a
period of one hour from the time the CH is first switched on
over a Personal Area Network (PAN) essentially, a proximity network. However, this InterPAN interface has yet to be
defined.

Testing Devices
The governments impact assessment for the national rollout
estimates the cost of smart devices to be a little under
5 billion, with installation costing another 1.6 billion. Based
on these figures, a 1 per cent failure of installed devices would
cost in the region of 66 million. Its essential, therefore,
that devices are subjected to adequate testing before being
installed in customers homes.

Types of testing
At least eight different types of testing can be applied to
devices five of which are mandated. Figure 3-1 summarises
these, including the drivers for undertaking the various types
of testing and the practitioners capable of providing them.
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Chapter3: Devices

35

Figure 3-1:Types of Device Testing.

Metrology testing
This is mandatory testing to ensure that ESMEs and GSMEs
are certified safe and fit for purpose. Safe and fit for purpose
translates into compliance with Schedule 7 of the Electricity
Act 1989 and its associated Statutory Instruments (for an
ESME), Section17 of the Gas Act 1986 (for a GSME) and the
European Measuring Instruments Directive (MID 2004/22/EC)
(for both).
Testing is conducted by an Ofgemappointed meter examiner (currently SGS (UK) Ltd) and, if successful, results in
the meter being listed in a statutory register of meter types
approved for use in the UK. After a model is approved, individual meters of that type can be tested and, once certified,
are sealed to secure the measuring elements of the meter
from tamper. This form of meter approval and verification has
been around for some time and applies to all meters (smart or
traditional), so its businessasusual for meter manufacturers.

Protocol testing
Protocol testing is also mandatory and ensures that a smart
device conforms to the communications protocols that it uses

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36

Smart Metering Implementation Programme For Dummies 

over the HAN and/or SM WAN. SMETS2 devices use a new
hybrid of ZigBee and Device Language Message Specification
Companion Specification for Energy Metering (DLMS/COSEM)
protocols as defined in the GB Companion Specification
(GBCS see Chapter7), so protocol testing means compliance
with the GBCS.
Four Authorised Test Service Providers exist for certifying
ZigBee products:
TRaC Global
China Electronics Standardisation Institute
National Technical Systems Inc.
'' VRheinland
TU
In contrast, any member of the DLMS User Association who
has purchased the DLMS Conformance Test Tool (CTT) can
do DLMS/COSEM testing. As such, most device manufacturers
do their own DLMS/COSEM protocol testing.
ZigBee and DLMS/COSEM testing is well established, but GBCS
compliance is new. Its likely, however, that GBCS testing will
emerge as an extension to the existing ZigBee testing services.
In an attempt to accelerate development of devices in the
absence of a DCC environment, the DCC has commissioned
Critical Software to modify a tool previously developed to validate GBCS (the unfortunately named GBCS Interface Testing,
or GIT for short). The modified tool, GIT for Industry (GFI) will
allow device manufacturers to generate gold standard GBCS
commands on a ZigBee HAN to which they can connect and
test their devices. By the time you read this, the first version
of this tool should have been released and we should be well
into a series of seven GBCS Test Events organised by the DCC
for budding device manufacturers to come along and test out
their devices against GIT.

Security testing
ESMEs, GSMEs, CHs and most Type 1 Devices (devices that
actually get to do things) need to be security certified under
CESGs Commercial Product Assurance (CPA) scheme. Type 2
Devices, which are essentially read only, dont need to be
CPA assured. Specific CPA Security Characteristics exist for

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Chapter3: Devices

37

each device type (ESME, GSME, CH and HCALCS) that set out
the features, testing and deployment requirements necessary
to meet CPA certification. These cover features such as:
Physical protection (detecting, logging and notifying
tampering, for example)
Message protection (authentication, integrity checking,
protection against replay and so on)
Protection of sensitive data (encryption and provision of
Privacy PINs)
PPMIDs, although designated as Type 1 Devices, are not subject to CPA testing by virtue of the fact that, although they get
to control supply, they can only enable it, not disable it.
CESGs website cites six CESGapproved CPA Test Labs (CGI
being one of them). Although the CPA Security Characteristics
for these devices are new, the CPA testing process is well
established.
CESG is a branch of the more famous Government Communi
cations Headquarters (GCHQ). It used to stand for Commu
nications Electronics Security Group but it now stands for the
National Technical Authority for Information Assurance (no
doubt they retained the CESG acronym to confuse the enemy).

Functional testing
ESMEs, GSMEs, PPMIDs, HCALCS and IHDs must be tested to
ensure that they meet the functional requirements set out in
SMETS. Similarly, the CSPs must demonstrate that their CHs
comply with CHTS functionality. SMETS functional testing is
new but is probably something that existing test houses will
want to offer. Whether therell be any accepted certification
scheme for this testing is another matter.

Interoperability testing
In this context, interoperability means the ability for a ESME,
GSME, CH or Type 1 Device to respond to commands received
from the DCC in accordance with GBCS (if you remember,
Type 2 Devices dont get to receive HAN commands, so this
type of testing doesnt apply to them). As with functional testing, interoperability testing is new. Unlike functional testing,

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Smart Metering Implementation Programme For Dummies 

it requires a DCC test environment and the ability to interface
with it. Wouldbe interoperability testers are, therefore, likely
to need to become DCC Users, or at least pass whatever entry
criteria the DCC chooses to mandate in order to gain access
to a DCC test environment.

Interchangeability testing
In this context, interchangeability means the ability for a
given device to work with any other device on the same HAN,
regardless of type, manufacturer, make, model or firmware
version.
Most devices are installed by suppliers, so when a customer
switches supplier, the new supplier may inherit devices that
are unfamiliar. If one of those devices fails, its the new suppliers responsibility to replace it, and this may well be with
a different make and model. The replacement device must be
compatible with the rest of the installed devices to avoid the
expense of replacing the lot.
As with interoperability testing, interchangeability testing is
new and likely to require a DCC test environment. Given the
need to test devices with every other type of device, its also
likely to require a very large and evergrowing permanent
collection of devices (a device zoo).

Accelerated life testing

Most smart devices have a life expectancy of at least 10
to 15years. Given the cost of a device (not to mention the
expense of a site visit to install it), a device must achieve
a ripe old age, preferably shuffling off its mortal coil via a
statutory meter change (replacement when its certification
expires). Because many of the devices that will be rolled
out are still on the drawing board, little evidence exists that
theyll achieve their dotage. As its name suggests, accelerated
life testing aims to exercise a device far in excess of normal
operating conditions, thus simulating the passage of time.

Endtoend testing
Though not specifically aimed at testing devices, devices will
play an essential part in a DCC Users endtoend testing (in
which the DCC User tests full operation of all their processes
from their back office systems right through to the customer).

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Chapter3: Devices

39

Mandatory or optional?
Table 3-1 summarises the eight types of device testing and
the device types to which they apply (M means Mandatory;
O means Optional).

Type of Testing

GSME

CH

PPMID

HCALCS

IHD/CAD

SMETS2 Device Testing

ESME

Table 3-1

Metrology

Protocol (ZigBee)

Protocol (DLMS/COSEM)

Protocol (GBCS)

Security (CPA)

Functional

Interoperability

Interchangeability

Accelerated life

Endtoend

M
M

Just because a device has been certified doesnt mean that

it wont need to be retested. Smart devices these days comprise both hardware and firmware, the latter being upgradeable remotely. Depending on the extent of the change, a new
version of firmware may require a new set of testing. And
dont forget that the life span of some certificates is less than
the anticipated life of the device (for example, CPA certificates
for a given product must be renewed every six years).
You can update the firmware in an ESME or GSME remotely
via the DCC. The process is as follows:
1. Distribute the new firmware in bulk. (To multiple
devices in a single command the only bulk Service
Request that the DCC supports.)
2. Activate the firmware in each device individually
using a different Service Request.

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Smart Metering Implementation Programme For Dummies 

Whos responsible?
With the exception of the CH (which is the responsibility of
the CSP), the responsibility for just about all other device
testing falls to the registered supplier. If the registered
supplier changes (that is, if the customer switches supplier),
the responsibility passes to the new supplier.

Why test?
The requirements for metrology testing are set out in the
Electricity and Gas Acts. SMETS defines the requirements
for protocol, security and functional testing. The Smart
Energy Code (SEC) not only requires a supplier to use SMETS
compliant equipment (section F3.4), but also requires them
to install interoperable devices (section F4.3). No regulatory
obligation exists to do any interchangeability, accelerated
life or endtoend testing, but most suppliers recognise the
commercial imperative for these.

Providing evidence of testing

Suppliers are ultimately responsible for ensuring that a
device has been adequately tested and for providing evidence
that this has been done, if requested to do so by the DCC.
However, this doesnt mean that they have to do the actual
physical testing. Its likely that the device manufacturers
will be required to provide evidence that their products
have been adequately tested before even making it onto a
suppliers shortlist.
Providing evidence is easy enough for testing where established testing regimes and certification processes exist (for
example, CPA Certificates for Security testing). But its a bit
more challenging where no such regimes and processes exist
(as is currently the case for functional, interoperability and
interchangeability testing).
In an ideal world, a supplier would insist on seeing a full set
of test certificates as a prerequisite to procuring a device.
In practice, these wont be available within the timescales
currently set out in the Joint Industry Plan and suppliers are
likely to make procurement decisions contingent on manufacturers achieving certification post contract signature.
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Chapter3: Devices

41

Smart Metering Device

Assurance
To address the absence of certification schemes for interoperability and interchangeability testing, the following bodies
came together and appointed Gemserv as the Smart Metering
Device Assurance (SMDA) scheme operator:
Energy UK, representing the suppliers responsible for
testing the devices
British Electrotechnical and Allied Manufacturers
Association (BEAMA), representing the device
manufacturers
Community of Meter Asset Providers (CMAP),
representing the device owners
Energy and Utilities Alliance, representing just about
everybody
The SMDA scheme operator is tasked with establishing an
independent assurance scheme covering interoperability and
interchangeability testing. This is likely to entail:
Developing a set of test specifications
Approving one or more test houses to conduct the tests
Awarding certification based on test output
Therefore, device manufacturers will likely need to add an
SMDA certificate to their bundle of certifications in order to
get on a suppliers shortlist.
That just leaves functional and accelerated life testing, neither
of which currently has an assurance scheme. Its conceivable
that functional testing may find its way into the SMDAs remit,
but accelerated life testing probably wont, so it will doubtless
fall to testing houses to come up with compelling accelerated
life testing propositions.
It would make a lot of sense for SMDA to add functional testing to its remit. Whilst much of a devices functionality will
undoubtedly be tested during endtoend testing, suppliers
will not be testing nonsupplier functionality such as that

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Smart Metering Implementation Programme For Dummies 

exclusive to network operators. Just because a supplier
doesnt have access to maximum demand registers doesnt
free them from their obligation to demonstrate that they
work. Far easier to give this to the SMDA scheme operator to
sort out.

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Chapter4

Messaging
In This Chapter
Distinguishing between different types of message
Mastering the mechanics of sending/receiving messages
Dealing with issues

any definitions of what constitutes a smart meter exist,

but perhaps the key feature that makes a smart meter
smarter than a traditional or Automated Meter Reading (AMR)
meter is its ability to support twoway communication. The
primary role of the Data Communications Company (DCC) is to
put in place the infrastructure to support this communication
between the smart devices described in Chapter3 and the DCC
Users described in Chapter2. This chapter is devoted to the
mechanics of sending messages over the DCC infrastructure.
Ill start with an apology. Theres no easy or entertaining way to
describe the workings of the DCC, so this chapters going to be
tough going. Its divided into two sections: the first introduces
the basics of DCC messaging using a dubious analogy and the
second section is devoted to the mechanics of sending messages. You may find the first section mildly entertaining but the
second is unavoidably complicated and inescapably dry. I suggest you get a strong coffee before proceeding any further.

Grasping the Basics

of DCC Messaging
Lets start with the basics. The messages that fly around
the DCC infrastructure divide into Service Requests, Service
Responses, Device Alerts and DCC Alerts. Commands sent by a
DCC User are called Service Requests and the replies that come
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Smart Metering Implementation Programme For Dummies

back are called Service Responses. Most Service Requests
are sent to devices but some can be satisfied by the DCC
itself (the latter referred to as nonDevice Service Requests or
DCCOnly Service Requests depending on which document you
read). Unsolicited messages from devices are called Device
Alerts and, not surprisingly, those from the DCC are called
DCC Alerts.
The DCC is a bit like the Royal Mail in that their job is to deliver
messages (Service Requests) from senders (DCC Users) to
recipients (devices) and vice versa (Service Responses/Alerts
from devices to DCC Users). They offer first class (ondemand)
and second class (scheduled, futuredated) services and
even a form of recorded delivery service (for Critical Service
Requests, which Ill come to in a minute).
However, the DCC and Royal Mail differ in that, in addition to
just delivering mail, the DCC also offers a oneway translation
service. DCC Users send Service Requests to the DCC in
something called DCC User Interface Specification (DUIS)
format. Devices, however, speak in a difficult Home Area
Network (HAN)ready dialect defined in a document called the
Great Britain Companion Specification (GBCS).
GBCS defines the language that devices need to speak if they
want to be supported by the DCC (more detail in the later
section Protocols). You may also hear the term HANready
messages. To all intents and purposes, these two terms are
synonymous.

A dubious analogy
Heres a tenuous analogy for how messages are sent and
received via the DCC, broken down into bite size pieces.
1. Imagine your daughter (a DCC User) has a pen pal
in Bratislava (a device in someones home) but her
Slovak leaves a bit to be desired. She writes a letter (a
Service Request) in English (DUIS) and posts it in the
nearest letterbox (her DCC User Gateway Equipment).
2. The new, improved Royal Mail (the DCC) collects
the letter from the post box (the DCC User Gateway
Equipment) and takes it to the sorting office (the Data
Service Provider DSP).

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Chapter4: Messaging

45

3. The DSP translates the letter from English (DUIS) into

Slovak (GBCS) and gives it to a thirdparty courier service (the Communication Service Provider CSP).
4. The CSP puts the letter on the plane, train or automobile (Smart Metering Wide Area Network SM WAN)
for delivery to your childs pen pal (the device).
5. On delivery to the pen pals house (the premise), the
pen pals mother (the Communications Hub) hands
out the post for the different members of the family
(devices on the HAN).
6. The pen pal (device) reads the letter and writes a
reply (a Service Response). He does this in Slovak
(GBCS his English is pretty ropey).
7. The pen pal passes the letter to his mum (the
Communications Hub), who sends it back via the courier (over the SM WAN) to the sorting office (the DSP).
8. Unfortunately, the sorting office doesnt offer a Slovak
toEnglish translation service, so they just send on the
reply (via the DCC User Gateway Network) in Slovak
(GBCS) to your child (the DCC User).
9. Fortunately, your child has downloaded the free
SlovaktoEnglish app (Parse & Correlate) provided by
the new, improved Royal Mail (the DCC) and uses this
to translate the reply (Service Response/Alert) into
English (DUIS).
Okay, as an analogy its a bit contrived, but the same could
be said about the workings of the DCC infrastructure. If it all
sounds rather complicated, thats because it is, but I try to
explain it in a bit more detail in the remainder of this chapter.

Service Requests/Responses
As I explain in Chapter3, any smart device with aspirations of
connecting to the DCC has to conform to a set of standards. So
no matter what make or model, all DCCconnected devices of a
given type offer a common set of functionality that allows the
DCC to offer a single, common set of Service Request types to
DCC Users. This set of Service Request types has grown over
time. During the initial round of DCC procurement, a mere
62 existed. By the final round of procurement, this had grown
to 83, and were now at 115.
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Smart Metering Implementation Programme For Dummies

Service Request Variants

One of the reasons for the increase in the number of Service
Requests is the need to align DUIS commands with GBCS
commands. This has frequently resulted in splitting Service
Requests into a number of Service Request Variants, each
mapping onto a single GBCS command that delivers a subset
of the functionality of the parent Service Request. For
example, Service Request 4.11 Read Tariff is now the proud
parent of two strapping Service Request Variants, namely
4.11.1 Read Tariff (Primary Element) and 4.11.2 Read Tariff
(Secondary Element). However, not all Service Requests have
decided to start a family: 6.11 Synchonise Clock, for example,
has shown no inclination towards parenthood.
At time of writing, 83 Service Request types exist, 20 of which
have children (or Service Request Variants). These 20 Service
Request parents have 52 Service Request Variants between
them (giving us 115 Service Requests/Service Request
Variants in total).
You may well come across the terms Service Reference and
Service Reference Variants. These terms refer to the numbers
used to identify Service Request types and Service Request
Variant types. A twopart Service Reference (such as 4.11)
is used for a Service Request type whilst a threepart Service
Reference Variant (such as 4.11.1) is used for a Service
Request Variant type.

Critical and NonCritical

Service Requests
As with life, not all Service Requests are born equal. Critical
Service Requests are those that if compromised could result
in loss of supply, financial fraud or could compromise the
security of the receiving device. In contrast, compromise
of NonCritical Service Requests is considered relatively
harmless. A little under a third of all Service Request types
and Service Request Variant types are designated as Critical.
You may also come across the term Supply Sensitive Service
Request. This is a special case of a Critical Service Request that
if it were to be executed on the relevant device, could affect
(either directly or indirectly) the quantity of gas or electricity
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Chapter4: Messaging

47

that is supplied to a consumer at premises, to quote the

Smart Energy Code (SEC). In other words, it could turn the
lights off (and/or the cooker). Before you send one of these,
you need to have done a Supply Sensitive Check (although no
one seems to be entirely sure what this is meant to entail).
Due to their elevated status, Critical Service Requests get
special treatment:
1. As with all Service Requests, a DCC User submits a
Critical Service Request to the DCC in DUIS format.
2. Having translated the Critical Service Request into
GBCS, the DSP sends it back to the DCC User as a Pre
Command rather than sending it on to the device.
3. The DCC User checks that the DSP hasnt accidentally
or maliciously changed the contents during translation
and, providing the DSPs done its job correctly, digitally signs the GBCS payload in a way that enables the
receiving device to authenticate the message has come
from the DCC User and hasnt been tampered with en
route (I cover signing and authentication in Chapter6).
4. The DCC User sends the PreCommand (now a Signed
PreCommand) back to the DSP, who sends it on to the
device, adding its own signature.
5. The device can now check that the Critical Service
Request has indeed come from the originating DCC
User via the DSP.
The DCC requirements for P&C include a minimum requirement to support 34 transactions per second and a promise of
scalability. Most large DCC Users are likely to far exceed this
volume, so early testing of Parse and Correlates scalability is
advisable.

Sensitive Messages
Having DCC Users check the work of the DSP aims to avoid
the DSP becoming a single point of failure. While on the subject of the untrustworthiness of the DSP, I should mention
sensitive messages. Sensitive isnt a defined term in the SEC
but is widely understood to describe data thats deemed to be
personal to a customer under the Data Protection Act (DPA).

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Parse and Correlate

You may have noticed that the process for handling Critical Service
Requests assumes that DCC Users
are au fait with GBCS (or fluent in
Slovak, in my analogy). How else
can they check that the DSP has
done its translation job correctly?
This is where Parse and Correlate
(P&C) comes in. Its an application provided to DCC Users free of
charge by the DCC and it has two
functions:
Translating the GBCS payload of
Service Responses and Device
Alerts received from devices
into DUIS
Checking PreCommands by
translating them back into
DUIS and comparing them with
the original Critical Service
Request

Ah, but if the DCC provides P&C,

isnt it marking its own homework?
I hear you cry. Well, the DCC has a
Smart Energy Code (SEC) obligation
to ensure that P&C is procured from
an organisation independent of the
DSP (who handles the daytoday
translation of Service Requests into
GBCS) and to make P&C available to
DCC Users if requested to do so.
In line with this obligation, the DCC
has commissioned Critical Software
to develop P&C. DCC Users arent
obliged to use the DCCprovided P&C
and are at liberty to buy an alternative
or develop their own. But because
the DCCs internal costs include
development costs for P&C (making
P&C effectively free to DCC Users),
were unlikely to see a proliferation
of P&C manufacturers.

For example, how many showers you have a day, when you
choose to have them, how long you shower for and any debt
youve run up due to your excessive showering may all be
deemed to be of a personal nature. This type of information
should be available to those who need to know (your psychiatrist, perhaps), but it shouldnt be available to the world at
large. In this context, the world at large includes the DCC and
its service providers.
For this reason, SMETS2 devices are required to encrypt sensitive data prior to transmission in such a way that only the
intended recipient can decrypt it (more on this in Chapter6).
However, not all data collected by smart devices is deemed sensitive. Export data, for example, isnt. Neither is any data relating to power quality (for example voltage and reactive power).
A little over 10 per cent of Service Response types are deemed
to contain data thats sensitive and requiring encryption.

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Chapter4: Messaging

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Understanding the Mechanics of

Sending/Receiving Messages
As a DCC User, you have access to a subset of 115 Service
Requests, 91 Device Alerts and 40 DCC Alerts, depending
onyour DCC User Role(s). Whatever your DCC User Role,
youhave access to at least one Service Request, Device
Alertand DCC Alert, and need the ability to process each
message type. In some cases, you have no choice in the
way you process a message. In others, you can select the
timing and even the order youd like messages to be sent
andexecuted.

Modes of Operation
The main purpose of the DCC is to deliver messages
betweenDCC Users and devices. Like most carriers, the
DCCoffers a range of delivery services, called Modes of
Operation. There are nine Modes of Operation in total (as
illustrated in Figure 4-1) but you dont always get to choose
which Mode of Operation is used. For example, theres a
DCCOnly Mode of Operation for sending DCCOnly Service
Requests (those destined only for the DCC). Similarly, there
are Modes of Operation for receiving DCC Alerts and Device
Alerts.

Figure 4-1:Modes of Operation.

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The major decision you have to make when choosing which
Mode of Operation to use is when you want a Service Request
to be executed. The choices are:
As soon as possible (using the On Demand Mode of
Operation)
At some specific time in the future (using the Future
Dated Modes of Operation)
On a recurring basis (using the Scheduled Modes of
Operation)
Not all Modes of Operation are supported for all Service
Request types. The most available is On Demand, which can
be used with 86 per cent of Service Request types. By contrast, the DCC Only Mode of Operation applies only to the
13per cent of Service Request types that are DCC Only.

Future dating
Where future dated execution is permissible, the way in which
its supported may differ depending on the type of Service
Request:
In the Future Dated (Device) Mode of Operation, the
device is responsible for remembering what its supposed to do and when. The DCC sends a Future Dated
(Device) Service Request to the device and the device
acknowledges it by sending back a Service Response,
as with any other Service Request. It then executes the
Service Request at the appropriate time, generating a
set of Device Alerts in the process. Devices are able to
support future dating for 11 per cent of device Service
Request types.
In the Future Dated (DSP) Mode of Operation, the DSP
takes responsibility for remembering what to do and
when. At the appropriate time, the DSP generates a
Service Request on behalf of the DCC User and sends
it to the device. As far as the device is concerned, it
thinks its received an On Demand Service Request and
responds accordingly, sending a Service Response back
to the originator of the Future Dated Service Request.
The Future Dated (DSP) Mode of Operation can be used
with 48 per cent of device Service Request types.

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Chapter4: Messaging

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When executing a Future Dated (Device) Service Request, a

device may actually perform many individual operations, each
of which generates a response. This means the originator is
likely to be bombarded with a multitude of unsolicited Device
Alerts, all relating to a single Future Dated (Device) Service
Request. Its the originators responsibility to sort these
out and decide whether the Future Dated (Device) Service
Request was successful or not. To make this (slightly) easier,
the DSP labels each response as x of y where y is the total
number of expected responses.

Scheduling
The Scheduling Modes of Operation work in a similar way to
future dating:
In the Scheduled (Device) Mode of Operation, the
device holds the schedule and periodically generates
Device Alerts at the appointed times. Only one Service
Request type supports the Scheduled (Device) Mode of
Operation, and thats the one that sets up a billing calendar on the device, which the device then uses to send
back Billing Data Log files (as Device Alerts) to allow the
supplier to periodically bill the customer.
In the Scheduled (DSP) Mode of Operation, the DCC
User can instruct the DSP to set up a schedule (using a
specific DCCOnly Service Request type) and the DSP
then takes responsibility for generating Service Requests
of the specified type at the appointed times on behalf of
the DCC User (a bit like the Future Dated (DSP) Mode of
Operation, but on an ongoing basis). Thirteen per cent
of device Service Request types can be set up as DSP
schedules.

Transforming
I should also mention the Transform Mode of Operation,
which is a special type of DCC Only Mode of Operation used
for the third of all device Service Request types that are designated as Critical. A DCC User uses the Transform Mode of
Operation to instruct the DSP to translate a Critical Service
Request and return it in GBCS format as a PreCommand.
Having checked the PreCommand using Parse and Correlate
(P&C see the earlier sidebar), the DCC User signs it (thus
elevating its status to that of a Signed PreCommand), before
sending it back to the DSP for delivery via the DCC Users

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chosen Mode of Operation (On Demand or Future Dated
(DSP), for example).
If you elect to use future dating and/or DSP scheduling, the
DCC keeps an eye on things for you and generates a DCC Alert
to let you know if the device fails to respond at the expected
time (see the later section Error Handling).

Command Variants
Like Modes of Operation, Command Variants tell the DSP
how a DCC User wants a message to be sent. There are
eight Command Variants to choose from but, like Modes of
Operations, you dont always have a choice. For example,
there are dedicated Command Variants for sending DCC
Only Service Requests and transforming Critical Service
Requests.
The only decision you have to make when selecting a Command
Variant is the route youd like the message to take when sending
a Service Request to a device. The choices are simple:
You can send the message via the DCC over the SM WAN.
You can have the DCC return the message to you and
then deliver it in person via a Hand Held Terminal (HHT
see Chapter3).
You can do both (get the DCC to send the message over
the SM WAN and return it to you for local delivery).
All devicebound Service Requests can be sent over the SM
WAN but only 85 per cent are available for local delivery.
Regardless of which option you go for, the DCC still translates
the message into a HANready command and applies the
required security signatures (which I attempt to explain
in Chapter6). Table 4-1 outlines the full set of Command
Variants and the number of Service Request types that are
eligible to use them.
There is, in fact, a ninth Command Variant, introduced in
DUGIDS v0.8.1, but this is only used by the DSP for DSP
Scheduled Service Requests and isnt visible to DCC Users.

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Description

Non Critical Service Request sent to

device over SM WAN

Non Critical Service Request returned for

local delivery

Non Critical Service Request sent to

device over SM WAN and returned for
local delivery

Transform of Critical Service Request into

Pre Command

Critical signed Pre Command sent to

device over SM WAN

Critical signed Pre Command returned for

local delivery

Critical signed Pre Command sent to

device over SM WAN and returned for
local delivery

DCC Only Service Request

CV

Table 4-1

Sync (S) or
Async (A)?

Critical?

Command Variants

Returned to
DCC User?

Send over
SMWAN?

15

24

25

33

33

60

60

67

# Service
Requests

Chapter4: Messaging

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The reason for having Command Variants that support local
delivery of Service Requests is to allow DCC Users to communicate with their devices in the absence of the DCC and its SM
WAN. A supplier, for example, may want to install devices in a
premise located in an area for which the CSP has yet provide
SM WAN coverage. In this instance, the supplier may want to
turn up with a set of preprepared HANready commands on
an HHT and use these to install the devices. However, this
approach has its own problems.
Suppliers intending to install smart devices using locally delivered Service Requests have the following options, each of
which is problematic:
Pregenerate the complete set of Service Requests
required to install a set of smart devices back in the
office ahead of the site visit. This restricts you to installing a specific set of devices at a specific premise so, if the
customer isnt home, youre left with a load of boxes cluttering up your van. And worse still, if one of the devices
is faulty, you may be left with a partial installation since
you cant simply pull another device out of the van.
Generate the locally delivered Service Requests in the
field at time of installation. You dont have the issues of
pregenerating, but you do require reliable remote connectivity with the back office systems that communicate
with the DCC over the DCC User Gateway.
DECC is consulting on whether suppliers should be allowed to
proactively install and leave (that is, install smart meters in
areas where they know that SM WAN coverage isnt yet available). If this is prohibited, locallydelivered Service Requests
will only be required for reactive install and leaves (premises
where expected SM WAN coverage has gone AWOL for some
reason at time of installation).

Protocols
When talking about the SMIP, it would be remiss (even in a For
Dummies Guide) not to at least mention the subject of protocols. In this context, a protocol is the language used to converse with devices and systems, and, like real languages, there
are many. Despite this being a GB smart meter rollout, the
SMIP has ended up using an array of languages (a reflection,

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Chapter4: Messaging

55

no doubt, of our multicultural society). For those whose eyes

are already glazing over, there are really only two protocols
that you need to worry about:
DCC User Interface Specification (DUIS): What you use
to talk to the DSP over the DCC User Interface. It sets
out the format of Service Requests, Service Responses,
DCC Alerts and Device Alerts and is delivered using XML
(short for Extensible Markup Language, probably the one
protocol that most people have heard of). Although fine
for sending messages from DCC Users to the DCC, its far
too verbose for talking to devices.
GB Companion Specification (GBCS): The language of
devices and what the DSP converts DUIS into before
sending messages over the SM WAN. Unlike the more
verbose DUIS, GBCS is short and to the point and better
suited to communicating with lowpower devices.
Sometimes also referred to as HANready protocol, GBCS
is actually an amalgam of various existing industry
standard protocols plus a few SMIPspecific bits thrown
in (see Breaking down the GBCS). Its the DSPs job to
decide which of these dialects are required depending on
the type of Service Request and the receiving device.
These two protocols are defined in two SEC Subsidiary
Documents of the same name (see Chapter7). A third SEC
Subsidiary Document, the Message Mapping Catalogue (MMC),
tries to stitch these two documents together (that is, map
DUIS Service Requests to GBCS commands).
Service Responses and Device Alerts from devices are
generated in GBCS protocol. However, as highlighted in my
analogy, the DSP only translates Service Requests from DUIS
to GBCS, so its up to the DCC User to use P&C to translate the
GBCS payloads contained in Service Responses and Device
Alerts back into DUIS. P&C produces its DUIS output in XML.

Sequencing
Another service offered by the DCC is Sequencing. This allows
a DCC User to fire off a whole load of Service Requests at the
same time, specifying the order in which they should be processed. The DCC then takes responsibility for ensuring that
theyre executed in the specified order.

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Breaking down the GBCS

GBCS comprises a number of existing and new protocol standards:
ZigBee: An international protocol designed for lowpower
devices in the home to communicate with one another. Named
after the waggle dance that bees
perform after returning to the
hive, ZigBee is based on another
international standard, IEEE
802.15.4. ZigBee is typically used
where data rates are low, battery
life requirements are long and
networking needs to be secure.
Just to complicate matters, the
SMIP has opted to use three different dialects of ZigBee:
ZigBee Smart Energy (ZSE),
which is specific to smart
metering
ZigBee Cluster Library (ZCL),
which is more generic
ZigBee Over The Air (OTA),
which is used for firmware
updates
DLMS COSEM: (or Device
Language Message Specification
Companion Specification for
Energy Metering, to give it its full

title) is one of the international

protocols traditionally used to
communicate with electricity
smart meters. Trouble is, its a
bit verbose and not well suited
to smart gas meters with limited
battery life (hence the need for
ZigBee).
GBZ (DLMS): This is a weird
combination of ZSE and DLMS
COSEM specific to the GB SMIP
(hence the GB in the title).
PPMID: This is another weird
combination of ZSE and DLMS
COSEM to enable communication between a Gas Smart
Metering Equipment (GSME)
and a Prepayment Interface
Device (PPMID see Chapter3).
This new protocol is required
because both devices can be
batterypowered and, hence,
asleep when the other attempts
to communicate with it.
X.509: This is an international
standard that supports the implementation of the various flavours
of Public Key Infrastructure
(PKI see Chapter 6) used by
the SMIP.

To specify a sequence, you need to set the First In Sequence

flag in the header of the first Service Request in the sequence
and the Preceding Sequence Request IDs in subsequent Service
Requests in the sequence. The last Service Request in the
sequence is either the last one to have a Preceding Sequence
Reference ID set or the 99th Service Request in the sequence
(the maximum number allowed), whichever comes first.

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Chapter4: Messaging

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Unfortunately, sequencing cant be used for all Service

Requests. Sequences mustnt include transformations of
Critical Service Requests into Pre Commands, submission of
DCC Only or DCC Scheduled Service Requests, gas Service
Requests that return sensitive data or Service Requests to be
delivered locally.
Why sequence? Although entrusting a schedule to a device or
the DSP makes eminent sense, think carefully before making
use of the DCCs scheduling service. Firing off a batch of
sequenced Service Requests is all very well if everything goes
to plan, and may well enable you to outsource responsibility for orchestrating Service Requests. However, in addition
to the restrictions on the Service Request types that youre
allowed to sequence, be prepared to sort out the ensuing
mess if the DCC notifies you that things have gone pear
shaped (which they do via an N14 Sequence Request Failure
DCC Alert or an N15 Sequenced Request Received Out of
Order DCC Alert). The error handling required to do this may
well be more complicated than orchestrating the sequence in
the first place!

Message IDs
One things for certain, a lot of messages are going to be passing through the DCC. In order to keep track of them all, every
Service Request, Service Response, DCC Alert and Device
Alert is required to have a unique Message ID and, in order
for it to be unique, Message IDs are big numbers. I mean really
big. A Message ID is a concatenation of three parts:
Business Originator ID: A Globally Unique Identifier
(GUID) that uniquely identifies the sender of the message.
Business Target ID: A GUID that uniquely identifies the
messages recipient.
Originator Counter: A value thats numerically greater
than the Originator Counter that the sender has previously
used in any messages sent to that particular recipient.
Globally Unique Identifiers are 64bit identifiers that use the
Institute of Electrical and Electronics Engineers (IEEE) 64bit
Global Identifier (EUI64) standard. In the context of the SMIP,
GUIDs are used to uniquely identify DCC Users and devices
across GB smart metering.
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Once translated into GBCS, Message IDs also include a
Command Response Alert (CRA) Flag which denotes whether
the ID relates to a Service Request (C), Service Response
(R) or Alert (A). However, DCC Users dont get to see this.
Take the example of a DCC User sending a Service Request
to a device. The DCC User generates a Service Request ID
comprising its own GUID (the Business Originator ID), the
devices GUID (the Business Target ID) and an Originator
Counter larger than the one they last used when sending a
Service Request to that particular device. When responding,
the device generates a Service Response ID comprising its
own GUID (the Business Originator ID), the DCC Users GUID
(the Business Target ID) and the same Originator Counter that
was used in the Service Request ID (thus allowing the DCC
User to match Service Response and Service Request).
Recycling Service Request Originator Counters in Service
Responses doesnt mean that devices are let off the hook in
terms of maintaining Originator Counters. Anyone or anything
that wants to send an unsolicited message needs to be able to
generate a Message ID, which means they need to maintain an
Originator Counter. This includes devices generating Device
Alerts and the DSP generating DCC Alerts, DSP Future Dated
Service Requests and DSP Scheduled Service Requests.

Protection against replay

When a DCC User communicates with a specific device, the
Business Originator ID and the Business Target ID dont change
but the Originator Counter must always increase. Well, thats
not strictly true. The need for an Originator Counter to constantly increase applies only to certain Service Request types:
those that require protection against replay. These are Service
Requests for which the safety of the civilised world depends
on ensuring that theyre not processed more than once. Thats
almost exactly half of device Service Request types. The obvious example is applying credit to a meter in prepayment mode
but other examples include updating the meters debt and balance, disabling supply and updating security credentials.
Another point to note is that Originator Counters dont need
to be maintained for each individual recipient. For example, a
DCC User could choose to hold a single Originator Counter and
update it every time they send a Service Request, regardless
of the intended device. Devices dont insist on contiguous
Service Request Identifiers, just ones that get bigger.
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Chapter4: Messaging

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When generating multiple Service Requests of the same type

and of a type that requires protection against replay, you
need to ensure that theyre sent in the right order and that
receipt of each is confirmed before sending the next. Life
gets even more complicated when sending combinations of
Future Dated (DSP) and On Demand commands because an On
Demand Service Request generated after having sent a Future
Dated Service Request but before the execution date time of
the Future Dated Service Request will cause the Future Dated
Service Request to be rejected!

UTRN Counter
The most significant 32 bits of the Originator Counter are
reserved for something called a UTRN Counter.
UTRNs (or Unique Transaction Reference Numbers, to give
them their full title) are the smart replacement for the 50p
pieces that you used to have to shove into prepayment
meters. In the new smart world, if your smart meter is operating in prepayment mode, you buy credit from your supplier
(via channels such as the web, phone, PayPoint or a PayZone)
and your supplier sends a UTRN to your meter to top it up.
Your supplier also provides you with a copy of the UTRN on
your receipt so that, in the unlikely event that the UTRN fails
to arrive via the SM WAN, you can enter the 20 digit number
locally, either directly into the meter or via the Prepayment
Interface Device (PPMID see Chapter3) if youve been provided with one.

Running out of Message IDs

DCC Users are going to be sending
millions of messages so isnt there
a danger that theyll use up their
Originator Counters? Well, thats
extremely unlikely to happen.
Like the Business Originator ID
and the Business Target ID, the
Originator Counter is a 64 bit
i nteger. The m

aximum number
that you can hold in a 64 bit integer
is 9,223,372,036,854,770,000. The

estimated age of the universe

is 13.7 billion years, or roughly
432,043,200,000,000,000 seconds. So,
if youre an extremely keen early
entrant to the market and youve
been generating 20 Service Requests
a second since the Big Bang, youd
only just be getting a little worried about running out of numbers
(although youd still have 923 million
years to find a solution).

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When sending the Service Request to credit your prepayment
meter, your supplier increments the UTRN Counter (the most
significant 32 bits of the Originator Counter). For all other
Service Requests, they increment the least significant 32 bits.
The maximum number you can hold in a 32 bit integer is a mere
2,147,483,647, which means if you were sending 20 Service
Requests a second, this counter would only last 3.4 years.
But never fear. Every time the supplier sends a prepayment
topup and increments the UTRN Counter, they reset the
least significant 32 bits and your 3.4 years starts again. Ah,
but what if my supplier doesnt operate prepayment meters?
I hear you cry. Well, if the least significant 32 bits of the
Originator Counter do ever get used up, youre allowed to
start using the most significant 32 bits.
Oh, and the whole Originator Counter held on a device is also
reset when a Known Remote Party updates their security credentials on that device, which happens on change of supplier
or at least every 10 years (more on this in Chapter6).
Thats almost certainly more than you ever wanted to know
about Message IDs, but its probably worth mentioning too
that a DCC User needs to use the same Service Request ID for
a Critical Service Request and its corresponding Signed Pre
Command.

Sequence Diagrams
Not to be confused with Sequencing (see the earlier section),
Sequence Diagrams are a useful pictorial representation of
the endtoend processing required for messages of different types. There are nine Sequence Diagrams in total and the
choice of which to use depends on a combination of
The type of message (Device Command, DCC Only
Command, Device Alert, DCC Alert)
Whether its Critical and/or Sensitive
Whether the sender of the message is known to the
device (I explain what this means in Chapter6)
Whether or not the message is scheduled

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Chapter4: Messaging

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After youve made the correct choice, the Sequence Diagram

tells you in a stepbystep way what actions you need to take
to process the message.
Sequence Diagrams are immensely useful, so its disappointing that they didnt make it into DUIS when it was translated
from the DCC User Gateway Interface Design Specification
(DUGIDS see Chapter7). Fortunately, they can still be found
in DUGIDS even if their status has been relegated to that of
for guidance only.

Getting technical
So how do you actually send stuff to the DCC and get stuff
back? Well, the technical implementation of the DCC User
Interface is via web services, three to be precise:
Transform web service: A synchronous interface for transforming Critical Service Requests into PreCommands.
DCC Only web service: A synchronous interface for
sending/receiving DCC Only Service Requests/Responses
and/or HANready commands for local delivery via an
HHT.
Send Command web service: An asynchronous interface
for sending NonCritical Service Requests or Signed Pre
Commands to devices.
In addition, a DCC User needs to provide their own Receive
Response web service for receiving Service Responses and
Alerts.
The DCC User Gateway accepts Service Requests or Signed
PreCommands as XML documents submitted using an HTTP
POST command. Similarly, the Receive Response web service
provided by the DCC User needs to accept POSTed data.
Thats probably enough technical stuff for a For Dummies
guide. For more info, go read the DUGIDS.

Coping When Things Go Wrong

Hard to believe, I know, but not everything is going to work
perfectly all of the time. Smart meters are notoriously fickle
and can object to garage doors being raised or trucks being
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parked nearby. DCC Users systems may not be 100 per cent
reliable, and the DCC itself may have the odd off moment
(indeed, its 99.95 per cent availability target equates to more
than four hours of off moments over the course of a year).

Error handling
So what happens if the DCC fails to deliver a Service Request?
Well, it retries at least once the number and frequency of
retries depend on the nature of the Service Request. However,
by the time it sends you back an N12 DCC Alert informing you
that its failed to deliver the message, you can be sure that its
tried pretty hard.
Even having successfully delivered a Service Request, the DCC
doesnt just forget about it. If it doesnt see a corresponding
Service Response, it tries sending the Service Request again,
and only when this doesnt elicit a response does it send you
a N13 DCC Alert to inform you of the failure.
Similarly, if youve sent off a Future Dated (Device) Service
Request, the DCC keeps tabs on it for you and informs you if
the expected response doesnt materialise (via an N10 DCC
Alert). If its a Future Dated (DSP) Service Request, the DCC
tries to resend the Service Request at least once before
letting you know of the failure (via an N11 DCC Alert). The
same applies for Scheduled (DSP) Service Requests (although
youre on your own as far as Scheduled (Device) Service
Requests are concerned).
And in the extremely unlikely event that your own systems
are down when the DCC tries to send you something, it tries
again in five minutes and keeps trying for two days before
giving up.

Anomaly detection
Anomaly detection is really part of the SMIP endtoend security model and, as such, you may have expected to find it in
Chapter6. However, it doesnt involve any cryptography and
is very much involved in the logistics of sending/receiving
messages, so I may as well cover it here.

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Chapter4: Messaging

63

The DCC has a SEC obligation to provide an anomaly detection service on incoming Service Requests, Service Responses
and Alerts. What this means is that the DCC looks for suspicious transmission patterns where excessive numbers of messages of a given type are being sent or received. If it detects
such behaviour, it will
1. Initially notify the DCC User in question.
2. Quarantine (hold on to) future messages of that type
for subsequent release or deletion by the affected DCC
User if the problem continues unabated.
The DCC operates two levels of anomaly detection:
The first is across all DCC Users and is to protect the
overall DCC service.
The second level is DCC Userspecific and operates
against thresholds notified to the DCC by the DCC Users,
themselves.
Anomaly detection thresholds are defined by Service Request
Variant and can be set as a percentage of total expected
monthly volume or as an absolute number. Both the DCC and
DCC Users are only obliged under the SEC to define anomaly
detection thresholds for Critical Service Requests and Service
Requests that return sensitive data, but both are also at
liberty to define anomaly detection thresholds for other types
of Service Request Variant.
Anomaly detection thresholds could change over time. For
example, a supplier putting up their prices for all their customers may need to temporarily increase the anomaly detection thresholds for the 1.2.1 Update Price (Primary Element)
and 1.2.2 Update Price (Secondary Element) Service Requests.
Unlikely, I know, but it could happen.
Communication of anomaly detection thresholds, notification
of quarantined messages and instructions to release/delete
quarantined messages is via an outofbounds interface with
the DCC (so not via the DCC User Gateway).

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Chapter5

Messages
In This Chapter
Cataloguing Service Requests
Classifying DCC Alerts
Compartmentalising Device Alerts
Considering rolebased access control

hereas Chapter4 describes some of the nuts and bolts

involved in sending and receiving messages, this
chapter focuses on the different types of messages that can
be sent and received:
Service Requests and their Responses
DCC Alerts
Device Alerts

I finish up by looking at how these message types map onto

DCC User Roles (whos allowed to do what).
If a Technical Stuff alert could be applied to an entire chapter,
it would certainly apply to this one. If youre going to be getting your hands dirty orchestrating Service Requests, Service
Responses, DCC Alerts and Device Alerts, this is the chapter
for you. If youre not, you have been warned.

Service Request Types

At time of writing 83 Service Requests exist, 20 of which have
an additional 52 Service Request Variants between them.
Thats 115 commands in total, divided into 12 categories
based on what theyre for (as summarised in Table 5-1).
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Table 5-1 Service Requests/Service Request Variants

Service

No. of SRs

No. of SRVs

Product Management (PMS)

Prepay (PS)

Customer Management (CMS)

Reading (RS)

15

17

Scheduling (SS)

Device Management (DMS)

19

20

Supply Management (SMS)

12

Device Estate Management (DEMS)

13

11

Customer Consent (CCS)

Firmware (FS)

Pre Device Installation (PDIS)

Record Network Data (RNDS)

Total

83

52

Based on DUGIDS v0.8.1.

Heres a quick guided tour of the categories and what

theyrefor.

Product Management
The five Service Requests and four Service Request Variants
that make up the Product Management Service are used to
update the tariff and/or price held on a gas or electricity
smart meter. As such, this category of Service Request is
available only to import suppliers (thats Import Supplier (IS)
and Gas Supplier (GS) DCC User Roles which correspond to
electricity and gas suppliers, respectively). This category also
includes Service Requests for import suppliers to
Change the payment mode in which the meter is
operating(from credit to prepayment or vice versa).
Update a meters balance including its debt registers.

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Chapter5: Messages

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Prepay
The four Service Requests that comprise the Prepay Service
are available only to import suppliers (IS, GS) and are used to
manage gas and electricity smart meters operating in prepayment mode. This includes
Updating prepayment configuration (including emergency credit thresholds, debt recovery rates and non
disablement calendars).
Updating debt registers.
Activating emergency credit.
It also includes a Service Request for applying credit to meters
by sending Unique Transaction Reference Numbers (UTRNs).

Customer Management
The Customer Management Service comprises five Service
Requests that allow import suppliers (IS, GS) to manage the
customerfacing aspects of a smart meter. This includes
Displaying messages to the customer.
Restricting access to historic data following a change of
tenancy.
Clearing event logs.
Updating the name of the supplier displayed on the
meter (following a change of supplier).
Disabling privacy PINs set by the customer.

Reading
With 15 Service Requests and 17 Service Request Variants,
the Reading Service is the second largest category of Service
Requests. It contains Service Requests for reading the various
measurements recorded by gas and electricity smart meters,
including
Consumptionrelated data (instantaneous, daily, profile
reads and Billing Data Log files).

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Exportrelated data (instantaneous, daily and both active
and reactive profile reads).
Tariffrelated stuff (tariffs, Time Of Use/Block matrices,
Block Counters, meter balances).
Prepaymentrelated stuff (instantaneous and daily reads,
debt payments, credits and prepayment configuration).
Networkrelated stuff (active import power reads, active/
reactive import profile reads, network data, maximum
demands and load limits).
All DCC User Roles, with the exception of Registered Supplier
Agents (RSAs), have access to the Read Service, the subset
of Service Requests to which they have access depending on
their role.

Scheduling
The Scheduling Service comprises three DCC Only Service
Requests for creating, reading and deleting DSP schedules
(see Chapter4). These are available to all DCC Users with the
exception of Registered Supplier Agents (RSAs).

Device Management
The 19 Service Requests and 20 Service Request Variants that
make up the Device Management Service make it the largest
category of Service Requests. It comprises Service Requests
for reading and updating device configurations to which DCC
Users have access, depending on their DCC User Role:
Import suppliers (ISs and GSs) can perform a number of
functions including
Synchronising a meters clock.
Configuring its alert behaviour.
Updating the security certificates that it holds.
Setting the billing calendar that a meter uses to
generate periodic, unsolicited billing reads.

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Chapter5: Messages

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Setting the import supply point with which a meter

is associated.
Reading the devices make and model, and its
security and event logs.
In addition, ISs can set load limits, power thresholds
and auxiliary load parameters, and GSs can set gas
conversion and flow rates.
Export Suppliers (ESs) can read details of the make,
model and device ID of the electricity meter and its
associated supply point, and set its export supply point.
Network operators, thats Electricity Distributors (EDs)
and Gas Transporters (GTs), can
Read how a device has been configured (by
themselves or the import supplier).
Configure their own device alerts.
Read the devices event and security log.
Update their own keys on the device.
Read the devices make, model and device ID.
In addition, EDs can set and reset maximum demand
registers and read and update voltage thresholds.
RSAs can read the devices configuration and its event
and security logs.
Other Users (OUs) are restricted to reading the devices
make, model and device ID.

Supply Management
The 12 Service Requests that comprise the Supply Manage
ment Service allow an import supplier (IS, GS) to remotely
manage the energy at a consumer premises (enable/disable
supply and, in the case of ISs, control auxiliary loads).
Network operators (EDs and GTs) can read the supply status
from the meters, as can RSAs. OUs get to read the configuration data relating to Home Area Network Connected Auxiliary
Load Control Switches (HCALCSs) and Auxiliary Load Control
Switches (ALCSs) and to read the details of any boost buttons
present (see Chapter 3).

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Device Estate Management

The common characteristic shared by the 13 Service Requests
and 11 Service Request Variants that comprise the Device
Estate Management Service is that theyre associated with
getting devices into or out of DCC service. This includes
Commissioning/decommissioning of devices.
Joining/unjoining devices to/from the Home Area
Network (HAN).
Opting nondomestic meters into or out of DCC service.
In addition, Service Requests exist for updating the DCCs
Inventory and notifying the DCC of the plight of Communica
tions Hubs (installed and connected/not connected to the
SM WAN or returned to the DCC due to a fault or some other
reason).
In terms of who gets access to Device Estate Management
Service Requests,
Import suppliers (ISs, GSs) get access to everything.
Export Suppliers (ESs), network operators (EDs, GTs)
and RSAs only get to read and update the DCC Inventory.
In addition to reading and updating the DCC Inventory,
OUs also get to join and unjoin Type 2 Devices (for example, Customer Access Devices (CADs) see Chapter3).

Customer Consent
The Customer Consent Service comprises a single Service
Request that OUs can use to request a Customer Identification
Number (CIN) for confirming the identity of a customer. On
receipt of the request, the DCC generates a random fourdigit
number, sends this over the SM WAN to be displayed on the
meter and also returns it to the requesting OU. The OU can
then ask the customer to provide the CIN to verify he is who
he says he is.

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Chapter5: Messages

71

Firmware
The three Service Requests that comprise the Firmware
Service are for import suppliers (ISs and GSs) to update and
activate new versions of firmware on gas and electricity smart
meters. In addition, import suppliers, network operators,
RSAs and OUs are able to read the current version of firmware
running on a meter.

Pre Device Installation

The Pre Device Installation Service comprises two Service
Requests that are available to all DCC Users:
The first allows a DCC User to find out whether
theres Smart Metering Wide Area Network (SM WAN)
coverage for a given address and, if so, what variant of
Communications Hub (CH) should be used in that area.
The second is for notifying the DCC Inventory of devices
that are to be installed at some point in the future.

Record Network Data

The Record Network Data Service comprises a single
Service Request available only to GTs to initiate recording
of gas consumption data at six minute intervals over a four
hour period in a gas smart meter. Too much detail? Lets
move on.

DCC Alert Types

At time of writing, 40 different DCC Alert types exist. Table 5-2
categorises the DCC Alerts according to function.

Power Outage
This solitary DCC Alert is sent to the import supplier (IS) and
the Electricity Distributor (ED) when a CH has detected a loss
of mains power at a customers premises of three minutes or
more in duration. This is the fabled last gasp which has got
EDs mildly excited.
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Table 5-2

DCC Alerts

Category

DCC Alerts

Power Outage

AD1

Device Status Change Event

N1, N2, N8, N9, N16, N28, N29

DSP Schedule Removal

N4, N5, N6, N17, N37

Command Failure

N3, N7, N10, N11, N12, N13, N14,

N15, N33, N34, N35, N36, N38

Firmware Distribution Failure

N18, N19, N20, N21, N22, N23

Update HAN Device Log Result

N24, N25

Change of Supplier

N26, N27

Device Log Restored

N30, N31

CHF Post Commissioning

Incomplete

N32

PPMID Alert

N39

Based on DUGIDS v0.8.1.

At time of writing, there was some debate as to exactly when

a power outage DCC Alert (AD1) is generated. Originally
thought to be three minutes after loss of supply, it transpires
that it may be as long as 13 minutes following a loss of supply
before Telefnica sends some AD1s.

Device Status Change Event

As the name suggests, these seven DCC Alerts notify DCC
Users of changes to the status of Devices resulting from
commissioning, decommissioning, suspension, restoration or
change of identity (in terms of the supply point to which the
device is associated). This includes notification that the DCC
has automatically removed a device from the DCC Inventory
thats been notified for more than a year but has never been
installed.

DSP Schedule Removal

These five DCC Alerts notify DCC Users of the removal of DSP
Schedules that theyve previously set up. This could be due to

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Chapter5: Messages

73

a change of tenancy, a change of supplier, a device optout or

a device being withdrawn or decommissioned.

Command Failures
These 13 (unlucky for some) DCC Alerts notify DCC Users of
problems with the execution of Service Requests. As the large
number of DCC Alerts in this category suggests, there are
many reasons why a Service Request could fail. These include:
Cancellation of Future Dated (DSP) Service Requests: In
response to a change of tenancy, change of supplier, opt
out, withdrawal or decommissioning
Sequencerelated failures: Either the failure of a
sequenced Service Request or a failure to receive a preceding Service Request in the sequence
Authorisation failures: Failure of a DSP Scheduled or
Future Dated (DSP) Service Request because the originating DCC User is no longer authorised to issue the Service
Request
General Service Request failures: Missing Future Dated
(Device) Service Responses and failures of DSP Schedule,
Future Dated and On Demand Service Requests (see
Error Handling in Chapter4)

Firmware Distribution Failure

These six DCC Alerts are for notifying import suppliers (ISs
and GSs) of problems related to firmware updates. Problems
include validation failures when loading firmware images
and errors passing firmware updates to the Communication
Service Providers (CSPs).

Update HAN Device Log Result

These two DCC Alerts notify DCC Users of successful and
unsuccessful attempts to update a CHs Device Log (something that needs to be done when adding or removing a device
on the HAN).

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Change of Supplier
There are two change of supplierrelated DCC Alerts, both
of which are sent to import suppliers (IS or GS). One notifies
a losing supplier that their security credentials have been
replaced with those of the gaining supplier following a change
of supplier (the DUIS equivalent of a Dear John letter). The
other notifies an import supplier that their Service Request
has failed due to the fact theyre no longer the registered
supplier for the meter.

Device Log Restored

These two DCC Alerts notify import suppliers (IS or GS) of the
successful restoration of a CHs Device Logs upon replacement of said CH. The two DCC Alerts relate to the CHs two
Device Logs one relating to the Communications Hub
Function (CHF) and the other to the Gas Proxy Function (GPF).

CHF Post Commissioning

Incomplete
This solitary DCC Alert notifies tardy import suppliers that
theyve failed to meet their obligation to replace device
Certificates within the allotted sevenday period following
installation (you learn all about Certificates in the Chapter6).

PPMID
This solitary DCC Alert is used by the DSP to forward Device
Alerts from Prepayment Interface Devices (PPMIDs) to import
suppliers (ISs and GSs). This is necessary because PPMIDs
can be shared across the IS and GS who may not necessarily be the same supplier and the PPMID cant, therefore, get
away with holding a single set of supplier Certificates (see
Chapter6). To get around this, the DSP acts as a trusted intermediary, forwarding all PPMID Device Alerts to the appropriate recipient(s).

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Chapter5: Messages

75

Device Alert Types

At time of writing, there are 126 mandated Device Alert types
(866 if you include the optional ones!). Before getting into
what theyre all for, its probably worth looking at the different types of Alert that a device can generate.
Destination: Not all Device Alerts are sent to DCC Users.
Some only make it as far as the devices log or, possibly,
as far as the Home Area Network (HAN) in order to notify
other devices that somethings happened. A total of 91
Device Alert types make it as far as DCC Users.
Payload or no payload: All Device Alerts include an
alert code and a timestamp but some contain additional
information. For example, a supply restoration Device
Alert contains the times of the interruption and
subsequent restoration. Of the 91 Device Alerts sent to
DCC Users, about 15 per cent carry a payload.
Critical or noncritical: Like Service Requests, not all
Device Alerts are born equal. Some are considered more
important than others. Those relating to supply, financial
or security matters are deemed Critical and must be
digitally signed by the device (this applies to a little over
40 per cent of the 91 Device Alerts sent to DCC Users).
Sensitive or nonsensitive: Only one Device Alert carries
a payload thats deemed to be sensitive and thats the
Billing Data Log Updated Device Alert. Its sensitivity is
due to the fact that it contains consumption information
which is considered personal data under the Data
Protection Act.
As to what theyre all for, Ive grouped the 91 Device Alerts
received by DCC Users into the 12 categories listed in Table 5-3.

Access Control
These three Device Alerts are used by the device to notify
import suppliers (ISs and GSs) of authentication failures (the
device doesnt recognise the supplier) or attempts to instigate
commands by those not authorised to do so.

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Table 5-3

Device Alerts

Category

No. of Device Alerts

Access Control

Battery

Clock

Command Confirmation/Failure

(De)Commissioning

Firmware

Billing Data Log

Prepayment

SMKI

Supply Enablement/Disablement

16

Tamper

Voltage

48

Total

91

Based on DCC MMC v0.8.1.

Battery
These three Device Alerts are sent to gas import suppliers
(GSs) in response to problems with the battery of a gas smart
meter.

Clock
This solitary Device Alert is sent to import suppliers (ISs
and GSs) in response to an unsuccessful attempt to adjust a
meters clock.

Command Confirmation/Failure
These three Device Alerts are sent to import suppliers (ISs
and GSs) to notify successes and failures in executing HAN
commands.

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Chapter5: Messages

77

(De)Commissioning
These two Device Alerts notify import suppliers (ISs and GSs)
of successfully commissioned devices and devices that have
successfully joined the HAN.

Firmware
These two Device Alerts are used to notify import suppliers
(ISs and GSs) whether or not a device has successfully
validated a new set of firmware.

Billing Data Log

This is the one single Device Alert that contains a sensitive
payload. Its generated by a meter according to the Billing
Calendar set up by the meters import supplier (IS for an
electricity meter, GS for a gas meter). When generating
the Device Alert, the meter encrypts the sensitive payload
(namely, the consumption data) in such a way that only the
receiving import supplier can decrypt it.

Prepayment
These four Device Alerts notify import suppliers (ISs and GSs)
of prepaymentrelated events such as
Credit being added to a meter locally
Credit falling below the configured low credit and
disablement thresholds
Activations of emergency credit
Prepaymentrelated Device Alerts will give suppliers much
greater visibility of how many customers selfdisconnect
through lack of credit, how often this happens and for
how long. Some network operators are concerned that the
improved visibility of power outages provided by power
outage and restoration alerts could lead to a tightening of
Ofgem incentives relating to Customer Minutes Lost (CML).
Suppliers should be equally concerned that improved visibility
of selfdisconnections may lead to more incentives in this area.

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SMKI
This Device Alert notifies DCC Users of a successful update
of Certificates held by the device to authenticate messages it
receives (see Chapter6).

Supply Enablement/Disablement
These sixteen Device Alerts inform import suppliers (ISs and
GSs) and network operators (EDs and GTs) of
Planned supply disablement and enablement
Restoration of unplanned supply outages
Supply loss and reenablement following a load limit
breach

Tamper
These seven Device Alerts inform import suppliers (ISs
and GSs) and network operators (EDs and GTs) of different
flavours of unauthorised physical access to the meter (such
as removal of a battery cover, meter cover or terminal cover,
or the presence of a strong magnetic field).

Voltage
By far the largest group, these 48 Device Alerts are sent
to EDs to notify of voltagerelated events such as the average Root Mean Square (RMS) voltage going above or below
thresholds that have been preconfigured by EDs using Device
Management Service Requests. Again, its not inconceivable
that greater visibility of voltage problems could allow Ofgem
to focus incentives in this area.

RoleBased Access Control

Another way to look at Service Requests, Service Responses,
DCC Alerts and Device Alerts is to consider who gets to do
what. The DUIS defines which Service Request and DCC Alert
types each DCC User Role is allowed to access, and the GB

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Chapter5: Messages

79

Companion Specification (GBCS) does the same for Device

Alerts. Table 5-4 shows the number of Service Request types,
DCC Alert types and Device Alert types available to each DCC
User Role.

Table 5-4 Service Requests/DCC Alerts/Device Alerts

by DCC User Role
DCC User Role

Service Request
Types

DCC Alert
Types

Device Alert
Types

IS

101

37

27

GS

78

37

27

ES

16

18

ED

33

23

68

GT

21

23

RSA

15

13

OU

22

Dual Fuel
111
Supplier (IS, GS,
ES, OU)

19

38

32

Based on GBCS v0.8.1.

As Table 5-4 shows, access to DCC Services varies significantly between different DCC User Roles.

Energy suppliers
The average import supplier (IS and GS) has access to more
than three times as many Service Request types as a network
operator. Theres very little a supplier cant access in terms
of smart functionality and data. (The notable exceptions are
configuration of voltage thresholds and maximum demand
registers.) Export Suppliers (ES) are largely restricted to using
exportrelated functionality and, other than RSAs, have access
to the least number of DCC Services.

Network operators
Network operators (EDs and GTs) are mainly restricted to
reading information from devices including
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Consumption and export
Networkrelated data (voltage, reactive power, maximum
demand and so on)
What load limiting, if any, has been configured by the
supplier
Their only Critical Service Request is for changing their
Organisation Certificate (more on this in Chapter6), and the
only other things they can change on the meter are voltage
thresholds and alert behaviour.

Registered Supplier Agents

Registered Supplier Agents (RSAs) have the most restricted
access to DCC Services of any DCC User Role. They can
Read meter configurations, event and security logs.
Read supply status and firmware versions.
Prenotify devices to the DCC.
As Chapter2 discusses, this meagre set of Service Requests
doesnt allow an RSA to install a meter without direct intervention from the registered import supplier and the RSA
DCC User Role appears to be aimed primarily at Meter Asset
Providers (MAPs) monitoring the health of their assets.

Other Users
Other Users (OUs) get to read
Profile data (active import, reactive import and export)
Daily consumption
Tariffs
Device and auxiliary load configurations
Firmware versions
OUs also get to add Type 2 devices to the HAN (for example,
they can offer a binding service for Customer Access Devices
see Chapter3).

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Chapter6

EndtoEnd Security
In This Chapter
Deciphering cryptography
Picking over PKI
Knowing about Known and Unknown Remote Parties
Recovering when everything goes pear shaped

ecurity by design has been the mantra of the SMIP since

the getgo, and if you spend any time around the pro
gramme, you wont be able to avoid talk of Public/Private Key
Pairs, Message Authentication Codes, Smart Metering Key
Infrastructures, Certificates and Certificate Signing Requests.
In GB Electricity Industry For Dummies, smart meter security
received three paragraphs, concluding that the SMIP security
model probably warranted a For Dummies guide in its own
right. Here, it gets a whole chapter (but still probably war
rants its own guide).
Very few of us aspire to be security experts, but security is
such a driver within the SMIP that a basic understanding of
how the endtoend security model works is probably worth
having. That said, feel free to bail out of this chapter when
ever you like!
Not only is the security model unique to the SMIP, a case
could be made for it being the primary reason for the pro
grammes delay. Changes to the security model relatively late
in the procurement cycle, combined with the move to a new
hybrid version of cryptography, has led to delays in agreeing
the protocols to be used by devices, documented in the GB
Companion Specification (GBCS). Consequentially, this has
delayed the production of the devices themselves.

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Rethinking the Security Model

While the Department of Energy and Climate Change (DECC)
were in the throes of procuring the Data Communications
Company (DCC), Data Service Provider (DSP) and Communi
cation Service Providers (CSPs), CESG (the Communications
Electronics Security Group, a.k.a. the National Technical
Authority for Information Assurance, the governments secu
rity experts) took a belated interest in the programme and
insisted on a major change to its security model.
Prior to their interest, much faith had been placed in the DSP
as custodian of the cryptographic keys required to communi
cate with all devices. In simple terms, DCC Users told the DSP
what theyd like to do, and the DSP was responsible for telling
the device over a secure connection. This did mean, however,
that the DSP was a single point of failure. If the DSP was ever
compromised (for example, externally hacked or attacked by
a disgruntled employee), then every device was also poten
tially compromised.
To remove this single point of failure, CESG insisted on an
alternative endtoend security model in which DCC Users were
made responsible for securing communications all the way
from their back office systems to the device, effectively relegat
ing the DSP to a delivery mechanism. Under this system:
A device knows about individual DCC Users and is able
to authenticate that the messages it receives have come
from someone it trusts.
DCC Users know about individual devices and are able to
authenticate that messages come from a known device.
This knowledge of one another comes through the sharing of
cryptographic keys that are used to sign, authenticate and,
where necessary, encrypt messages sent between DCC User
and device.

Cryptography
Before going any further, you need a basic knowledge of
cryptography. The security experts among you will want to
skip this section. (As may the nonsecurity experts.)
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Chapter6: EndtoEnd Security

83

Cryptography comes from the Greek words krypts, meaning

hidden, secret, and graphein, meaning writing, and is the
practice and study of techniques for secure communication in
the presence of third parties. Cryptography can be used for
Encryption: Encoding a message so that only authorised
parties can read it.
Authentication: Proving that a message is from whom it
says its from.
Ensuring integrity: Proving that the message hasnt been
tampered with in transit.
This is done using a combination of cryptographic keys and
algorithms. To explain, I enlist the help of Alice, Bob and Eve,
three fictional characters frequently used in cryptographic
circles to explain how cryptography works. Suppose Bob
wants to send Alice a secret message, but Eve is a third party
trying to eavesdrop... .

Symmetric cryptography
In symmetric cryptography, the same key is used to encrypt
and decrypt (analogous to a single key used to lock or unlock
a door hence symmetric). It requires both the sender (Bob)
and recipient (Alice) to possess the same cryptographic key.
If Bob wants only Alice to be able to see the message, he
encrypts it using his copy of their shared symmetric key, and
Alice decrypts the message using her copy of the key.
If Bob wants Alice to be able to authenticate the message
(prove that the message is from him and no one else) and
ensure its integrity (that it hasnt been interfered with by Eve
in transit), he can take a portion of the message (a socalled
hash), encrypt this using the shared symmetric key and attach
the result (called a Message Authentication Code or MAC for
short) to the message itself before sending it on to Alice. On
receipt, Alice recalculates the MAC using the received mes
sage and her copy of the symmetric key. If the recalculated
MAC matches the one attached to the message, Alice knows
that the message can only be from Bob (because Bob is the
only person who has a copy of their shared key) and that
it hasnt been tampered with by Eve in transit (if it had, the
MAC calculated using the corrupted message wouldnt have
matched the MAC that it came with).
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Symmetric keys work well and have been used in smart
metering for some time, but they do have one major problem.
For symmetric cryptography to work, Alice and Bob need to
share the same symmetric key. How then do they exchange
these keys without them falling into the unsavoury hands of
Eve? This is where asymmetric cryptography comes in.

Asymmetric cryptography
In asymmetric cryptography, encryption and decryption are
performed using separate keys: a Public Key and a Private Key.
As its name suggests, the Public Key is made public (you can
shout it from the rooftops) but the Private Key is kept secret.
For those interested, the Private Key comprises two really big
prime numbers (numbers only divisible by themselves and 1).
The Public Key is the number you get when you multiply
these two really big prime numbers together.
The clever bit is that data encrypted using the Public Key can
only ever be decrypted by the Private Key and, conversely,
data encrypted using the Private Key can only ever be
decrypted using the Public Key (an ironic bit of symmetry in
asymmetric cryptography).
So Alice generates two very large prime numbers, multiplies
them together and publishes the result as her Public Key, but
keeps the two very large prime numbers (her Private Key)
secret. As its name suggests, Alice can publish the Public Key
to the world.
Now when Bob wants to send Alice a secure message, all he
needs to do is look up Alices Public Key, use it to encrypt
the message and, bingo, he has an encrypted message that
only Alice can decrypt using her Private Key. Similarly, if Alice
wants to prove that shes the sender of a message and that it
hasnt been tampered with in transit, she can encrypt a hash
of it using her Private Key and add it to the message, and Bob
can authenticate Alice as the sender by decrypting the hash
with Alices Public Key. Clever, huh?
The asymmetric equivalent of a MAC is a called a digital
signature. Digital signatures include the name of the hashing
algorithm used in generating the signature.

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Clearly, if Eve had a big enough computer and enough time,

she could work out Alices Private Key by trial and error
(a process called factoring in which she multiplies every possi
ble combination of prime numbers until she finds the two that
were used to generate Alices Public Key). However, factoring
is very timeconsuming and gets harder the larger the prime
numbers are. The prime numbers used in Private Keys tend to
be very large, making it computationally infeasible for them
to be factored.

Asymmetric versus symmetric

cryptography
The major advantage of asymmetric cryptography over
symmetric cryptography is that Bob and Alice no longer
need to exchange keys other than Public Keys, which are,
well, public. The major disadvantage is that asymmetric
cryptography requires more processing power. This isnt a
problem for your average computer these days, but it does
present a challenge for a smart meter, especially a gas meter
thats required to eke out its 10 to 15 year life on the power
of a single battery. For this reason, smart metering has
traditionally used symmetric cryptography, which requires
less processing power.
Symmetric cryptography was fine when smart meters werent
that smart and only tended to provide meter readings.
However, meters are getting smarter and can now be used to
remotely switch load, disable supply, change tariff and add
credit. Compromise of these critical messages (called Critical
Service Requests see Chapter4) could lead to loss of power,
financial fraud or security breaches.
For this reason, the SMIP has gone for a hybrid asymmetric/
symmetric security model that uses
Asymmetric cryptography for authenticating and integ
rity checking of Critical Service Requests, and for authen
tication between the DCC and its users.
Symmetric cryptography for the authentication and
integrity checking of more mundane messages and the
encryption of sensitive data.

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Asymmetric cryptography trumps symmetric cryptography in
that anyone can authenticate and integrity check an asymmet
rically generated digital signature because you only need the
message and the senders Public Key. A MAC, however, can
only be authenticated by the intended recipient (the person
with the shared symmetric key). Allowing multiple parties to
authenticate the same message has its advantages. Say a DCC
User makes a change to a smart device that the DCC would
like to know about and record in their Inventory. Assuming
the device has signed its Service Response asymmetrically,
both the DCC User and the DCC can authenticate that the
Service Response has come from the expected device, allow
ing both to update their systems accordingly.
Another major advantage of asymmetric cryptography is
that it solves the key distribution challenge facing symmetric
cryptography. Thanks to some cryptographic magic, Bob
and Alice can combine their own Private Key with the others
Public Key to generate a common symmetric key that they
can then use for authentication, encryption and integrity
checking.
Very clever! I hear you exclaim. But why bother? Why not
use the asymmetric keys themselves? Well, if you remember,
encrypting or decrypting something using symmetric keys is
less cryptographically strenuous than using asymmetric keys,
whereas the overhead of generating symmetric keys using
asymmetric key pairs is relatively low.
So a device can digitally sign the really important stuff
(Critical Service Responses and/or Alerts) using its asymmet
ric key and sign less important stuff by generating MACs using
a symmetric key generated from its asymmetric key. This judi
cious use of both asymmetric and symmetric cryptography is
what gives the hybrid security model its name.
The cryptographic magic that allows two Public/Private Key
Pair owners to generate a common symmetric key (often
referred to as a shared secret) is even cleverer than it first
appears. By introducing some information taken from the
message, a different symmetric key is generated for every
message. The use of so called onetime shared secrets makes
this process even more secure.

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The SMIPs security model insists on separate Public/Private

Key Pairs for digitally signing messages and for generating
shared symmetric keys. The former is the Digital Signing
Public/Private Key Pair and the latter is called the Key
Agreement Public/Private Key Pair. Theres also a separate
Key Agreement Public/Private Key Pair for generating Unique
Transaction Reference Numbers (UTRNs see Chapter4).
Theyre all asymmetric cryptographic key pairs, just used for
different purposes.
Like DCC Users, devices need to hold separate Key Agreement
and Digital Signing Public/Private Key Pairs. When kicking a
device to regenerate its Public/Private Key Pairs (which, as a
supplier, you have a Smart Energy Code (SEC) requirement to
do within seven days of installing a meter), dont forget to tell
it which one to regenerate.

Public Key Infrastructure (PKI)

Being able to ensure that a message has come from the owner
of a specific Public/Private Key Pair is great so long as you
know who the owner is. With the computing power available
these days, anyone can generate a pair of large prime
numbers. So how do you know that the DCCs Public Key
really is the DCCs Public Key and doesnt belong to someone
pretending to be the DCC?
This is where a Public Key Infrastructure (PKI) comes in. Its a
means of binding Public Keys to user identities by means of a
trusted third party known as a Certificate Authority (CA). The
binding is achieved through a registration and issuance pro
cess:
1. A wouldbe Public/Private Key Pair owner registers
with a CA by providing a sufficient proof of identity.
2. When the CAs convinced that the party is who they
claim to be, they issue a Certificate that incorporates
the Public Key within a set of Credentials that affirm
the identity of the owner and that of the issuer.
The Infrastructure in PKI refers to all the hardware, software,
people, policies and processes needed to create, manage,
distribute, store and revoke these Certificates.

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Certificates and Public Keys are two different things. A Public
Key is the number you get when you multiply together the
two very large prime numbers that make up a Private Key.
A Certificate is issued for a Public Key to bind it to an iden
tity and incorporates the Public Key itself, together with
information about its owner and the issuer of the Certificate.
Certificates are also sometimes referred to as Credentials.

PKI Roles
In its simplest form, a PKI comprises:
A Root CA: A trusted third party who can authenticate
one or more Issuing CAs.
An Issuing CA: The party responsible for issuing
Certificates.
A Registration Authority (RA): The party responsible
for receiving Certificate Signing Requests (CSRs) from
Subscribers (those wishing to prove ownership of a
Public/Private Key Pair) and verifying the Subscribers
identity.
A CA Repository: A store of all the Certificates that have
been issued by the Issuing CA.
Heres the process:
1. The RA receives a Certificate Signing Request (CSR)
from a Subscriber (someone wanting to be able to
prove that a Public Key belongs to them) and verifies
that the Subscriber is who they say they are.
2. The RA passes the CSR on to the Issuing CA, who
issues a Certificate to the Subscriber and places a
copy of the Certificate in the CA Repository so that
anyone interested in authenticating or checking
messages from the Subscriber can get hold of the
Subscribers Public Key.
RAs can also receive Certificate Revocation Requests (CRRs)
from Subscribers if they need to revoke a Certificate (in the
event of a key compromise, for example). This results in the
status of the Certificate being updated in the CA Repository
to reflect its revocation and the Certificate being added to a

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Certificate Revocation List (CRL) thats periodically sent out to

all Subscribers.
PKIs are commonplace and the chances are you use one every
day. That little padlock that appears in your browser when
youre making an online purchase, for example, is an indicator
that youre in the presence of a PKI.

SMKI, DCCKI and IKI

Sounding suspiciously like a trio of lovable Disney characters,
these are actually all different flavours of PKI used within
theSMIP:
Smart Metering Key Infrastructure (SMKI)
Data Communications Company Key Infrastructure
(DCCKI)
Infrastructure Key Infrastructure (IKI)
Theyre PKIs, and so they all comprise a Root CA, Issuing CA,
RA and CA Inventory. Figure 6-1 attempts to explain what
theyre all for.

Smart Metering Key Infrastructure (SMKI)

The SMKI is used for authenticating messages sent between
parties within the SMIP. That could be a DCC User authen
ticating an alert from a device or the DCC authenticating a
Service Request from a DCC User. Authentication could use
Digital Signing SMKI keys or symmetric keys generated using
Key Agreement SMKI keys, depending on whose doing the
signing and what it is theyre signing. SMKI keys will also prob
ably be used to digitally sign the registration files exchanged
between the Registration Data Providers (RDPs) and the DCC
(see Chapter2).
The SMKI has separate Root CAs and Issuing CAs for
Organisation Certificates: Used to identify DCC Users.
Organisation Certificates are obtained by manually
accessing the SMKI Portal.
Device Certificates: Used to identify devices. Device
Certificates can be obtained manually via the SMKI Portal
or via a web service and/or file interface.
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Figure 6-1:IKI, SMKI and DCCKI.

CSRs can also be submitted for both Organisation and Device

Certificates via an Internet version of the SMKI Portal for Non
Gateway Suppliers (see Chapter2).
Three types of Organisation Public/Private Key Pairs exist.
The Digital Signing Key Pair is used for signing messages,
whereas the two sets of Key Agreement Key Pairs (one for
general use and one for generating UTRNs) are used to create
shared secrets (symmetric keys for MACing and encryption).
Installing suppliers have a SEC obligation to instruct a smart
meter to regenerate its Public/Private Key Pairs within seven
days of installation. When actioning this Service Request,
the device returns a CSR for its new Public Key in its Service
Response, which the supplier then signs and submits to
the Registration Authority. The supplier then uses another
Service Request to place the Certificate returned by the RA
back onto the device.

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Data Communications Company Key

Infrastructure (DCCKI)
The DCCKI is used for securing the links between DCC Users
and the DCC User Gateway Network and for authenticating
individual users accessing the DCCs Self Service Interface
(SSI see Chapter9).
The DCCKI has two Issuing CAs, one for each of its functions.
Issuing Infrastructure CA: Issues infrastructure
Certificates for DCC Users to use when establishing
Transport Layer Security (TLS) sessions between their
Policy Enforcement Point (PEP) and the DCC (essentially a
secure pipe into the DCC).
Issuing User CA: Issues Certificates to be used by
individuals wishing to log on to the DCCs Self Service
Interface.
In addition to securing the DCC User Gateway Network inter
face between DCC Users and the DCC, DCCKI keys are also
used for securing the interfaces between Registration Data
Providers (RDPs see Chapter2) and the DCC.

Infrastructure Key Infrastructure (IKI)

The IKI (great name, huh?) is used for securing the interfaces
into the SMKI, of which there are several:
SMKI Portal Interface accessible to DCC Users via the
DCC User Gateway Network and a NonGateway, internet
equivalent for NonGateway Suppliers (suppliers who
arent yet DCC Users)
SMKI web service for submitting device CSRs
SMKI automated batch web service interface for
submitting batch CSRs for Device Certificates
The structure of the various flavours of PKI is illustrated in
Figure 6-2. The SMKI and IKI are provided by BT, the DCCs
Trusted Service Provider (TSP see Chapter2). The DCCKI is
provided by the DCCs Data Service Provider (DSP). The DSP
is also responsible for providing both the DCCKI and SMKI
Repositories.

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Figure 6-2:IKI, SMKI and DCCKI.

One Issuing OCA, many Issuing DCAs

The eagleeyed among you might
have noticed that the SMKI has
a single Issuing Organisation CA
(OCA) but multiple Issuing Device
CAs (DCAs). This is because theres
a DCCimposed limit on the number
of live Certificates that can be issued
by a SMKI Issuing CA (currently,
100,000). Although its highly unlikely
that the Issuing OCA is ever going to
reach this figure (especially because

Organisation Certificates can be

revoked), an Issuing DCA will reach
this number without even breaking
sweat (especially because Device
Certificates cant be revoked). So,
having issued its quota of Device
Certificates, an Issuing DCA closes
its doors for new business and a new
Issuing DCA takes over. Its predecessor remains open, however, to service the Certificates that its issued.

In addition to the DCC User Gateway Network, theres also a

NonGateway Interface for use by NonGateway Suppliers (sup
pliers who have yet to become DCC Users). The NonGateway
Interface allows NonGateway Suppliers to get Organisation
Certificates from the SMKI and request the DSP to put these on
DCCserviced meters that they happen to have gained through
the change of supplier process. Given that the NonGateway
Supplier cant access any other DCC services, the meter is, to
all intents and purposes, dumb, but at least its ready for when
the NonGateway Supplier becomes a DCCUser.
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Known and Unknown

Remote Parties
One of the features of the SMIP security model is the ability
for some smart devices to know about individual DCC Users
and be able to authenticate that the messages they receive
have come from trusted parties. In this context, knowing
someone means holding their Organisation Certificate in
something called an anchor slot within the device.
Figure 6-3 illustrates the anchor slots within the different
types of smart device. As you can see, all devices have Root
OCA and Recovery anchor slots containing DCC Organisation
Certificates. These are used for recovering the device in
the event that its keys are compromised (more in the later
Recovery section).

Figure 6-3:Device anchor slots.

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If a device holds a DCC Users Organisation Certificate in one
of its anchor slots, the DCC User is said to be known to the
device or, in other words, the DCC User is a Known Remote
Party (KRP) with respect to that device. Conversely, if the
device doesnt hold a DCC Users Organisation Certificate, the
DCC User is unknown to the device and is an Unknown Remote
Party (URP) with respect to that device.
URPs can still talk to devices but need the DSPs help to do
so. When submitting a Service Request to the DSP, the URP
includes its Organisation Certificate. The DSP (who is known
to, and trusted by, all devices) adds the URPs Organisation
Certificate to the Service Request it sends to the device, and
the device uses said Organisation Certificate to generate
a shared secret for encrypting and/or MACing the Service
Response/Device Alert (URPs dont get to do any Critical
Service Requests, therefore, the device never has to digitally
sign anything that it sends to a URP). URPs include Registered
Supplier Agents (RSAs) and Other Users (OUs).
Anchor slots must always be populated. Clearly, despite their
name, not all Known Remote Parties are known at the time the
meter is manufactured. The supplier may be known (if they
placed the order for the meter, for example), but the network
onto which the meter will be installed probably isnt, so its
not possible to populate the network operator anchor slots
with the correct Organisation Certificates. In this case, the
meter manufacturer can use either the suppliers Organisation
Certificate or the DSPs Access Control Broker (ACB)
Organisation Certificate (the Certificate the DSP uses to com
municate with the device) as a placeholder until the meters
installed and the supplier can change the Certificate to the
Organisation Certificate of the appropriate network operator
(the one whose network the meter has ended up on).
Prepayment Interface Devices (PPMIDs) dont hold supplier
Certificates, relegating the supplier to the lowly status of
URP even though the PPMID is a Type 1 Device (can issue
and execute Home Area Network (HAN) commands see
Chapter3). This may seem a bit strange at first sight; how
ever, the explanation is that a PPMID can be shared between
two different suppliers if the customer has elected to buy
the gas and electricity from two different companies. For this

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reason, the DSP acts as a trusted intermediary, using its ACB

Certificate to sign messages to the PPMID on behalf of the
supplier(s).

Recovery
So what happens if, despite your best endeavours, one of your
Organisation Private Keys is compromised (nicked, pilfered,
lost, stolen, abducted, held against its will and so on)?
The first option is to try to sort it out yourself by updating the
Organisation Certificates in every affected device using the
compromised key pair. Trouble is, you need to do this ahead
of whatever nefarious scheme the perpetrator who compro
mised your security had in mind (hence this approach is often
referred to as winning the race). Should you choose to try
this anyway (and, given the alternatives I go on to describe,
youd be stupid not to), youll need to:
Generate a new Organisation Public/Private Key Pair and
obtain an associated Certificate (or, alternatively, have
some spare keys and Certificates to hand).
Contact the DCC to temporarily change your Anomaly
Detection Thresholds relating to the 6.15.1 Update
Security Credentials (KRP) Service Requests so that you
can send lots of them (see Chapter4).
Send out the messages as fast as you can.

Convening a Key Ceremony

In order for the DCC to attempt a
recovery with either the Recovery
Key or Root OCA Key, a Key
Ceremony must be convened. A
Key Ceremony is a meeting of Key
Custodians: a set of nominated
individuals charged with protecting
the security of the smart metering
infrastructure. As with gatherings

at Masonic lodges, what happens

at a Key Ceremony is something of
a mystery, but suffice to say that
a sufficient number of nominated
Key Custodians (the socalled n of
m) must turn up to provide access
to the Private Recovery Key necessary for the recovery exercise to
proceed.

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However, if that doesnt work, things start to get a bit more
complicated (and expensive) because youre forced to turn to
the DCC for help. The DCC has two ways of recovering keys
on a meter, neither of which is trivial:
Use a Recovery Key installed in one of the anchor slots
on the device.
Use a Contingency Key thats hidden in the Root OCA
Key, also installed in one of the devices anchor slots.
Both methods require the cooperation of not only the DCC
but also other stakeholders in the industry.
Avoid becoming a Key Custodian! You will be expected to
be on call 24 hours a day. The SMKI PMA will ask parties to
nominate Key Custodians from bodies such as the SMKI PMA,
DCC, SEC Panel and DCC Users and, similar to an Authorised
Responsible Officer (ARO), a Key Custodian is a named indi
vidual. If you take my advice, keep your head down!

Using the Recovery Key

The least drastic form of recovery is to use the Recovery
Key, the Certificate of which sits on every device and allows
the DCC to replace KRP Certificates on behalf of a compro
mised party.
If the compromised party is capable, it could provide the DCC
with the alternative Certificate that the DCC should use when
replacing the compromised Certificate. However, if theyre
not in a state to be able to do this (and, lets face it, theyre
probably having a bad day), the DCC can replace the compro
mised key with its own ACB Certificate and the compromised
party can then request control to be handed back at a later
date when theyre ready by issuing a 6.21 Request Handover
of DCC Controlled Device Service Request.
DECCs original intention was that, should the Recovery Key
ever need to be used, it should then be replaced (the rationale
being that it had now been exposed to the world and, there
fore, the threat of compromise). After they realised that this
would mean replacing the Recovery Certificate in every single
device, whether installed on someones wall, sitting in a meter

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operators van, stowed in a warehouse or trundling along a

production line, they relented.
However, to reduce the amount of time that the Recovery Key
is exposed, DSP recovery environments need to be brought
up for a limited period only when required and then taken
down again immediately afterwards. The time required to do
this, combined with that required to assemble n of m Key
Custodians, suggests that recovery process isnt going to be
especially quick. Or cheap. In fact its likely that there will
be need to be a minimum threshold of compromised devices
before a recovery process can be instigated.

Armageddon
The disaster scenario is that a DCC Private Key is
compromised and with it every smart device in the country
(plus any that have elected to go on holiday). Should this
happen, the DCC can resort to using the Contingency Key.
Just to remind you, the Root OCA Certificate is contained on
every device. This is the Certificate from which the chain of
trust stems. Embedded within this Certificate is the encrypted
Public Key of a Contingency Public/Private Key Pair. As its
name suggests, the Contingency Key is only for use in dire
circumstances (Im talking in case of emergency, break glass
situations).
So how did there come to be an encrypted Contingency
Public Key embedded in the Root OCA Certificate? Well,
the Contingency Public/Private Key Pair was originally
generated by the DSP who passed the Public Key to the
Trusted Service Provider (TSP). The TSP then encrypted the
Contingency Public Key using a symmetric key. This sym
metric key was then broken up into bits and the bits stored
securely in multiple locations. The encrypted Contingency
Public Key was then embedded in the Root OCA Certificate
before the latter was made available to device manufactur
ers for use in populating the Root OCA anchor slot during
manufacture.

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In the unhappy event that the Contingency Key is needed:
1. A Key Ceremony is convened.
2. The bits of the symmetric key that was used to
encrypt the Contingency Public Key are retrieved from
their various secure hiding places.
3. The symmetric key is reassembled and included as
plain text in an instruction to devices to replace the
Root OCA Certificate.
4. The DSP signs the instruction with the Contingency
Private Key and sends it to every device.
5. On receipt of the instruction, a device uses the sym
metric key included in plain text within the instruction
to decrypt the Contingency Public Key embedded in
the Root OCA Certificate.
6. The device uses the decrypted Contingency Public
Key to authenticate the instruction to replace the Root
OCA Certificate.
7. Assuming all is well, the device replaces the Root OCA
Certificate with the new Root OCA Certificate con
tained in the instruction.
Because the replacement Root OCA Certificate contains a new
embedded, encrypted Contingency Public Key, Contingency
Keys are, by definition, onetimeuseonly.
The recovery process is destined to be documented in a
couple of SEC Subsidiary Documents (one on the overall
Recovery Procedure, the other focusing on the SMKI see
Chapter7). These have all the hallmarks of becoming the
cryptographic equivalent of Protect and Survive the public
information booklet produced by the government in the late
1970s to inform the public what they should do in the event of
a nuclear attack.

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Chapter7

The Smart Energy Code

(SEC)
In This Chapter
Sauntering through the Smart Energy Code
Totting up SEC Subsidiary Documents
Naming Named Documents
Looking for guidance

f youre going to get involved in the SMIP, you cant avoid

the fact that youll be spending an inordinate amount of
time wading through reams of documentation. At the heart of
this pile, lies the Smart Energy Code (SEC), the word of DECC
and, as such, the definitive text to which all defer as the single
source of truth. Yet the nearly 140,000 words that make up
the main body of the SEC represent just the tip of the SMIP
documentation iceberg. In addition to the SECs six schedules,
there are currently another 44 SEC Subsidiary Documents
(there may be more) plus another 22 nonSEC Subsidiary
Documents that are named within the SEC.
This chapter attempts to give you an overview of the available
reading matter, sorting out the wheat from the chaff to help
you make best use of your reading time. I start with a brief
outline of how SEC governance works, move on to a rapid
tour of the SEC itself, take a quick peek at its Schedules
and then try to make sense of the myriad of SEC Subsidiary
Documents that the SEC has spawned. Finally, I take a fleeting
glance at the other documents named within the SEC but not
considered worthy of the status of SEC Subsidiary Document
including the new breed of guidance document.

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Getting to Know the SEC

Starting at the tip of the iceberg, what is the SEC and how did
it come about?
The SEC is a multiparty agreement that defines the rights and
obligations of energy suppliers, network operators and other
relevant parties involved in the endtoend management of
smart metering in Great Britain. It comes into force under the
Data Communications Company (DCC) Licence and is unique
in being the only dualfuel industry code (it applies to both
gas and electricity).
The DCC, network operators and energy suppliers with
domestic customers are required, by the terms of their
licences, to sign up to the SEC, as is anyone else who wants
to make use of the DCCs services. Becoming a SEC Party is a
relatively painless process, as revealed in Chapter9.
Though appointed, the SEC Change Board (a subcommittee
appointed by the SEC Panel to manage the SEC and its
Subsidiary Documents see Chapter2) is essentially dormant
at present and doesnt get its hands on any SEC modifications
until after Transition (after the DCC goes live). Until then, its
the Department of Energy and Climate Change (DECC) thats
managing development of the SEC (unless urgent or fasttrack
SEC Modifications are raised). Similarly, Ofgem only gets to
rule on SEC modifications after Transition is complete.
The SEC has had a long and protracted birth (one thats still
in progress at time of writing). Given its size and complexity,
its been delivered in tranches, with each new chunk going out
to industry consultation before going to the Secretary of State
for designation. The first version of the SEC was designated
on 23 September 2013, and the latest version at time of writing
(SEC4.2) came into effect on 18 March 2015. Were probably
going to have reached SEC5.0 before the DCC goes live.
The SEC is maintained on a daytoday basis by the Smart
Energy Code Administrator and Secretariat (SECAS), a role
currently held by Gemserv (see Chapter2). You can find the
SEC itself at www.smartenergycodecompany.co.uk.

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101

The SEC is a legal document and, as such, isnt the easiest of

reads. Recognising this, SECAS has kindly produced a set of
guidance documents that attempt to explain what the various sections of the SEC are for, and Id recommend these as a
good place to start.

Anatomy of the SEC

The SEC comprises 14 sections. Heres a quick summary of
each section and who may be interested in reading it.
Section A: Definitions and Interpretations (80 pages):
The set of defined terms used throughout the SEC.
Essentially, if a term is capitalised, it means something
specific and this is the section that tells you what that is.
Split into two bits, section A1 contains 570 defined terms
and the much slimmer two and a bit pages of A2 tells you
how to interpret certain nondefined terms in the context
of the SEC (for example, day means calendar day, not
working day). But be warned: you wont find all defined
terms in this section. Some are embedded in other sections or, indeed, SEC Subsidiary Documents. An essential
reference but, like this guide, dont try to consume it in
one sitting.
When asked at the Christmas pub quiz which is the most
popular letter in SEC Section A, the answer is S with an
impressive 105 defined terms.
Section B: Accessions (7 pages): How you go about
becoming a SEC Party. Essential reading for wouldbe
SEC Parties.
Section C: Governance (35 pages): The objectives of the
SEC, the objectives of the DCC Charging Methodology
and the governance arrangements for looking after
the SEC (including the details of the SEC Panel, Sub
Committees and Code Administrator). Save for the
beach.
Section D: Modification Process (36 pages): How to
modify the SEC, the parties involved and their roles in
the process. Doesnt fully kick in until after transition, so
shouldnt be at the top of your reading list.

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Section E: Registration Data (10 pages): What its for,
what needs to be provided and when. You can safely
ignore this unless youre a Registration Data Provider
(RDP see Chapter2).
Section F: Smart Metering System Requirements (17
pages): The role of the Technical Sub Committee, how
you go about getting a device on the Certified Products
List (CPL the list of devices that are allowed to connect to the DCC) and how suppliers get Communications
Hubs (CHs) from the DCC. Of particular interest to device
manufacturers, test houses and suppliers.
Section G: Security (68 pages): System, organisation
and information security obligations on the DCC and
DCC Users including Anomaly Detection obligations (see
Chapter4), the need for security assurance and how you
go about getting it. Essential reading for any wouldbe
DCC User (unfortunately).
Section H: DCC Services (37 pages): A description of
the services provided by the DCC including the Parse
and Correlate software (see Chapter4), testing services
and DCC Gateway Connections. Worth a read (you may
as well find out what youre paying for), although at the
time of writing its far from complete.
Section I: Data Privacy (16 pages): Obligations on the
DCC and DCC Users when accessing customers consumption data, the requirement on DCC Users with a DCC
User Role of Other User to undergo User Privacy Audits
and how to go about getting one. Essential reading for
anyone intending to collect consumption data and/or
Other Users (see Chapter2).
Section J: Charges (16 pages): The DCC Charges that
DCC Users have to pay and how they go about paying
or disputing them, how the DCC reviews, amends and
forecasts them, and the obligations on DCC Users to
provide credit cover. Essential reading if youre a DCC
User that will incur DCC Charges (currently, Import
Suppliers, Export Suppliers, Gas Suppliers and Electricity
Distributors).
Section K: Charging Methodology (48 pages): The
methodology for deriving the Charging Statement used
to determine the DCC Charges detailed in section J. To be
avoided unless you like equations.

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Section L: Smart Metering Key Infrastructure

(37 pages): Description of the Smart Metering Key
Infrastructure Policy Management Authority (SMKI PMA),
how you go about getting SMKI assurance, the services
SMKI provides and how you interface with it, the SMKI
Repository and how you interface with that, the tests
you need to pass to use the SMKI, how the performance
of the SMKI is measured, SMKI documents and how the
SMKI recovery process is supposed to work. A rollicking
good read (if youre a security analyst, that is).
Section M: General (43 pages): As its name suggests,
a dumping ground for miscellaneous stuff such as
liabilities, force majeure, disputes and expulsions. Leave
this one to the lawyers.
Section N: SMETS1 Meters (17 pages): How you go about
getting your SMETS1 meters adopted and enrolled in the
DCC (more on adoption in Chapter10). A must read for
those suppliers who are active in the Foundation phase
(and their Foundation service providers).
Section T: Testing During Transition (39 pages): The
Device Selection Methodology, Systems Integration
Testing, Interface Testing, EndtoEnd Testing, SMKI and
Repository Testing and Enduring Testing. A must read for
test managers.
Section X: Transition (34 pages): Describes the process
for getting the SEC in place including which bits dont
apply during the Transition phase and when theyll come
into effect. Essential reading to understand whether what
youve just read in the other sections applies or not in
the run up to Go Live, but you can probably get away
with reading the onepage SECAS guidance document.

SEC Schedules
As if the 540odd pages that comprise the main body werent
enough, there are also six schedules to the SEC. As per the
main body, heres a brief summary.
Schedule 1: Framework Agreement (6 pages): The
agreement that the original SEC Parties had to sign when
the SEC first came into effect. Of historical interest only,
unless youre one of the original SEC Parties.

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Schedule 2: Accession Agreement (6 pages): The form
you fill in to sign up to the SEC. Essential reading for any
wouldbe SEC Party (always read the small print).
Schedule 3: Specimen Bilateral Agreement (9 pages): A
template for a bilateral contract with the DCC. Only of
relevance to those DCC Users wanting to procure a brand
new DCC service (for example, support for additional
smart device functionality). Unlikely to be used in the
near future.
Schedule 4: SECCo (25 pages): All you ever wanted
to know about the SEC Company (SECCo) and more.
Essential reading for those seeking a job with SECAS.
Schedule 5: Accession Information (2 pages): How to go
about filling in Schedule 2 (always read the instructions).
Schedule 6: Form of Letter of Credit (4 pages): To
be completed by those DCC Users who are obliged to
provide credit cover. Not surprisingly, thats all the
DCC Users that incur DCC Charges (currently Import
Suppliers, Export Suppliers, Gas Suppliers and Electricity
Distributors).

SEC Subsidiary Documents

Complex and voluminous though it is, the SEC and its
Schedules represent just a fraction of the Smart Energy Code
documentation set. The SEC also includes a set of appendices, each comprising a SEC Subsidiary Document. These
designated appendices are currently lettered (A, B, C
and so on), which may prove to have been a mistake as the
current best estimate of the total number of SEC Subsidiary
Documents is 44 (I assume well be seeing appendices AA,
AB and so on). Youll be delighted to hear that I dont
intend to list them all (go to the SECAS website: www.
smartenergycodecompany.co.uk if youre interested), but
Table 7-1 attempts to group them into subject matter areas.

Interface Specifications
The largest category of SEC Subsidiary documents (comprising
11 documents) is a set of technical specifications describing

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Chapter7: The Smart Energy Code (SEC)

105

interfaces used by a variety of SMIP stakeholders. The most

notable of these are as follows:
DCC User Interface Specification (DUIS): Defines the language used by DCC Users to communicate with the DCC.
GB Companion Specification (GBCS): Defines the language understood and spoken by devices.
Message Mapping Catalogue (MMC): Attempts to stitch
the DUIS and GBCS together.

Table 71

SEC Subsidiary Documents

Document Type

Number of SEC Subsidiary

Documents

Interface Specifications

11

Security

10

Codes of Connection

Communications Hubs

Service Management

Testing

Other

Total

44

Keeping up with the DUIS

Service Requests are defined in the
DUIS, although this has changed its
name during the course of the programme. It started off as the DCC
User Gateway Catalogue, morphed
into the DUGIS (DCC User Gateway
Interface Specification), spent a

brief time as the DUGIDS (DCC

User Gateway Interface Design
Specification) and is now living as an
emaciated shadow of its former self
under the alias of DUIS (DCC User
Interface Specification). Confused?
We all are.

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The other eight interface specifications define other key DCC
interfaces, including
The interface used by Registration Data Providers (RDPs)
to provide the DCC with registration data and receive
updates on smart installations.
The interfaces used by DCC Users to access the SMKI,
SMKI Repository, DCC SMKI (DCCKI) and DCCKI
Repository.
The NonGateway Interface used by NonGateway
Suppliers (suppliers who have yet to become DCC
Users).
The SelfService Interface used by DCC Users.
This category also includes a yettobetitled document on
Service Request processing that is tipped for SEC Subsidiary
Document status but probably wont emerge until section H4
of the SEC appears.

Security
SMKI, DCCKI and Infrastructure Key Infrastructure (IKI) have
been responsible for spawning a flurry of SEC Subsidiary
Documents. The majority of these are Certificate Policies
(CPs), a standard PKI document that sets out the principal
parties, and their roles and duties within a Public Key
Infrastructure (PKI see Chapter6).
There are CPs for the IKI and DCCKI and no less than three
for the SMKI (SMKI, SMKI Device and SMKI Organisation).
There are also a couple of Registration Authority Policies and
Procedures (RAPPs one for the SMKI one for the DCCKI)
that set out the procedures by which nominated individuals
can become Senior Responsible Officers (SROs) and/or
Authorised Responsible Officers (AROs) essentially,
security bods authorised to do security stuff on behalf of an
organisation.
This category also includes a SMKI Recovery Procedure and
a more generic Recovery Procedures document (neither
of which are hopefully destined to become well thumbed).
Theres also a separate Threshold Anomaly Detection
Procedures (TADP) document that sets out how Users can

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Chapter7: The Smart Energy Code (SEC)

107

submit Anomaly Detection Thresholds to the DCC (email)

and how the DCC will notify Users of threshold breaches
(email and via a Service Management Service Request). See
Chapter4 for more on anomaly detection.

Codes of Connection
Eight of the SEC Subsidiary Documents are Codes of
Connection that set out rules for connecting to, and use of,
interfaces to the DCC. There are Codes of Connection (or
CoCos as theyre affectionately known) for the
DCC User Gateway
DCC User Interface
Registration Data Interfaces
SelfService Interface
DCCKI and DCCKI Repository
SMKI and SMKI Repository
The DCC User Gateway Network and DCC User Interface are
two different beasts. The former is a connection to the DCC
that you buy and secure using your DCCKI Keys, whereas the
latter is the interface over which you submit Service Requests
and receive Service Responses, DCC Alerts and Device Alerts.
Needless to say, you access the DCC User Interface via the
DCC User Gateway Network.

Communications Hubs
Four of the SEC Subsidiary Documents are related to Comm
unications Hubs. Three of these are related to support, installation and maintenance, but the most notable among them is
the Communications Hub Technical Specification (CHTS the
Communications Hub equivalent of SMETS; see Chapter3).

Service Management
The service managementrelated SEC Subsidiary Documents
comprise two service management policies (Incident and

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Registration Data Incident) and an Error Handling Strategy.
Enjoy.

Testing
The three testingrelated SEC Subsidiary documents comprise the Enduring Test Approach Document, the SMKI
and Repository Entry Process Testing Scenarios Document
(SREPTSD) and Common Test Scenarios Document (CTSD).
The latter two will be of particular interest to Test Managers.

Other
There are five SEC Subsidiary Documents that dont neatly fit
into any of the preceding categories:
A services schedule for the DCC User Gateway
A services schedule for the DCC User Interface
A yettobetitled document on Inventory, Enrolment and
Withdrawal Procedures
A document on the Minimum Communication Services
for SMETS1 Meters
The Smart Metering Equipment Technical Specification
(SMETS), which sets out the minimum functional require
ments for Electricity Smart Metering Equipment (ESMEs),
Gas Smart Metering Equipment (GSMEs), In Home
Displays (IHDs), Prepayment Interface Devices (PPMIDs)
and HAN Connected Auxiliary Load Control Switches
(HCALCS) (see Chapter3)

SEC Named Documents

The next tier of documentation is a set of documents that
didnt quite make it into the SECs appendices but are,
nonetheless, named within the SEC. Best current guess is that
there are 23 of these. Ive split them into four categories for
the purposes of describing them, as summarised in Table 7-2.

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Chapter7: The Smart Energy Code (SEC)

Table 72

109

SEC Named Documents

Document Type

Number of SEC Named

Documents

Security

Testing

Service Management

Other

Total

23

Security
Eight of the named documents are securityrelated. Five of
these are Certificate Practice Statements (SMKI Device, SMKI
Organisation, DCCKI, IKI and Test). The other three comprise:
EndtoEnd Security Architecture (worth a read)
Security Requirements Document (developed by the
Security SubCommittee and specifying the security
controls considered appropriate for mitigating security
risks across the endtoend smart metering system)
Test Certificate Policy (another Certificate Policy but this
time aimed at Certificates for use in testing)

Testing
There are four testingrelated named documents, all describ
ing the approach to different testing phases (Systems Inte
gration Testing, SMKI and Repository Testing, Interface
Testing and EndtoEnd Testing). Another must read for Test
Managers.

Service Management
Two of the named documents are service managementrelated
and both are release management policies (one for the DCC
releases and one for Panel releases).

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Other
As with SEC Subsidiary documents, a hotchpotch of named
documents dont easily fit into any of the previous categories.
They include, in no particular order:
Device Selection Methodology (the methodology used by
the DCC to select devices to be used in SIT and IT)
ID Allocation Procedure
Panel Budget and Panel Information Policy
Performance Measurement Methodology
Privacy Controls Framework
Technical Architecture Document
Reported List of Service Provider Performance
Measurements
SMETS version 1.0, which sets out the functionality
required of a SMETS1 meter (a meter installed in the
preDCC Foundation phase that will be eligible for adoption by the DCC at some future date see Chapter10)

Guidance Documents
There may well be some more documentation in the pipeline
thanks to the work of lawyers. A bunch of documents started
life in SMIP Working Groups but ended up being incorporated
in the SEC as SEC Subsidiary documents. In doing so, they
were translated into legalese, which delighted the lawyers
but left those people who use the documents severely put out.
Most notable of the documents to suffer this fate was the DCC
User Gateway Interface Design Specification (DUGIDS) which
morphed into the DCC User Interface Specification (DUIS).
Industry stakeholders, not normally known for complaining,
raised sufficient protest to save the DUGIDS, albeit in the
demoted form of a guidance document and with no certainty
that it will be maintained beyond its current version (0.8.1).
DCC Users are free to make use of DUGIDS, but should there
be any discrepancy between DUGIDS and DUIS, DUIS takes
precedent. Its possible that more guidance documents may
appear as a result of other documents having been SECified.

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Chapter7: The Smart Energy Code (SEC)

111

A cynic may say that the move from DUGIDS to DUIS was a
victory of lawyers over technicians. They may also say that
in making the move weve exchanged a fitforpurpose technical document for legalese, and as a consequence we should
be asking the lawyers responsible for this travesty to take on
responsibility for developing the solution. Fortunately, as we
all know, the utility industry is devoid of cynics.

Enduring Responsibility
The asyetunspecified number of guidance documents will
probably fall to the DCC to maintain, but as shown by Figure 7-1,
the bulk of the literary burden is likely to fall on the SEC Panel
and its subcommittees.

Figure 71: Enduring responsibility for SEC Subsidiary and Named

Documents.

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Chapter8

The SMIP
In This Chapter
Skimming over the SMIP regulatory framework
Singling out the notable working groups
Reviewing the various phases of the SMIP

iven the title of the book, it would be remiss not to

include a chapter on the SMIP itself. Its probably the
largest change programme ever undertaken in the British utility market and will almost certainly be the most publicly visible. Its already attracting close scrutiny from the Commons
Energy and Climate Change Select Committee, whose support
was tempered with criticism, primarily around customer
engagement but also about the cost of the programme.
In this chapter, I pay a fleeting visit to the regulatory
framework on which the SMIP is based, touch on some of the
more notable working groups within the programme and then
walk through the various phases of the programme, their
objectives and participants.

Regulatory Framework
Start any section with the word regulatory and youve immediately lost 95 per cent of your readership, so Ill keep the info
here intentionally high level and, more importantly, brief.
The British energy sector is regulated primarily through the
Electricity Act 1989 and the Gas Act 1986, which prohibit you
from doing a bunch of stuff unless you hold a licence. Holding
a licence often requires you to comply with another bunch
of conditions specified in said licence, including compliance
with a set of industry codes.
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A national rollout of smart metering has required not only
changes to existing licences but also the creation of a brand
new licensed franchise for providing a smart metering
communication service, namely the Data Communications
Company (DCC) licence. It also requires a brand new industry
code called the Smart Energy Code (SEC see Chapter7), the
first industry code to apply to both the electricity and gas
industries. As I explain in Chapter7, the SEC and its vast array
of SEC Subsidiary documents all need to be designated by the
Secretary of State before they can come into force.
Theres also the small matter of the European Commission
to keep happy. The EU Technical Standards and Regulations
Directive 98/34/EC says that if you intend to impose any
rules or guidance that regulate products or services provided over the Internet or by other electronic means, you
have to notify the European Commission of these before you
can adopt them in national law. The Commission and other
Member States then have three months to raise concerns if
the proposed measure is considered to be a potential barrier
to trade. In the case of GB smart metering, this means notifying the Smart Metering Equipment Technical Specification 1
(SMETS1), SMETS2, GB Companion Specification (GBCS) and
Communications Hub Technical Specification (CHTS), all of
which have now been notified and deemed to have passed
muster.

Working Groups
Not surprisingly, shed loads of people are involved in the
SMIP. The 51 working groups identified in the Department of
Energy and Climate Change (DECC)s Transition Governance
Overview represent just the tip of the iceberg. Given limitations of space and the will to live, here are a few of the more
notable groups charged with making the SMIP a success.

Smart Metering Steering Group

(SMSG)
This is a strategic forum charged with advising on the
high level direction of the SMIP in the context of policy,
implementation objectives and benefit realisation.

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Chapter8: The SMIP

115

Appropriate to its eminent status, its attendees include the

great and the good within the energy industry, including
executives from
The six largest energy suppliers
Two of the smaller energy suppliers
The Energy Network Association (ENA)
Energy UK
Consumer Futures
The DCC
The SEC Panel
DECC
This is where enthusiastic and less enthusiastic stakeholders
come together with their disparate political, regulatory and
commercial drivers and attempt to steer the programme
towards success. Oh, to be a fly on the wall...

Smart Metering Delivery Group

(SMDG)
This is a senior operational forum focused on delivery of
the SMIP. It commands attendance from a similar set of
organisations as the SMSG, but at a programme director
level. The group is charged with identifying and mitigating
risks, resolving issues and generally driving delivery of the
programme. Not surprisingly, given their criticality to the
programme, metering equipment manufacturers get to attend
this forum.

Technical and Business Design

Group (TBDG)
Described as a working level forum, the TBDG comprises
lead designers and architects charged with assisting DECC
with producing the baseline technical and business design
documents destined for inclusion in the SEC. For example, a
Home Area Network (HAN) Strategy TBDG subgroup has been

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looking at the alternative HAN solutions required to support
100 per cent of British premises (more on this in Chapter10).

Implementation Managers
Forum (IMF)
Another working level forum, but this time comprising
programme and implementation managers charged with
monitoring progress of individual parties and resolving issues.

Others
In addition to the four preceding working groups, another 47
exist. Enough already? Well, heres just a few more:
Regulatory Group (RG): Advises DECC on the smart
metering regulatory framework.
Transitional Security Expert Group (TSEG): an
invitationonly bunch of security experts charged with
ensuring security of the endtoend solution (not to be
confused with the Testing Design and Execution Group
(TDEG), which has been set up for the DCC to inform SEC
Parties of the DCCs test programme).
Transitional SMKI Policy Management Authority Group
(TPMAG): A DCCled operational group responsible
for shepherding the Smart Metering Key Infrastructure
(SMKI see Chapter6) until such times as it makes it into
the SEC and its Subsidiary Documents.
Benefits Monitoring and Review Group (BMRG): Tasked
with keeping tabs on the performance of the SMIP and
the benefits that its delivering.

SMIP transition working groups

Only a handful of the 51 working groups cited in DECCs
Transition Governance Overview are enduring, the majority handing over their responsibilities to the appropriate
enduring SEC SubCommittee (SMKI PMA, SSC, TSC, Change
Board or TAG see Chapter2) before disbanding at the end
of the SMIP.

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Chapter8: The SMIP

117

For example, having seen all the SMKI SEC Subsidiary

Documents designated, the TPMAG (Transitional SMKI Policy
Management Authority Group, as Im sure you remember)
will pass over governance of these to the enduring SMKI
PMA SEC SubCommittee. In practice, the SMKI PMA is likely
to compromise the same individuals as the TPMAG, thus
ensuring continuity. Similarly, the Transitional Security
Expert Group (TSEG) is likely to morph in the Security Sub
Committee (SSC) and the Technical and Business Design
Group (TBDG) into the Technical Sub Committee (TSC). New
business cards all round then... .

SMIP Phases
Figure 8-1 below sets out the various phases that go to make
up the overall SMIP. Ive deliberately left out dates because
these have been changing and will probably continue to
change. Hopefully, the dependencies between phases should
stay pretty much the same (famous last words).

Figure 8-1:SMIP phases.

PreIntegration Testing
As with most things in SMIP, the programme phases are very
DCCcentric. At time of writing, were in the PreIntegration
Testing (PIT) phase where Integration refers to the assembly of the various components that go to make up the DCC

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s ervice. During this phase, the DCC and its service providers, the Data Service Provider (DSP), Communication Service
Providers (CSPs), Trusted Service Provider (TSP) and Parse
and Correlate Provider, are all busy building, unit testing, link
testing and system testing their own bits of the overall DCC
solution. Each component of the solution will then undergo
Factory Acceptance Testing with the DCC before being ready
for inclusion within Systems Integration Testing.

Systems Integration Testing

System Integration Testing (SIT) is where the DSP, as the
DCCs Systems Integrator, takes the deliverables from PIT and
attempts to bolt them together into a single working solution.
SIT is in two parts:
Solution Test: In which the DSP tries to get everything to
work.
User Acceptance Test: In which the DCC looks over the
DSPs shoulder to check that everythings working as it
should be.
After SIT is complete, the DCC will be ready to start formal
testing with SEC Parties. However, in the revised industry
plan, only the Solution Test part of SIT needs to complete
before formal testing with DCC Users can commence.

Devices and the DCC

Although devices arent within
their scope of delivery (other than
Communications Hubs), the DCC
would like to include some real
devices in their testing. Indeed, section T1 of the SEC requires the DCC
to use actual devices in Systems
Integration Testing (SIT), Interface
Testing (IT) and User Entry Process
Testing (UEPT) to the extent that is
reasonably practical.

working, tested devices ready for

SIT, they ideally need to have done
some testing in a DCC environment. And heres the catch. The
earliest DCC environment that a
device manufacturer will be able
to use is the EndtoEnd Test environment (see later in this chapter),
which becomes available only when
Interface Testing completes (which,
itself, comes after SIT).

However, theres a problem. For

device manufacturers to have some

In attempt to bend the space

time continuum, the DCC has

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Chapter8: The SMIP

c ommissioned Critical Software to

develop GBCS Interface Testing
(GIT) for Industry (or GFI see
Chapter3) to allow device manufacturers to generate gold standard
GBCS commands on a ZigBee HAN
to which they can connect and test
their devices.
In addition to providing GFI, the DCC
is also taking a fairly relaxed view
regarding the level of assurance that
devices require for inclusion in SIT.
They dont require ZigBee, Device
Language Message Specification
(DLMS) or Commercial Product
Assurance (CPA) certificates, for
example, although the devices do
need to be SMETS complaint (whatever this means in the absence of a
SMETScompliant certification). All

119

this is defined in section T1 of the

Smart Energy Code (SEC), which
also states that the DCC must use
a minimum of two different models
of gas and electricity smart meters
from manufacturers who arent also
Communications Hub manufacturers.
Clearly, theres kudos in being one
of the first manufacturers to produce a device that talks to the DCC.
Recognising this, the DCC has written a Device Selection Methodology
to be open, transparent and impartial
in its choice of devices. However,
should suitable devices not be available in time, the DCC can resort to
using test stubs for SIT and, possibly,
also for Interface Testing (although
the latter needs the blessing of the
Secretary of State).

PreUser Integration Testing

The DCC commences formal testing with SEC Parties in the
Interface Testing phase of the programme (see the later section). However, SEC Parties may get the opportunity to do
some Informal Testing with the DCC prior to this. Although
not an explicit SEC requirement, the DCC has agreed to
provide a PreUser Integration Testing (PUIT) environment
(affectionately referred to as the Sandpit) for SEC Parties to
do some early integration testing with the DCC. The current
industry plan suggests this will be available five months prior
to the start of Interface Testing.
At time of writing, its not entirely clear what the PUIT environment will support by way of testing. At the extremes, this
could be support for a handful of Service Requests without
cryptographic signatures, through to a full set of Service
Requests operating against virtual meters that arent only
capable of signing and authenticating messages but can also
remember whats been done to them (theyre stateful).

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Clearly, the latter offers the best opportunity for SEC Parties
to get their systems and processes ready in parallel with the
DCCs preparations but requires more effort on the part of the
DCC (and, hence, more cost to the industry).

SMKI and Repository Entry

Process Testing
As I explain in Chapter6, security and, in particular, Public
Key Infrastructure (PKI) is central to the SMIP. You wont get
anywhere near the DCC without first being security assessed
and obtaining the keys and Certificates required to connect
securely. SMKI and Repository Entry Process Testing (SREPT)
is about proving that you can successfully interface with the
Smart Metering Key Infrastructure (SMKI) to submit Certificate
Signing Requests (CSRs), obtain Certificates and so on (see
Chapter6). This involves completing a couple of dozen test
scenarios defined in a SEC Subsidiary Document called the
SREPT Scenarios Document (SREPTSD see Chapter7).

Interface Testing
In order to become a DCC User, you have to pass User Entry
Process Testing (UEPT). This testing is designed to prove
that you can successfully access the DCC Services to which
youre entitled according to your DCC User Role. Its a bit like
passing your driving test with the DCC as your examiner.
UEPT is an enduring process because there are always likely
to be new SEC Parties wanting to become DCC Users (a
continuous stream of learner drivers). However, when the
DCC test centre first opens its doors for business, the DCC
also needs to prove that its capable of supporting real live
DCC Users. Only after two large suppliers have passed UEPT
and become DCC Users is the DCC deemed to be ready to
go live. So during the first couple of driving tests, both the
learner and the examiner are being assessed.
The period between the first SEC Party starting UEPT and
DCC Go Live (defined as occurring when two large suppliers
have successfully complete their UEPT) is called the Interface
Testing phase. To be strictly accurate, theres a little bit more
multiparty testing to be done before Interface Testing is

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deemed to have completed successfully (for example, change

of supplier testing), but its not likely to be onerous enough to
dissuade the large suppliers from wanting the kudos of being
the first ever accredited DCC User.
To pass UEPT, you need to complete the test scenarios defined
in the Common Test Scenarios Document (CTSD) appropriate
to your DCC User Role(s) (the CTSD is another of those SEC
Subsidiary Documents described in Chapter7). The objective
of UEPT is to
Demonstrate that you can submit every Service Request
to which you have access using a variety of valid combinations of Modes of Operation and Command Variant
(see Chapter4).
Process the corresponding Service Responses.
There are also scenarios for receiving DCC Alerts and Device
Alerts and a couple of scenarios around installing and
commissioning a device which require execution of a number
of Service Requests in a defined order. For an import supplier,
UEPT is likely to require getting on for 300 individual tests.
The good news is that these are all positive (happy path)
tests.
Because UEPT requires you to have security keys and
Certificates, you need to complete SREPT before you can
start UEPT.

Operational Acceptance Testing

Operational Acceptance Testing (OAT) is the final shakedown
of the DCC prior to live operation. Conducted in the
Production environment, its designed to check that DCC
systems and processes are ready for the onslaught of Service
Requests, Alerts, device installations, DCC User queries,
disasters, failovers, malicious attacks and everything else that
may occur during an average dayinthelife of the DCC.
Amongst other things, OAT will test that the DCC can install
new releases, rollback installations, failover to an alternative
data centre during a data centre outage and then recover to
the primary data centre once the outage has been rectified,

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respond to DCC Users queries and do it all within its agreed
Service Levels.
OAT isnt, however, recognised as a separate test phase from
a regulatory perspective. As such, the OAT results will be
published as part of Interface Testing.

DCC Live!
At some point, two large suppliers will complete UEPT and
the additional activities required by Interface Testing and the
DCC will be declared live.
Dont expect too much to happen immediately. Theres likely
to be an extended hiatus while the newly accredited DCC
Users set up their Remote Test Labs and get down to doing
some real testing. Only when a supplier has a high degree
of confidence in their back office systems, processes and
selected set of devices are they likely to start rolling out smart
meters in earnest

EndtoEnd Testing
After youve passed UEPT and become a DCC User, youre
granted access to the DCCs EndtoEnd Test environment
(a bit like being given the loan of your dads car). More
importantly, youre now allowed to set up a test lab and start
testing your own devices. This is where the real testing begins
(see Chapter9).
A recent DECC consultation suggests that large suppliers will
be required to have installed the lesser of 1,500 meters or
0.025 per cent of their meter estate within six months of the
DCC going live. This is likely to curtail EndtoEnd Testing and
turn the heat up significantly on suppliers preparations for
rollout.

Constrained launch
The DCC (rather optimistically, in my humble opinion) has
expressed some concern that following Go Live there may
be something of a rush to install SMETS2 meters, and that
this may lead to some unforeseen teething problems with

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Chapter8: The SMIP

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DCC services. As such, theyd like the ability to apply some

constraints on the initial use of the DCC. Whether these constraints are imposed and what form they make take has yet to
be agreed. Whether theyll be needed is another matter.
The PreUser Integration Test and EndtoEnd Test environments are enduring test environments in order to accommodate new SEC Parties wanting to become DCC Users and
manufacturers/test houses wanting to test new devices.
Similarly, existing DCC Users will need an environment within
which they can test the inevitable changes theyll need to
make to their back office systems and processes.

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Chapter9

Life as a DCC User

In This Chapter
Becoming a DCC User
Surviving as a DCC User

ata Communications Company (DCC) Users are Smart

Energy Code (SEC) Parties that are allowed to access
the live DCC environment. To reach these heady heights, a
SEC Party needs to jump through a number of hoops. In this
chapter, I examine these hoops and speculate on what a DCC
User needs to do once in possession of the coveted User
Entry Process Test (UEPT) Completion Certificate.

Becoming a DCC User

So who gets to talk to smart devices via the DCC and how do
they go about doing it? Well, practically anyone can become
a DCC User if they put their mind to it. All this involves is
becoming a Smart Energy Code (SEC) Party, completing the
processes set out in the Registration Authority Policies and
Procedures (RAPP), undergoing a security assessment and,
possibly, a privacy assessment, generating some Public/
Private Keys and getting some test Certificates, connecting to
the DCC, passing Smart Metering Key Infrastructure (SMKI)
and Repository Entry Process Testing (SREPT) to become
an Authorised Subscriber, generating some live Public/
Private Keys and Certificates, ordering a DCC User Gateway
connection, buying or renting a DCC Adapter, passing User
Entry Process Testing (UEPT), putting some credit in place
(if youre a DCC User who incurs fixed charges), integrating
your back office systems and processes with the DCC, testing
everything works (including your devices) and, bingo, youre
ready to go. Simples.
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Trivial though it may sound, theres actually more to it than
meets the eye. And because (at time of writing) no ones
actually been through it yet, you may anticipate a few teething
problems first time around.

Becoming a SEC Party

Becoming a SEC Party is probably the least painful part of
the whole process. Theres a form to fill in (a copy of which
you can find in Schedule 2 of the SEC) and it will cost you
450, but thats about it. Youll then be free to give your two
pennys worth to any of the industry forums that youre (a)
allowed to attend and (b) are lucky enough to find out about.
You wont be alone. As of 15 May 2015, there were 139 SEC
Parties signed up under 91 organisations (some organisations
choose to sign up as multiple SEC Parties, each SEC Party
relating to a different geographic region or part of the
business).

Getting security assessed

Its not entirely clear when you need to do this, but at
some stage youll need to go through a Full User Security
Assessment to check compliance with system, organisational
and information security as defined in sections G3 to G6 of
theSEC.
This assessment is carried out by the User Independent
Security Assurance Service Provider (UISASP), which is a role
performed by the Competent Independent Organisation (CIO)
appointed by the SEC Panel (whose appointment is still
pending at time of writing). Its not clear exactly what form
this assessment is likely to take but best guess is that it will
take a couple of weeks.
This is an annual assessment, although if youre a small supplier (you have fewer than 250,000 customers), you only need
a lighter weight verification assessment in year two and can
get away with a selfassessment in year three. The same rules
apply to network operators, but Other Users (OUs) can self
assess in years two and three. Its a rolling threeyear cycle
so, come year four, everyones back to a full assessment.

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Chapter9: Life as a DCC User

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Getting privacy assessed

If you aspire to be a DCC User with a DCC User Role of Other
User (OU), youll also need to get a full privacy assessment
(other DCC User Roles are already required to do privacy
assessments as part of their existing licence obligations).
Thisis done by the Independent Privacy Auditor (IPA), another
hat worn by the CIO, and checks compliance according to
section I2 of the SEC.
Its an annual assessment but you can selfassess in years two
and three before being required to do another full privacy
assessment in year four.

Getting RAPPed
Safe to say theres not much you can do in the SMIP without
Public/Private Key Pairs and Certificates. Even NonGateway
Suppliers (suppliers who have yet to become a DCC User)
need them! This means accessing SMKI services and, as
I explain in Chapter6, you have to go through the SMKI
Registration Authority Policies and Procedures (RAPP) with
the SMKI Registration Authority (RA) before you can do this.
Thisis a multistage process:
1. The RA needs to verify your organisation is what it
claims to be, which requires your company secretary,
director or chief information security officer (CISO)
to fill in some forms and turn up for a facetoface
meeting.
2. When the RAs happy with the validity of your
organisation, you can appoint one or more Senior
Responsible Officers (SROs). This requires your company secretary, director or CISO to nominate one or
more individuals (more forms) and another faceto
face meeting with the RA in which they can verify
that your nominated SROs are, indeed, who they say
they are and are authorised to be an SRO for your
organisation.
3. Once appointed, the SRO can nominate one or more
Authorised Responsible Officers (AROs) more forms
and facetoface meetings with the RA.

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4. When youve got an ARO, you can get hold of the
necessary Infrastructure Key Infrastructure (IKI)
Certificates for accessing the test SMKI environments
(SMKI Portal Interface, SMKI Repository, web service,
batched Certificate Signing Request (CSR) web service
and Secure File Transfer Protocol (SFTP) access see
Chapter6). If youre a NonDCC Gateway user, you get
to use the internet version of the SMKI Portal Interface.

Passing SMKI and Repository

Entry Process Testing
Now that youve been RAPPed, you can apply to go through
SMKI and Repository Entry Process Testing (SREPT). To do this,
your SRO has to fill in an Authorised Subscriber application
form. SREPT is about proving to the DCC that you can
successfully interface with the SMKI and involves completing
a couple of dozen test scenarios defined in the SREPT
Scenarios Document (SREPTSD). These tests are conducted
using test Certificates generated in the test SMKI environment,
but after youve passed SREPT, you get the IKI Certificates for
accessing the live SMKI.
You should probably know about two other terms. After your
organisation has become an Authorised Subscriber, you can
submit CSRs. When your ARO submits your first CSR, you
become an Eligible Subscriber. Then, on receipt of your first
Certificate, you become a Subscriber to that Certificate under
the Issuing CA.

Sorting out your key strategy

Having passed SREPT, youre now allowed to request real
SMKI Certificates from the live SMKI. As a minimum, youll
need one or more Organisation Certificates, and if youre an
installing supplier, youll need potentially millions of Device
Certificates.

Device Certificates
Lets start with the easy one. If youre an installing supplier,
your chosen device manufacturer(s) will provide you with
a file containing the Public Keys of the devices that youve

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Chapter9: Life as a DCC User

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purchased. These will have been generated by the devices

themselves while still on the production line. Your job is to
submit these over the SMKI Portal and return the resulting
file of Device Certificates for the manufacturer(s) to load
onto the devices. Registered Supplier Agents (RSAs) are also
able to do this so, if youre lucky, your Meter Asset Provider
(MAP) may do this for you. Either way, youll need to provide
the meter manufacturer with the installation Organisation
Certificates that you want populated in the devices anchor
slots (seeChapter6).

Organisation Certificates
You now need to decide on your Organisation Key strategy.
This could be as simple as using a single Organisation
Certificate on all devices and replacing it when it expires
in ten years time. However, if the single Public/Private
Key Pair corresponding to your Organisation Certificate is
compromised, so is your entire meter estate. This may not
be such a problem if youre a lowly network operator with
limited access to Critical Service Requests, but if youre a
supplier with the power to turn the lights out, this may be
frowned upon by CESG (the secret bit of the Government that
gets excited about these things).
Given that most DCC Users will probably elect to generate and
manage their Public/Private Keys within a Hardware Security
Module (HSM a physical computing device that safeguards
and manages digital keys), the chances of a single key pair
being compromised could be pretty remote. Youre more
likely to lose an HSM than you are an individual key, and DCC
Users may want to consider this when formulating their key
strategies.
In practice, most DCC Users will probably elect for some form
of key chunking: that is, using a relatively small number
of Organisation Public/Private Key Pairs and associated
Certificates and distributing these across their device estate
to limit the impact of a compromise of any single Organisation
Public/Private Key Pair.
Organisation Certificates are good for ten years, so in theory
the job of ARO (the nominated individual responsible for
generating keys and requesting Certificates) looks fairly
cushy. AROs do, however, need to be on call in the event of
a key compromise, so the roles probably more like that of

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military personnel long periods of boredom interspersed
with short episodes of sheer terror.
If youre an installing supplier, remember that in addition
to your standard set of Organisation Certificates youll need
one or more installation Organisation Certificates (the ones
initially placed in the anchor slots by your device manufacturer). Theres an expectation (yet to appear in SEC) that
youll need to replace these with another set of Organisation
Certificates within seven days of the device going on the wall
(along with kicking the device to regenerate its own Device
Public/Private Key Pairs and uploading the resulting new
Device Certificates).

Connecting to the DCC

If youve aspirations to be a DCC User, youll need to
connect to the DCC, and for this youll need a DCC Gateway
Connection. These come in Low Volume (LV) and High
Volume (HV) varieties and are likely to set you back between
2,000 and 15,000 for a oneoff connection charge and
between 600 and 32,000 for an ongoing annual charge.
The lead time for ordering LV and HV connections is 30 and
90 working days respectively, so dont forget to get your
order in early.
As Chapter6 explains, you need to secure your DCC Gateway
Connection using DCCKI keys and Certificates. This means
first going through the DCCKI RAPP, although hopefully the
DCCKI Registration Agent (DCCKI RA) will take into account
the fact that youve already been through SMKI RAPP and will
give you a relatively easy ride. Indeed, youre expected to
have been through SMKI RAPP before trying to access DCCKI
services because you have to sign your DCCKI Certificate
Signing Request (CSR) with your SMKI Digital Signing Key.
After youve got your DCCKI Certificates, you can use these
and your DCCKI keys to secure your DCC Gateway Connection
by establishing a Transport Layer Security (TLS) session
between your Policy Enforcement Point (PEP) and the DCC.
Acronyms aside, this essentially means that you set up a
secure pipe between yourself and the DCC.

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Chapter9: Life as a DCC User

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Buying, building, renting or

stealing a DCC Adapter
So youre now security and privacy vetted, a bona fide IKI,
SMKI and DCCKI Authorised Subscriber, and youve got
a secure connection to the DCC. Its time to start sending
some Service Requests. However, as I highlight in Chapter4,
submitting Service Requests and making sense of what comes
back isnt trivial. You need to
Call web services with the correct parameters depending on your chosen Service Request Variant, Mode of
Operation and Command Variant.
Follow the many steps defined in the appropriate
Sequence Diagram depending on the nature of the message youre processing, who youre sending it to and
your relationship with them.
Authenticate, sign, MAC, encrypt, decrypt, parse and
correlate as required.
Follow up to 16 individual steps to complete the
technical orchestration of a single Service Request/
Response, including
Checking and removing DSP signatures.
Parsing and correlating PreCommands.
Checking device signatures.
Parsing responses (often more than once).
Decrypting sensitive data.
Fortunately, these common requirements lend themselves to
productbased solutions, and there are products and services
on the market that address these needs, offering a simple
plain text interface to the DCC. Email [email protected]
fordetails.

Having a practise
As Chapter8 describes, wouldbe SEC Parties are likely to
get the chance to integrate with the DCCs Pre User Integration
Test (PUIT) environment prior to attempting UEPT. The amount

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of time you choose to spend in PUIT is likely to depend on the
functional richness of the PUIT environment. If only a handful
of Service Requests are supported, the potential for testing
is small and this isnt likely to take very long. If, however, a
full set of Service Requests with full cryptographic support
is provided, time spent testing in PUIT could verify not only
integration with the DCC but could also be used to dry run
your UEPT test scripts. And if the PUIT environment were to
include intelligent virtual devices capable of remembering
what state theyre in (for example, prepayment mode and
supply status) then even business process testing in PUIT
becomes possible.

Passing User Entry

Process Testing
As Chapter8 describes, UEPT is primarily about demonstrating that you can successfully submit a Service Request of
every type that youre entitled to according to your chosen
DCC User Role(s), using a variety of combinations of Mode
of Operation and Command Variant (see Chapter4). For a
supplier, this means executing nearly 300 individual tests to
demonstrate compliance with the scenarios defined in the
Common Test Scenarios Document (CTSD). Theres also a SEC
requirement for wouldbe DCC Users to demonstrate that they
can access the DCCs SelfService Interface, though this may
not amount to much more than being able to log on.
UEPT needs to be completed for each DCC User Role under
which you intend to operate.
The vast majority of Service Requests youre required to
generate for UEPT can be issued in any order. However, there
are a few that need to be done in an order specified in the SEC
(mainly to do with device installation and commissioning).
And remember, UEPT has to be done using devices provided
by the DCC in CSP Test Labs (unless there arent any devices
ready and the Secretary of State says UEPT can be conducted
using test stubs instead).
SEC Parties are required to conduct UEPT using devices
installed in one of the two Test Labs provided by the CSPs.
Clearly, theres a limit to the number of devices that will be
available in a CSP Test Lab (if, indeed, any are ready in time)
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Chapter9: Life as a DCC User

133

and theres also a limit on the human resources available to

operate them (the socalled smart hands). Access to device
sets and smart hands is likely to be restricted with SEC Parties
required to book timeboxed testing slots well in advance. SEC
Parties also dont get to choose which CSP Test lab theyll
be sent to (although they can express a preference) or the
devices they get to test with (which will be selected according
to the DCCs published Device Selection Methodology DSM;
see Chapter7).
The CTSD specifies what needs to be tested, but its up to
the individual SEC Party to write their own UEPT test scripts.
Here are some things to bear in mind when writing these
scripts.
The scripts may need to execute against real devices and
the order in which you execute Service Requests should
reflect this. For example, if youre going to issue a 2.2 Top
Up Device, make sure that youve previously executed a
1.6 Update Payment Mode to put the meter into prepayment mode first.
Given the limited resources within the CSP Test Labs and
the long queue of SEC Parties wanting to undergo UEPT,
make sure that your CTS test scripts use the minimum
number of device sets and execute in the shortest
possible time.
Group any manual intervention required into one
segment of testing to make the most efficient use of the
CSPs smart hands.

Passing Interface Testing

If youre lucky enough (?) to be one of the first two large
suppliers to go through UEPT, youll need to complete some
additional Interface Testing. This will involve coordination
with the DCC and another large supplier to execute joint test
scenarios predominantly focusing on the change of supplier
process.
Assuming this all goes swimmingly, congratulations! Youre
now a DCC User!

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Surviving as a DCC User

Now that youre a bona fide DCC User, you can access the
DCCs EndtoEnd test environment and start some real
testing.

Smartening up your business

processes
Until now, all the testing has been aimed at demonstrating
the ability to rattle off a set of Service Requests of each type
available to the DCC User Role in question. For the most
part, the DCC doesnt care in what order these are generated
or how a SEC Party goes about generating them (manually
typing commands into a screen and pressing a button is
fine). However, given the volume of smart meters, DCC Users
will need fully integrated, automated processes if theyre to
maximise the benefits of smart metering.
For DCC Users who dont currently have much access
to domestic metering (for example, network operators),
integration with the DCC represents an opportunity to create
new ways of working. However, for those DCC Users for whom
domestic metering is an integral part of their existing business
processes (for example, suppliers), integration with the DCC
represents substantial change to a host of existing business
processes (and the systems that support them) while still
retaining support for traditional meters.
Experience says that an average supplier will need between
40 and 50 smartenabled business processes to function effectively in the smart retail market. These range from the relatively simple (prenotifying the DCC of devices to be installed)
to the extremely complex (installing and commissioning
a device set). Putting these business processes in place
involves modifying existing back office interfaces to plug into
the 115 Service Requests, 40 DCC Alerts and 91 Device Alerts
now available via the DCC.

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Chapter9: Life as a DCC User

135

Take a change of tenancy, for example. How a supplier goes

about managing a change of tenancy is up to them, but they
may well choose to
Take a closing/opening reading
Restrict access to historic consumption data so that
the new tenant cant see what his or her predecessor
consumed
Delete schedules agreed with the previous tenant and
cancel any outstanding future dated commands (or, at
least, check that the DCCs done this)
Change to a default tariff, possibly including a change
of payment mode and the setting up of a new billing
calendar
Disable the previous tenants PIN
Send a message to welcome the new tenant
This requires designing, building and testing a new business
process involving calls to ten or more Service Request types,
all of which could fail and require exception handling.
Similarly, given that meters could appear on a network
operators network at rates of 5,000 or more a day, its highly
likely that network operators may choose to automate
the configuration of smart meters, possibly triggering
configuration at time of installation. What this configuration
involves is up to the individual network operator and how
interesting they think the meter is likely to be in the context
of their overall network, but may include:
Reading the DCC Inventory (to find out a bit more about
the device thats been installed)
Changing the network operators Organisation
Certificates
Reading what, if any, load limits have been set by the
supplier
Setting voltage thresholds
Configuring maximum demand registers
Configuring the alert behaviour of the meter

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Setting up schedules to collect one or more of reactive
import profiles, export profiles, network data, maximum
demand import/export registers, load limit data, active
power import and daily consumption logs
This requires designing, building and testing a new event
triggered business process involving calls to a dozen or more
Service Requests types.
Hopefully, these new processes will have all been designed,
built and internally tested by the time youve become a DCC
User. But now that youre a DCC User, you have the opportunity of testing these processes with the DCC in the EndtoEnd
Test environment (its highly unlikely that the PUIT environment will be functionally rich enough to support this complexity of testing).
Given the scale and complexity of the task of integrating
with the DCC, EndtoEnd testing isnt likely to be quick. The
number and complexity of test scripts required to adequately
test your back office systems and processes is likely to be
an order of magnitude more complex than those used in
UEPT, not least because UEPT test scenarios are all happy
path (positive tests) whereas much of the real testing will be
around failures and exception handling.

Setting up your own test lab

Now youre a DCC User, youre considered grown up enough
to have your own test lab (a room where you can install your
own devices and talk to them via the DCCs EndtoEnd Test
environment). Regardless of where you choose to locate
this, you can buy Smart Metering Wide Area Network (SM
WAN) connectivity from the DCC, which means you can
test using Communications Hubs from both CSPs within the
same test lab (the DCC will also flog you the required test
Communications Hubs).
Section H14.32 of the SEC allows nonSEC Parties (like testing
houses) to connect to a DCC test environment in order to
test device interoperability. Its becoming clearer what a SEC
Party needs to do to be able to connect to the DCC, but its
less clear what hoops a nonParty will need to jump through
(although assuming it will be similar to those of a SEC Party is
probably a pretty good starting point).
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Chapter9: Life as a DCC User

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Setting up a test lab is fine if you happen to be a supplier who

intends to buy and install vast numbers of devices, but may
not be such an attractive proposition if youre a DCC User
who doesnt intend to install any meters. Worse still, if youre
not an import supplier, your DCC User Role prevents you
from accessing the Service Requests necessary to install and
commission devices. Fortunately, the DCC has realised this
and has said that they will provide a complete set of DCC User
Roles for testing purposes on request.
A supplier has a SEC obligation to only operate Smart
Metering Equipment Technical Specification 2 (SMETS2)
compliant meters via the DCC. However, SMETS2 functionality
extends beyond that available to a supplier. Take network
functionality, for example. Installing suppliers cant set maximum demand registers or read network data but are responsible for ensuring that this all works. Hence theres a need for
suppliers (or their nominated test houses) to have access to
a complete set of test DCC User Roles to allow full functional
testing of the device.
Setting up test labs isnt cheap and is something that
nonimport suppliers would probably like to avoid if at all
possible. Of course, theres always the option of using the CSP
Test Labs, but demand for these is likely to be at a premium.
It may be possible to do a deal with a friendly supplier to use
devices installed in their test lab or, alternatively, rent some
meter time from a test house.

Outsourcing device testing

In addition to commissioning new/modified business processes, suppliers are also obliged to ensure that the devices
they intend to install and operate are adequately tested. For
some types of testing (see Chapter3), theyll be able to rely
on the device manufacturer to provide the necessary test
certificates to prove compliance (for example Measuring
Instruments Directive (MID) 2004/22/EC seals, ZigBee, Device
Language Message Specification (DLMS) and Commercial
Product Assurance (CPA) certificates). Assuming the Smart
Meter Device Assurance (SMDA) operator is up and running, this reliance could extend to SMDA certificates for
Interoperability and Interchangeability. However, that still
leaves SMETS2 compliance and accelerated life testing.

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Suppliers have enough on their plate testing their back office
processes and systems without having to worry about device
testing (which, based on Foundation experience, is time consuming). And however much testing you undertake on the
devices you intend to install, you also need to consider the
meters that youll invariably gain through change of supply
(youre also responsible for ensuring that these are SMETS
compliant). And dont forget that its your responsibility to
make sure that all SMETS2 functionality works (including that
which you cant access as a supplier).
Consider outsourcing as much device testing as you can to
established, accredited test houses and focus your testing
efforts on your business processes.
Before you install your first smart meter, make sure youre fully
confident in the DCC, your back office systems and processes
(including exception handling), your chosen devices and the
ability of your systems and processes to scale (especially if
the number of devices they will have to cope with is not within
your control, as is the case with network operators).
Dont forget to test Disaster Recovery. Recovery will be
easier/safer to test at low volumes rather than when the rollouts in full swing.

Making use of the SSI

The DCC provides a Self Service Interface (SSI), a webbased
portal accessed via the DCC User Gateway thats intended as
your first port of call when contacting the DCC. You probably
only had to log on to it to pass UEPT, but now its time to start
using it in earnest. Its predominantly readonly, although
you can raise and track service management incidents and, if
youre an installing supplier, gain access to the CSPs websites
for ordering Communications Hubs.
The SSI provides
Details of SM WAN coverage by postcode
Information on what variant of Communications Hub you
should install at a given premise
DCC service status

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Answers to frequently asked questions

The ability to run parameterised reports against DCC data
The ability to query a property in the DCC Smart
Inventory using MPAN/MPRN, device GUID, postcode,
property filter or UPRN and find out what smart devices
are installed there
If youre a supplier, dont forget to forecast and order your
Communications Hubs. Forecasting and ordering is done via
the CSPs, but you can access their order management systems via the SSI.

Paying your dues

If youre a supplier or a network operator, you have to pay
monthly fixed charges per meter and per Communications
Hub to finance the DCC. Costs are split between Import
Suppliers, Export Suppliers, Gas Suppliers and Electricity
Distributors (Gas Transporters, Registered Supplier Agents
and Other Users get off scot free).
The DCC is currently costing a little over 3.5 million per
month, with Import Suppliers picking up the majority of
this (57 per cent); Gas Suppliers a fair whack (35 per cent)
and Electricity Distributors picking up the rest (8 per cent).
TheDCC monthly spend is forecast to rise to an estimated
14million per month in 2017/18.
Section K7.5 (j) of the SEC allows the DCC to impose a charge
for every message handled. In the DCCs indicative charging
statement 2015/2016, the DCC has decided not to impose this
charge based on the fact that its likely to be very small and
would probably cost more to bill than would be recovered.
Instead, the DCC intends to bundle this in with the fixed
charges per meter/Communications Hub. Good news for
budding Other Users!
Given the initial lack of explicit charges for messages, why
not put the devices through their paces and read everything
thats available to you? Having a full set of smart data will
help you assess its worth to your organisation and shape your
enduring smart operations.

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Chapter10

The Future
In This Chapter
Adopting Foundation meters
Extending HANs
Centralising registration
Electing for Elective Communication Services
Settling halfhourly
Coping with mobile mayhem
Preparing for change

t time of writing, the SMIP is just starting to gear

up. Milestones are looming, implementation plans
compressing and the monumental event of the first Data
Communications Company (DCC)supported meter being
deployed in an unsuspecting customers home seems a long
way away. So considering what comes after the smart metering rollout seems a bit like discussing space exploration post
the Mars landings. However, here goes.

Foundation Adoption
Suppliers have a licence obligation to provide all domestic
customers and small businesses with a smart meter by 2020,
but not just any old smart meter. For a smart meter to count
towards a suppliers smart meter quota and thus be spared
replacement, it must either be a Smart Metering Equipment
Technical Specification 2 (SMETS2) meter installed under the
DCC or a SMETS1 meter.

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Truth be told, a SMETS1 meter isnt that dissimilar from a
SMETS2 meter in terms of its functionality; however, instead
of the new hybrid cryptographic endtoend security model
(see Chapter6), SMETS1 meters tend to use a more traditional
symmetric cryptographic security model.
Some suppliers have chosen to deploy smart meters in the
period prior to DCC Go Live (referred to as the Foundation
phase, which, according to the Department of Energy and
Climate Changes (DECCs) website, officially started in
March 2011). In the absence of a DCC, suppliers must either
manage their own smart metering infrastructure or outsource
provision of this to a third party.
However, it has always been the governments intention that
at some time in the future SMETS1 meters will be eligible
for adoption and enrolment into the DCC. In this context,
adoption means that the DCC will take on the communications contract from the Wide Area Network (WAN) provider
(the Foundation equivalent of the Communication Service
Provider CSP) and enrolment means that it will include the
meter within its vast smart metering estate, enabling all parties to interface with it via the DCC User Interface.
Why should a supplier choose to give away their beloved
SMETS1 meter for adoption? Well, the adoption costs will be
smeared across all DCC Users and the costs of operating a
SMETS1 meter via the DCC are likely to be substantially less
than those of operating the meter yourself or via a small service provider. It also removes the burden of being obliged to
continue to operate the meter after its fickle customer has
decided to desert you for another supplier (an obligation that
came into force via condition 25B of the Electricity Supplier
Licence and Gas Supplier Licence).
On 24 March 2015, DECC directed the DCC to start work on
the Initial Enrolment Project Feasibility Report (IEPFR yes, yet
another linguistically challenging acronym). This is an impact
assessment conducted by the Data Service Provider (DSP) to
determine the cost of supporting Foundation meters (bearing
in mind that their symmetric keybased security model means
that they need to be kept at arms length from their SMETS2
cousins).

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By the time you read this, the DCC should have wheeled its
cart around the industry, crying Bring out your SMETS1
meters!, so that the impact assessment can be based on the
largest possible population of meters and thus realise the maximum economies of scale. However, the IEPFR isnt likely to be
submitted to the Secretary of State until the latter part of 2016
and is itself only the first step on the road to adoption, so it
may be sometime before SMETS1 meters make it into the DCC.

Dual Band Communications Hub

Suppliers are likely to be paying very close attention to
the DCCs Self Service Interface (SSI) before dispatching
their meter operators to install smart meters. The SSI is the
mechanism by which the DCC will meet its obligation to
provide SM WAN coverage information by postcode. In the
case of the Central and Southern CSP Regions, the SSI will also
tell you what variant of Communications Hub (CH) to install
(cellular, mesh or cellular/mesh).
The contractual requirements that have been placed on
Arqiva and Telefnica in terms of SM WAN coverage have
been redacted in the versions of the contracts published on
the DCCs website. However, DECC previously stated that they
expected the CSPs to commit to eventual coverage of at least
97.5 per cent of properties.
Having SM WAN coverage doesnt necessarily mean youll
be able to install a smart meter, though. You also need to be
able to establish a Home Area Network (HAN). DECCfunded
research suggests that the 2.4 GHz HAN specified in SMETS2
and CHTS is expected to work in only 70 per cent of premises.
For the other nine million odd homes, the distance between
smart devices and/or the thickness of the walls is likely to
defeat a 2.4GHz HAN.
The solution (or, at least, part of it) is to use an alternative
868MHz HAN that, operating at a lower frequency, has
better penetration. The same DECCfunded research
suggests that adding the 868MHz solution will enable HANs
to be established in 95 per cent of premises. However, the
bandwidth available at this spectrum is more limited than
that available at 2.4GHz. Therefore, the 868MHz solution
should only be used when its really needed. For this reason,

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the DCCs been charged with providing a dual band CH in
addition to its existing 2.4GHz variant. The new dual band CH
should be capable of communicating with devices on the HAN
at either frequency using 2.4GHz for devices where this is
possible and 868MHz where it isnt.
At time of writing, DECC is still consulting on the dual band
CH, and the earliest you can expect to see one is, apparently,
the second half of 2017. And the old adage never trust
timescales expressed in seasons or quarters suggests you
should treat even this date with caution.
Although the DCCs Self Service Interface will tell you whether
a property is likely to have SM WAN coverage, it wont tell
you whether its likely to support a 2.4GHz HAN. Its up to
suppliers to source information concerning housing stock
and to take this into account when planning their rollout
strategies.

An Alternative HAN Solution

The mathematically astute amongst you will have noticed that
even with an 868MHz HAN solution, 5 per cent of premises
(around 1.5 million) will still remain beyond the reach of the
DCC. Many of these premises will be Multiple Dwelling Units
(MDUs), communal residences such as blocks of flats where
meters may be colocated some way from the living areas.
These premises are likely to require additional kit shared by
all residents.
However, given customer switching, its extremely unlikely
that all residents will be served by the same supplier, so its
not obvious who should pay for this communal paraphernalia.
A recent government consultation is minded to force
suppliers to work together to provide a collective solution to
this problem but, as with the dual band CH, its early days and
this could take a while.

Centralised Registration
As with the adoption of SMETS1 meters, the government
has always intended for the DCC to appoint a centralised

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registration agent. Registration agents perform the essential

role of remembering who your supplier is (okay, they do a bit
more than this but thats the gist of it). Currently, this honour
falls to the 19 distribution network operators (DNOs) and
independent distribution network operators (iDNOs) for your
electricity supply, and Xoserve for your gas supply.
Not surprisingly, registration agents are at the heart of the
change of supply process, the epic ordeal that customers
need to undertake when seeking to reduce their energy bills.
Currently, separate switching processes exist for gas and
electricity dating back to the 1990s and these can take up to
eight weeks to complete.
Ofgem, protector of the energy consumer, would like us
all to change our supplier as often as possible in order to
inject some much needed competition into the retail market.
They see fast, reliable switching as the catalyst for this to
happen.
The SMIP offers key building blocks for making this a reality:
A joint gas/electricity code (namely, the Smart Energy
Code SEC) within which a new dualfuel switching
process can be defined
A central body for managing and operating a centralised
registration service (namely, the DCC)
Ofgem estimate the cost of establishing next day switching as
a oneoff 4.21 per dual fuel customer with a 0.27 per year
ongoing charge. Given that many customers could save in
the order of 200 per year by switching supplier, this seems a
small price to pay.
Centralised registration offers the prospect of a golden property record a single definitive view of a property that brings
together the gas supply point (Meter Point Reference Number
MPRN) and electricity supply point (Meter Point Administration
Number MPAN) into a single record indexed by Unique
Property Reference Number (UPRN). In the future, this record
could be enriched with additional information (for example, a
water supply reference number).

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Elective Communication Services

The SEC has provision for a DCC User to enter into a
bilateral agreement with the DCC for the provision of an
Elective Communication Service (essentially, an extension
to the DCC User Interface solely for use by that DCC User).
Such an agreement could be used to access additional
bespoke device functionality above and beyond that defined
in SMETS.
Say a supplier comes up with a killer product that offers
customers online access to their energy consumption,
disaggregated to individual appliances (Did you know that
your sons XBox costs 5.79 per week to run?). Having
commissioned an enhanced SMETS2 meter to log the one
minute consumption data required to do this, the supplier
could enter into a bilateral agreement with the DCC to
provide a new Service Request for pulling back the resultant
log files.
Given everything else thats going on, it may take a while for
Elective Communication Services to take off, but a pro forma
for the bilateral agreement is ready and waiting in Schedule 3
of the SEC.
Elective Communication Services can only relate to the supply
or use of energy, and youre not allowed to add any meter
functionality thats deemed Critical (see Chapter4).

Other Services
The DCC is a commercial organisation and is at liberty to
seek new opportunities for extending its footprint by leveraging its national communications network. The example
thats frequently cited is offering communication services to
smart water meters, but other services could equally apply
to central registration services to enable water competition.
That said, any change would probably require consent from
the Secretary of State and, possibly, primary legislation.

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Half Hourly Settlement

Retail electricity demand in this country is currently split
pretty evenly between
Half hourly (HH) customers: Those with demands in
excess of 100kW whose consumption must be measured
every half hour for settlement purposes.
Nonhalf hourly (NHH) customers: Those with demands
of less than 100kW whose meagre consumption doesnt
warrant half hourly measurement.
HH customers account for a daily consumption of around
400,000 MWh all year round, whereas NHH customers account
for a daily consumption of between 400,000 MWh to 600,000
MWh depending on the time of year. However, although
their consumption is similar, their numbers arent. There are
around 115,000 HH customers compared to 29 million NHH
customers.
NHH customers vary in size from tiny domestic dwellings
up to small factories. The largest 164,000 NHH customers,
although only 0.5 per cent of NHH customers by number,
account for 10 per cent of the total NHH consumption. Its
now mandatory for these customers (Profile Classes 5 to 8)
to be halfhourly metered, and theres also a plan to move
them into HH settlement (Balancing and Settlement Code
(BSC) Modification P272 see the nearby sidebar). In 2011,
ELEXON, who run electricity settlements in Britain, had a look
at whether there was a business case for moving the remaining 28,836,000 NHH customers into half hourly settlement
after theyd been given smart meters. At the time, ELEXON
concluded that it was intuitively the right thing to do but
couldnt establish a business case for doing so. Were this to
change, the DCC could be a key enabler in the demise of NHH
settlement.

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The long road to HH settlement

P272 has been long in gestation
and its been a far from straightforward birth. First raised in May 2011,
it underwent an industry impact
assessment and two working group
consultations before being recommended for rejection. Ofgem wasnt
convinced and asked for P272 to be
reassessed. There followed a cost
benefit analysis and two further
consultations, but still the working

group recommended rejection.

However, Ofgem reprieved P272,
albeit delaying its implementation
until a related industry code change
had gone through. Two further
delays were approved, and at time
of writing the BSC Panel is proposing a third delay that will result in
P272 being implemented on 1 April
2017, almost six years after it was
first raised.

Mobile Workforce Mayhem

While the DCC Go Live date gradually slips to the right, the
2020 target for everyone to have smart meters hasnt moved.
As the time available for rollout compresses, the number
of meter operators required to achieve the 2020 deadline
proportionally increases (a bit like Boyles Law). And this
becomes a recurring problem because most of the devices
will reach the end of their lives and require replacing at the
same time (so dont forget to invest in meter operation businesses in 2031!).
Things are looking up for meter operators, at least for the
next five years, but I cant say the same for meter readers,
who are destined for extinction over the same period.

SEC Changes
Whenever a new industry code comes into effect, there follows an inevitable flurry of change requests as unforeseen
problems arise and the signatories struggle to make the code
fit for purpose. Take the Balancing and Settlement Code, for
example. As Figure 10-1 shows, almost half of the 320 BSC
Modifications that have been raised during its fifteen year history were raised in the first three years. And theres no reason

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Chapter10: The Future

149

to believe that the same wont be true of the SEC. So, if you
work for the Smart Energy Code Administrator and Secretariat
(SECAS), dont plan any sabbaticals for the next few years... .

Figure 10-1:Balancing and Settlement Code Modifications.

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Chapter11

Ten Top SMIP Tips

In This Chapter
Suggestions on strategy
Tips on testing
Ideas on implementation
Opinions on operation

here to start? Here are ten semiserious observations

on the SMIP to take away with you.

Dont Go for a SupplierLed

Rollout
This has to be the most complex smart meter rollout ever
attempted. Any country considering a smart meter rollout
should take note and get the distribution network operators
to do it.

Get Through User Entry Process

Testing (UEPT) as Quickly
as You Can
Real testing of your back office systems and processes
can only start when you have unfettered access to your
own smart devices installed in your own test environment.
Unfortunately, this requires you to have passed UEPT and
become a Data Communications Company (DCC) User.
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Tighten Up Your UEPT Scripts

Given the limited device sets and smart hands available in
CSP Test Labs, combined with the likely high demand for
UEPT testing slots, make sure your UEPT test scripts use the
minimum number of devices and complete in the shortest
possible time. Oh, and make sure theyll run against real
devices as well as dumb test stubs (in the unlikely event that
there are real devices available for UEPT).

Dont Hold Your Breath

Dont expect to see many smart meters appearing on custom
ers walls immediately after the DCC goes live. DCC Go Live
happens when two large suppliers become DCC Users.
However, you can only start the real testing after youve
become a DCC User with access to the EndtoEnd Test
environment, and this is likely to take some time.

Fill Your Boots

The DCC has decided not to levy explicit charges on mess
ages, at least initially, so why not make the most of it? So, if
youre a Distribution Network Operator (DNO), for example,
you may as well collect as much data as you can to see
whether its of any use.

Take Control
When your business processes require Service Requests to be
performed in a specific order, consider orchestrating these in
your back office rather than relying on DCC sequencing. Youll
have more control when handling exceptions.

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Chapter11: Ten Top SMIP Tips

153

Why Wait When You Can

Have It Now?
In the absence of explicit charges for messages, Scheduled
Service Requests and On Demand Service Requests (with
Service Levels of 30 seconds and 24 hours, respectively) cost
the same. In addition to having to wait for a Scheduled Service
Response, youll also have no control over when the response
arrives, so youll have to size your systems for the worst case
of everything arriving at the same time. Using On Demand
Service Requests gives you greater control (and saves you
hanging about!).

Beware Hand Held

Terminals (HHTs)
Delivering pregenerated Service Requests via an HHT rather
than over the Smart Metering Wide Area Network (SM WAN)
is fraught with challenges. Such Service Requests are device
specific. This means youve either got to preallocate device
sets to specific customers or rely on remotely accessing back
office systems from your HHT to enable locally delivered com
mands to be generated at time of installation. Preallocation
causes problems if one of the devices proves faulty, and if
your HHTs got remote connectivity, chances are SM WAN
coverage exists.

Keep the Lawyers Away

While clearly relishing the challenge of deciphering technical
documentation written in legalese, developers responsible for
implementing the SMIP would probably say they have enough
challenges already.

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Outsource Your Device Testing

As a supplier, youll have enough on your plate testing your
back office processes and systems. Outsource as much of the
device testing as you can by finding a reputable, established
test house.

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Glossary
ACB (Access Control Broker): A DSP function when the DSP
communicates with a device as a Known Remote Party. ACB
Certificates may also be used as placeholders in anchor slots
where the correct Organisation Certificate is not known or
unavailable. (See page 94.)
Adoption: The process by which the communication contract
for an enrolled Foundation meter is transferred to the DCC.
(See page 143.)
ALCS (Auxiliary Load Control Switch): An integral bit of an
ESME that switches auxiliary load circuits. (See page 29.)
Anchor slot: A holder for an Organisation Certificate within a
device. (See page 93.)
Anomaly Detection: A service provided by the DCC to detect
anomalously large volumes of messages. (See page 62.)
ARO (Authorised Responsible Officer): A nominated, vetted
individual authorised to access the SMKI to request and revoke
Certificates on behalf of an organisation. (See page 127.)
Asymmetric cryptography: Cryptography in which encryp
tion and decryption are performed using different keys.
(See page 84.)
Authentication: Checking that a message is from the party
that claims to have sent it. (See page 83.)
Authorised Subscriber: An individual, organisation or device
that has gone through the RAPP and is permitted to request
Certificates from an RA. (See page 128.)
BMRG (Benefits Monitoring and Review Group): A work
group set up to keep tabs on performance of the SMIP and the
benefits its delivering. (See page 116.)

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CA (Certificate Authority): A trusted entity that issues
Certificates. (See page 87.)
CAD (Customer Access Device): A Type 2 Device that can
access the same data set as an IHD and provide a bridge
between the regulated SM HAN and the nonregulated
Customer HAN (or C HAN). (See page 33.)
Certificate: An electronic document used to prove ownership
of a Public Key. Comprises the Public Key itself and details
of the authenticating Issuing Certificate Authority (CA). Also
known as Public Credentials. (See page 88.)
Certification: The process by which a device gains evidence
of compliance with a specific assurance scheme (for example,
ZigBee certification). (See page 26.)
CESG (The National Technical Authority for Information
Assurance): The bit of GCHQ that ultimately gets to rule on
securityrelated SMIP issues. (See page 37.)
CH (Communications Hub): A CSPprovided device that
connects the HAN to the SM WAN and also includes a GPF.
(See page 27.)
CHF (Communications Hub Function): Everything in the
Communications Hub that isnt the GPF. (See page 27.)
CHTS (Communications Hub Technical Specification): A
document that sets out the minimum physical, functional,
interface and data requirements that apply to a Communi
cations Hub (the Communications Hub equivalent ofSMETS).
(See page 27.)
CIO (Competent Independent Organisation): An agent
appointed by the SECCo on behalf of the SEC Panel to provide
the UISASP and IPA functions. (See page 22.)
CoCo (Code of Connection): A SEC Subsidiary Document
setting out the rules for connecting to and using a DCC
interface. (See page 107.)
Contingency Key: A DCC Public/Private Key Pair, the Public
Key of which is embedded in encrypted form within the Root
OCA Certificate. Used by the DCC in the event of a major
security compromise. (See page 97.)

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Glossary

157

CP (Certificate Policy): A standard PKI document that sets

out the principal parties, their roles and duties within a PKI.
(See page 109.)
CPA (Commercial Product Assurance): A CESG scheme for
evaluating commercial products against published security
and development standards. (See page 36.)
CRA (Command Response Alert) Flag: A flag (either C, R or
A) thats included in a Message ID. (See page 58.)
Critical Service Request: A Service Request that has the
potential to affect supply, result in financial fraud or the
compromise of the security of a smart device. (See page 46.)
CRL (Certificate Revocation List): A list of revoked
Certificates sent out periodically to Subscribers by the
IssuingCA. (See page 89.)
CRR (Certificate Revocation Request): A request sent by
a Subscriber to a Registration Authority (RA) to revoke a
Certificate and place it on a CRL. (See page 88.)
CSR (Certificate Signing Request): A request sent by a
Subscriber to a Registration Authority (RA) for a Certificate to
prove ownership of a Public Key. (See page 88.)
CTS (Common Test Scenarios): A set of tests that a SEC Party
needs to complete as part of User Entry Process Testing
(UEPT) before becoming a DCC User. (See page 121.)
CTSD (Common Test Scenarios Document): A SEC Subsidiary
Document containing the tests that comprise User Entry
Process Testing (UEPT). (See page 121.)
CV (Command Variant): An input parameter to a Service
Request that tells the DSP how it should be delivered.
(See page 52.)
CSP (Communication Service Provider): An agent of the DCC
responsible for providing the SM WAN and CHs over which
the DCC Data Systems communicate with smart devices.
Currently Arqiva (northern CSP region) and Telefnica
(central and southern CSP regions). (See page 13.)

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DCC (Data Communications Company): The DCC licence
holder responsible for establishing and managing the smart
metering communications infrastructure currently Smart
DCC Ltd (DCC), a subsidiary of Capita plc. (See page 12.)
DCC Alert: An alert generated by the DCC in DUIS format.
(See page 71.)
DCC Data Systems: The central IT system provided by
the Data Service Provider (DSP) though which DCC Users
communicate with smart devices. (See page 8.)
DCCKI (DCC Key Infrastructure): A PKI used to secure
interfaces to the DCC. (See page 91.)
DCCKI Repository: A database containing the DCCKI
Certificates issued by the DCCKI Issuing CAs. (See page 91.)
DCC Only Service Request: A Service Request sent to the
DCC only (as opposed to one destined for a device). A.k.a.
nonDevice Service Request. (See page 44.)
DCC User: A SEC Party thats passed User Entry Process
Testing (UEPT). (See page 14.)
DCC User Gateway Network: The WAN connecting the DSP to
the DCC Users. (See page 8.)
DCC User Role: A category of DCC User that dictates the DCC
services to which the DCC User has access. (See page 15.)
DSP (Data Service Provider): An agent of the DCC responsible
for the DCC Data Systems (currently CGI). (See page 13.)
DECC (Department of Energy and Climate Change): The
government department responsible for instigating the smart
meter rollout. (See page 20.)
Device Alert: An alert generated by a device in GBCS format.
(See page 75.)
Device Certificate: The Certificate relating to a Device Public/
Private Key Pair, issued by the Issuing DCA. (See page 89.)

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Glossary

159

Device Log: A log maintained by a device that contains the

Public Keys of other devices with which it communicates over
the HAN. (See page 31.)
Digital Signature: An asymmetrically encrypted message hash
added to the message for the purpose of authentication and
integrity checking. (See page 84.)
Digital Signing Public/Private Key Pair: An asymmetric key
pair used for signing messages. (See page 87.)
DLMS/COSEM (Device Language Message Specification/
Companion Specification for Energy Metering): One of the
two industry application layer protocols to be used for British
smart meters. (See page 56.)
DNO (Distribution Network Operator): A company licensed
to distribute electricity in Great Britain. (See page 14.)
DUGIDS (DCC User Gateway Interface Design Specification):
A technical document describing the DCC User Interface, now
relegated to a guidance document. (See page 110.)
DUIS (DCC User Interface Specification): A SEC Subsidiary
Document based on the DUGIDS (but without the useful bits).
(See page 105.)
ED (Electricity Distributor): A DCC User Role for a
Distribution Network Operator (DNO). Also known as ENO
(Electricity Network Operator). (See page 16.)
EES (Electricity Export Supplier): A DCC User Role for the
supplier to whom you sell your surplus electricity generation
(also known as ES Export Supplier). (See page 15.)
EIS (Electricity Import Supplier): A DCC User Role for the
supplier from whom you buy your electricity (also known as
IS Import Supplier). (See page 15.)
Encryption: Encoding a message such that only authorised
parties can read it. (See page 83.)
EndtoEnd Testing: A SMIP test phase in which DCC Users
can test their systems, processes and devices in an enduring
DCC test environment using remote test labs. (See page 122.)

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ENO (Electricity Network Operator): A DCC User Role for
a Distribution Network Operator (DNO). Also known as ED
(Electricity Distributor). (See page 16.)
ES (Export Supplier): A DCC User Role for the supplier to
whom you sell your surplus electricity generation (also known
as EES Electricity Export Supplier). (See page 15.)
ESME (Electricity Smart Metering Equipment): Another name
for an electricity smart meter. (See page 29.)
Enrolment: The process by which a certified meter is
included within the DCCs service. (See page 142.)
Foundation: Relating to the period before the DCC goes live and
to smart meters installed during this period. (See page 142.)
Future Dated (Device): A Mode of Operation in which a Service
Request is sent to a device for execution at a later date/time.
(See page 50.)
Future Dated (DSP): A Mode of Operation in which a Service
Request is sent to the DSP for instigation at a later date/time.
(See page 50.)
GBCS (GB Companion Specification): A SEC Subsidiary
Document that describes the HAN interfaces of the ESME,
GSME, CH, HCALCS, IHD and PPMID. (See page 105.)
GBZ (DLMS): A weird combination of ZSE and DLMS/COSEM
specific to the GB SMIP. (See page 56.)
GFI (GIT for Industry): A HANbased tool, based on GIT, for
device manufacturers to test their devices compliancy to
GBCS in the absence of the DCC. (See page 36.)
GIT (GBCS Interface Testing): A tool developed by Critical
Software for the DCC to electronically validate the GBCS.
(See page 36.)
GNO (Gas Network Operator): A DCC User Role for a
company licensed to distribute gas in Great Britain. Also
known as GT Gas Transporter. (See page 17.)

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Glossary

161

GPF (Gas Proxy Function): An integral part of the Communi

cations Hub that handles commands to and from the GSME
when its asleep. (See page 30.)
GIS (Gas Import Supplier): A DCC User Role for the supplier
from whom you buy your gas. A.k.a. GS Gas Supplier.
(See page 15.)
GS (Gas Supplier): A DCC User Role for the supplier from
whom you buy your gas. A.k.a. GIS Gas Import Supplier.
(See page 15.)
GSME (Gas Smart Metering Equipment): Another name for a
gas smart meter. (See page 30.)
GT (Gas Transporter): A DCC User Role for a company
licensed to distribute gas in Great Britain. Also known as
GNO Gas Network Operator. (See page 17.)
GUID (Globally Unique Identifier): A 64 bit number that
conforms to the IEEE EUI64 standard. (See page 57.)
HAN (Home Area Network): The ZigBee SEP 1.2 network over
which smart devices communicate in the home. (See page 7.)
HANReady Protocol: Another term for GBCS. (See page 55.)
HCALCS (HAN Connected Auxiliary Load Control Switch):
An ALCS thats grown up, left the ESME and has set up for
itself on the HAN. (See page 30.)
HHT (Hand Held Terminal): A device for communicating with
Communications Hubs other than via the SM WAN or HAN.
(See page 34.)
IEPFR (Initial Enrolment Project Feasibility Report): An
impact assessment conducted by the DSP to determine the
cost of adopting SMETS1 meters into the DCC. (See page 142.)
IHD (In Home Display): A Type 2 Device for displaying
consumption and usage data to consumers. (See page 33.)
IKI (Infrastructure Key Infrastructure): A PKI used to secure
interfaces to the SMKI. (See page 91.)

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IMF (Implementation Managers Forum): A working level
forum charged with monitoring progress of individual parties
and resolving issues. (See page 116.)
Integrity check: A check to ensure a message hasnt been
tampered with in transit. (See page 83.)
IPA (Independent Privacy Auditor): A function of the CIO
that conducts privacy assessments. (See page 23.)
IS (Import Supplier): A DCC User Role for the supplier from
whom you buy your electricity (also known as EIS (Electricity
Import Supplier). (See page 15.)
Issuing CA (Issuing Certificate Authority): A trusted third
party that issues Certificates that prove ownership of Public
Keys. (See page 88.)
Issuing DCA (Issuing Device Certificate Authority): The
Issuing CA for SMKI Device Certificates. (See page 89.)
Issuing OCA (Issuing Organisation Certificate Authority):
The Issuing CA for SMKI Organisation Certificates.
(See page 89.)
IT (Interface Testing): A SMIP testing phase in which the DCC
solution is tested with SEC Parties. (See page 120.)
Key Agreement Public/Private Key Pair: An asymmetric key
pair used for generating shared secrets. (See page 87.)
Key Ceremony: A quorate group of nominated industry Key
Custodians who get together in the event of a security inci
dent that requires the DCC to use either the Recovery Key or
Contingency Key. (See page 95.)
Key Custodian: A nominated individual charged with
protecting the security of the smart metering infrastructure.
(See page 95.)
KRP (Known Remote Party): A DCC User who is known to a
device by virtue of having its Organisation Certificate in one
of the devices anchor slots. (See page 94.)

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Glossary

163

MAC (Message Authentication Code): A symmetrically

encrypted message hash added to the message for the p
urpose
of authentication and integrity checking. (See page 83.)
MAM (Meter Asset Manager): An agent appointed by a gas
supplier to install and maintain gas meters. (See page 18.)
MAP (Meter Asset Provider): The owner of a device to whom
the registered supplier pays rents. (See page 18.)
Mode of Operation: The way in which a DCC User would like a
message to be delivered. (See page 49.)
MOP (Meter Operator): An agent appointed by an electricity
supplier to install and maintain electricity meters.
(See page 18.)
MPAN (Meter Point Administration Number): A number used
to uniquely identify electricity supply points in Great Britain.
(See page 145.)
MPRN (Meter Point Registration Number): A number used
to uniquely identify gas supply points in Great Britain.
(See page 145.)
MPRS (Meter Point Registration System): A system used by
DNOs and iDNOs to manage registration data. (See page 14.)
MDU (Multi Dwelling Unit): Essentially, a block of flats.
(See page 144.)
Named Document: A document referenced in the SEC but not
included as a SEC appendix. (See page 108.)
NAN (Neighbourhood Area Network): An RF mesh network
provided by some Telefnica CHs to communicate back to
the CSP when direct communication over the cellular WAN
network isnt possible. (See page 28.)
NonCritical Service Request: A Service Request that cant
result in loss of power, financial fraud or a security breach
(see Critical Service Request). (See page 46.)
NonDevice Service Request: A Service Request sent to the
DCC only (as opposed to one destined for a device). A.k.a.
DCC Only Service Request. (See page 44.)
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NonGateway Supplier: A supplier who has yet to become a
DCC User. (See page 19.)
OAT (Operational Assurance Testing): A SMIP test phase in
which the DCC tests the nonfunctional aspects of the DCC over
all system to ensure that its fit for operation. (See page 121.)
Organisation Certificate: The Certificate relating to a SMKI
Organisation Public/Private Key Pair, issued by the Issuing
Organisational CA. (See page 89.)
Originator Counter: A counter maintained by the sender of
an unsolicited message thats included within the messages
Message ID. (See page 57.)
OTA (ZigBee Over The Air): A ZigBee dialect used for
firmware updates. (See page 56.)
OU (Other User): A DCC User Role for a DCC User thats not
a supplier, network operator or Registered Supplier Agent
(RSA). (See page 18.)
P&C (Parse and Correlate): An application provided to DCC
Users by the DCC free of charge to parse GBCS into DUIS and
correlate PreCommands with their corresponding Critical
Service Requests. (See page 48.)
P&C Provider: An agent of the DCC responsible for delivering
the P&C application. Currently Critical Software. (See page 14.)
PAN (Personal Area Network): A lower level communica
tions mechanism to enable close proximity communication
between HHTs and CHs during installation. (See page 34.)
PEP (Policy Enforcement Point): A logical entity that enforces
a DCC Users policies for accessing its systems. It forms the
DCC Users end of the TLS session that secures the connec
tion between the DCC User and the DCC. (See page 91.)
PIT (Pre Integration Testing): A SMIP phase in which the DCC
and its service providers test their individual components of
the overall DCC solution. (See page 117.)
PPMID (Prepayment Interface Device): A Type 1 Device used
to display prepaymentrelated information to customers and
for local entry of UTRNs. (See page 32.)

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Glossary

165

PreCommand: A Critical Service Request thats been

transformed into GBCS. (See page 47.)
Private Key: A key, comprising two very large prime numbers,
used in asymmetric cryptography. (See page 84.)
Public Key: A key, comprising the product of the two very
large prime numbers that make up the corresponding Private
Key, used in asymmetric cryptography. (See page 84.)
Public/Private Key Pair: A pair of keys used in asymmetric
cryptography, one comprising two very large prime numbers
(the Private Key) and the other comprising the product of
these two very large prime numbers (the Public Key).
(See page 87.)
PUIT (Pre User Integration Testing): An informal SMIP testing
phase in which SEC Parties get an opportunity to test with
a DCC environment prior to the start of formal Interface
Testing. A.k.a the Sandpit. (See page 119.)
RA (Registration Authority): A PKI role responsible for
verifying the identity of an individual, organisation or device
and carrying out administration functions on behalf of a
Certificate Authority. (See page 88.)
RDP (Registration Data Provider): Network operators
charged under licence obligation with providing registra
tion data to the DCC (Xoserve for gas registration data, the
Distribution Network Operators (DNOs) and independent
DNOs (iDNOs) for electricity registration data). (See page 14.)
Recovery Key: A DCC Public/Private Key Pair, the Certificate
of which resides on every device. Used by the DCC to recover
Organisation Certificates. (See page 96.)
RG (Regulatory Group): A work group that advises DECC on
the smart metering regulatory framework. (See page 116.)
Root CA (Root Certificate Authority): A trusted third party
who can authenticate one or more Issuing CAs. (See page 88.)
Root OCA Key: A DCC Public/Private Key Pair, the Certificate
of which is on every device and contains an encrypted
Contingency Key. (See page 97.)

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RSA (Registered Supplier Agent): A DCC User Role for either
the Meter Operator (MOP) appointed for an MPAN, the
Meter Asset Manager (MAM) appointed for an MPRN or the
Meter Asset Provider (MAP) for either. A.k.a SNA Supplier
Nominated Agent. (See page 18.)
Scheduled (Device): A Mode of Operation in which a device
executes a command on a recurring basis. (See page 51.)
Scheduled (DSP): A Mode of Operation in which the DSP
sends a Service Request to a device on a recurring basis.
(See page 51.)
SEC (Smart Energy Code): A new dual fuel industry code
governing the relationship between the DCC and DCC Users.
(See page 99.)
SECAS (SEC Administrator and Secretariat): An agent
appointed by SECCo on behalf of the SEC Panel to provide
daytoday management of the SEC. Currently Gemserv.
(See page 22.)
SECCo (Smart Energy Code Company): A corporate vehicle
for the SEC Panel to use when contracting services with third
parties. (See page 22.)
SEC Change Board: A SEC Sub Committee charged with
assessing modifications to the SEC. (See page 21.)
SEC Panel: An elected industry body charged with managing
the SEC. (See page 21.)
SEC Party: A signatory to the SEC. (See page 23.)
SEC Subsidiary Document: A document under SEC Panel
governance that forms an appendix to the SEC. (See page 104.)
Sensitive: Applied to Service Responses and/or Device Alerts
ersonal
that contain consumer information deemed to be of a p
nature (for example, consumption data). (See page 47.)
Sequence Diagrams: A set of pictorial representations of the
steps that need to be performed to send messages of different
types over the DCC User Interface. Found in the DUGIDS.
(See page 60.)

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Glossary

167

Sequencing: A service offered by the DCC for controlling the

order of execution of Service Requests. (See page 55.)
Service Request: A command issued by a DCC User to a
device or the DCC. (See page 45.)
Service Request Variant: A child of a Service Request, created
to provide a onetoone mapping with a GBCS command.
(See page 46.)
Service Response: A response to a Service Request, gener
ated by either the DCC (for DCC Only Service Requests) or the
receiving device. (See page 45.)
Signed PreCommand: A PreCommand that a DCC User has
signed using their Private Digital Signing Key. (See page 47.)
SIT (Systems Integration Testing): A SMIP testing phase
in which the DSP, acting as the DCCs System Integrator,
integrates and tests the various components of the overall
DCC solution. (See page 118.)
Smart Energy GB: A notforprofit organisation charged with
raising public awareness and demand for smart meters.
(See page 24.)
SMDA (Smart Metering Device Assurance): A scheme
operator tasked with establishing an independent assurance
scheme covering interoperability and interchangeability
device testing. Currently Gemserv. (See page 41.)
SMDG (Smart Metering Deliver Group): A senior operational
work group focused on delivery of the SMIP. (See page 115.)
SMSG (Smart Metering Steering Group): A strategic forum
charged with advising on the high level direction of the SMIP
in the context of policy, objectives and benefit realisation.
(See page 114.)
SM WAN (Smart Metering Wide Area Network): The network
that connects the Home Area Networks (HANs) to the Data
Service Provider (DSP). (See page 8.)

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SMETS (Smart Metering Equipment Technical Specification):
A standard that sets out what ESMEs, ALCSs, GSMEs, IHDs,
PPMIDs and HCALCSs must do to become certified.
(See page 26.)
SMIP (Smart Metering Implementation Programme):
Governmentinstigated programme to roll out out smart
electricity and gas meters to domestic customers and small
businesses by 2020. (See the rest of the book.)
SMKI (Smart Metering Key Infrastructure): A PKI used for
authenticating DCC Users and devices. (See page 89.)
SMKI Portal: A SMKI GUI accessed via the DCC User Gateway
Network. (See page 91.)
SMKI Portal (Internet): A SMKI GUI accessed via the Internet.
(See page 91.)
SMKI PMA (SMKI Policy Management Authority): A SEC
SubCommittee responsible for the governance of the SMKI
Document Set. (See page 21.)
SMKI Repository: A database containing the SMKI and IKI
Certificates issued by the SMKI and IKI Issuing CAs.
(See page 91.)
SNA (Supplier Nominated Agent): A DCC User Role for either
the Meter Operator (MOP) appointed for an MPAN, the Meter
Asset Manager (MAM) appointed for an MPRN or the Meter
Asset Provider (MAP) for either. A.k.a RSA Registered
Supplier Agent. (See page 18.)
SREPT (SMKI and Repository Entry Process Testing): The
testing phase that a SEC Party must pass in order to gain
access to the live SMKI service. (See page 120.)
SREPTSD (SMKI and Repository Entry Process Test
Scenarios Document): A SEC Subsidiary Document containing
the test scenarios that a SEC Party must execute in order to
pass SREPT. (See page 120.)
SRO (Senior Responsible Officer): A nominated, vetted indi
vidual authorised to nominate AROs and submit applications
to become an Authorised Subscriber. (See page 127.)

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Glossary

169

SSC (Security SubCommittee): A SEC SubCommittee respon

sible for developing and maintaining security documents.
(See page 22.)
Subscriber: Someone possessing a Certificate proving
ownership of a Public Key. (See page 88.)
Supply Sensitive Check: The check you need to do before
sending a Supply Sensitive Service Request. (See page 47.)
Supply Sensitive Service Request: A Critical Service Request
that can affect the supply of gas or electricity at a property.
(See page 46.)
Symmetric cryptography: Cryptography in which encryption
and decryption are performed using the same key.
(See page 83.)
TBDG (Technical and Business Design Group): A working
level forum assisting DECC with the production of baseline
technical and business documents for inclusion in the SEC.
(See page 115.)
TDEG (Testing Design and Execution Group): A working
group set up to inform SEC Parties of the DCCs testing
programme. (See page 116.)
TLS (Transport Layer Security): A protocol that ensures
privacy between communicating applications. (See page 91.)
TPMAG (Transitional SMKI Policy Management Authority
Group): A DCCled operational group responsible for
shepherding SMKI until its incorporated into the SEC and
itsSubsidiary Documents. (See page 116.)
Transform: A Mode of Operation for translating Critical
Service Requests (in DUIS format) into PreCommands
(in GBCS format). (See page 51.)
TSC (Technical SubCommittee): A SEC SubCommittee
responsible for providing support and advice on technical
specifications. (See page 21.)
TSEG (Transitional Security Expert Group): An invitation
only bunch of security experts charged with ensuring the
security of the endtoend solution. (See page 116.)
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TSP (Trusted Service Provider): An agent of the DCC respon
sible for providing the Smart Metering Key Infrastructure
(SMKI) and Infrastructure Key Infrastructure (IKI).
CurrentlyBT. (See page 13.)
Type 1 Device: A smart device that has a Device Log for
storing Certificates relating to other devices on the HAN and,
as such, is able to execute or issue HAN commands (currently
either a PPMID or HCALCS). (See page 32.)
Type 2 Device: A smart device that doesnt have a Device Log
and, as such, is restricted to read only functions on the HAN
(currently either an IHD or a CAD). (See page 32.)
UEPT (User Entry Process Testing): The testing phase that a
SEC Party must pass to become a DCC User. (See page 120.)
UISASP (User Independent Security Assurance Service
Provider): A function of the CIO that conducts security
assessments. (See page 22.)
UPRN (Unique Property Reference Number): A unique identi
fier for every addressable location in Great Britain, created by
Local Authorities (see page 145).
URP (Unknown Remote Party): A DCC User who is unknown
to a device by virtue of the fact that its Organisation
Certificate is absent from the devices anchor slots.
(See page 94.)
UTRN (Unique Transaction Reference Number): A 20 digit
number used to add credit to an ESME or GSME operating in
prepayment mode. (See page 59.)
X.509: An international standard for implementing PKIs.
(See page 56.)
ZCL (ZigBee Cluster Library): A generic part of the ZigBee
protocol used in smart metering. (See page 56.)
ZigBee SEP v1.2 (ZigBee Smart Energy Protocol v1.2): The
application layer protocol used over the HAN. (See page 56.)
ZSE (ZigBee Smart Energy): Another term for ZigBee SEP.
(See page 56.)

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Authors Acknowledgements
Id like to thank everyone who contributed to this book,
particularly: Richard Ascough, David Barber, Stefania
Bortolotti, Oliver Bridges, Beth Brown, Chris Dann, Paul
French, David Leck, Richard Lush, Tara McGeehan, Raj Nag,
Ricardo WissmannAlves and all at Wiley. And Symon Brown
for the MeerCAD joke.

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These materials are 2015 John Wiley & Sons, Ltd. Any dissemination, distribution, or unauthorized use is strictly prohibited.

These materials are 2015 John Wiley & Sons, Ltd. Any dissemination, distribution, or unauthorized use is strictly prohibited.

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