D0095 User Guide Volume 1 |
Guidance Note |
The Non Half Hourly Data Aggregation Exception Report (D0095) provides Suppliers with details of anomalies in the data provided to Non Half Hourly Data Aggregators (NHHDA) by Non Half Hourly Data Collectors (NHHDC) and Supplier Meter Registration Agents (SMRA).
The objective of this guide is to provide assistance to Suppliers and NHHDCs in addressing D0095 exceptions.
The User Guide is not intended to be a definitive reference to all the circumstances that can give rise to D0095 exceptions. Nor does it provide an exhaustive list of the corrective actions required to resolve D0095 exceptions. Rather it provides advice to Suppliers on the processes that need to be put into place in order to effectively manage the resolution of exceptions, as well as looking at common causes of exceptions and how best to resolve them. It is hoped that Suppliers and NHHDCs will use this guide as a starting point for developing their own procedures or that the guide will provide useful material for incorporating into existing procedures.
The User Guide is divided into two volumes:
an overview of the D0095 Report, including the business case for resolving D0095 exceptions and advice on materiality and prioritisation
a generic process for managing exceptions
a high-level view of the common causes of D0095 exceptions
high-level guidance on exception resolution.
Volume 2 provides more detailed descriptions of the causes of D0095 exceptions and lower-level guidance for Suppliers about how exceptions can be resolved.
Figure A on the following page provides a simplified view of the key settlement dataflows within the overall Supplier Volume Allocation (SVA) processes.
The NHHDA system aggregates rates of consumption for SVA Metering Systems (in the form of EACs and AAs) for Non Half Hourly meters and passes the aggregated figures through to the SVAA (and subsequently SAA) systems to enable the settlement of energy in respect of Supplier BM Units to take place.
The NHHDA system identifies any irregularities in the consumption data received from NHHDCs, as well as any inconsistencies between the Metering System attributes provided by NHHDCs and those provided by SMRAs via their Supplier Meter Registration Service (SMRS).
The NHHDA system has been designed to be ‘fault tolerant’ in the case of such anomalies and will use appropriate default data in the Supplier Purchase Matrices (SPM) sent to the SVAA (via D0041 flows). However, in order to facilitate the resolution of exceptions and, hence the quality of data in subsequent Reconciliation Runs, the Check Data Collector Data (CDCD) function of the NHHDA system produces an exception report for Suppliers – the Non Half Hourly Data Aggregation Exception Report (D0095).
Depending on the reporting calendar agreed with NHHDAs, Suppliers will receive files from each NHHDA, for each NHHDC used, for each Settlement Run type, for a specified range of Settlement Dates.
Suppliers should analyse the exceptions reported and take corrective action as necessary, taking into account the impact and materiality of the exception.
Depending on the cause of the exception, resolution may require corrective action to be taken by the Supplier, NHHDC, SMRA or Meter Operator Agent (MOA).
Figure A – Context Diagram
D0019 Metering System EAC/AA data
D0041 Supplier Purchase Matrix
D0052 Affirmation of Metering System Settlement Details
D0055 Registration of Supplier to Specified Metering Point
D0142 Request for Installation of Change to Metering System Functionality
D0150 Non Half Hourly Meter Technical Details
D0205 Update Registration Details
D0209 Instruction(s) to Non Half Hourly Data Aggregator
D0310 Notification of Failure to load or receive Metering System Settlement Details
As can be seen from the context diagram in Figure A, the NHHDA system is at the boundary between the distributed Supplier Hub systems (NHHMO, NHHDC, NHHDA and SMRS) and the central SVAA (and SAA) systems.
The Data Aggregation system is a key ‘Quality Gate’ in the SVAA process – i.e. it provides a key review of the quality of data generated by the distributed Supplier Hub processes, before this data is transferred to the central settlement systems. Since all data processed by the SVAA and SAA systems is at aggregated level, the CDCD function provides the last control at Metering System level within the meter-to-bank process.
The resolution of CDCD exceptions is essential to ensure good quality data. Poor quality data will have an adverse effect on:
Customer billing;
Settlement charges;
Settlement processes;
Demand forecasting;
Use of System charges (including DUoS, TNUoS and BSUoS).
In addition, the success, or otherwise, of Suppliers in resolving exceptions will be a key factor in the Audit Opinion issued by the BSC Auditor.
The obligation on
Suppliers to resolve D0095 exceptions is set out in
BSC Section S:
"Each
Supplier shall ensure that any material anomaly reported to it by a
Data Aggregator appointed by it in accordance with
Section J in relation to data received by that
Data Aggregator from
Data Collectors for which the
Supplier is responsible is recorded and investigated and that a record is kept of the action (if any) taken to prevent a recurrence of the anomaly during the next
Volume Allocation Run for that
Settlement Day”.
The obligation on NHHDAs to check its database for data exceptions and to send an Exception Report to
Suppliers is documented in
BSCP505:
"The NHHDA’s system must check inconsistencies between data received from NHHDCs and data received from SMRAs and must report such inconsistencies to Suppliers so that they may be operationally resolved;"
BSCP504 requires
Suppliers to "send notification of inconsistencies e.g. any gaps, overlaps, missing or invalid AAs etc. to the NHHDC, "as deemed necessary".
BSCP504 requires NHHDCs to "investigate inconsistencies, take corrective action and inform respective parties of action taken".
Failure to address certain types of D0095 exception will impact
Supplier performance against the NHH
Serials in
Section S, Annex S-1 of the BSC, i.e.
Serial SP08a 'Energy and
Metering Systems on Annual Advances and Actual Readings at Each
Volume Allocation Run' and
Serial SP09 'Use of
Default Values of
Estimated Annual Consumption'.
A new serial measuring Supplier performance in clearing D0095 exceptions - ‘NHH Data Aggregation Exceptions’ (SH03) has been introduced as part of the implementation of Modification Proposal P99 - ‘Changes to Accreditation and the PARMS Serials and Standards’.
It is important to note that these obligations continue to apply until the Final Reconciliation Volume Allocation has been carried out for the last day of a Supplier’s Registration to a Metering System – i.e. the obligations continue beyond the calendar date on which the Metering System has been lost to another Supplier.
There are two basic classes of D0095 Exception:
Consumption Data Irregularities [E01 to E07] - where consumption data from the NHHDC does not form a contiguous record covering the NHHDA appointment.
Inconsistent Metering System Attributes [E08 to E14] - where there are inconsistencies between the data provided to the NHHDA by the NHHDC(s) and that provided by the SMRA.
Brief descriptions of the fourteen Exception Types are provided overleaf. For a more detailed description of the conditions that give rise to these exceptions, refer to the D0095 Technical Guides.
Consumption Data Irregularities |
E01 | No AA or EAC sent to appointed NHHDA |
E02 | Incomplete consumption. Period after the latest AA for which there is no AA or EAC |
E03 | AA with no NHHDA appointment |
E04 | EAC with no NHHDA appointment |
E05 | Non-zero AA for Metering System that is de-energised (according to NHHDC) |
E06 | Incomplete consumption. Period before the latest AA for which there is no AA |
E07 | (Different) overlapping AAs received from more than one NHHDC |
Inconsistent Metering System Attributes |
E08 | Incorrect Supplier. (Exception reported to the Supplier registered in SMRS. See also E14) |
E09 | Measurement Class inconsistent |
E10 | GSP Group inconsistent |
E11 | Profile Class inconsistent |
E12 | Energisation Status inconsistent |
E13 | Standard Settlement Configuration inconsistent |
E14 | Supplier inconsistent. (Exception reported to the Supplier according to NHHDC. See also E08) |
Exceptions E08 to E14 only apply where data has been received from both the specified Data Collector and from the SMRA (and which differ as described).
Please note that E09 exceptions only relate to discrepancies between Measurement Class A (Non Half Hourly Metered) and B (Non Half Hourly Unmetered).
2.5 Example of Consumption Data Irregularities
If a
Data Collector successfully processes a series of
Meter Readings and successfully provides the associated AA and EACs to the NHHDA, the consumption history can be illustrated as follows:
Key features of this diagram are:
the first AA starts on or before the NHHDA appointment date;
each AA is effective from the day after the end date of the previous AA;
each AA is immediately followed by another AA or an EAC, with the exception of the AA that spans the appointment termination date.
Where a
Data Collector fails to process a series of readings correctly or there are problems in the NHHDC or NHHDA appointment processes, gaps and overlaps can arise, as illustrated below.
2.6 Example of Inconsistent Metering System Attributes
In the following example, the Meter Operator Agent carries out a meter change and notifies the Supplier and NHHDC of a change of Standard Settlement Configuration (SSC). The Supplier notifies SMRS of the change of SSC and notifies the NHHDC of the Initial EAC(s) for the new SSC. SMRS notifies the NHHDA of the change and the NHHDC forwards the Initial EAC(s) to the NHHDA. However, the D0019 to the NHHDA is rejected, leaving the SMRS and NHHDC views of the SSC inconsistent. Addressing the D0023 flow sent to the NHHDC will resolve the inconsistency.
D0019 Metering System EAC/AA data
D0023 Failed Instructions
D0052 Affirmation of Metering System Settlement Details
D0142 Request for Installation or Change to Metering System Functionality
D0149 Notification of Mapping Details
D0150 Non Half Hourly Meter Technical Details
D0205 Update Registration Details
D0209 Instruction(s) to Non Half Hourly Data Aggregator
“For the purposes of paragraph 2.4.4, a "material anomaly" is one which is required to be so recorded and investigated in accordance with the relevant Party Service Line or one which the Supplier appreciates or should reasonably appreciate will have an impact on the quality of data for Settlement purposes”.
It should be noted that this definition does not allow for degrees of materiality. Either an exception has “an impact on the quality of data for Settlement purposes” or it does not. Suppliers must resolve any reported anomalies, where there is any impact on the accuracy of the metered volumes used in Settlement. This BSC obligation does not allow exceptions to be ignored because they are of low materiality, but the relative materiality of exceptions may influence the priority given to addressing them.
Examples of exceptions that do not have an impact on the quality of data for Settlement purposes are provided in Section 2.8.
It should be noted that some exceptions will have an impact on Suppliers even in those cases where there is no direct input on Settlement quality. As such, Suppliers would be advised to review all exceptions, even when not obligated to do so under the BSC definition above.
Whilst it is acceptable (in terms of BSC Section S2.4.4) for Suppliers and their agents not to correct certain exceptions, because they have no material impact on Settlement, these exceptions are likely to be symptomatic of non-compliance in other areas of the BSC and/or the Code Subsidiary Documents. The BSC Auditor reports the level of D0095 exceptions as a measure of data quality and it is important that Suppliers seek to resolve the root causes of all exceptions (material or immaterial), even where no corrective action is required for a particular exception.
2.8 Material and Immaterial Exceptions
Exception Type | Materiality | Notes |
E01 - No AA or EAC sent to appointed NHHDA | An E01 is always material, except where the NHHDA is the subject of a failed de-appointment instruction. | |
E02 – missing subsequent consumption data | An E02 is always material, except where the NHHDA is the subject of a failed de-appointment instruction. | |
E03 - AA with no NHHDA appointment | An E03 is always immaterial except when: the AA has been sent to the correct NHHDA, but the NHHDA does not recognise that it has been appointed (i.e. as a result of a failed instruction) or the NHHDA is not aware that the NHHDC sending the AA is appointed within its own appointment as NHHDA (i.e. as a result of a failed instruction). | |
E04 - EAC with no NHHDA appointment | An E04 is always immaterial except when: the EAC has been sent to the correct NHHDA, but the NHHDA does not recognise that it has been appointed (i.e. as a result of a failed instruction) or the NHHDA is not aware that the NHHDC sending the EAC is appointed within its own appointment as NHHDA (i.e. as a result of a failed instruction). | |
E05 – Non zero AA for de-energised Metering System | An E05 is always immaterial | An E05 exception is reported when the NHHDC has sent a non-zero AA to the NHHDA, whilst the Metering System is de-energised according to the NHHDC. A corresponding E12 (inconsistent Energisation Status) exception indicates that the SMRS has the Metering System recorded as energised. The combination of a non-zero AA and the status of energised in SMRS, indicates with a high degree of certainty that the Metering System is energised. The fact that the non-zero AA is used in Settlement means that the E05 exception is immaterial. The E12 exception needs to be addressed however, as the NHHDC view of the Energisation Status is incorrect. |
E06 – missing preceding consumption data | An E06 is always material, except where the NHHDA is the subject of a failed de-appointment instruction. | |
E07 – Overlapping AAs | An E07 is always immaterial. | The AA from the most recent NHHDC appointment will always be used in Settlement. |
E08 – Inconsistent Supplier | An E08 is always immaterial except when the SMRS registered Supplier according to NHHDA is incorrect. | In the event that an EAC has an incorrect Supplier the NHHDA will still use the data but assign it to the SMRS registered Supplier. The consumption in Settlement will therefore be correct. Only if the SMRS registered Supplier is incorrect will there be a Settlement error. |
E09 – Inconsistent Measurement Class | An E09 is always material but can be treated as a duplicate when an associated E13 is reported. | An E09 exception will usually result in the use of a Default EAC. This will be inappropriate for the Measurement Class and result in a Settlement error. The E09 will in most cases be accompanied by an E13. In most cases the E09 can be considered as a duplicate of the E13 exception. |
E10 – Inconsistent GSP Group | An E10 is always material except when a change of NHHDC has taken place since the exception was first reported, the exception has since been corrected by the new NHHDC and the exception is now only being reported in respect of the old NHHDC. | |
E11 – Inconsistent Profile Class | An E11 is always material except when a change of NHHDC has taken place since the exception was first reported, the exception has since been corrected by the new NHHDC and the exception is now only being reported in respect of the old NHHDC. | |
E12 – Inconsistent Energisation Status | An E12 is always immaterial except when the Metering System is energised, but the Energisation Status according to SMRS is de-energised and there is no AA for the Metering System. | See also Section 2.11. |
E13 – Inconsistent SSC | An E13 is always material except when a change of NHHDC has taken place since the exception was first reported, the exception has since been corrected by the new NHHDC and the exception is now only being reported in respect of the old NHHDC. | |
E14 – Inconsistent Supplier | An E14 is always immaterial except when the SMRS registered Supplier is incorrect. | See E08. |
BSC Section S 2.4.5 requires all material anomalies to be investigated. Since all exceptions, material or not, have the potential to create error in the
Settlement and
Supplier processes, it is recommended that, as a minimum, all exceptions are reviewed, albeit that corrective actions need not be taken for immaterial exceptions.
Suppliers should aim to address exceptions as they are reported, though it is recognised that where dealing with backlogs of exceptions, some form of prioritisation may need to be applied.
Suppliers are free to prioritise exception resolution as they see fit, subject to the obligations in the BSC and its subsidiary documents, but may wish to take into account some of the following. Clearing exceptions ahead of the RF Run, in particular, is strongly recommended.
As errors ‘crystallise’ at RF (i.e. can only be corrected via a Trading Dispute), the oldest exceptions should be addressed first. Once any part of the period for which an exception applies has been subject to RF, correcting the exception ‘going forward’ (i.e. for dates not yet subject to RF) may become significantly more difficult. If exceptions for the same Metering System are addressed out of sequence, there is a risk that earlier exceptions cannot be resolved without recourse to MRA Agreed Procedure MAP04 - ‘Procedure for Error Resolution and Retrospective Manual Amendments’.
2.9.2 Big Numbers / ‘Quick Wins’
Where there are high numbers of a particular Exception Type or, there is an upturn in creation rates for a particular Exception Type, there are clear benefits in addressing these first. This will enable the early identification and rectification of root causes. Any ‘quick wins’ in terms of reducing the overall number of exceptions will be more readily identifiable if creation rates by Exception Type are closely monitored.
There are no hard-and-fast rules for which Exception Types have more impact than others. Therefore, Suppliers need to use their own judgement. Section 2.11 shows the impact of each Exception Type.
2.9.4 Achieving Performance Levels
Suppliers failing to meet the performance levels for NHH Serials SP08a and SP09 will probably want to target those Exception Types that impact these Serials.
Exception Types E01, E02 and E13 will give rise to a Default EAC.
Exception Types E06 and E09 may give rise to a Default EAC.
The resolution of D0095 exceptions that give rise to Default EACs will also improve performance against Serial SP08a, subject to the corrective action comprising of sending or successfully processing an AA (as opposed to correction via an EAC).
2.9.5 Complementing Other Work/Projects
Where other work is being taken to address data quality issues, as part of an industry-wide initiative or an internal Supplier (or agent) project, this needs to be taken account of when planning the resolution of exception backlogs. For example, if a review of Energisation Status values is undertaken, it may be appropriate to target E05 and E12 exceptions.
2.9.6 Volume and Duration
The impact of exceptions on the accuracy of Settlement and on performance levels is likely to be greater for higher consumption sites, so Suppliers might wish to address exceptions for Metering Systems in Profile Classes 5 to 8 ahead of Profile Classes 3 and 4, ahead of Profile Classes 1 and 2.
Similarly, single day (or other short duration) exceptions could be given a lower priority. The identification of short duration exceptions requires additional data to be used in conjunction with the D0095 report, as the D0095 itself does not show the duration of exceptions.
In some cases an exception may have been resolved from a date later than its effective date – i.e. has been resolved going forward, but with a residual period of error. Resolving any residual error is arguably a lower priority than resolving ‘open-ended’ exceptions.
2.9.8 Complexity of Correction
Some exceptions are more difficult to resolve than others. For example, E12 (Inconsistent Energisation Status) exceptions require alignment of Supplier, MOA, NHHDC and SMRS views of the Energisation Status and any changes will need to be coincident with a valid reading. Similarly, E13 (Inconsistent SSC) requires the alignment of Supplier, MOA, NHHDC and SMRS views and changes need to coincide not only with a valid reading(s) but also a change to the Meter Technical Details. Resolution is likely to become more difficult if subsequent change of Supplier and/or agents take place (particularly where the agent rather than SMRS view is incorrect). As such there are practical benefits in addressing these exceptions sooner rather than later.
2.10 Related Exception Types
When planning and designing exception management processes (and when determining the priorities of exceptions), it is worth noting that some Exceptions Types are best addressed in conjunction with other Exceptions Types. The combinations of Exception Types reported for a Metering System may go some way to identifying potential causes.
E05 and E12 exceptions may be related. An E05 is raised when a Metering System has a non- zero AA, but is de-energised according to the NHHDC data. An E05 combined with an E012 indicates that the Metering System is energised in SMRS, which would suggest (though does not confirm) that the Metering System is energised.
The allocation of Standard Settlement Configurations and Profile Classes is constrained by the valid combinations defined in Market Domain Data (MDD), so it is advisable to address E11 and E13 exceptions together.
2.11 Impact of Exceptions
The impact of each Exception Type is summarised in the following table.
Exception Type | Impact |
E01 - No AA or EAC sent to appointed NHHDA | NHHDA will use a Default EAC in aggregation. |
An E01 may occur when an objection to a Supplier Registration has been upheld, the Supplier has cancelled the NHHDC appointment, but the de-appointment flow from SMRS has failed to cancel the NHHDA appointment. In this case there is the potential for double-counting of the Metering System in Settlement. |
There may be subsequent processing issues if the E01 has arisen from a failure by the Supplier to provide an Initial EAC (via the D0052 flow) or the NHHDC has been unable to process a D0052. The calculation of the first AA for the Metering System (or SSC) requires a previous EAC value in order to calculate a forward EAC. Unless the NHHDC is able to substitute a class average EAC in these circumstances, the absence of an Initial EAC will also prevent the calculation of subsequent AAs. |
E02 – missing subsequent consumption data | NHHDA will use a Default EAC in aggregation. |
An E02 may be the result of a failure to de-appoint the old NHHDA on change of NHHDA. In this case there is the potential for double-counting of the Metering System in Settlement. |
E03 - AA with no NHHDA appointment | Where AA sent to incorrect NHHDA as well as correct NHHDA, there will be no direct impact on Settlement. |
Where AA sent to incorrect NHHDA instead of to correct NHHDA, an E01 may be produced by correct NHHDA unless the NHHDA has previously been appointed to the Metering System and submitted an EAC (see E01 above for impact). Impact of E03 will be as above. |
Where AA sent to correct NHHDA, but appointment of NHHDA (e.g. for new connection or on change of NHHDA) has failed, data will be missing from Settlement. |
See also Section 2.8. |
E04 - EAC with no NHHDA appointment | Where EAC sent to incorrect NHHDA as well as correct NHHDA, there will be no direct impact on Settlement. |
Where EAC sent to incorrect NHHDA instead of to correct NHHDA, an E01 may be produced by correct NHHDA unless the NHHDA has previously been appointed to the Metering System and submitted an EAC (see E01 above for impact). Impact of E03 will be as above. |
Where EAC sent to correct NHHDA, but appointment of NHHDA (e.g. for new connection or on change of NHHDA) has failed, data will be missing from Settlement. |
See also Section 2.8. |
E05 – Non zero AA for de-energised Metering System | A non-zero AA on a Metering System that the NHHDC has flagged as de-energised will be used in Settlement. If the readings on which the AA is based are correct, there will be no direct impact on Settlement volumes. However, if the Metering System is genuinely de-energised, as flagged by the NHHDC, there is a possibility that illegal abstraction has taken place. If the AA is based on a Deemed Read (e.g. on change of Supplier for a de-energised site), Settlement will be inaccurate, albeit calculated in accordance with the rules. |
E06 – missing preceding consumption data | If there is no EAC for the period for which an AA is missing, the NHHDA will use a Default EAC in aggregation. Otherwise, an EAC will be used in place of an AA. |
E07 – Overlapping AAs | No immediate Settlement impact. However, regardless of the impact on Settlement, Suppliers may wish to investigate E07 exceptions. These exceptions are designed to alert Suppliers to the fact that a change of NHHDC process has not worked correctly and there may be further impacts of the failed NHHDC process, either in respect of the particular Metering System or in relation to the process generally. If more than one NHHDC believes they are appointed, there is a risk that both will attempt to read the meter, with a consequent risk of customer complaints. There may also be contractual implications for the Supplier, if more than one NHHDC is carrying out work in respect of the same Metering System. |
E08 – Inconsistent Supplier | If the new Supplier has registered the Metering System in error, there will be potential impacts on both the customer registered in error and another customer whose intended CoS was not registered. There will be also be a material impact if the SMRS view of the current Supplier in NHHDA is different to that in SMRS (i.e. there has been a failure in the SMRS-NHHDA interface), as energy will be incorrectly attributed to the old Supplier. Otherwise a Supplier inconsistency does not create an immediate settlement error, as the energy will be allocated to the Supplier registered in SMRS. However, there are potential further impacts on Suppliers, such as a customer on two walk orders. If the exception is the result of an appointment problem, Suppliers will have problems obtaining subsequent readings. |
E09 – Inconsistent Measurement Class | If an AA is provided for a Metering System registered as unmetered in SMRS, a Default EAC will be used in aggregation (irrespective of the Energisation Status). |
If the NHHDC incorrectly believes that a metered supply is unmetered, no attempt will be made to read the meter, resulting in a loss of actual data in Settlement. |
Otherwise there will be no Settlement impact. |
E10 – Inconsistent GSP Group | If the GSP Group in SMRS is incorrect, energy will be allocated to the wrong GSP Group. If the GSP Group provided by the NHHDC is incorrect, the wrong Daily Profile Coefficients (DPC) will have been used by the NHHDC to calculate an AA/EAC or the Initial (Class Average) EAC value provided by the Supplier may be for the wrong GSP Group. |
E11 – Inconsistent Profile Class | The NHHDC will use one Profile Class in AA calculation, whilst the SVAA will use a different Profile Class in estimating Half Hourly Supplier volumes (i.e. the Profile Class notified by the NHHDA, which in turn will be that notified by the SMRS). There will thus be an error in the amount of energy accounted for in Settlement to the extent that the profiles are different. Whether the Profile Class in SMRS is the appropriate one for the Metering System is a different question. Addressing the inconsistency between the SMRS and NHHDC views may have the added benefit of reviewing the appropriateness of the Profile Class (as registered in SMRS) for the Metering System in question. |
E12 – Inconsistent Energisation Status | See table below. |
E13 – Inconsistent SSC | NHHDA will use a Default EAC for each Time Pattern Regime (TPR) associated with the SSC recorded in SMRS. |
E14 – Inconsistent Supplier | If the new Supplier has registered the Metering System in error, there will be an impact in terms of the customer not wishing to change Supplier. There will also be a material impact if the SMRS view of the current Supplier in NHHDA is different to that in SMRS (i.e. there has been a failure in the SMRS-NHHDA interface), as energy will be incorrectly attributed to the old Supplier. Otherwise, a Supplier inconsistency does not create an immediate Settlement error, as the energy will be allocated to the Supplier registered in SMRS. However, there are potential further impacts on Suppliers, such as a customer on two walk orders. Additionally, agents may be acting for (and expecting payment from) a Supplier that is not registered against the Metering System in SMRS. |
The impact of Energisation Status exceptions, E12 is shown below.
Please note that de-energised meters that are subject to illegal abstraction are treated as energised for the purposes of this table.
Actual status | SMRS status | NHHDC status | Impact |
E | D | E | Any non-zero AA provided by the NHHDC will be correctly included in Settlement. However, any EACs will not be used, creating a potential volume error until such time as the meter is read. If there has been no consumption at the premises (e.g. long-term vacant sites), Settlement will be accurate. |
D | D | E | Any non-zero AA provided by the NHHDC (presumably as a result of deeming a read) will be incorrectly included in Settlement. Any EAC provided by the NHHDC will be (correctly) ignored. |
E | E | D | There is an obligation on NHHDCs to read de-energised meters and any consumption detected will be used in Settlement. However, it is likely that some meters will not be read, especially if the NNHDC believes the Metering System is de-energised. Therefore, this will have an impact on Settlement as no energy will be accounted for. |
D | E | D | An estimate (which may be non-zero) will be used in Settlement and will be attributed to the Supplier until a zero advance is obtained. A Settlement error may arise as a result of deeming a reading on CoS, as the Deemed Meter Advance calculation does not take the Energisation Status into account. |
2.12 Production of Report
The CDCD function is performed by the NHHDA in batch mode. The CDCD screen is used to specify the report required. Instructions on how to do so are given in the NHHDA Operations Guide [Reference 5] Section 22. Once the request has been specified and submitted, the reports will be produced when the next CDCD job runs. Details about how this job is scheduled are provided in Section 4.6 of the Operations Guide.
An architectural summary of the CDCD process is included as Appendix A.
Please note that where a report request results in no exceptions, a ‘null report’ will be produced. This facilitates checking by Suppliers that a full set of reports have been received.
A best-practice D0095 Reporting Timetable has been developed by ELEXON and an associated calendar is issued annually. This is a staggered reporting cycle, with reports scheduled far enough in advance of each Volume Allocation Run to allow time to correct exceptions before the run takes place, but late enough to allow normal business processes and corrective action, initiated when addressing previous reports, to complete.
The primary objective of the Reporting Timetable is to ensure that every Metering System settled in each Volume Allocation Reconciliation Run is first checked by the CDCD process. This allows exceptions to be investigated and corrected before the Reconciliation Run in question.
A secondary objective is to simplify the management of exception reports by Suppliers and to simplify the production of exception reports by NHHDAs, by promoting a consistent approach across all Suppliers and NHHDAs.
Whilst it is recommended that Suppliers use the timetable, alternative reporting timetables may be arranged between Suppliers and their appointed NHHDAs. Whatever timetable used the reports must be requested to support the identification and resolution of exceptions by the Supplier between Settlement Runs.
The Reporting Timetable is described in more detail in Appendix B.
The process for managing exceptions described in the next section, requires the logging and tracking of potentially high numbers of exceptions, as well as the collation of data from multiple sources.
The D0095 reports are designed to be interpreted by computer and it is recommended that they are loaded into a database, such that the logging and tracking of exceptions can be automated and are easily auditable.
It is recommended that Suppliers consider the use of a software tool to support the processes described in Section 3.
3. Management of Exceptions
This section describes a generic process for the management of D0095 exceptions. Suppliers may implement exception management processes in different ways, but their processes should aim to achieve the same key results as described in this section of the guide.
3.2.1 Obtain D0095 Report
NHHDAs are required to send D0095 reports to all Suppliers and Suppliers need to ensure that D0095 reports are received from all relevant NHHDAs. The Supplier should specify the timetable for reporting and the dates to be reported. This may be the best practice Reporting Timetable issued by ELEXON (as described in Section 2.13) or an alternative of the Supplier’s own devising.
The Supplier should have a mechanism to log all incoming D0095 reports and allow the identification of early/late, missing or duplicate reports. This can be a simple checklist recording when and from whom D0095s are expected and a record of when the D0095s have been received. Alternatively, it could form part of an automated tool used to manage exceptions. Suppliers will need a mechanism to identify when they should expect (or stop expecting) a D0095 report from each NHHDA. Suppliers should consider linking this with the procedure for notifying SVAA when they create new combinations of NHHDA and GSP Group.
3.2.3 Chase / Escalate Missing Reports
The Supplier needs a process to chase NHHDAs for any missing files. This process should interface to the Supplier Hub Management process for escalating issues.
3.3.1 Identify and Log Immaterial Exceptions
An exception can be considered immaterial when it can be demonstrated that there is no impact on Settlement. Suppliers must be able to demonstrate that sensible criteria have been applied in determining that exceptions are immaterial and should maintain an audit trail of the information and decisions made.
Examples of immaterial exceptions are given in Section 2.8.
3.3.2 Identify and Log Work in Progress
NHHDAs will continue to report exceptions until the anomaly in the data is corrected. In some cases the corrective action initiated following analysis of a previous D0095 report may not have completed successfully when the next report is produced. Suppliers need to recognise this and avoid duplicating corrective action. This process may also serve to demonstrate whether a corrective action has been successful.
3.4 Analysis of Material Exceptions
3.4.1 Identify Cause of Anomaly
From the previous process the Supplier should have identified those exceptions that need to be addressed.
Suppliers will need to cross reference the D0095 data with other data that they have available to them. They may also need to request data from their agents to support the decision making process here, for example Failed Instruction (D0023) data from the NHHDC/DA or confirmation of meter details from an MOA.
Section 4 of this document, together with Volume 2 of the User Guide, provides guidance on potential causes of exceptions, but Suppliers should develop their own processes to determine the causes of exceptions.
3.4.2 Identify Corrective Action Required
The result of this analysis should identify the cause of the exception and therefore the corrective action needed.
Once a corrective action has been identified, a check needs to be made to ensure that the same action has not already been attempted for the Metering System in question. If it has failed once, it will fail again, if simply repeated.
Where exceptions have arisen as a result of failures in normal business processes, using the same business processes to correct the exceptions is also likely to fail. Suppliers may need to use alternative (possibly manual) processes and workarounds in order to resolve exceptions and agree these processes in advance with the agent(s) concerned.
Suppliers may need to adopt different bespoke approaches depending on the agents involved, taking into account any constraints in the agents’ systems or processes. Maintaining a dialogue with the agent to keep them informed of the corrective actions being taken and outcomes will improve the chances of the process being successful.
Suppliers should maintain a log of the analysis and the corrective action proposed.
There are clear benefits in addressing exceptions of the same type – i.e. with the same cause and requiring the same corrective action – in batches rather than individually. Over time, Suppliers are likely to build up a ‘knowledge base’ of sub-categories of exception within the 14 basic Exceptions Types and there are advantages in documenting these categories of exception and the action required to resolve them (and prevent future occurrences) as part of D0095 procedures.
3.5.1 Execute Correction Action
Corrective action may be carried out by a different Supplier department than that operating the D0095 exception management processes. In which case, clear instructions will need to be provided to this department.
The Supplier should maintain an audit trail of the corrective action and feed back to the D0095 analysis process.
Corrective actions may utilise normal business processes (e.g. sending a revised D205 to SMRS) or may employ a direct data cleansing approach where agents are requested to amend data within their systems. This will largely depend on what the Supplier has agreed with the agent. The successful resolution of exceptions is likely to require a high level of interaction with the agents (or other Supplier departments) being asked to correct data.
In order to maximise the efficiency of any interaction with agents (or Supplier departments), it is recommended that Metering Systems with common exceptions and common root causes are passed for corrective action in batches, rather than ‘drip-fed’.
The type of corrective process undertaken is likely to vary depending on the nature of an exception. Where there are high volumes of similar exceptions and the corrective action is straightforward, bulk automated processes can be adopted. More complicated exceptions are less likely to lend themselves to automated resolution and will need to be investigated and corrected individually.
3.5.2 Verify that Correction has worked
After the corrective action has been carried out there should be a process to verify that it has worked and the anomaly has been resolved. The sending of a flow to an agent cannot be considered as a successful correction. Where possible, a check should be made that any corrective flows have not been rejected. Unless this type of process exists there is a danger that a Supplier will further compromise data integrity by repeatedly attempting a process that doesn’t work.
As a minimum, verification that the corrective action has worked should be carried out by checking the next D0095 report for the same period.
3.5.3 Analysis of Corrective Action Failures
The Supplier needs to follow up any corrective action that has failed. This could involve a simple correction to data or may require liaison and agreement with the agents involved. Original assumptions about how the exception should be corrected may need to be revisited. The key point here is that the Supplier should be able to interact with the agents to effect a correction.
3.5.4 Resolution/Escalation of Corrective Action Failures
The process for escalating corrective action failures should interface with the Supplier Hub Management process for escalating issues.
During the Analysis stage (and potentially the Assessment stage) additional analysis should be undertaken to identify the root cause of the exception and to identify preventative as well as corrective actions that need to be undertaken. It is as important, if not more important, to resolve the root cause of exceptions as it is to resolve the exceptions themselves.
The commonplace wisdom that ‘prevention is better than cure’ is as true in the case of D0095 resolution as it is in other contexts. Virtually all D0095 exceptions are avoidable. Therefore the importance of carrying out root cause analysis cannot be overestimated.
3.7 Management Information
The Supplier should have some form of management information to support this process. Ideally, this will inform managers of the number of exceptions at each stage in the process and provide evidence that the process is operating successfully. No information of this sort suggests that the process is not correctly controlled. It is important that this high-level information be provided to a suitable manager with responsibility to ensure that the exceptions are being addressed and the authority to address any failing in the process.
The header record of the D0095 contains summary data of the number of each type of exception in the flow (as well as a count of Metering Systems with at least one exception). These counts can be collated and reported for operational and management reporting purposes. This information is very basic and additional management information should be considered for each stage of the process.
3.8 Complementary Processes
There are a number of processes which are complementary to the D0095 Exception Management Process inasmuch as they can bring about a reduction in the number of CDCD exceptions and thus reduce the effort required to address the D0095 reports on a ‘per exception basis’. These are described in the sections below.
With effect from 3 February 2003 (Change Proposal CP800), there has been a mandatory requirement for NHHDAs to request and apply a full
SMRS Refresh at least at least once every year (
BSCP505). A full
SMRS Refresh will ensure that the
SMRS view of data in the NHHDA database is consistent with
SMRS itself. Any D0095 exceptions that are caused by failed
SMRS-NHHDA instructions (i.e. failed D0209 flows, as reported on D0023), should be resolved by a Full
SMRS Refresh (subject to the
Metering System not being rejected as part of the
SMRS Refresh for the same reason as the D0209).
3.8.2 Portfolio Reconciliation
Both categories of D0095 exception (consumption data irregularities and attribute inconsistencies) can arise from breakdowns in the agent appointment process - i.e. failures to appoint or de-appoint agents, or to notify agents of the identities of the other agents that they are required to send data to or receive data from. An effective method for identifying and resolving such inconsistencies across the board, rather than on an ‘MPAN-by-MPAN’ basis, is to carry out periodic portfolio reconciliations - i.e. compare Supplier, MPAS and agent views of agent appointments.
3.8.3 Data Cleansing Programmes
In the same way that appointment details can be reconciled between systems, Metering System attributes (e.g. SSC, Profile Class and Energisation).
3.8.4 Other Exception Processes
The NHHDC view of a Metering System’s Settlement attributes is only updated when a NHHDC sends consumption data. Thus, any failure to process consumption data could potentially leave the NHHDA’s NHHDC view of these attributes inconsistent with the NHHDA’s SMRS view.
Ensuring that processes are in place to deal with ‘upstream’ exceptions will reduce delays in processing consumption data and hence reduce the number of D0095 exceptions reported.
Supplier processes to address ‘Notification of Failure to Obtain Reading’ (D0004) exceptions. This might include an analysis of D0004 flows by Site Visit Check Code (J0024) with appropriate corrective actions for those codes with high instances.
Supplier – Process to act on the site visit check code within the metering reading (D0010) flow. This could indicate a problem at the Metering System that may be relevant to a D0095 exception.
NHHDC monitoring and processes to ensure that there are no backlogs of unprocessed readings and that suspect readings are reviewed in a timely fashion.
NHHDC processes for addressing exceptions from the EAC/AA calculator, including a process for deeming readings where the meter advance period is longer than two years.
NHHDC processes to address Failed Instructions (D0023) – see also Section 5.6.
Supplier processes for addressing ‘Rejection of Metering Point Details’ (D0203) flows from SMRS.
Supplier – NHHDC agreed processes for addressing D0310 (i.e. failed D0052) flows.
Supplier – Processes to address rejected (and unconfirmed) agent appointment flows.
3.9 Supplier and Agent Roles
The resolution of exceptions is likely to require analysis to be undertaken and corrective actions to be performed by both the Supplier and the relevant agents (NHHDC, SMRA, NHHDA and, potentially MOA). These activities need to be co-ordinated by the Supplier.
In the case of inconsistent Metering System attributes (E08 to E14), the Supplier will need to determine whether the SMRS or NHHDC view of the data held in NHHDA is correct, before any action is requested of the SMRS/NHHDC (although further information may be required from the SMRS/NHHDC in support of this decision). It should not be assumed that consumption data irregularities (E01 to E07) can only be resolved by the NHHDC, as provider of the consumption data. These exceptions may equally arise from problems in the registration and appointment processes.
If all exceptions of a particular Exception Type are passed to the NHHDC to resolve, the likelihood is that the NHHDC will be unable to resolve a proportion of them. For example, the NHHDC may not have been appointed, may not have been notified of the identity of the correct NHHDA or MOA or may not have been sent the Metering System Settlement Details (via a D0052) by the Supplier. The NHHDC will need to send such exceptions back to the Supplier, with an explanation of why no immediate action can be taken.
The alternative is for the Supplier to ensure that all actions for which it is responsible have been undertaken prior to passing the exceptions to the NHHDC.
It is recommended that Suppliers agree appropriate handover points with their appointed NHHDCs. The exception management process described above is likely to result in an iterative Supplier-agent interface, with agents potentially involved in both the analysis and corrective action phases. The extent to which agents are involved in the analysis phase will depend on how much access Suppliers have to agent data.
Suppliers and their agents need to consider how the interface between them can be most efficiently managed. Where investigation or corrective action is required by an agent, the identification by the Supplier of batches of Metering Systems with related (or potentially related) issues is likely to be more efficient than requesting investigation or corrective action on a Metering System-by-Metering System basis.
Suppliers and agents both have an interest in ensuring that exception resolution is considered and suitably defined within their contracts.
Please note that the following list of potential causes is not exhaustive. These are high-level reasons why exceptions may have occurred; Suppliers and agents will need to explore the underlying causes. The root causes are likely to vary from one Supplier to another and one agent to another. Some root causes will be specific to the physical implementation of a particular Supplier or NHHDC system. Others may be the result of failed internal interfaces between systems that collectively constitute the ‘Supplier’ and ‘NHHDC’ systems that this guide refers to. Suppliers will need to maintain their own logs of the causes of exceptions.
Exception Type | Potential Causes |
E01 - No AA or EAC sent to appointed NHHDA | Registration process – the Supplier has entered the wrong MSID when registering in SMRS, or SMRS has failed to cancel the appointment of a NHHDA (e.g. following an upheld Supplier objection). |
New connections process – meter installed after the Supply Start Date (SSD), NHHDA appointed from SSD and Metering System registered as Energised from SSD rather than installation date. |
DC appointment process – the NHHDC has not been appointed or has been de-appointed in error before any consumption data has been provided to the NHHDA or the NHHDC has not been notified of the correct NHHDA. |
Change of NHHDA – the NHHDC has failed to send the latest EAC on change of NHHDA. |
No consumption data – Supplier has failed to send an ‘Affirmation of Metering System Settlement Details’ (D0052) flow to the NHHDC, or D0052 has been rejected, such that NHHDC does not have an Initial EAC for the Metering System. |
E02 – missing subsequent consumption data | Failed change of NHHDA – the NHHDA has correctly received an AA up to the de-appointment date with no EAC (because the NHHDC has been informed of the de-appointment), but the de-appointment of the old NHHDA has failed. |
The NHHDC has been de-appointed in error or SMRS has not been updated following a change of NHHDC. NHHDC has not sent an EAC because de-appointment was on the Effective To Date of the AA. |
On change of Profile Class, the Supplier failed to send the NHHDC an Initial EAC(s) for the new Profile Class. (The EAC/AA calculator does not calculate an EAC on change of Profile Class). |
E03 – AA with no NHHDA appointment | Supplier has notified a NHHDC of the wrong NHHDA (or a NHHDC has misdirected consumption data) |
As a result of a failed change of NHHDA process, the NHHC may not have been notified of a change of NHHDA and continues to send data to the old NHHDA. |
The NHHDC has sent data to the correct NHHDA, but the appointment of the NHHDA has failed. |
E04 – EAC with no NHHDA appointment | Supplier has notified a NHHDC of the wrong NHHDA (or a NHHDC has misdirected consumption data) |
As a result of a failed change of NHHDA process, the NHHC may not have been notified of a change of NHHDA and continues to send data to the old NHHDA. |
The NHHDC has sent data to the correct NHHDA, but the appointment of the NHHDA has failed. |
A NHHDC de-appointment on concurrent change of NHHDC and NHHDA has failed. |
E05 – Non zero AA for de-energised Metering System | Illegal abstraction |
Failure by MOA to notify NHHDC of Energisation of the meter. |
Failure by NHHDC to change Energisation Status on energisation of the meter. |
NHHDC may have deemed a reading for a de-energised site. |
E06 – missing preceding consumption data | If a new connection is installed after the Supply Start Date, there will not usually be an AA for the period between SSD and the Installation Date. An E06 can arise where the NHHDA is appointed from SSD and the Metering System is incorrectly flagged as energised for the period between the SSD and the Installation Date. |
No valid initial reading is available for a new meter (new connection, change of SSC, Measurement Class or meter), but the NHHDC has processed subsequent readings. |
Appointment error. NHHDC has been appointed from the wrong date. Or an AA has not been processed during a change of agent process, for example, as a result of the old NHHDC not providing the reading history and the new NHHDC processing consumption from the first reading taken during its appointment. |
Can relate to an E01 exception, where the E01 exception has been resolved ‘looking forward’, but not fully retrospectively. An E06 will be reported for the period of the residual error. |
E07 – overlapping AAs | Old agent has processed a reading after a failed de-appointment. |
May be the result of a corrective action by a new NHHDC – i.e. withdrawing a reading originally provided by the old NHHDC and replacing it with different reading and associated AA. |
Two NHHDCs reading different meters believe them to have the same MSID. |
E08 – Inconsistent Supplier | New Supplier has failed to register correctly in SMRS, but has appointed intended agents contractually. |
Losing Supplier has failed to correctly de-appoint agents. |
On CoS with no concurrent change of NHHDC, and where a CoS reading has not yet been processed, the Supplier according to the NHHDC will be taken from the latest EAC sent to the NHHDA (assuming that the NHHDA has previously been appointed within the same Registration as the NHHDC). This EAC will have been attributed to the old Supplier. |
On CoS, the NHHDC has incorrectly attributed the EAC (associated with the CoS reading) to the old Supplier. The AA calculated using the next reading (i.e. following the CoS reading) should be attributed to the new Supplier and should resolve this exception. |
E09 – Inconsistent Measurement Class | Supplier (or previous Supplier) has registered a metered Supply as an Unmetered Supply (UMS) in SMRS. |
Supplier (or previous Supplier) has registered an UMS as metered in SMRS. |
NHHDC holds an incorrect Measurement Class. Potentially as a result of an error in D0052 flow. |
E10 – Inconsistent GSP Group | Distribution Business has registered the wrong GSP Group in SMRS. |
Supplier has told the NHHDC the wrong GSP Group. |
Supplier has not informed the NHHDC of the GSP Group and the NHHDC has incorrectly derived the GSP Group from the address. |
E11 – Inconsistent Profile Class | Supplier has failed to update SMRS after a change of Profile Class. |
Supplier has notified the NHHDC of the wrong Profile Class. |
NHHDC has not sent any consumption data in respect of the new Profile Class or such consumption has been rejected by the NHHDA and the failed instruction has not been addressed. |
NHHDC has used Profile Class from a previous appointment and there has been a change of Profile Class in the interim period. |
E12 – Inconsistent Energisation Status | Supplier (or previous Supplier) has failed to update SMRS after an Energisation by the MOA. |
The NHHDC has not been notified by the MOA of a change of Energisation Status. |
NHHDC has not sent any consumption to the NHHDA with the new Energisation Status. This may be because a reading taken on the energisation/de-energisation of the Metering System, has not been provided or has failed validation, or consumption data sent to the NHHDA has failed and the resultant D0023 has not been addressed. |
NHHDC has used Energisation Status from a previous appointment and there has been a change of Energisation Status in the intervening period. |
E13 – Inconsistent SSC | Supplier (or previous Supplier) has registered the incorrect SSC. This is usually on tariff change. The Supplier may have derived the SSC from the commercial tariff, rather using the SSC notified by the MOA or by SMRS on CoS. |
The Supplier has failed to update SMRS after a change of SSC (or the SMRS update to NHHDA has been rejected). |
NHHDC has not sent any consumption to the NHHDA in respect of the new SSC. This, in turn may be the result of the Supplier failing to send a D0052 to the NHHDC or of the D0052 being rejected (potentially as a result of a mismatch with the SSC provided by the MOA) on the Non Half Hourly Meter Technical Details (D0150) flow. |
The NHHDC has sent an EAC(s) for a new SSC to the NHHDA, but the D0019 has been rejected and the resultant D0023 has not been acted on. |
The Supplier has sent the NHHDC and SMRS the new SSC effective from a different date to the MOA. If the NHHDC uses the MOA date then a period of inconsistency will exist. |
NHHDC has used SSC from a previous appointment and there has been a change in the intervening period. |
E14 – Inconsistent Supplier | New Supplier has failed to register correctly in SMRS, but has appointed intended agents contractually. |
Losing Supplier has failed to correctly de-appoint agents. |
5.1 ‘Inherited’ SMRS Exceptions
SMRS holds all Supplier-sourced data by Registration rather than by Metering System. The Supplier-sourced data relevant to the resolution of D0095 exceptions are:
Data Aggregator Appointment details;
Data Collector Appointment details;
Standard Settlement Configuration details;
Profile Class details;
Energisation Status details;
Measurement Class details.
Where any of these details are held incorrectly within a Supplier Registration in SMRS, the Supplier in question can correct the data at any time - subject to any constraints relating to RF, as described in section 5.6 below. That is, a Supplier can correct an exception even though the Metering System has subsequently been registered to another Supplier.
It is important to note, that errors across multiple Registrations are treated as a series of individual errors per Registration. Any correction will only be applied within the Registration of the Supplier making the correction.
For example, Supplier A incorrectly records a Metering System in SMRS with an SSC of 0151 instead of SSC 0349 and the exception is inherited by Suppliers B and C. If Supplier B corrects the SSC in SMRS; Suppliers A and C will retain the incorrect SSC within their registrations, until they too take corrective action.
When a Supplier makes such a correction, any pending/subsequent Suppliers are notified of the change via the ‘Advice from MPAS of Changed Metering Point Details’ (D0213) flow. The D0213 does not include the identity of the Supplier making the change and the change may or may not be relevant to the receiving Supplier. However, when deciding on the corrective action required to resolve an exception, a D0213 will provide confirmation (or otherwise) that a previous Supplier has arrived at the same conclusion about what the correct details should be.
The only Distribution Business-sourced data items that are subject to D0095 exceptions are GSP Group details. Retrospective changes to a Metering System’s GSP Group can be requested from a Distribution Business under the terms of MAP04 (see section 5.4 below), in which case the Distribution Business should ensure that it liaises with all affected Suppliers before implementing the change.
5.2 ‘Inherited’ NHHDC Exceptions
In the example illustrated on the following page, a change of SSC has taken place between SSC 0244 and 0151. The Meter Operator has not sent a D0150 to the NHHDC (or the NHHDC has not processed a D0150 from the Meter Operator), such that there is a discrepancy between the NHHDC and SMRS views of the Metering System's SSC. A subsequent CoS occurs. Assuming that the NHHDC continues to process meter readings (including a CoS reading) for the old SSC (both SSCs are 2-rate Economy 7 - one 00:00 to 07:00 and the other 00:30 to 07:30), the anomaly may not manifest itself until a D0095 exception is sent to both Supplier A and Supplier B.
If Supplier B sends a D0052 to the NHHDC with an SSC of 0244 and an effective date equal to the actual SSC effective date, the NHHDC may reject the D0052 on the basis that Supplier B was not the registered Supplier on this date.
If Supplier B sends a D0052 to the NHHDC with an SSC of 0244 and an effective date equal to the Supply Start Date, the NHHDC may reject the D0052 on the basis that there is no matching D0150 for this date.
In this example, correction would be more effective if instigated by Supplier A. A Supplier’s obligations to resolve D0095 exceptions still apply after the Supplier is no longer registered to the Metering System. If Supplier A sends a D0052 to the NHHDC with an SSC of 0244 and an effective date equal to the actual SSC effective date, the NHHDC should process the change even though Supplier A is not the current Supplier (though the NHHDC should confirm that the current Supplier agrees with the change). If the Meter Operator has not sent a D0150, Supplier A would need to ensure that it does so.
Resolution of this exception by Supplier B, is likely to be manual, involving a dialogue between the Supplier, NHHDC and Meter Operator. For example, the NHHDC will need to execute a workaround in order to process the D0052 without a matching D0150; or the NHHDC will need to effect the change of SSC outside normal business processes; (i.e. breaking the dependence on a successfully processed D0052) or the Meter Operator will need to send a D0150 with an effective date equal to the Supply Start Date.
The Supplier and NHHDC will also need to consider how best to process the Meter Readings associated with the change of SSC. In this example, it is possible for the NHHDC to have continued processing readings against the incorrect settlement details because both SSCs are two-rate. However, the Meter Operator should have obtained closing and opening readings on change of SSC. In order, to effect a change of SSC from SSD, the Supplier may need to instruct the NHHDC to deem readings for the SSD using the opening reads for the new SSC from the Meter Operator. This may result in an amendment to the CoS readings and potentially these readings could be disputed.
In the case of a change of SSC, where the number of Settlement Registers has changed, CoS readings could not have been calculated correctly (if at all), so the exception is probably best resolved by the new Supplier via a dispute of the CoS reading.
In summary, it is unlikely that there will be an effective automated approach to correcting a SSC with effect from a date later than the actual date that the change of SSC was physically effected (particularly where a CoS has occurred since the change of SSC).
5.3 Retrospective Corrections to SMRS
Amendments to data in SMRS have previously been constrained by limitations to retrospective correction. An error for a date prior to the current Effective From Date in SMRS (defined as a ‘Retrospective error’ in MAP04) could only be corrected in limited circumstances. With the publication of Version 6.1 of MAP04) [Reference 6] in November 2003, the circumstances in which a Retrospective Manual Amendment (RMA) can be made by a Supplier or Distribution Business are now applicable to all the Meter Point Administration Data (MPAD) items with a small number of exceptions (Supplier ID and Supplier Start Date on CoS) being the only exceptions relevant to D0095 resolution).
MAP04 V6.1 provides Suppliers and Distribution Businesses/SMRAs with a framework for agreeing SMRS errors (including new connection and disconnection errors) to be corrected using a RMA. However, MAP04 does not mandate the correction of all Retrospective Errors by a RMA.
5.4 Constraints in Data Collection (and Meter Operator) Systems
When determining the effective date from which a correction should be applied, a Supplier will need to be aware of any constraints in the NHHDC (and, where relevant, the Meter Operator) system that may prevent corrective flows being applied using the normal business process.
does the NHHDC system require a reading on change of Profile Class?
does the NHHDC system allow a change of SSC processed without a corresponding D0150 flow with the same SSC and effective date?
can the NHHDC/MOA process retrospective corrections i.e. a change with the same effective date as an earlier change (commonly referred to as a ‘D+0’ change) or will the change need to be applied from the following day (i.e. a ‘D+1’ change)?
does the NHHDC/MOA allow retrospective corrections for dates prior to the latest change date for the item in question?
It is recommended that Suppliers maintain a log of any such system constraints as an adjunct to the local procedures for D0095 resolution and document any bespoke solutions required for particular agents
5.5 Failed Instructions (D0023)
Any instructions from SMRS and NHHDCs, which fail validation by the NHHDA system are reported on ‘Failed Instructions’ (D0023) flows. Failed instructions will, with a high degree of probability, result in either missing data or an inconsistency between the SMRS- and NHHDC-sourced data held by the NHHDA and hence a D0095 exception.
Suppliers do not receive D0023 flows, although some Suppliers are understood to be in favour of receiving them. The current arrangements do not preclude Suppliers from making arrangements with NHHDAs, NHHDCs or SMRAs to receive D0023s by email or other means. However, there are practical difficulties associated with providing D0023s to Suppliers. In particular, a failed instruction may contain data pertaining to more than one Supplier (for example, where the data is associated with a CoS reading or where several advances are included in the same instruction in order to correct earlier failures).
Failed instructions, as reported on the D0023, can only be resolved by the agent (SMRS or NHHDC) that sent the original D0209 or D0019. The benefit of the Supplier receiving D0023s is to facilitate the diagnosis of D0095s. Without visibility of D0023s, Suppliers will need to adopt alternative processes. For example, eliminating potential causes of exceptions over which they have control (e.g. ensuring all appointment flows, D0052 and D0205s have been sent and D0310s and D0203s have been addressed) and then referring the exceptions to the NHHDC to resolve.
It is worth noting that, at the time of writing, the vast majority of failed instructions are from NHHDCs. Whilst the relative complexity of the NHHDC-NHHDA may partly account for this, another reason is that the Selective Refresh functionality of SMRS provides a generally effective mechanism for resolving failed instructions. It is understood that NHHDCs do not universally have such a refresh mechanism.
Suppliers should seek information from their NHHDC agents to ensure that D0023s are being addressed in a timely manner.
5.6 Corrections Post-Final Reconciliation
BSCP501 states that the “
SMRA System must not preclude changes made by a
Supplier before the
Final Reconciliation Volume Allocation Run”.
Under MAP04 Version 6.1, Retrospective Manual Amendments can be considered outside timescales for the Final Volume Allocation Run if supported by a Trading Disputes Committee determination.
Generally, exceptions should not be resolved after RF has taken place for any Settlement Dates impacted by the change, unless they are the subject of (or are relevant to) a Trading Dispute.
There may, however, be circumstances where data inconsistencies pre-date the latest Settlement Date that has been subject to a RF Run. For practical purposes, it may be desirable to correct the inconsistency from the original effective date, rather than to correct the inconsistency going forwards. For example, a change of SSC where the effective date of the Meter Technical Details, and closing and initial readings all pre-date RF may be easier to correct from the date of the physical change of metering than from a later date. Where such changes are made, the Supplier will need to consider whether Gross Volume Correction should be applied, such that consumption values for dates already subject to RF are not changed.
APPENDIX A – ARCHITECTURAL SUMMARY
The NHHDA system stores data received from SMRS and data received from NHHDCs in different database tables. Data received from different NHHDCs is held independently in the NHHDC tables.
The CDCD function comprises two processes. The first process inspects the SMRS and NHHDC tables, evaluates exceptions and stores them in exception tables. The second process reports on the stored exceptions.
In the interests of efficiency, the first process only re-evaluates exceptions for those Metering Systems where data has changed since exceptions were last evaluated (the “Last Checked Date”). The NHHDA system implements this by flagging Metering Systems as needing their exceptions re-evaluated whenever an instruction for them is received from an SMRS or a NHHDC. The evaluation process resets this flag.
The first process is the longer of the two and is usually run overnight. As the second process simply reports from the exception tables, it is quicker to run.
APPENDIX B – BEST PRACTICE REPORTING TIMETABLE
Whilst it is highly desirable not to have exceptions in the Initial Settlement Volume Allocation (SF) Run, it is not sensible to inspect date ranges prior to Initial Settlement as many business processes may, quite legitimately, not have completed and this will give rise to exceptions that will naturally resolve themselves in short timescales. However, all business processes should have completed prior to First Reconciliation and, if they have not, the reported exception should be treated as non transient and in need of resolution.
If the report is produced too far in advance of the Reconciliation Runs for the selected Settlement Day range, it may not be representative of the exceptions that need to be addressed prior to the Reconciliation Runs. However, if the report is produced too close to the Reconciliation aggregation runs for the selected Settlement Day range, Suppliers will not have the opportunity to resolve the exceptions beforehand. The Reporting Timetable therefore has lead times which are designed to achieve this balance.
Consecutive Reconciliation Runs should have reduced numbers of exceptions reported for each Settlement Day as exceptions are resolved as a result of the investigation and resolution of problems identified by D0095 Exception Reports on earlier Reconciliation Runs. For this reason the Reporting Timetable shows reporting on later reconciliation runs covering a greater number of settlement days than for earlier reconciliation runs.
The Reporting Timetable is based on the following parameters:-
Run Type - the Volume Allocation Run Type (SF to RF);
Range - the Settlement Day range selected for reporting (in weeks);
Frequency - frequency with which the report is run (in weeks);
Lead - the period between report production and Volume Allocation Run of the first Settlement Day in the selected reporting range (in weeks).
Run Type | Range (weeks) | Frequency (weeks) | Lead Time (weeks) | Smoothed Production Cycle |
SF | N/A | N/A | N/A | N/A |
R1 | 1 | 1 | 2 | Each week |
R2 | 2 | 2 | 4 | Week 1 and then every 2 weeks |
R3 | 4 | 4 | 4 | Week 2 and then every 4 weeks |
RF | 12 | 12 | 8 | Week 4 and then every 12 weeks |
The key objectives of this timetable are to:
allow Suppliers to resolve exceptions before the next Reconciliation Run;
be consistent with the Settlement Timetable;
simplify the D0095 reporting schedule;
reduce the risk of gaps and overlaps in the reporting of D0095 exceptions.
A diagrammatic representation of the timetable is provided on the next page.
Figure B – Example Timetable
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