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BSCP535: Technical Assurance

v 13.0
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Balancing and Settlement Code

BSC PROCEDURE

Technical Assurance

BSCP535

Version 13.0

Date: 1 September 2021

BSC Procedure 535 relating to Technical Assurance

1. Reference is made to the Balancing and Settlement Code (the Code) and in particular, to the definition of “BSC Procedure” in Section X, Annex X-1 thereof.

2. This is BSC Procedure 535, Version 13.0 relating to Technical Assurance of Audited Entities.

3. This BSC Procedure is effective from 1 September 2021.

4. This BSC Procedure has been approved by the Panel.

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AMENDMENT RECORD

Version

Date

Description of Changes

Changes Included

Mods/ Panel/

Committees Refs

1.1

22/02/01

Re-badged AP535 to form BSCP535

NCR313

2.0

27/03/01

Approved by the Panel 22/02/01.

P13/008

3.0

08/08/03

Performance Assurance Framework Review.

4.0

01/05/04

Performance Assurance Framework Review

P99

5.0

29/06/04

SVA June 04 Release

CP998

CP1046

ISG33/369

PAB41/004

SVG40/001

6.0

23/02/05

SVA February 05 Release and BETTA 6.3

P159

BETTA 6.3

CP1055

CP1091

SVG47/004

7.0

23/08/07

P197 Release

P197, CP1176

P/115/04

SVG67/16

ISG68/02

8.0

26/11/08

P207

P207

PAB91/12

SVG91/06

9.0

25/06/09

June 09 Release

CP1265

ISG97/01

SVG97/01

10.0

06/11/14

November 2014 Release

CP1413

PAB162/07

SVG162/04

11.0

05/11/15

November 2015 Release

P319 Self-Governance

Panel 239/07

12.0

25/02/21

February 2021 Release

CP1537

SVG237/03

PAB237/11

13.0

01/09/21

1 September 2021 Non-Standard Release

P420

P316/05

1. Introduction

1.1. Purpose and Scope of the Procedure

This BSC Procedure defines the process for providing assurance that Performance Assurance Parties (PAPs) are meeting their obligations as stated within the BSC or Code Subsidiary Documents as appropriate. It describes the key interfaces and timetable responsibilities for the role of the Performance Assurance Board (PAB) and/or Delegated Authority and other interested parties in the Technical Assurance of PAPs (TAP). The PAB may delegate such functions as it sees fit in accordance with the PAB Terms of Reference.

The TAP function will be distinct from but complementary to other Performance Assurance Techniques (PAT), in particular the BSC Audit and Qualification process and requirements.

1.2. Risk Based Performance Assurance Framework

PATs will be applied to a PAP based on the net significance of the applicable Settlement Risk and an assessment of the PAP’s contribution to the Settlement Risk.

Settlement Risks and their net significance are captured on the Risk Evaluation Register (RER). All the Settlement Risks identified are rated in terms of severity of impact and probability (including a weighting for the strength of controls).

The Settlement Risks are assigned PATs to mitigate those risks and these PATs are recorded in the Risk Operating Plan (ROP) against each Settlement Risk.

The RER and the ROP are produced for a Performance Assurance Operating Period (PAOP) in accordance with the Annual Performance Assurance Timetable and the agreed Risk Evaluation Methodology (REM), which details the processes used to identify and evaluate the Settlement Risks and assess their materiality.

At the end of a Performance Assurance Operating Period, the PAB will prepare an Annual Performance Assurance Report for the Panel detailing the assurance that has been provided during the course of the period, the extent to which Settlement Risks have been mitigated, and BSCCo costs of providing that assurance.

Technical Assurance is a PAT and will be deployed to a PAP in relation to relevant Settlement Risks.

1.3 Main Users of the Procedure

This BSC Procedure should be used by the:

        • Performance Assurance Parties

        • Data Transfer Service Provider

        • Delegated Authority

        • BSCCo

        • Performance Assurance Board (PAB)

1.4. Scope of Work

1.4.1. Technical Assurance Checks

There are three distinct areas of work that are applicable to all Performance Assurance Parties:

          • Scope of work for TAP.

        • This includes details of the check to be undertaken and will utilise information from PAPs, other PAF techniques, the BSC Auditor, BSCCo and the PAA when deciding where to apply the checks.

          • Targeted Checks of PAPs.

        • The PAB may decide to apply a targeted check because of performance related issues, Settlement error, information provided by its sub-committees or the Panel.

          • Post-Qualification checks of newly qualified PAPs.

        • These checks take place after a PAP has been qualified or re-qualified and there is a requirement to prove capability.

The key steps in the scope of work of the TAP function are:

        • The PAB will produce a scope of work for the TAP function, in respect of each Performance Assurance Operating Period in accordance with the ROP.

        • The scope of work will be published (through the ROP) on the BSC Website within 10 Working Days of PAB approval.

        • The Delegated Authority will report to the PAB on a regular basis on the progress of work being undertaken as part of the scope for TAP.

        • The findings of the check will feed into the Annual Performance Assurance Report.

The key milestones in the performance of a check are:

        • The PAB or its Delegated Authority will select PAPs who will form the subject of the TAP check in question. The PAB or its Delegated Authority will then notify the PAP of the check and make any requests for documentation at least 10 Working Days prior to the scheduled date (2 Working Days for an urgent targeted check).

        • The PAB or its Delegated Authority shall conduct the check and record the results in accordance with the Check Results form (BSCP535/06). The PAB shall then provide the PAP in question with a copy of the results.

        • The PAP in question shall then respond to the results within 5 Working Days.

        • In the case of an agreed non-compliance, the PAP may be asked to provide rectification details in accordance with BSCP538 – Error and Failure Resolution.

        • In the case of a disputed non-compliance, the PAP must provide details of the dispute to the Delegated Authority within 10 Working Days of notification of the non-compliance.

        • The Delegated Authority will then re-determine the validity of the non-compliance. If the PAP still disputes the non-compliance then the Delegated Authority’s decision can be appealed to the PAB.

        • The Delegated Authority will report to the PAB as and when required on the results of any checks (including targeted checks) performed.

1.5. Responsibilities

The PAB, as part of determining the annual scope of work for TAP, may delegate the performance of each check and each of the functions associated with the performance of each check to a Delegated Authority.

PAPs are responsible for providing any information that is requested by the PAB or its Delegated Authority in order to perform a TAP check.

For those checks performed on site the PAP is responsible for allowing the PAB or its Delegated Authority access to the site. For the purposes of this BSC Procedure, a site is defined as a PAP’s premises.

1.6. Balancing and Settlement Code Provision

This BSC Procedure has been produced in accordance with the provisions of the BSC and in particular Section Z. In the event of an inconsistency between the provisions of this BSC Procedure and the BSC, the provisions of the BSC shall prevail.

1.7. Associated BSC Procedures

This BSC Procedure interfaces with:

BSCP27

Technical Assurance of Half Hourly Metering Systems for Settlement Purposes

BSCP501

Supplier Meter Registration Service

BSCP502

Half Hourly Data Collection of Metering Systems in SMRS

BSCP503

Half Hourly Data Aggregation of Metering Systems in SMRS

BSCP504

Non Half Hourly Data Collection of Metering Systems in SMRS

BSCP505

Non Half Hourly Data Aggregation of Metering Systems in SMRS

BSCP508

Supplier Volume Allocation Agent

BSCP509

Changes to Market Domain Data

BSCP513

Bulk Change of NHH Supplier Agent

BSCP515

Licensed Distribution

BSCP516

Allocation of Profile Classes & SSCs for NHH Metering Systems Registered in SMRS

BSCP520

Unmetered Supplies Registered in SMRS

BSCP533

PARMS Data Provision , Reporting and Publication of Peer Comparison Data

BSCP537

Qualification Process for SVA Parties, SVA Party Agents and CVA MOAs

BSCP538

Error and Failure Resolution

1.8. Acronyms

The terms used in this BSC Procedure are defined as follows:

BSCCo

Balancing and Settlement Code Company

DA

Data Aggregator

DC

Data Collector

EFR

Error Failure Resolution

HHDA

Half Hourly Data Aggregator

HHDC

Half Hourly Data Collector

LDSO

Licensed Distribution System Operator

MA

Meter Administrator

MSID

Metering System Identifier

NHHDA

Non Half Hourly Data Aggregator

NHHDC

Non Half Hourly Data Collector

PAA

Performance Assurance Administrator

PAB

Performance Assurance Board

PAF

Performance Assurance Framework

PAP

Performance Assurance Party

REM

Risk Evaluation Methodology

RER

Risk Evaluation Register

ROP

Risk Operating Plan

SAD

Self Assessment Document

SMRA

Supplier Meter Registration Agent

SVA MOA

Supplier Volume Allocation Meter Operator Agent

TA

Technical Assurance

TAP

Technical Assurance of PAPs

WD

Working Day

1.9. Definitions

Full definitions of the acronyms in Section 1.8 are, where appropriate, included in the Balancing and Settlement Code Section X.

Working Day - Throughout this procedure, unless otherwise stated, timetables reflect the number of Working Days (WD) following defined events by which an activity should be completed.

Associated Supplier - Those Suppliers who have confirmed that a relationship exists with a Supplier Agent and for the purposes of issuing associated Supplier notifications has confirmed to the PAB (and at the PAB’s request) that they are entitled to receive the results of any TA checks performed on its associated Supplier Agents. Supplier Agents are NHHDC, NHHDA, HHDC, HHDA, , MA, SVA MOAs1.

2 Not Used

3 Interface and Timetable Information

3.1. Determination of scope of work for Technical Assurance

REF

WHEN

ACTION

FROM

TO

INFORMATION REQUIRED

METHOD

3.1.1

At PAB meeting.

Determine scope and notify BSCCo.

PAB

BSCCo

ROP

3.1.2

Within 10 WD of PAB approval.

Publication of scope.

BSCCo

Scope

3.2. Technical Assurance Check

REF

WHEN

ACTION

FROM

TO

INFORMATION REQUIRED

METHOD

3.2.1

At least 10 WD prior to a check or 2 WD for an urgent targeted check.

Inform PAP of planned check and request acceptance and that relevant information is available.

Delegated Authority

PAP

Date, time and PAP to be technically assured together with specific details of the check including Settlement Risk Identification Number.

Email

BSCP535/01

BSCP535/02

3.2.2

Within 5 WD of 3.2.1

Notify Delegated Authority of acknowledgement of planned check.

PAP

Delegated Authority

Acknowledgement of impending check

BSCP535/02

3.2.3

At least 5 WD prior to the check or immediately upon receipt of notification in 3.2.1 for an urgent targeted check.

Supply the required information.

PAP

Delegated Authority

Submission of required information.

Email

BSCP535/02

3.2.4

Date of check.

Perform check.

Delegated Authority

PAP

Information, data, documents and access to systems as required.

Interviews, reviews, sampling and witnessing as required.

3.2.5

Within 10 WD of completion2 of check.

Notify PAP of results of check.

Delegated Authority

PAP

Results of check.

Email

BSCP535/06

3.2.6

At or within 5 WD of sending check results notification.

Delegated Authority checks for receipt of agreement of check results.

(a) PAP confirms acceptance of check results.

PAP

PAB

Email

BSCP535/06

(b) No response is received. Send reminder.

PAB

PAP

Results of check.

Email

BSCP535/06

(c) PAP appeals the non-compliance. Proceed to 3.4.1.

PAP

PAB

Reason for the appeal.

Email

BSCP535/06

3.2.7

On completion of check (or series of checks).

(a) If check has revealed a non-compliance then proceed to section 3.2.9.

PAB

PAP

Results of check.

Email

BSCP535/06

(b) If check shows PAP to be compliant. Check closed.

PAB

PAP

Results of check.

Email

BSCP535/06

(c) The associated Supplier should be notified in both cases.

Delegated Authority

Associated Suppliers

3.2.8

Following 3.2.7 and at the next available PAB meeting.

Notify the PAB of the results of the check (series of checks) and if the PAP(s) is non-compliant, seek approval to apply the EFR technique, as appropriate.

Delegated Authority

PAB

Results of check

BSCP535/06

3.2.9

After 3.2.7a if check shows PAP to be non-compliant

Follow the Error and Failure Resolution process in BSCP538 to rectify the non-compliances, if appropriate.

PAP

BSCCo

If check performed on a Supplier Agent issue results to Associated Suppliers.

Delegated Authority

Associated Suppliers

Results of check

Email

BSCP535/06

3.3 Not Used

3.4. Appeals

REF

WHEN

ACTION

FROM

TO

INFORMATION REQUIRED

METHOD

3.4.1

At or within 10 WD of sending check results notification, if PAP disagrees with a non-compliance.

Collect evidence for, and prepare the case for the appeal.

PAP

Delegated Authority

The case in support of the appeal.

Any evidence relevant to the appeal.

Email

3.4.2

Within 5 WD of receiving the appeal in 3.4.1

(a) Decide that the appeal is valid, and remove the non-compliance. Notify the PAP of the decision and that the non-compliance is now closed. Proceed to Ref. 3.2.6.

Delegated Authority

PAP

Details of why the non-compliance has been removed.

Email

(b) Decide that the appeal is not valid and inform the PAP that the non-compliance will be upheld.

Delegated Authority

PAP

Details of why non-compliance is still valid.

Email

3.4.3

Within 5 WD of receiving the notification in section 3.4.2

If PAP still disagrees with the non-compliance, inform the Delegated Authority again of an appeal.

PAP

Delegated Authority

Reasons why the non-compliance has been re-appealed by the PAP.

Email

3.4.4

At next available PAB meeting

Delegated Authority reports the appeal details to the PAB for decision.

Delegated Authority

PAB

Details of non-compliance and why the non-compliance has been re-appealed by the PAP.

PAB Paper

3.4.5

At PAB meeting

PAB considers the grounds of the appeal and decides whether to uphold or remove the non-compliance

PAB

Report from the Delegated Authority.

PAB Meeting

(a) PAB decides that the appeal is valid and informs the Delegated Authority to remove the non-compliance. Proceed to Ref. 3.4.6.

PAB

Delegated Authority

The PAB’s decision and reasons why the appeal has been accepted.

Minutes of meeting

(b) PAB decides that the appeal is not valid and informs the Delegated Authority to continue with the non-compliance procedure. Proceed to Ref. 3.4.7.

PAB

Delegated Authority

The PAB’s decision and reasons why the appeal has not been accepted.

Minutes of meeting

3.4.6

Upon notification from the PAB

Delegated Authority informs the PAP that their appeal has been accepted and that the non-compliance issue is now closed. Proceed to 3.2.6.

Delegated Authority

PAP

The PAB’s decision on the appeal.

Email

3.4.7

Upon notification from the PAB

Delegated Authority informs PAP that their appeal has not been accepted. Proceed to 3.2.6 to accept check results and rectify non-compliances.

Delegated Authority

PAP

The PAB’s decision on the appeal.

Written communication to PAP (email, letter)

If necessary, BSCP538 Error and Failure Resolution

4 Appendices

4.1 Not Used

4.2 Not Used

4.3 Not Used

4.4 Not Used

4.5 Not Used

4.6 Not Used

4.7 Not Used

4.8 Technical Assurance Forms

All information communicated through the forms in these appendices must contain the detail stipulated for each form; however the communication method is flexible and must be agreed between PAP and PAB / Delegated Authority.

Form BSCP535/01 – Notification of a Technical Assurance of Performance Assurance Parties Check

The Delegated Authority will provide the following details to the PAP in accordance with section 3.2.1:

          • PAP subject to check

          • Role subject to check

          • Check Reference (determined by the Delegated Authority)

          • Proposed Date of Check

          • Anticipated Duration of Check

          • Reason for check, including link to ROP, scope of work and relevant Settlement Risk Identification Number(s)

          • Request for required documentation from the PAP

          • Details of the required documentation from the PAP

          • Request for an overview of the PAP's organisation structure

          • Date by which the PAP must accept the proposed TA check using the date items required in form BSCP535/02

          • Date by which the PAP must provide the required documentation and organisation structure to the Delegated Authority

          • Contact details for the PAP to all requested documents, acceptance and a point of contact for any communication with the Delegated Authority

Form BSCP535/02Acceptance of TA check

The PAP will provide the following details to the Delegated Authority in accordance with section 3.2.2:

          • Check Reference (determined by the Delegated Authority)

          • Proposed Date of Check

          • Anticipated Duration of Check

          • Confirmation of how and when all required documentation and the PAP's organisation structure will be provided

          • Details of main contact at PAP for duration of the check

          • Any other relevant information

Form BSCP535/03 – Not used

Form BSCP535/04 – Not used

Form BSCP535/05 – Not used

Form BSCP535/06 – Check Results

The Delegated Authority will provide the following details as appropriate in accordance with sections 3.2.5 and 3.2.7 and the PAP shall return with the agreement of results or reason for an appeal in accordance with section 3.2.6:

    • Check Reference (determined by the Delegated Authority)

    • Date of Check

    • Details of check including Settlement Risk Information Number(s)

    • Details of any non-compliances

    • Details of any observations

    • Details of any compliance

    • Details of contact at Delegated Authority issuing the results

    • Details of contact at PAP agreeing the results

    • Date of agreement of results (when agreed)

    • Any other relevant information

1 "SVA MOAs will be subject to the requirements of this BSCP for the period of the “SVA MOA Performance Assurance Transition Period” detailed in Section Z 5.1.1A – 5.1.1C"

2 The check shall be deemed complete when all aspects of the check on and/or off site have been finalised and the Delegated Authority is in a position to deliver the results of the check.