Smart Meters Programme Schedule 6.3. (Development Process) (CSP North version)

Transcription

1 Smart Meters Programme Schedule 6.3 (Development Process) (CSP North version)

2 Schedule 6.3 (Development Process) (CSP North version) Amendment History Version Date Status v.1 Signature Date Execution copy

3 SCHEDULE 6.3 DEVELOPMENT PROCESS This Schedule 6.3 (Development Process) comprises the following parts: Part Scope Part A Part B Part C Part D Part E Part F Part G Part H Appendix 1 Appendix 2 Appendix 3 Appendix 4 Appendix 5 Appendix 6 Appendix 7 Overview Definitions Finalisation of SEC Subsidiary Documents Development of Detailed Product Descriptions Development of Relevant Documents Development of other documents Development of ICHIS Development of SMWAN CoCo and Interface Specs Requirements for Detailed Product Descriptions Contractor Solution Design Documents Service Management Framework Communications Hub Documents Initial Product Descriptions (Contractor Solution Design Documents) Initial Product Descriptions (Service Management Framework) Initial Product Descriptions (Communications Hub Documents) 1

4 PART A OVERVIEW 1. SCOPE OF THIS SCHEDULE 1.1 This Schedule 6.3 sets out the process for the development of the following documents (together, the "Relevant Documents"): SD1 Solution Architecture SD2 Component Specifications SD3 Not used SD4 Interface Specifications SD5 Error Handling Strategy SD6 BCDR Solution Specification Contractor Solution Design Documents (see Appendix 2) SD7 Traceability Matrix (from DCC Requirements to Contractor Solution Design Documents to Test Scenarios/Cases) SD8 Not used SD9 Configuration Items Catalogue SD10 Codes of Connection SD11 Service Management System Design Specification SD12 Electromagnetic Emissions Management Plan SM1 Service Management Strategy SM2 Service Portfolio SM3 Service Management Processes Service Management Framework (see Appendix 3) SM4 Service Management Process Interfaces SM5 Availability Plan SM6 Capacity Plan SM7 Operational Change Policy SM8 Release Policy 2

5 SM9 Knowledge Management Strategy SM10 Service Management Organisation Chart Communications Hub Documents (see Appendix 4) CH1 Intimate Communications Hub Interface Specification (ICHIS) CH2 Communications Hub Detailed Specification (CHDS) CH3 Communications Hub Handover Support Materials (CHHSM) CH4 Communications Hub Installation Support Process Materials (CHIPSM) CH5 Communications Hub Maintenance Support Materials (CHMSM) CH6 Installer Training Plan 1.2 This Schedule 6.3 also describes the process for the finalisation of the SEC Subsidiary Documents (as further described in Part C). 1.3 The parties acknowledge that other documentation will need to be developed by the Contractor, and reviewed by the DCC, in accordance with the other relevant provisions of this Agreement, including (in particular): the Contractor Security Documents under Schedule 2.5 (Security Management Plan); the Implementation Plan and Associated Plans under Schedule 6.1 (Implementation Planning); (c) (d) (e) the Contractor Test Documents under Schedule 6.2 (Testing and Acceptance); the Exit Plan under Schedule 8.5 (Exit); and the BCDR Plan under Schedule 8.6 (Business Continuity and Disaster Recovery Plan). 1.4 The parties acknowledge and agree that: (c) there needs to be a single ICHIS applicable to both the Contractor and the other Prime CSP; accordingly, the ICHIS shall be developed by the Contractor and the other Prime CSP in accordance with the specific requirements of Part G of this Schedule 6.3; and in relation to development of the ICHIS only, all other provisions of this Schedule 6.3 shall be subject to the requirements of Part G. 2. OBLIGATION TO DEVELOP 3

6 2.1 The Contractor shall develop each of the Relevant Documents in accordance with the process set out in this Schedule The Contractor's development activities under this Schedule 6.3 shall form part of the Services. 3. OVERVIEW OF DEVELOPMENT PROCESS Development stages 3.1 The development of each Relevant Document shall be conducted in accordance with the following stages: (c) Initial Product Descriptions: prior to the Signature Date, the Contractor has prepared Initial Product Descriptions for each of the Relevant Documents (as set out in Appendix 5 to 7 of this Schedule 6.3); Detailed Product Descriptions: as an intermediate step, the Contractor shall develop a Detailed Product Description for each of the Relevant Documents (in accordance with Part D); and Relevant Documents: once the Detailed Product Description for any Relevant Document has been agreed by the parties, the Contractor shall develop the full Relevant Document (in accordance with Part E). 3.2 The Contractor acknowledges that: all Initial Product Descriptions must comply with the relevant requirements of this Agreement, including the applicable DCC Requirements; and each Initial Product Description must be consistent with any related Initial Product Descriptions set out in Appendix 5 to 7 of this Schedule 6.3. Iterative approach 3.3 The development of the Relevant Documents under Part E will be an iterative process, including as a result of: (c) the finalisation of the SEC Subsidiary Documents following the Signature Date (as referred to in Part C); the need to ensure that, where applicable, the Relevant Documents are consistent with any equivalent specifications, deliverables or other documents being developed by other External Service Providers; and the outcome of any testing procedures under Schedule 6.2 (Testing and Acceptance) which may require an amendment to the Relevant Documents. 3.4 As a result of this iterative process, the Contractor will need to prepare a number of iterations of each Relevant Document (each, a "Document 4

7 Iteration"). The number of Document Iterations required in relation to each Relevant Document shall be specified in the applicable Detailed Product Description. 4. COMPLIANCE WITH IMPLEMENTATION PLAN 4.1 The Contractor shall ensure that each of the Relevant Documents is developed and finalised under this Schedule 6.3 in accordance with: the applicable timescales, and other relevant requirements, set out in the Implementation Plan and Associated Plans; and the applicable requirements of this Agreement, including under Section C (Design and Implementation and Testing Services). 5

8 PART B DEFINITIONS In this Schedule 6.3: "Applicable Content Requirements" "Authority to Proceed Notice" "Communications Hub Documents" "Communications Hub Technical Specification" "Conditional Authority to Proceed Notice" "Contractor Solution Design Documents" has the meaning given in paragraph 14.2 of Part E (as amended, in respect of a Document Iteration, by paragraph 14.3 of Part E); means the notice which may be issued by the DCC under paragraph 16.1 of Part E, as further described in paragraphs 16.2 and 16.3 of Part E; means the documents identified as "Communications Hub Documents" in paragraph 1 of Part A, as further described in Appendix 4; means the technical specification for the Communications Hubs, the Designated Version of which shall form part of the SEC; means the notice which may be issued by the DCC under paragraph 16.1 of Part E, as further described in paragraphs 16.4 to 16.7 of Part E; means the documents identified as "Contractor Solution Design Documents" in paragraph 1 of Part A, as further described in Appendix 2; "Current Version" has the meaning given in paragraph 6.1 of Part C; "DCC Technical Architecture" "DCC User Gateway Catalogue" "DCC User Gateway Code of Connection" means the general overview of the technical architecture that specifies the functional and non-functional technical requirements applicable to Smart Meters installed in Great Britain and the End-to-end Smart Metering System, as further described in paragraph 5.2 of Part C; means the document specifying: the DCC Services to be made available by the DCC to DCC Service Users; and the eligibility requirements for DCC Service Users to receive individual DCC Services, the Designated Version of which shall form part of the SEC (and, as at the Signature Date, the Current Version shall be the Baseline DCC User Gateway Catalogue as defined in Schedule 1 (Interpretation and Definitions)) ; means the mandatory requirements for any DCC Eco- System Entity connecting to the DCC User Gateway in order to enable the security, resilience and fairness of service to be maintained for all relevant DCC Eco-System Entities; 6

9 "Designated Version" "Detailed Product Description" "Document Iteration" "End to End Business Process Model" "GB Companion Specification" "Initial Product Description" "Non-Conformity" "Notification Version" "Rejection Notice" has the meaning given in paragraph 6.1(c) of Part C; means a detailed version of an Initial Product Description, to be developed by the Contractor, and agreed with the DCC, in accordance with Part D; means an individual iteration of a Relevant Document to be prepared in accordance with Part E, as further described in paragraph 3.4 of Part A; means the model setting out the business processes of the SEC Parties relating to the Smart Metering Programme (including the division of responsibility between SEC Parties in relation to such business processes), the Designated Version of which shall form part of the SEC; means the specification describing those elements of the ZigBee and DLMS HAN protocols and security standards that must be implemented in Smart Meters installed in Great Britain, the Designated Version of which shall form part of the SEC (and, as at the Signature Date, the Current Version shall be the Baseline GB Companion Specification as defined in Schedule 1 (Interpretation and Definitions)); means the initial product description in relation to a Relevant Document, as set out in Appendix 5 to 7 of this Schedule 6.3; has the meaning given in paragraph of Part E, and "Non-Conformities" shall be construed accordingly; has the meaning given in paragraph 6.1 of Part C; means the notice which may be issued by the DCC under paragraph 16.1 of Part E, as further described in paragraphs 16.8 to of Part E; "Related Document" has the meaning given in Appendix 1; "Relevant Documents" "SEC Subsidiary Document Modification" "SEC Subsidiary Documents" means the documents listed in paragraph 1 of Part A, and "Relevant Document" means any one of them; has the meaning given in paragraph 7.1 of Part C; means: SMETS 2; 7

10 the GB Companion Specification; (c) the Communications Hub Technical Specification; (d) the CESG's Commercial Product Assurance (CPA) security certification regime; (e) the End to End Business Process Model; and (f) the DCC User Gateway Catalogue, and, once finalised, the documents referred to in paragraph 5.3 of Part C of this Schedule 6.3; "Service Management Framework" or "Contractor Service Management Framework" or "Contractor's Service Management Framework "SMETS 2" means the documents identified as "Service Management Framework" in paragraph 1 of Part A, as further described in Appendix 3; means the second version of the Smart Metering Equipment Technical Specification, the Designated Version of which shall form part of the SEC (and, as at the Signature Date, the Current Version shall be the Baseline SMETS 2 as defined in Schedule 1 (Interpretation and Definitions)); and "Validity Period" has the meaning given in paragraph 16.5 of Part E. 8

11 PART C FINALISATION OF SEC SUBSIDIARY DOCUMENTS 5. GENERAL 5.1 The parties acknowledge that: (c) some of the Relevant Documents are required to comply with one or more of the SEC Subsidiary Documents; accordingly, the finalisation of such Relevant Documents is dependent on the relevant SEC Subsidiary Documents being finalised; and the SEC Subsidiary Documents will not be finalised until after the Signature Date. 5.2 The DCC Security Architecture and the DCC Technical Architecture (as amended by or on behalf of the DCC from time to time): do not form part of the SEC Subsidiary Documents and are provided to the Contractor for information and guidance purposes only; do not necessarily represent all of the applicable DCC Requirements; and (c) are subject to paragraph 22 of Part E. 5.3 Once finalised in accordance with this Schedule 6.3, each of: (c) (d) (e) the ICHIS; the CHHSM; the CHIPSM; the CHMSM; and the Installer Training Plan, shall become SEC Subsidiary Documents and, accordingly, shall become subject to the SEC Modification Arrangements referred to in Clause 24.3 of this Agreement. 6. IMPACT ON DEVELOPMENT PROCESS GENERALLY 6.1 As a consequence of the iterative development requirements referred to in paragraph 5, the Contractor will need to prepare a Document Iteration for the affected Relevant Documents in some or all of the following circumstances (as specified in the applicable Detailed Product Description): a Document Iteration based on the version of the relevant SEC Subsidiary Documents as at the Signature Date (or such other date specified in the applicable Detailed Product Description) (each, a "Current Version"); 9

12 (c) where applicable, a Document Iteration based on the version of the relevant SEC Subsidiary Documents sent for notification to the European Commission in accordance with the Technical Standards and Regulations Directive (98/34/EC) (as provided to the Contractor by the DCC as soon as reasonably practicable) (each, a "Notification Version"); and a Document Iteration based on the final version of the relevant SEC Subsidiary Documents, as designated by the Secretary of State (as provided to the Contractor by the DCC as soon as reasonably practicable) (each, a "Designated Version"). 6.2 The number of Document Iterations required under paragraph 6.1 shall be without limitation to the need for other Document Iterations of the same Relevant Document which are necessary on other grounds (as determined in accordance with paragraph 3.3 and 3.4 of Part A). 7. IMPACT ON RELEVANT DOCUMENTS 7.1 This paragraph 7 shall apply in relation to the development of the Relevant Documents referred to in paragraph 5.1 to the extent that: there is a difference between: (i) (ii) (iii) the Current Version; where applicable, the Notification Version; and/or the Designated Version, of a SEC Subsidiary Document with which the Relevant Document is required to comply (each, a "SEC Subsidiary Document Modification"); and the SEC Subsidiary Document Modification would require: (i) (ii) (iii) (iv) a change to the Relevant Document; a change to the Contractor Solution; a change to the Implementation Plan and/or the Associated Plans; and/or a change to any of the Contractor's obligations under this Agreement. 7.2 Where paragraph 7.1 applies, the Contractor shall notify the DCC accordingly. Such notice shall include: a summary of the relevant SEC Subsidiary Document Modification; and 10

13 an explanation, in reasonable detail, of the impact of the SEC Subsidiary Document Modification on the relevant matters referred to in paragraph Subject to paragraphs 7.4 and 7.5, following receipt of the Contractor's notice under paragraph 7.2 by the DCC, the parties (acting reasonably) shall agree any necessary Change in accordance with the Change Control Procedure. Any Change relating to a SEC Subsidiary Document Modification shall be deemed to be a Specific Change in Mandatory Requirements and the parties shall comply with their respective obligations, and may exercise their respective rights, under Clause Paragraph 7.3 shall not apply where the DCC is able to reverse or change the relevant SEC Subsidiary Document Modification so as to eliminate the relevant impact under paragraph If the DCC (acting reasonably) disputes the Contractor's belief that the relevant SEC Subsidiary Document Modification would have the relevant impact under paragraph 7.1, either party may refer such dispute to the Dispute Resolution Procedure. 8. CONTRACTOR INPUT INTO SEC SUBSIDIARY DOCUMENTS 8.1 Without limiting the Contractor's other obligations under this Agreement, the Contractor shall: promptly provide any co-operation, documentation, data, information or other assistance reasonably requested by the DCC from time to time in relation to the preparation and finalisation of any of the SEC Subsidiary Documents; and ensure that appropriate representatives of the Contractor (or, where applicable, any Contractor Person), including any representatives specifically identified by the DCC, attend any meetings with the DCC, other DCC Eco-System Entities, relevant SEC Parties and/or relevant Regulatory Bodies that are reasonably requested by the DCC from time to time in relation to the preparation and finalisation of any of the SEC Subsidiary Documents. 8.2 If requested by the DCC at any time, the Contractor shall: assign to SECCo (as further described in the SEC), or any other person nominated by the DCC from time to time, title to and all rights and interest in any of the SEC Subsidiary Documents (or any part thereof) that may be acquired by the Contractor as a result of its activities under paragraph 8.1; and procure that any other Contractor Person who acquires any title to or other rights or interest in any of the SEC Subsidiary Documents (or any part thereof) as a result of the activities under paragraph 8.1 also complies with paragraph The Contractor shall waive or procure a waiver of any moral rights in any copyright works assigned in accordance with paragraph

14 8.4 If requested to do so by the DCC, the Contractor shall without charge to the DCC execute all documents and do all such further acts as the DCC may require to perfect the assignment under paragraph 8.2 or shall procure that any relevant Contractor Person does so on the same basis. 9. CHANGES TO THE SEC SUBSIDIARY DOCUMENTS If there is a subsequent change to any of the Designated Versions of the SEC Subsidiary Documents which may require a change to any of the Relevant Documents and/or the Contractor Solution, such change to the relevant SEC Subsidiary Document shall be deemed to be a Specific Change in Mandatory Requirements and the parties shall comply with their respective obligations, and may exercise their respective rights, under Clause

15 PART D DEVELOPMENT OF DETAILED PRODUCT DESCRIPTIONS 10. CONTRACTOR OBLIGATIONS 10.1 The Contractor shall develop a Detailed Product Description for each of the Relevant Documents in accordance with this Part D Each Detailed Product Description shall be prepared in accordance with the applicable timescales, and other relevant requirements, set out in the applicable Initial Product Description. 11. REQUIREMENTS FOR DETAILED PRODUCT DESCRIPTIONS 11.1 The Contractor shall ensure that each Detailed Product Description: complies with the relevant requirements of this Agreement, (including the applicable DCC Requirements); is sufficient and appropriate to: (i) (ii) enable the Relevant Document to which it relates to be developed and finalised in accordance with the requirements of this Schedule 6.3; and enable the Contractor to perform the Services, and otherwise deliver the Contractor Solution, in accordance with the requirements of this Agreement; (c) is consistent with the detailed product description of any Related Document; (d) complies with the specific requirements set out in Appendix 1; (e) (f) where applicable, is consistent with any initial version of the Relevant Document submitted by the Contractor as part of its ISFT Response or where such a version has been superseded by a version incorporated within the document at Signature Date (unless otherwise agreed by the parties in writing); and in relation to the DCC Service Management System Interface Specification and the DCC Service Management System Code of Connection only, is consistent with the applicable requirements of the DCC Service Management Framework. 12. DEVELOPMENT AND REVIEW PROCESS 12.1 Each Detailed Product Description shall be subject to the review of the DCC (within the relevant timescales set out in the applicable Initial Product Description) The DCC may reject any Detailed Product Description if the DCC (acting reasonably and in good faith) believes that: 13

16 (c) (d) any aspect of the Detailed Product Description is insufficiently detailed to enable the Relevant Document to be properly developed and reviewed in accordance with the requirements of this Schedule 6.3; the Detailed Product Description does not comply with some or all of the requirements referred to in paragraph 11; the number and scope of the Document Iterations proposed by the Detailed Product Description is either (i) excessive or (ii) insufficient in relation to the requirements and dependencies relating to the development and finalisation of the Relevant Document; any of the Applicable Content Requirements set out in the Detailed Product Description are inappropriate or insufficient to ensure that: (i) (ii) the Relevant Document will comply with the applicable SEC Subsidiary Documents and the relevant requirements of this Agreement; and/or the Contractor will be able to perform the Services, and deliver the Contractor Solution, in accordance with the requirements of this Agreement; (e) any of the timescales proposed in the Detailed Product Description: (i) (ii) are unlikely to enable the Relevant Document to be properly developed and finalised in accordance with the applicable Milestones and other timescales set out in the Implementation Plan and/or the Associated Plans; or do not provide sufficient time for the parties to perform their respective obligations under this Schedule 6.3; and/or (f) any dependencies proposed in the Detailed Product Description are inappropriate or incorrect If the DCC rejects any Detailed Product Description under paragraph 12.2, it shall provide reasonable details regarding the reason(s) for such rejection Subject to paragraph 12.6, if the DCC rejects any Detailed Product Description under paragraph 12.2, the Contractor shall: make any amendments to the Detailed Product Description that are necessary to address the issues identified by the DCC; and re-submit a revised version of the Detailed Product Description to the DCC for review, as soon as reasonably practicable, and in any event, within the timescales set out in the applicable Initial Product Description The process in paragraphs 12.1 to 12.4 will then be repeated until the DCC notifies the Contractor that it approves the Detailed Product Description. 14

17 12.6 The Contractor shall not be entitled to reject any issues raised by the DCC under paragraph 12.2, except where (in the Contractor's reasonable opinion): the DCC has made a manifest error in relation to the reason(s) for rejecting the Detailed Product Specification; or the DCC has failed to comply with its obligation under paragraph 12.2 to act reasonably and in good faith. Any dispute regarding the matters referred to in this paragraph 12.6 shall be resolved in accordance with the Fast Track Dispute Resolution Procedure. 15

18 PART E DEVELOPMENT OF RELEVANT DOCUMENTS 13. CONTRACTOR OBLIGATIONS 13.1 The Contractor shall develop each of the Relevant Documents in accordance with this Part E Each Relevant Document shall be prepared in accordance with the applicable timescales, and other relevant requirements, set out in the applicable Detailed Product Description For the avoidance of doubt, the Contractor shall not start the development of any Relevant Document until the applicable Detailed Product Description has been agreed by the parties in accordance with Part D. 14. REQUIREMENTS FOR RELEVANT DOCUMENTS 14.1 The Contractor shall ensure that each Relevant Document: (c) (d) complies with the requirements set out in the applicable Detailed Product Description; complies with the relevant requirements of this Agreement, including the applicable DCC Requirements; is sufficient and appropriate to enable the Contractor to perform the Services, and otherwise deliver the Contractor Solution, in accordance with the requirements of this Agreement; is consistent with any Related Documents (as specified in the applicable Detailed Product Description) Without limiting paragraph 14.1, the Contractor shall ensure that each Relevant Document: (c) (d) (e) complies with the specific content requirements applicable to that Relevant Document (as set out in the applicable Detailed Product Description); is consistent with the pro-forma template for the Relevant Document (as set out in the applicable Detailed Product Description); where applicable, is consistent with any initial version of the Relevant Document submitted by the Contractor as part of its ISFT Response or where such a version has been superseded by a version incorporated within the document at Signature Date (unless otherwise agreed by the parties in writing); in relation to the DCC Service Management System Interface Specification and the DCC Service Management System Code of Connection only, is consistent with the applicable requirements of the DCC Service Management Framework; is written in clear and plain English; 16

19 (f) (g) (h) (i) includes adequate definitions of all key terms, words and symbols; is written to a reasonable and appropriate level of detail; is otherwise presented in a clear, complete and accurate manner; and is provided to the DCC in a non-proprietary and editable format, (together, the "Applicable Content Requirements") The parties acknowledge that there may be specific requirements, or modifications to the Applicable Content Requirements, which only apply in respect of a specific Document Iteration (as further described in the applicable Detailed Product Description). Accordingly, in respect of any Document Iteration, the Applicable Content Requirements (as defined in paragraph 14.2) shall be deemed to include: any specific requirements relating to that Document Iteration. as identified in the applicable Detailed Product Description; and any modifications of the Applicable Content Requirements relating to that Document Iteration If the Contractor (acting reasonably) believes that there is a conflict or inconsistency between any of the individual Applicable Content Requirements for any Relevant Document, then the Contractor shall notify the DCC accordingly as soon as reasonably practicable (providing an explanation, in reasonable detail, of the nature of the relevant conflict and/or inconsistency) and shall comply with any reasonable direction notified by the DCC in response to such request. 15. INITIAL SUBMISSION BY THE CONTRACTOR 15.1 In relation to each Relevant Document, the Contractor shall prepare, and submit to the DCC, each Document Iteration in accordance with the timescales specified in the applicable Detailed Product Specification The Contractor shall ensure that each Document Iteration: (c) complies with the requirements of this Schedule 6.3 (including paragraphs 14.1 and 14.2); complies with the requirements set out in the applicable Detailed Product Description in relation to that individual Document Iteration, including the Applicable Content Requirements (as defined in paragraph 14.2); and clearly identifies any material differences to the previous Document Iteration of the same Relevant Document (and explains the rationale for such differences). 16. REVIEW BY THE DCC 17

20 16.1 Following receipt of the initial draft of each Document Iteration, the DCC shall (within the relevant timescales specified in the applicable Detailed Product Description) issue to the Contractor: an Authority to Proceed Notice (in accordance with paragraphs 16.2 and 16.3); a Conditional Authority to Proceed Notice (in accordance with paragraphs 16.4 to 16.7); or (c) a Rejection Notice (in accordance with paragraphs 16.8 to 16.12). Authority to Proceed Notice 16.2 The DCC shall issue an Authority to Proceed Notice where the DCC believes (subject to paragraph 22) that the Document Iteration complies with all of the requirements referred to in paragraph 15.2 (and that none of the other circumstances referred to in paragraph apply) If the DCC issues an Authority to Proceed Notice, the Contractor may continue with the further development of the Relevant Document (or any Related Document) in accordance with this Schedule 6.3. Conditional Authority to Proceed Notice 16.4 The DCC may issue a Conditional Authority to Proceed Notice where: DCC believes that some or all of the circumstances referred to in paragraph apply in relation to the relevant Document Iteration; but despite such circumstances, the Contractor may, subject to paragraph 16.7, continue with the further development activities referred to in paragraph Any Conditional Authority to Proceed Notice issued by the DCC: shall include reasonable details regarding the nature of, and the rationale for, any Non-Conformities notified to the Contractor by the DCC; and specify the validity period of the Conditional Authority to Proceed Notice (the "Validity Period") Following receipt of a Conditional Authority to Proceed Notice by the Contractor, the parties shall comply with the process set out in paragraphs 17 and 18 during the Validity Period in order to rectify the Non-Conformities notified by the DCC If, by the end of the Validity Period: any of the Non-Conformities notified by the DCC in the Conditional Authority to Proceed Notice have not been rectified; and 18

21 accordingly, the DCC has not issued an Authority to Proceed Notice under paragraph 16.2, then the DCC may revoke the Conditional Authority to Proceed Notice and issue a Rejection Notice to the Contractor instead. Rejection Notice 16.8 The DCC may issue a Rejection Notice in the circumstances set out in paragraph 16.7 or If the DCC issues a Rejection Notice, the Contractor shall not be entitled to continue with the further development activities referred to in paragraph The DCC shall be entitled to issue a Rejection Notice to the Contractor if the DCC (acting reasonably) considers that: (c) the Document Iteration is insufficiently detailed to be properly reviewed by the DCC; the Document Iteration does not comply with some or all of the requirements referred to in paragraph 15.2; and/or any of: (i) (ii) (iii) (iv) the proposed obligations on the DCC and/or the proposed requirements for the DCC Environment; the proposed obligations on any other External Service Providers and/or the proposed requirements for any Other ESP Solutions; the proposed obligations on any DCC Service User and/or the proposed requirements for any Other Energy Industry Systems; and/or the proposed requirements for any Smart Metering Systems, specified by the Contractor in the Document Iteration are unreasonable or impractical for any reason (taking account of the relevant resources available to the entities referred to above and the reasonable technical capabilities of the systems referred to above), (each, a "Non-Conformity") The DCC shall provide reasonable details regarding the nature of, and the rationale for, any Non-Conformities notified to the Contractor in any Rejection Notice For the avoidance of doubt, the DCC shall not be entitled to issue a Rejection Notice under paragraph 16.10(c) where the relevant aspect of the Document Iteration is mandated by an express requirement in this Agreement or any relevant SEC Subsidiary Document. 19

22 17. AMENDMENT BY THE CONTRACTOR 17.1 Subject to paragraph 20.1, after receipt of a Conditional Authority to Proceed Notice or a Rejection Notice from the DCC, the Contractor shall (within the relevant timescales specified in the applicable Detailed Product Description): make any amendments to the relevant Document Iteration that are necessary to address the Non-Conformities specified in the relevant Conditional Authority to Proceed Notice or Rejection Notice (as applicable); and re-submit a revised version of the Document Iteration to the DCC for review. 18. FURTHER REVIEW BY THE DCC 18.1 Following receipt of the revised Document Iteration from the Contractor (and within the relevant timescales specified in the applicable Detailed Product Description): the DCC shall issue an Authority to Proceed Notice to the Contractor in relation to the Document Iteration where the circumstances referred to in paragraph 16.2 apply; if the DCC previously issued a Conditional Authority to Proceed Notice in relation to the Document Iteration, the DCC shall either: (i) (ii) if the Non-Conformities notified by the DCC have been rectified, issue an Authority to Proceed Notice to the Contractor; or otherwise, subject to paragraph 16.7, require the Contractor to prepare a further revised version of the Document Iteration in accordance with paragraph 17; or (c) if the DCC has previously issued a Rejection Notice to the Contractor in relation to the Document Iteration, the DCC shall either: (i) (ii) (iii) if the Non-Conformities notified by the DCC have been rectified, issue an Authority to Proceed Notice to the Contractor; issue a Conditional Authority to Proceed Notice to the Contractor in accordance with paragraphs 16.4 (in which case, paragraphs 16.5 to 16.7 shall apply); or issue a further Rejection Notice to the Contractor where the DCC (acting reasonably) considers that there are: (A) outstanding Non-Conformities from the previous draft of the Document Iteration which have not been resolved; and/or 20

23 (B) new Non-Conformities in the revised draft of the Document Iteration. 19. FINALISATION OF PROCESS Subject to paragraphs 20.1 and 21.1, the process in paragraphs 17 and 18 will then be repeated until the DCC issues an Authority to Proceed Notice to the Contractor in relation to the relevant Document Iteration. 20. DISPUTE RESOLUTION 20.1 Any dispute relating to the existence of Non-Conformities in any Document Iteration shall be referred to the Fast Track Dispute Resolution Procedure, comprising: the Escalation Process referred to in paragraph 18.2 of Part F of Schedule 8.3 (Dispute Resolution Procedure); and where the relevant dispute has not been resolved in accordance with the Escalation Process, the expert determination procedure referred to in paragraph 20 of Part F of Schedule 8.3 (Dispute Resolution Procedure). 21. FAILURE TO ACHIEVE MILESTONES 21.1 For the avoidance of doubt, the relevant provisions of this Agreement shall apply where the Contractor fails to Achieve a Milestone as a result of any of the Relevant Documents not being successfully developed in accordance with this Schedule 6.3 (including where any of the Detailed Product Descriptions are not agreed in accordance with Part D). Such provisions may include: (c) (d) the provisions of Clause 11 (Implementation Delays General Provision) regarding the preparation of a Correction Plan; where applicable, Clause 12 (Delays due to Contractor Default); and to the extent that the relevant Delay is due to the DCC failing to comply with the relevant timescales under this Schedule 6.3, Clause 13 (Delays due to DCC Cause or Other Service Provider Cause); and where applicable, Clause (Termination Rights). 22. NON-ENDORSEMENT BY THE DCC 22.1 The Contractor acknowledges and accepts that (i) the provision of the DCC Security Architecture and DCC Technical Architecture to the Contractor, (ii) the issue of any Authority to Proceed Notice or Conditional Authority to Proceed Notice by the DCC under this Schedule 6.3 or (iii) any agreement by the DCC of any Detailed Product Description under Part D, shall not: act as an endorsement of any matter; 21

24 (c) (d) relieve the Contractor of its responsibility for ensuring that the Document Iteration (and the Relevant Documents generally) comply with the requirements of this Schedule 6.3; give rise to any rights of estoppel or waiver; and relieve the Contractor of any other obligation under this Agreement, except as otherwise expressly stated by the DCC in writing with reference to this paragraph 22.1 and in compliance with the terms of this Agreement (including Clause 39 (Change Control)) The Contractor acknowledges and accepts that any further development activities referred to in paragraph 16.3 which are carried out by the Contractor following the issue of a Conditional Authority to Proceed Notice by the DCC are conducted at the Contractor's sole risk. The issue of a Conditional Authority to Proceed Notice shall not prejudice the DCC's right to subsequently issue a Rejection Notice in accordance with this Part E. 22

25 PART F DEVELOPMENT OF OTHER DOCUMENTS 23. DEVELOPMENT OF OTHER DOCUMENTS 23.1 The development process in this Schedule 6.3 shall also apply to the development of other documents by the Contractor where: expressly stated in this Agreement; or otherwise agreed by the parties in writing, provided that an Initial Product Description for such document has, or will be developed, by the Contractor and/or the DCC The development activities referred to in paragraph 23.1 (including the development of an Initial Product Description) may be conducted: (c) as a Project in accordance with Schedule 8.8 (Projects); in accordance with the Change Control Procedure; or on any other basis agreed by the parties in writing. 23

26 PART G DEVELOPMENT OF ICHIS 24. GENERAL 24.1 The Contractor and the other Prime CSP shall develop the ICHIS in accordance with: the specific requirements set out in this Part G; (c) otherwise, the provisions of this Schedule 6.3; and the Co-operation Agreement between the Contractor and the other Prime CSP Notwithstanding the specific requirements of this Part G: the Contractor shall ensure that it complies with the requirements of paragraph 4 of Part A of this Schedule 6.3 in relation to the development of the ICHIS; and paragraph 21 of Part E of this Schedule 6.3 shall apply where the Contractor fails to Achieve a Milestone as a result of the ICHIS not being successfully developed in accordance with this Schedule DEVELOPMENT OF DETAILED PRODUCT DESCRIPTION 25.1 The Contractor and the other Prime CSP shall submit a single, agreed version of the Detailed Product Description for the ICHIS, based on their respective Initial Product Descriptions (the "ICHIS DPD") in accordance with Part D of this Schedule For the purposes of paragraph 10.2 of Part D, the ICHIS DPD shall be submitted to the DCC by no later than15 October If the ICHIS DPD is rejected by the DCC under paragraph 12.2 of Part D, then the Contractor and the other Prime CSP shall together comply with paragraphs 12.4 to 12.6 of Part D. 26. DEVELOPMENT OF ICHIS 26.1 The Contractor and the other Prime CSP shall submit a single, agreed version of each Document Iteration of the ICHIS in accordance with Part E of this Schedule For the purposes of paragraphs 13.2 and 15.1 of Part E, each Document Iteration of the ICHIS shall be submitted to the DCC by no later than the applicable date set out in the ICHIS DPD (as agreed with the DCC in accordance with Part D) Where paragraph 16.4 of Part E applies: the DCC shall issue the Conditional Authority to Proceed Notice to both the Contractor and the other Prime CSP; and 24

27 the Contractor and the other Prime CSP shall together comply with paragraph 17 of Part E (regarding amendment of the ICHIS) Where paragraph 16.8 of Part E applies: the DCC shall issue the Rejection Notice to both the Contractor and the other Prime CSP; and the Contractor and the other Prime CSP shall together comply with paragraph 17 of Part E (regarding amendment of the ICHIS). 27. DISPUTE RESOLUTION 27.1 In relation to any dispute regarding the development of the ICHIS between (i) the DCC (on the one hand) and (ii) the Contractor and the other Prime CSP (on the other hand), then: where applicable, paragraph 20 of Part E of this Schedule 6.3; and the relevant provisions of Schedule 8.3 (Dispute Resolution Procedure), including Part G (Multi-Party Disputes), shall apply In relation to any dispute regarding the development of the ICHIS between the Contractor and the other Prime CSP, then: paragraph 7 of Part C of Schedule 8.7 (Co-operation); and paragraph 7 of the Co-operation Agreement between the Contractor and the other Prime CSP, shall apply. 25

28 PART H DEVELOPMENT OF SMWAN COCO & INTERFACE SPECS 28. DEVELOPMENT OF SMWAN COCO & INTERFACE SPECS 28.1 In addition to the development of the Relevant Documents, the Contractor shall develop, put in place and at all times maintain with the Prime DSP: an interface specification for the DCC SMWAN Gateway Interface as further described in Part B of Schedule 2.1 (DCC Requirements) (the "DCC SMWAN Gateway Interface Specification"); and an associated code of connection as further described in Part B of Schedule 2.1 (DCC Requirements) (the "DCC SMWAN Gateway Code of Connection"), (each, for the purposes of this Part H, a "SMWAN CoCo & Interace Spec") The Contractor shall ensure that each of the SMWAN CoCo & Interface Spec documents at all times: (c) describes the technical specification of the relevant interface; includes details, descriptions and specifications equivalent to those required in respect of the Interface Specifications and Codes of Connection (as appropriate) listed in Appendix 2 to this Schedule 6.3; and otherwise complies with the Contractor's obligations under this Agreement The Contractor shall ensure each SMWAN CoCo & Interface Spec is put in place with the Prime DSP prior to the Milestone Date for Milestone Reference D8 and (in any event) put in place in a timely manner and maintained so as not to prevent or delay the performance of any obligation under this Agreement The Contractor shall promptly provide the DCC with copies of each of the SMWAN CoCo & Interface Spec documents on request from time to time The Contractor shall not put in place any SMWAN CoCo & Interface Spec with the Prime DSP (or put in place any update) without the prior approval of the DCC (not to be unreasonably withheld or delayed). The Contractor acknowledges and accepts that any approval by the DCC under this Part H shall: (c) not act as an endorsement of any matter; not relieve the Contractor of its responsibility for ensuring that the SMWAN CoCo & Interface Specs comply with the requirements of this Agreement; not give rise to any rights of estoppel or waiver; and 26

29 (d) not relieve the Contractor of any other obligation under this Agreement. 27

30 APPENDIX 1 REQUIREMENTS FOR DETAILED PRODUCT DESCRIPTIONS 1. General Requirements for Detailed Product Descriptions The Detailed Product Description shall specify: the title of the Relevant Document; a unique reference number for the Relevant Document; (c) the principal author of the Relevant Document; and (d) the purpose and objectives of the Relevant Document. 2. Document Iterations The Detailed Product Description shall: specify the number of Document Iterations of the Relevant Document required to be prepared by the Contractor under this Schedule 6.3, taking account of the factors referred to in paragraph 3.3 of Part A; and include a summary of the purpose and content of each Document Iteration, including by identifying the reason(s) for requiring the preparation of each Document Iteration (for example, the need to update the Relevant Document following the provision by the DCC of an updated version of a SEC Subsidiary Document). 3. Template The Detailed Product Description shall include a pro-forma template for the Relevant Document (including an amendment history and record of approvals). 4. Detail requirements For each Document Iteration, the Detailed Product Description shall specify the level to which the content of the Document Iteration will be detailed. 5. Applicable Content Requirements The Detailed Product Description shall specify: the specific content requirements for the Relevant Document (including compliance with the applicable SEC Subsidiary Documents and the applicable requirements of this Agreement); and where applicable, any specific requirements, or modifications to the such content requirements, in respect of an individual Document Iteration (as further described in paragraph 14.3 of Part E). 6. Timescales The Detailed Product Description shall specify the timescales relating to the development, review, amendment and finalisation of each Document Iteration under this Schedule 6.3. Such timescales shall: be consistent with the applicable Milestones and other timescales set out in the Implementation Plan and the Associated Plans (as further described in paragraph 4 of Part A); and provide sufficient time for the parties to perform their respective obligations under this Schedule

31 In particular, any review of a Document Iteration by the DCC (including under paragraph 16 or 18 of Part E) shall require a minimum of ten (10) Working Days, provided that the DCC may require a longer review period where it is necessary for the DCC to consult with any third parties (including other DCC Eco-System Entities, relevant SEC Parties and/or Regulatory Bodies). 7. Dependencies The Detailed Product Description shall specify any dependencies between the Relevant Document and: any other Relevant Document to be developed by the Contractor under this Schedule 6.3; any other Deliverable to be developed by the Contractor under this Agreement; and/or (c) any equivalent specifications, deliverables or other documents to be prepared by any other External Service Provider, (each, a "Related Document"). In respect of any Related Document under paragraph (c) above, the Detailed Product Description shall include a summary of the proposed approach to manage and resolve such dependencies (including in accordance with the procedures set out in the relevant Co-operation Agreement between the Contractor and the relevant External Service Provider). 8. Review by the Contractor The Detailed Product Description shall specify the Contractor Personnel responsible for ensuring that each Document Iteration is complete and accurate before submission to the DCC. 9. Consistency with Initial Product Description The Detailed Product Description shall: unless otherwise agreed by the parties, be consistent with the relevant Initial Product Description; and where applicable, clearly identify any material differences to the Initial Product Description (and explain the rationale for such differences). 10. Other requirements The Detailed Product Description shall: be written in clear and plain English; include adequate definitions of all key terms, words and symbols; (c) be written to a reasonable and appropriate level of detail; (c) otherwise be presented in a clear, complete and accurate manner; and (d) be provided to the DCC in a non-proprietary and editable format. 29

32 APPENDIX 2 CONTRACTOR SOLUTION DESIGN DOCUMENTS Ref. Name SD1 Solution Architecture SD2 Component Specifications SD3 Not used SD4 Interface Specifications Description The overall technical architecture of the Contractor Solution, including a description of the individual components of the Contractor Solution (including all Systems, Hardware and Software) and interfaces with the Systems of other DCC Eco-System Entities, including: the DCC Environment; Other ESP Solutions; (c) Other Energy Industry Systems; and (d) Smart Metering Systems, as further described in Schedule 2.1 (DCC Requirements) and Schedule 4.1 (Contractor Solution). A technical and functional specification for each of the components of the Contractor Solution (as identified in the Solution Architecture), identifying the configuration, customisation, and development features of such component, which shall be consistent with the DCC Requirements and the other applicable requirements set out in this Agreement (as verified in accordance with the Traceability Matrix). Not used A technical specification for each of the interfaces between the Contractor Solution and the Systems of other DCC Eco- System Entities, including: the DCC Environment; Other ESP Solutions; (c) Other Energy Industry Systems; and (d) Smart Metering Systems, as further described in Schedule 2.1 (DCC Requirements). SD 4 Interface Specifications shall include the DCC Service Management System Interface Specification as described 30

33 below but exclude the DCC SMWAN Gateway Interface Specification. It is anticipated that the DCC and Prime DSP shall develop a technical specification (to be put in place with the DCC) for the DCC Service Management System Interface (the "DSP DCC Service Management System Interface Specification"). The Contractor shall develop (in accordance with the process set out in this Schedule 6.3), put in place and at all times maintain with the DCC a technical specification for the DCC Service Management System Interface (the "DCC Service Management System Interface Specification"). The Contractor shall ensure such interface specification is consistent at all times with (and enables the DCC to put in place and maintain) the DSP DCC Service Management System Specification. The DCC Service Management Interface Specification (and any other Interface Specification from time to time) shall describe the technical specification of the relevant interface and shall include the following: Interface description: a description of the scope of the Interface Specification that describes: (i) (ii) the purpose of the relevant interface and/or the business requirement that it fulfils; and a summary of the data types exchanged over the relevant interface; and technical specification: the detailed technical specification of the relevant interface, including: (i) (ii) (iii) (iv) the protocols and standards to be used for data exchange; the structure and permissible content of data types; the rules of validation of data exchanged over the relevant interface; a list of error conditions and a defined error handling strategy. SD5 Error Handling Strategy The Contractor's strategy for addressing messaging errors within the Contractor Solution and across relevant interfaces with the Systems of other DCC Eco-System Entities, as further described in Schedule 2.1 (DCC Requirements). SD6 BCDR Solution Specification A technical specification relating to those aspects of the Contractor Solution which are relevant to business continuity and disaster recovery, as further described in Schedule 2.1 (DCC Requirements) and Schedule 4.1 (Contractor Solution). SD7 Traceability Matrix A document verifying (in a structured and systematic manner) that the Contractor Solution complies with each of the DCC Requirements and the other applicable requirements set out in this Agreement (including traceability against 31