Ordinance On The Incentive Regulation Of Energy Distribution Networks

Original Language Title: Verordnung über die Anreizregulierung der Energieversorgungsnetze

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Read the untranslated law here: http://www.gesetze-im-internet.de/aregv/BJNR252910007.html

Ordinance on the incentive regulation of energy distribution networks (incentive regulation regulation - ARegV) ARegV Ausfertigung date: 29.10.2007 full quotation: "incentive regulation regulation by October 29, 2007 (BGBl. I p. 2529), most recently by article 2 of the Decree of the 9th March 2015 (BGBl. I S. 279) has been changed" stand: last amended by art. 2 V v. 9.3.2015 I 279 for details on the stand number you see in the menu see remarks footnote (+++ text detection from) : 6.11.2007 +++) the V was adopted as article 1 of the V v. 29.10.2007 I 2529 of the Federal Government with the consent of the Federal Council. She entered into force article 4 of this V on November 6, 2007 under.

Table of contents Part 1 General provisions § 1 scope article 2 beginning the process part 2 General provisions for incentive regulation section 1 regulatory periods § 3 start and duration of the regulatory period section 2 General guidelines for determining the revenue Cap 4 § revenue cap § 5 regulation account section 6 output level of the revenue Cap § 7 regulatory formula section 8 General money value development § 9 of general sectoral productivity factor § 10 extension factor § 11 impressionable and non-influenceable costs shares § 12 efficiency comparison § 13 parameter for comparing efficiency § 14 determination of the costs for the implementation of the efficiency comparison section 15 discovery of inefficiencies § 16 efficiency specifications section 3 calculation of network charges article 17 network charges section 4 specifications § 18 specifications § 19 quality element in the regulatory formula section 20 determination of the quality element of section 21 report on the investment behavior of part 3 special rules for the incentive regulation section 1 operators of transmission and transmission networks section 22 special provisions for the efficiency comparison section 23 investment measures section 2 special rules for small operators article 24 simplified procedure section 3 of lump-sum investment supplement , Research and development costs § 25 of flat-rate investment supplement section 25a of the research and development expenses section 4 transition networks, networking and-aufspaltungen § 26 transition networks, networking and-aufspaltungen part 4 miscellaneous provisions § 27 § 28 data collection reporting obligations section 29 data § 30 missing or insufficient data § 31 publication data § 32 stipulations or the regulatory authority section 33 approvals evaluation and reports of the Federal Network Agency part 5 final provisions article 34 transitional regulations Appendix 1 (to § 7) Annex 2 (according to § 10) Annex 3 (to § 12) part 1 General provisions § 1 Scope of application (1) regulates the determination of fees for access to the power grids in the way of incentive regulation this regulation. Network charges are determined as of January 1, 2009, in the way of incentive regulation.
(2) this Ordinance shall not apply to an operator for the still no quarterly revenue cap has been determined according to article 4, paragraph 1, for a transitional period until the end of the current regulatory period. The Decree remains disapply until the end of the next regulatory period, when according to § 6 paragraph 1 for this operator still no sufficient data for the base year are available at the next cost test.

§ 2 start of the procedure the procedure for the determination of the revenue cap is initiated by virtue.
Part 2 General provisions for incentive regulation section 1 regulatory periods § 3 start and duration of adjustment periods (1) the first regulatory period begins on January 1, 2009. The subsequent regulatory periods start on 1 January of the calendar year following on the last year of the previous adjustment period.
(2) a regulatory period is five years.
Section 2 General guidelines for determining the revenue Cap 4 § be revenue cap (1) the upper limits of the allowable total revenues of a network operator from the network charges (revenue cap) in accordance with articles 5 to 16, 19, 22, 24 and 25.
(2) the revenue cap is to determine for each calendar year of the regulatory period. An adjustment of the revenue cap during the current period of adjustment an adjustment of the revenue cap is made in accordance with paragraphs 3 and 5 (3) 2. beyond costs shares according to article 11, paragraph 2, sentence 1 is each at 1 January of the calendar year when a change in the total consumer price index according to § 8 1, number 1 to 11, 12a 15, set of 2 and 3; to turn off is on the costs incurred in the penultimate calendar year; Cost shares according to article 11, paragraph 2, sentence 1 number 4 to 6, 8 and 15 is to turn off the calendar year to which the revenue cap should apply 3. volatile costs shares according to § 11 paragraph 5; to turn off is on the calendar year on which the revenue cap should apply.
A new determination of the revenue cap is not required in these cases. Sentence 1 shall not apply in the first year of the regulatory period.
(4) a the revenue cap adjustment at the request of the system operator 1 in accordance with section 10;
2. can be an adaptation of the revenue cap, if not reasonable be a hardship for the network operators would arise due to the occurrence of an unforeseen event in the case of retention of the revenue cap.
The request for adjustment pursuant to sentence 1 No. 1 can be placed once a year to 30 June of the calendar year;. the adjustment is made to January 1 of the following calendar year.
(5) a determination of the quality element is carried out in accordance with article 19, the regulator has to adapt the officio revenue cap according to. The adjustment is carried out pursuant to sentence 1 no more than once a year to 1 January of the following calendar year.

§ 5 adjustment account (1) the difference between the proceeds allowable pursuant to § 4 and the proceeds recoverable from the carrier, taking into account the actual development of of amounts of will be posted annually on a control account. The same applies to article 11, paragraph 5, and the approaches in this regard contained in the revenue cap the difference between the costs actually incurred for the calendar year according to article 11, paragraph 2, sentence 1 number 4 to 6, 8 and 15, as well as the costs incurred in the calendar year after insofar as this is provided in a definition number 4a according to § 32 para 1. Moreover, the difference between the calendar year for more efficient service delivery is included in addition costs bodies operating or the measurement and the approaches in this regard contained in the revenue cap in the regulation account, if this difference is carried by the operator changes the number of users of the port, where measuring or metering point operation, or measures pursuant to § 21B para 3a and 3B of the energy law, as well as according to § 18 (b) the power grid access regulations and section 44 of the gas network access regulation is caused. The regulation account is held by the regulatory authority.
(2) the differences recorded pursuant to paragraph 1 are to be payable on the amount involved in the respective calendar year average. The average net amount is from the mean of year initial and annual send stock. The interest rate depends on average the yield of fixed-interest securities of domestic issuers published by the German Federal Bank related to the last ten completed calendar years pursuant to sentence 1.
(3) the actually achieved revenues exceed the permitted pursuant to § 4 revenues of last calendar year more than 5 percent so the operator is obliged to adapt its network charges in accordance with the article 17. Leave the actually achieved revenue by more than 5 percent behind the permissible according to § 4 proceeds of the last calendar year, the network operator shall be entitled to adjust its network charges in accordance with the article 17.
(4) the regulatory authority determines the balance of the control account in the last year of the regulatory period for the preceding five calendar years. The balance of the balance on the account of regulation is distributed evenly over the following period of adjustment to premiums or discounts. The surcharges and discounts are referred to in paragraph 2 shall be payable on set 3. An adjustment of the revenue cap within the regulation period due to the change of year recorded differences referred to in paragraph 1 does not take place.

§ 6 output level of the revenue cap (1) the regulatory authority determines the output levels for the determination of the revenue cap by an examination of costs according to the rules of part 2 section 1 of the gas network fee regulation and the part 2 section 1 of power charge regulation. The sections 28 to 30 of the gas network fee regulation, as well as the sections 28 to 30 of power fee Regulation shall apply mutatis mutandis. The cost test is performed in the penultimate calendar year prior to the regulation period based on the data of the last completed financial year. The calendar year in which ends the year underlying the cost test, is considered base year in terms of this regulation. 2006 for the first adjustment period is considered as the base year (2) as output level for the first adjustment period is the result of the cost audit of the last approval of the network charges according to Section 23a of the energy industry act before the start of the incentive regulation based on the data basis of the 2006 financial year or a previous year to attract.
(3) as far as cost based basically or the height on a peculiarity of the fiscal year, the cost test refers to, they are not considered in determining the level of output. § 3 paragraph 1 sentence 4 second half-sentence of gas network fee regulation and article 3, paragraph 1, sentence 5 second half-sentence of grid fee regulation do not apply.

§ Calculated by applying the regulatory formula in Appendix 1 7 regulatory formula determining the revenue cap for the network operator.

§ 8 General monetary development the value for the General money value development stems from the overall index of consumer prices published by the Federal Statistical Office. The overall consumer price index of the penultimate calendar year is used for the determination of the revenue cap, pursuant to § 4 para 1 before the year to which the revenue cap applies. This is used in the ratio to the total consumer price index for the base year.

§ 9 General sectoral productivity factor (1) the general sectoral productivity factor is determined from the deviation of the network economic productivity of economy-wide productivity and overall economic cost development of network economy of cost.
(2) in the first regulatory period, the general sectoral productivity factor for gas and electricity network operators an annual 1.25 percent is 1.5 percent annually in the second regulatory period.
(3) the Federal Network Agency has the general sectoral productivity factor from the third regulation period before the adjustment period for the entire period of the regulation according to the methods that match the State of science to determine. The investigation has to be carried out throughout the country for a period of at least four years, incorporating the data of network operators from. Each of the Federal Network Agency can determine a value for power supply systems and gas supply networks.
(4) the national regulatory authorities can apply in determining the revenue cap the overall sectoral productivity factor determined by the Federal Network Agency pursuant to paragraph 3.
(5) the inclusion of the general sectoral productivity factor in the revenue cap is done by exponentiation of values to paragraphs 2 and 3 with the respective year of the regulatory period.

§ 10 expansion factor (1) changes during the regulatory period the supply task of the system operator sustained, this will be taken into account in determining the revenue cap by a coverage factor. The expansion factor is determined according to the formula in Appendix 2 (2) the supply task shall be governed by the covered area and the requirements determined by the network clients on the supply of electricity and gas, which have a direct impact on the design of the network. There is a sustainable change of the supply task within the meaning of paragraph 1 sentence 1, if one or more of the parameters 1 supplied area, 2. the number of connectivity points in power supply networks and the exit points in gas distribution networks, 3 year maximum load or 4 other by the regulator after § 32 para 1 No. 3 set parameter permanently and significantly changed at the time of application. Of a change in substantial pursuant to sentence 2 is usually to, if this increases the total cost of the system operator after deduction of the permanently beyond cost shares by at least 0.5 percent.
(3) the parameters referred to in paragraph 2 sentence 2 No. 4 serve in particular take account of the various development and degree of connection of gas distribution networks. You must be sentence 2 No. 1 to 3 similar with respect to their significance to those referred to in paragraph 2. Their choice is to apply section 13 paragraph 3 according to.
(4) paragraphs 1 to 3 shall not apply to operators of transmission and transmission networks, as well as high-voltage networks of operators of distribution networks. When determining the total cost of the system operator referred to in paragraph 2 sentence 3 remain the cost of the high-voltage grid account.

§ 11 impressionable and non-influenceable costs shares (1) as non-influenceable costs shares permanently do not apply influenceable costs and temporarily non-influenceable costs portions.
(2) permanently non-influenceable costs shares are cost or proceeds from 1 legal acceptance and payment obligations, 2nd concession fees, 3. operating taxes, 4. required use vorgelagerter power levels, 5. retrofitting of inverters according to § 10 paragraph 1 of the system stability regulation and approved the retrofitting of facilities for the generation of electricity from renewable energy sources and cogeneration in accordance with § 22 of the system stability regulation, 6 measures according to article 23, as far as the approval according to carried out the content, as well as are cost effective in the regulation period and approval not repealed is 6a.
the resolution of the deduction amount according to § 23 no. 3 and sentence 3 of the energy law, as far as them not according to paragraph 6 are considered paragraph 2a, 7 additional costs for the construction, operation and modification of underground cables according to § 43 set 1 and as far as the efficient network operation costs, 8 of avoided network charges within the meaning of § 18 of grid fee regulation, article 57, paragraph 3 of the renewable energies Act and section 4, paragraph 3, of the power heat coupling law , 8a.
the extended balance compensation pursuant to § 35 of the gas network access regulation by September 3, 2010 (BGBl. I S. 1261) in the currently valid version, minus the of the feeder of biogas to be paid lump-sum - required measures of the system operator in accordance with § 33 paragraph 10, section 34, subsection 2 and section 36, paragraph 3 and 4 of the gas network access regulation, - the cost for the efficient power supply and maintenance in accordance with article 33, paragraph 1, of the gas network access regulation , - Charges avoided network costs, by the system operator in accordance with article 20a of the gas network charges order of 25 July 2005 (Federal Law Gazette I p. 2197), most recently by article 5 of the Decree of September 3, 2010 (BGBl. I S. 1261) is has been modified, amended, on the transport customers to pay of biogas are in height, in the costs, taking into account the assessment remain according to § 20 b of the gas network fee regulation, the operator.
8B. payments to cities or municipalities pursuant to section 5, paragraph 4, of power fee regulation, 9 operational and collective bargaining agreements on wage supplement and supply services, as far as these in time before December 31, 2008 have been completed, 10 the operation carried out in the legal framework and staff Council activities, 11 vocational training and further training within the company and by operating daycare for children of employees engaged in the network area , 12 lump-sum investment surcharges in accordance with the § 25, 12a.
Research and development in accordance with the § 25a, 13 of the resolution of network connection charges and construction grants according to § 9 para 1 sentence 1 No. 3 and 4 in conjunction with sentence 2 of grid fee regulation and § 9 para 1 sentence 1 No. 3 and 4 in conjunction with sentence 2 of the gas network fee regulation, 14 the nationwide equalisation mechanism according to § 2 para 4 of the power line expansion law of August 21, 2009 (BGBl. I S. 2870) in the currently valid version , 15 financial compensation according to § 17 d, paragraph 7 of the energy industry Act.
Also such costs or revenues, arising from measures of the operator that an effective procedure regulation to the electricity network access regulation or regulation (EC) considered permanently non-influenceable costs share in power supply networks No. 1228/2003 of the European Parliament and of the Council of 26 June 2003 concerning access conditions to the network for cross-border exchanges in electricity (OJ EU no. L 176, p. 1), as last amended by decision No. 2006/770/EC of 9 November 2006 amending the annex of to Regulation (EC) No 1228/2003 on conditions for access to the network for cross-border exchanges in electricity (OJ EU no. L 312 p. 59), are subject to, in particular 1 compensation payments under the compensation mechanism referred to in article 3 of Regulation (EC) No. 1228/2003, 2. revenue from congestion management referred to in article 6 of Regulation (EC) No. 1228 / 2003 or according to § 15 mains access regulation, as far as this fee performance according to article 6 paragraph 6 c of Regulation (EC) No 1228/2003 or § 15 para 3 sentence 1 of the electricity network access regulation claim be made , and 3. cost for the supply of energy to the provision of balancing services, including the costs of the load-side procurement.
When gas supply networks also such costs or revenues, arising from measures of the operator that an effective procedure regulation of the gas network access regulation or regulation (EC) are considered permanently non-influenceable costs no 1775/2005 of the European Parliament and of the Council of 28 September 2005 on conditions for access to the natural gas transmission networks (OJ EU no. L 289, p. 1) are subject to. Effective proceedings regulation within the meaning of the sentences 2 and 3 exists as far as a comprehensive regulation of the concerned area is carried out by executable decisions of regulatory authorities or voluntary commitments of the network operators, the regulator has set this no. 4 according to § 32 para 1 and it is not volatile shares of the cost according to § 11 paragraph 5.
(3) the total costs multiplied by the adjusted efficiency value determined in accordance with § 15 are considered temporarily non-influenceable costs share after deduction of the permanently beyond cost shares. These include the shares of the cost based on not attributable structural differences in the coverage areas.
(4) all shares of the cost which are not permanently or temporarily non-influenceable costs shares are considered impressionable cost shares.
(5) costs are considered volatile shares of the cost for the procurement of driving energy. Other impressionable or temporarily non-influenceable costs shares, in particular costs for procurement of energy loss, the amount of which is can be quite different in a calendar year by the amount of the respective share of costs in the previous calendar year, are considered volatile shares of the cost, as far as the regulatory authority number 4a has set this according to § 32 para 1. Cost of capital or borrowing costs are not considered volatile shares of the cost.

§ 12 efficiency comparison (1) which leads Federal Network Agency before commencement of the regulatory period with the methods listed in Appendix 3, taking into account the guidelines referred to in annex 3, and in accordance with paragraphs 2 to 4 and of sections 13 and 14 respectively a nationwide comparison of efficiency for operators of electricity distribution networks and gas distribution networks with the aim of by, to determine the efficiency values for these operators. When determining the methods listed in annex 3 by the Federal Network Agency, representatives of the economic stakeholders and consumers are just in time to hear. Subsequent changes in the base level determined in accordance with § 6, arise on the basis of final judicial decisions the efficiency comparison of these subsequent changes remains unaffected.
(2) the efficiency value is as percentage of the total cost after deduction of the permanently beyond cost shares in percent.
(3) that differ efficiency compared with the methods approved in accordance annex 3 calculated efficiency of a system operator, is the higher efficiency value to use.
(4) has shown the efficiency comparison for a network operator an efficiency value of less than 60 percent efficiency with 60 percent is so to apply. Sentence 1 shall apply even if could be determined for individual network operators no efficiency values because they have not fulfilled their duties to cooperate to the communication of data.
(4a) in addition efficiency comparisons are performed, where the cost parameter is substituted according to § 13 ABS. 1 for all network operators the cost parameter, no. 3, para 2 and 3 determined without taking into account the comparability statements pursuant to § 14 para 1. You determined pursuant to § 13 para 3 and 4 comparison parameters remain unchanged. So determined efficiency non-efficiency value is determined by which, according to paragraph 1, the higher efficiency value to use is for each relevant network operators.
(5) the Federal Network Agency delivered efficiency values obtained from you according to the paragraphs 1 to 3 for the network operators according to § 54 para 2 of the energy industry act within the competence of the respective authorities covered the country regulatory authorities until July 1 of the calendar year prior to the regulation period. The communication has the output data according to sections 13 and 14, to contain the individual processing steps and the results of the methods permitted according to Appendix 3. As far as efficiency values from the nationwide efficiency comparison could be determined for individual operators, the Federal Network Agency tells founded this country regulators.
(6) the national regulatory authorities perform the paragraphs 1 to 3 for determining efficiency values comparing efficiency to, unless they use the results of the efficiency comparison of the Federal Network Agency. To ensure the resilience of the results of the efficiency comparison network operators, which do not fall within its competence according to § 54 para 2 of the energy industry Act, are to be included in the efficiency comparison.

§ 13 parameters for comparing efficiency (1) the regulatory authority has to take into account the efficiency comparison cost parameters and benchmarks.
(2) as a cost parameter you are to be determined costs according to § 14.
(3) comparison parameters are parameters for determining the supply task and the area properties, especially the geographical, geological and topographical characteristics and structural characteristics of the supply task due to demographic change of the covered area. The parameters must be suitable to support the load of the efficiency comparison. This is particularly Assumable if they are measurable or quantity can be grasped, not through decisions the operator determinable and not in its effect fully or partially repeating, especially not already mapped by other parameters. Comparison parameters can in particular be the number of connectivity points in power supply networks and the exit points in gas networks, 2. 1 area of powered, 3. the cable length, 4 year work, 5. the simultaneous year maximum load or 6 decentralized production lines in power distribution networks, in particular the number and performance of equipment for the production of electricity from wind and solar energy.
Determination of parameters to describe geographical, geological and topographical characteristics and structural characteristics of the supply task due to demographic change of the covered area, area-related average values can be made. The benchmarks can be used based on the different levels of power by electricity and gas supply networks; a comparison of individual power levels does not take place. The choice of comparison parameters has to be analytical or statistical methods, which correspond to the State of the science with qualitative. Structural comparability should be ensured as far as possible by selecting the comparison parameter. Here are the differences between electricity and gas supply networks to take into account, in particular the different development and connection rate of gas distribution networks. In selecting the benchmarks, industry stakeholders and consumer representatives are just in time to hear.
(4) in the first and second periods of regulation, the regulator has the comparison parameter 1 number of connection points in power supply networks and the exit points in gas distribution networks, 2. the area covered, 2a.
Cable length (System) and 3 simultaneous year maximum load to use. In addition, other parameters can be used in accordance with paragraph 3.

§ 14 determination of the costs for the implementation of the efficiency comparison (1) which are part of the efficiency comparison as a cost parameter to be cost determined according following criteria: 1. the total cost of the system operator are determined in accordance with the cost test to be applied for determining the level of output according to § 6.
2. of the total cost of the respondent you are according to § 11 par. 2 permanently beyond cost share to pull off.
3. the cost of capital for the implementation of the efficiency comparison should occur are determined that their comparability is ensured as far as possible and distortions are considered by different age structure of plants, in particular, depreciation and activation practices; a comparable Bill to determine the capital cost annuities in accordance with paragraph 2 is complete; While the capital costs include the cost items 5 paragraph 2 as well as the articles 6 and 7 of the gas network fee regulation according to § 5 para 2 as well as the articles 6 and 7 of the power supply fee regulation and section.
(2) that paragraph 1 is based on the day neuwerte of the fixed assets of the operator comparability statement according to no. 3. For the identification of single use durations for each plant group are the lower values of normal economic life in Appendix 1 of the gas network fee regulation and annex 1 of the mains charging regulation to use. The interest rate to be used is determined as the weighted average of equity interest of capital and borrowing interest rate, with weight of equity capital rate at 40 percent and the borrowing interest rate at 60 percent. Of the 60 percent of the borrowing interest rate 25 percentage points accounted for non-interest bearing liabilities. There are the according to § 7 paragraph 6 for new installations of gas network fee regulation and § 7 paragraph 6 of the mains charging regulation equity interest rate capital to use. For interest-bearing debt interest depends on the average of the yield of fixed-interest securities of domestic issuers published by the German Federal Bank related to the last ten completed calendar years. The equity capital rate and the borrowing interest rate are to reduce the average of rate of price change related to the last ten completed calendar years for the overall index of consumer prices published by the Federal Statistical Office.

§ 15 discovery of inefficiencies
(1) a network operator can prove that there are peculiarities of its supply mission in the sense of the existence of exceptional circumstances of structural, efficiency compared with the selection of parameters in accordance with article 13, paragraph 3 and 4 were not sufficiently taken into account and are not influenced by the network operators, and which according to § 14 para 1 Nos. 1 and 2 found this increases costs by at least 5 percent, so the regulator has an impact on the efficiency value determined in accordance with sections 12 to 14 or 22 (adjusted value of efficiency). Is the efficiency value applied to section 12 paragraph 4 have been, has the network operators to provide the necessary evidence that the specifics of its supply mission justify an additional fee pursuant to sentence 1.
(2) the national regulatory authorities may lay efficiency values determined based to determine of the adjusted efficiency values referred to in paragraph 1 by the Federal Network Agency nationwide efficiency compared according to paragraphs 12 to 14.
(3) the efficiency determined in accordance with sections 12 to 14, 22 or 24 or the adjusted value of efficiency the inefficiencies are determined. The inefficiencies resulting from the difference between the total cost after deduction of the permanently beyond cost shares and the total costs multiplied by the efficiency value referred to in sentence 1 after deducting the costs of permanently not impressionable.

§ 16 efficiency targets (1) the revenue ceiling by the regulatory authority has to be made that the mathematically evenly degrade identified inefficiencies using a distribution factor according to sections 12 to 15 within one or more control periods (individual efficiency specification). For the first adjustment period, the individual efficiency target is determined so that the removal of the identified inefficiencies is complete after two periods of regulation. For the subsequent regulatory periods, the individual efficiency target is so determined that the removal of the identified inefficiencies is completed at the end of the regulation period.
(2) If an operator can prove that it can, using all possible and reasonable measures do not reach him the individual efficiency target set for him and surpass, the regulatory authority notwithstanding the efficiency target has to determine by paragraph 1. In assessing the reasonableness is to be considered to what extent the efficiency value is set to section 12 paragraph 4. Measures which cause that the essential working conditions that are common in the area regulated pursuant to the Energy Act, are significantly below are unacceptable. Structural specificities be taken into account is solely in accordance with article 15 paragraph 1 section 3 determination of net fees § 17 network charges (1) which are fixed revenue cap according to § 32 para 1 No. 1 in fees for access to the power grids implemented. This is done according to the rules of part 2 section 2 and 3 of the gas network fee regulation and the part 2 section 2 and 3 of the electricity fee regulation. §§ 16, 27 and 28 of the gas network fee regulation as well as §§ 20, 27 and 28 of the mains charging Regulation shall apply mutatis mutandis. without prejudice to article 30 of the gas network fee regulation and § 30 of grid fee regulation.
(2) the operator is obliged the network charges to adjust in an adjustment of the revenue cap after § 4 par. 3 and 5, as far as referred to in paragraph 1 a reduction of net fees results in. In addition, he is entitled to adapt the network charges in the case of an adaptation of the revenue cap after § 4 para 3 to 5.
(3) the adaptation of the network charges referred to in paragraph 2 is carried out at 1 January of the calendar year. Upstream network operators have in good time before the date pursuant to sentence 1 to tell the amount of planned adaptation of the network charges downstream operators.
Section 4 specifications § 18 quality requirements quality requirements are securing a long-term, high-performance and reliable operation of power grids. To do this, serve quality elements according to the articles 19 and 20 and the reporting obligations according to § 21.

§ Can be made- or discounts 19 quality element in the regulatory formula (1) on the revenue cap, if network operators with respect to the reliability of the network or the network performance of code requirements (quality element). The code requirements are finding throughout the country in accordance with section 20, using the data of network operators from and to implement and discounts. This is to distinguish between gas distribution networks and electricity distribution networks.
(2) the regulatory authority shall decide on the date of application of the quality element, which has to be done in power supply networks for the second regulation period. He is already to the or during the first regulatory period be made unless sufficient reliable data series of the regulatory authority. Notwithstanding sentence 1 is the date of application of the quality element in gas distribution networks to the or during the second regulatory period be made unless sufficient reliable data series of the regulatory authority.
(3) the reliability of the network describes the ability of the energy supply, if possible without interruption and in compliance with the product quality to transport energy. The network performance describes the ability of the energy supply to meet the demand for power transmission.

Section 20 determination of the quality elements (1) are acceptable metrics for assessing the reliability of power supply according to § 19 in particular the duration of the interruption of energy supplies, the frequency of interruption of the energy supply, the amount of non-delivered energy and the amount of non-covered load. A combination and weighting of these figures is possible. For the selected key figures, key figure values of individual operators must be determined.
(2) of the key figure values referred to in paragraph 1 are code requirements as to determine weighted average values. In determining the code requirements, area structural differences are taken into account. This can be done by grouping.
(3) for the weighting of indicators or the key figure values as well as the evaluation of deviations in money to determine of the surcharges and discounts on the proceeds according to § 19 para 1 (pricing) can be used in particular the willingness of customers to pay lower or higher fees, for a change of power supply reliability as a benchmark, analytical methods, in particular analytic cost models, which must correspond to the State of the science , or using a combination of both methods.
(4) the national regulatory authorities can the code requirements identified by the Federal Network Agency, use combination, weighting, or pricing determination of quality elements.
(5) for the evaluation of network performance metrics can be used. This is true only as far as sufficient reliable data series are available for this purpose, the regulatory authority. Key figures may be the renewable energies Act in particular the frequency and duration of measures for management of shortages and the frequency and duration of a supply management pursuant to sentence 1. Paragraphs 1 to 4 apply corresponding with similar surveys according to paragraph 3 not to customers but to network users, the energy feed, is in this case. The Federal Network Agency will make an evaluation according to section 33, paragraph 3, sentence 2, to what extent the use of indicators pursuant to sentences 1 and 3 serves the purposes referred to in paragraph 1 of the energy industry Act.

§ 21 committed report investment behavior that are network operators, to prepare a report on their investment behavior to request the regulatory body and to submit to the regulatory authority. The report in particular serves to determine whether the incentive regulation with regard to the purposes referred to in section 1 of the energy industry Act has no adverse effect on the investment behavior of the operators. The report must arise, to what extent the annual investment of operators in proportion to age and condition its investments, are their annual depreciation and the quality of their care. The regulatory authority may require additions and explanations of the report.
Part 3 special rules for the incentive regulation section 1 special regulations for the efficiency comparison operators of transmission and transmission networks section 22
(1) a comparison of efficiency with the involvement of operators in other Member States of the European Union (comparative efficiency) is making in the case of operators of transmission networks prior to commencement of the regulatory period for determining the efficiency values. The international comparison of efficiency is carried out using the methods set out in annex 3. Not a sufficient number of operators available, data are available for a stochastic analysis of the efficiency limits only the data incase analysis applies. The structural comparability of companies consulted for comparison to ensure, in particular by taking into account national differences such as different technical and legal specifications or of differences in the level of wages is in the implementation of the international comparison of efficiency. Set of 2, 3, 7 and 9 find § 12 para 2 to 4, and article 13, paragraph 1 and 3 apply accordingly.
(2) the capacity of the international efficiency comparison is referred to in paragraph 1 for single or all operators of transmission networks cannot be guaranteed, a relative reference network analysis is instead for the network operator concerned or the making which corresponds to the State of the science. The relative reference network analysis can perform also in addition to the international comparison of efficiency, to improve the capacity of the results. The reference network analysis is an optimization procedure to identify exemplary network structures and investment amounts of scaffoldings, which exhibit an optimal ratio under the existing conditions, in particular the need for a technically secure network operation costs and net economic benefits (reference network). In the relative reference network analysis, relative deviation of the corresponding to the actual amounts of investment costs of the a reference network be determined by a comparison of several network operators. The network operator with the slightest deviations from the reference network forms the efficiency benchmark for the determination of the efficiency values; the efficiency value of this operator is 100 percent.
(3) in the case of operators of transmission networks, the efficiency values by means of a national comparison of efficiency with the methods referred to in annex 3 are determined. Not a sufficient number of operators available, data are available for a stochastic analysis of the efficiency limits only the data incase analysis applies. § 12 para 2 to 4, article 13, paragraph 1 and 3 and § 14 find according to application. Not a sufficient number of operators available, data is available for the implementation of a national efficiency comparison pursuant to sentence 1 a comparative efficiency is instead referred to in paragraph 1.
(4) the resilience of the international comparison of efficiency pursuant to paragraph 3 set 4 for individual or all operators of transmission networks cannot be guaranteed, a relative reference network analysis is instead for the concerned network operators referred to in paragraph 2 perform. The relative reference network analysis can perform also in addition set of 4 international efficiency comparison pursuant to paragraph 3, to improve the capacity of the results.

Article 23 investment measures (1) the Federal Network Agency approves investment measures for investments in expansion and restructuring in the transmission and transmission networks, insofar as these investments to the stability of the overall system for integration in the national or international network or for a demand-oriented expansion of the energy supply pursuant to section 11 of the energy industry Act are necessary. This includes in particular investments, which provided network expansion, which serve the connection of power generating facilities according to § 17 para 1 of the energy industry Act, are for 1st 2. the integration of plants under covered the renewable energies Act and the power-heat-coupling law, 3. the increasing interconnection capacities for article 16 paragraph 6 point (b) of Regulation (EC) no 714 / 2009 (OJ L 211 of the 14.8.2009, p. 15), 4. the expansion of gas transport capacity between market areas, permanently technically-related bottlenecks exist and these by other, economically reasonable measures eliminated 5 lines to the grid connection of wind turbines at sea according to § 17 d can be paragraph 1 and section 43, sentence 1 No. 3 of the energy industry Act, 6 extension investments to the construction of high-voltage lines on new lines with a nominal voltage of 110 kilovolts as underground cable , as far as the total cost of construction and operation of underground the total cost of the technically comparable overhead line do not exceed a factor of 2.75 and still no planning - or plan approval process was initiated for the establishment of an overhead power line, as well as underground cables according to § 43 set 3 energy law and section 2, paragraph 1, of the energy line expansion law, 7 basic, associated with significant cost restructuring measures that are required to implement the technical standards to ensure of the technical safety of the network , which will be required on the basis of an administrative arrangement according to § 49 para 5 of the energy industry act or whose necessity is confirmed by the competent national law 8 the use of wire rope Temperaturmonitorings and high temperature wire ropes or 9 high-voltage direct current transmission systems to the power transmission capacity and new cross-border high voltage direct current interconnectors as pilot projects that are required within the framework of development planning to ensure efficient operation of the network.
As the cost of approved investment measure operating and capital costs can be claimed. As operating costs per year flat rate 0.8 percent of the acquisition attachable to the investment measure and manufacturing costs can be claimed, as far as the Federal Network Agency in accordance with article 32, paragraph 1 set otherwise number 8a for certain assets.
(2) no 714 / 2009 revenue from congestion management referred to in article 16 of Regulation (EC) or according to § 15 of mains access regulation, insofar as these measures to eliminate bottlenecks referred to in article 16 paragraph 6 point (b) of Regulation (EC) No. 714 / 2009 or § 15 para 3 sentence 1 of the power grid access regulations are used, are to bring the cost resulting from approved investments in print. Sentence 1 shall apply accordingly for revenue from congestion management referred to in article 16 of Regulation (EC) no 715 / 2009 (OJ L 211 of the 14.8.2009, p. 36) or section 17, paragraph 4, of the gas network access regulation, where these measures for the Elimination of bottlenecks referred to in article 16 of Regulation (EC) no 715 / 2009 (OJ L 211 of the 14.8.2009, p. 36) or section 17, paragraph 4, of the gas network access regulation are used.
(2a) that are incurred operating and capital costs, number 2 in the framework of the approved investment action as well as in the revenue cap in accordance with article 4, paragraph 1, the following regulatory period are taken into account on the basis of the regulation according to § 4 paragraph 3 sentence 1, in the last three years of the approval period of the investment measure as to take into account deductions. The operating and capital costs pursuant to sentence 1 are up to interest up to the end of the approval period. § 5 paragraph 2 sentence 3 shall apply accordingly for the interest rate. The resolution of the deduction amount determined in accordance with the sentences 1 to 3 takes place evenly over 20 years, starting with the year after expiry of the approval of the investment action.
(3) the request for approval of investment measures is at the latest nine months before the beginning of the calendar year in which the investment to be first fully or partially cost effective, to make to the Federal Network Agency. The application must contain an analysis of the investment needs determined in accordance with paragraph 1. It should be constructed in particular on the basis of information of the transmission system operators in the power condition and power expansion report according to section 12 paragraph 3a of the energy industry Act; When transmission system operators, the application shall contain appropriate information. The application has information to include when, how much and for how long the investment be made and should be cost effective. Period of cost effectiveness must this focus on the useful lives of the respective investment group. The normal economic life of the respective investment groups arise from Appendix 1 of the gas network fee regulation and annex 1 of grid fee regulation. The application can be made for multiple regulatory periods. The information must put a competent third party in the location in the application without more information check the existence of the permit requirements and make a decision.
(4) reference network analysis to be applied when assessing the conditions laid down in paragraph 1 to article 22, paragraph 2, sentence 3, which correspond to the State of the science; the creation of reference networks is carried out on the basis of the existing networks.
(5) the approval is to be provided with a revocation reserved for the case that the investment is not the approval according to. She can be fitted with other minor provisions. In particular, financial incentives can be created by incidental provisions, to be less than the cost of the approved investment action.
(6) investment measures are approved by the regulatory authority for such investments in expansion and restructuring can operators of distribution networks, the integration of systems to the renewable energies Act or the power-heat-coupling law, the implementation of measures within the meaning of paragraph 1 sentence 2 No. 6-8, as well as for network expansion, which serve the connection of power generating facilities according to § 17 para 1 of the energy industry Act, are necessary and not by the coverage factor according to § 10 are taken into account. Investment measures are to approve, that are associated with considerable costs only for such measures pursuant to sentence 1. Costs pursuant to sentence 2 can usually assumed if the investment measures of an operator pursuant to sentence 1 or paragraph 7 whose total cost increase after deducting the permanently beyond shares of the cost by at least 0.5 percent. Paragraph 1 sentence shall apply 3 and 4, as well as the paragraphs 2a to 5.
(7) investment measures can be approved by the regulatory authority for investments in expansion and restructuring in the high voltage level operators of distribution networks, insofar as these investments to the stability of the overall system for integration in the national or international network or for a demand-oriented expansion of the energy supply pursuant to section 11 of the energy industry Act are necessary. Paragraph 1 to apply set 3 and 4 as well as the paragraphs 2a to 5 according to.
Section 2 special provisions for small operators article 24 simplified procedure (1) operator in its gas distribution system of less than 15,000 customers or on its electricity distribution system, less than 30,000 customers are directly or indirectly connected, can with regard to the respective network instead of the efficiency comparison for determining efficiency values according to the sections 12 to 14 who choose to participate in the simplified procedure laid down in paragraph 2.
(2) for the participants in the simplified procedure, the efficiency value is 87.5 percent in the first regulatory period. As of the second regulatory period the efficiency value as a weighted average value of all nationwide efficiency comparison is made determined and adjusted according to § 15 para 1 efficiency values (averaged efficiency value) the sections 12 to 14 for the previous regulatory period. Under the simplified procedure apply 45 percent the according to § 14 para 1 No. 1 determined total cost as a permanently non-influenceable costs shares according to § 11 para. 2. In determining the total cost of the registration charge and surcharge from the power-heat-coupling law shall be disregarded. The Federal Network Agency transmitted values obtained from you pursuant to sentence 2 country regulators. The national regulatory authorities determine an averaged efficiency value according to the sentence of 2 insofar as they use the values calculated by the Federal Network Agency.
(3) section 4 paragraph 3 sentence 1 No. 2 with the exception of section 4 paragraph 3 sentence 1 No. 2 in connection with article 11, paragraph 2, sentence 1 No. 4, 5 and 8, article 15, paragraph 1 and 2 as well as the sections 19, 21, 23 paragraph 6 and section 25, see the simplified procedure have application.
(4) network operators who want to participate in the simplified procedure, have the regulatory authority calendar year up to the preceding June 30, the penultimate of the regulatory period to request it; the application for the first regulatory period to December 15, 2007 is exception from this rule. The application must contain the necessary information on the existence of conditions of paragraph 1 pursuant to sentence 1. The regulatory authority approved the participation of the simplified procedure of four weeks after receipt of the complete application, if the requirements of paragraph 1 are. The network operator is bound to the selected procedure for one regulatory period. The regulatory authority publishes the averaged efficiency value of it referred to in paragraph 2 at the latest on 1 January of the penultimate of the regulatory period of preceding calendar year. The Federal Network Agency must be informed about the decision on the application by the national regulatory authority.
Section 3 of lump-sum investment contract, research and development costs § 25 flat-rate investment contract (1) the revenue cap is before the adjustment period in determining pursuant to § 32 para 1 No. 1 at the request of the system operator a lump-sum investment supplement according to include with the provisions of paragraphs 2 to 5.
(2) the flat-rate investment contract may 1% per calendar year which according to § 14 para 1 No. 3 in conjunction with § 2 specific capital costs do not exceed.
(3) the cost of capital from the investment actually made the operator under section 28 were no. 7 second half-sentence, under application of § 14 para 1 No. 3 in connection with paragraph 2, regulation during a respective calendar year under the value referred to in paragraph 2, shall be in the following control period the difference. § 5 para 4 sentence 2 to 4 and article 34, paragraph 2 shall apply mutatis mutandis. The cost of capital were pursuant to sentence 1 has the value referred to in paragraph 2, no bonding takes place.
(4) the request is referred to in paragraph 1 from the network operator to 31 March of the calendar year preceding the adjustment period with the regulatory authority to claim.
(5) paragraphs 1 to 4 do not apply to operators of transmission and transmission networks.

Charge to cost of research and development in the revenue cap for each calendar year is § 25a of the research and development costs (1) at the request of the system operator by the regulator to include. The incorporated supplement is 50 per cent of eligible under paragraph 2 taking into account costs of not publicly-funded portion of the total cost of the research and development project, how he turns out due to appropriate cost proof of the system operator.
(2) Berücksichtigungsfähig are only costs due to a research and development project within the framework of the State energy research funding that was approved by a competent authority of a country or federal, in particular the Federal Ministry for Economics and technology, the Federal Ministry for environment, nature conservation and nuclear safety or the Federal Ministry for education and research and is professionally managed. Costs for research and development projects, already taken into account in determining the level of output of the revenue cap according to § 6 or as part of an investment measure according to article 23, are not capable of taking into account.
(3) the request referred to in paragraph 1 is in good time before the start of the calendar year for which the expenses for the respective research and development projects in the revenue cap in approach shall be brought to make the regulatory authority. The application can be made for multiple regulatory periods. The information must put a knowledgeable third party in the location in the application without further information to check the existence of the conditions for authorisation, and to be able to make a decision.
(4) the authorisation shall be limited in time. The approval is subject to revocation for the case be provided that the costs taken into account pursuant to paragraph 1 in the revenue cap according to the requirements of the permit notification were used, in the notification about the testing of the where-used list or in the notification about the price check differ identified, actually used, research funds in its height by the or verifiable are not related to the research and development projects. The approval can be fitted with other minor provisions.
(5) after completion of the research and development project, the operator has the decision on assessment of the proof of use and, if a price check, the to the authority responsible for the technical and administrative inspection of the project issued decision of the regulatory authority to submit.
Section 4 transition networks, networking and-aufspaltungen § 26 transition networks, networking and-aufspaltungen (1) is a power supply or transmitted multiple power grids are set for that one or several revenue cap according to § 32 para 1 No. 1, completely by a carrier on a different network operators, so goes the revenue cap or go over the revenue cap as a whole on the receiving operator. Sentence 1 shall apply mutatis mutandis when mergers of several energy supply networks.
(2) the revenue cap at the request of the participating operators are newly set no. 1 in the case of a partial transfer of power distribution network on a different network operators and network divisions according to § 32 para 1. The request is to specify and establish what share of revenue attributable to the fading and the remaining power supply is. The revenue cap as a whole set for this network must not exceed the sum of both revenue shares.
Part 4 miscellaneous provisions article 27 data collection (1) the regulatory authority determined the facts necessary for the determination of the revenue cap for part 2 and 3. She collects the network operators the necessary data 1 to carry out the cost audit according to § 6, 2nd to the determination of the general sectoral productivity factor pursuant to § 9, 3. to calculate of the efficiency values according to the sections 12 to 14, 4. determination of the quality element according to § 19 and 5.
to conduct the efficiency comparisons and relative reference network analysis for operators of transmission and transmission networks pursuant to § 22;
Network operators are obliged to the information in that regard. In addition it identifies in particular the necessary facts 1 to adjust the revenue cap according to § 4 para 4, 2. on the design of the extension factor according to § 10, 3. for determining cleaned efficiency values according to § 15 and the individual efficiency specifications according to section 16, 4 to the Federal Network Agency can also section 21 and 5. for approval of investment measures pursuant to § 23 (2) requirements on the reports about which collect necessary data for evaluation of the incentive system and to create the reports referred to in article 33.

§ 28 duties of notification network operators share the regulator with 1 the adjustments to the revenue cap according to § 4 para 3 as well as the underlying the adjustments changes beyond costs shares according to section 4, paragraph 3, sentence 1 No. 2 and that the adjustments underlying these changes costs shares after § 4 paragraph 3 sentence 1 No. 3, at 1 January of the calendar year;
2. for the operation of the regulation account according to § 5 necessary data, especially after § 4 allowed and actually achieved revenues of the past calendar year to 30 June of the following calendar year, 3. the data necessary to verify the network charges according to § 17, particularly those in the report after section 28 in conjunction with § 16 para 2 of the gas network fee regulation and data contained in § 28 in conjunction with § 20 para 2 of grid fee regulation , 4. the adjustment of the network charges on the basis of the changed revenue cap according to § 17 para 2 per year to 1 January, 5. deviations from the code provisions according to the articles 19 and 20, 6. details to extent to which the investments underlying the investment measures according to section 23 shall be actually performed and cost effective, as well as the corresponding adjustment of the revenue cap according to § 4 paragraph 3 sentence 1 number 2 and to what extent the investments underlying the investment measures according to article 23 were actually performed last year and have become cost-effective , each year to January 1 of the calendar year, 7 the difference according to § 25 paragraph 3, sentence 1. also a representation comprehensible for a knowledgeable third party of the regulatory period for exploitation of the requested lump-sum investment aggregate actually were in investments and their cost effectiveness and 8 the transition of networks, networking and-aufspaltungen pursuant to section 26, in particular the transition or the addition of revenue cap according to § 26 para 1.

Article 29 transmission of data (1) the Federal Network Agency and the national regulatory authorities send each other the data necessary to perform their tasks according to the provisions of this regulation including personal data and operating and business secrets. In particular communicate State regulators of the Federal Network Agency which pursuant to § 14 para 1 No. 1 in conjunction with § 6 identified total cost for the implementation of the nationwide efficiency comparison according to § 12 until March 31 of the calendar year preceding the regulatory period. The data pursuant to sentence 2 are available in time, the Federal Network Agency conducts nationwide efficiency comparing with the existing data.
(2) the Federal Network Agency sent her after § 27 para 1 and 2 collected and the data referred to in paragraph 1 transferred her following a request from the national regulatory authorities, as far as the accomplishment of their tasks is necessary to. The Federal Network agency created a nationwide database with the data collected from you according to article 27, paragraph 1 and 2 and transmitted under paragraph 1 by the national regulatory authorities with the. The national regulatory authorities have access to this database. Access is limited to the data that are necessary for the fulfilment of the tasks of national regulatory authorities.

Article 30 missing or insufficient data as far as for the determination of the revenue cap according to § 4 paragraph 1, in particular for the application of the regulatory formula pursuant to section 7 and for the implementation of the efficiency comparison according to sections 12 to 14 necessary data before the start of the regulatory period in a timely manner exist, the data for the last year of available calendar can be used. If there are none or manifestly incorrect data, the regulatory authority can determine the missing data by estimate or a reference network analysis using the regulatory authority existing or known data. Article 12, paragraph 4, sentence 2 and § 14 para 3 sentence 4 and 5 remain unaffected.

§ 31 publication of data (1) the regulatory authority published the identified efficiency values according to sections 12 to 15 network operators involved not anonymized in their official journal and on its Internet site. It still publishes general sectoral productivity factor determined in accordance with section 9, the code requirements determined in accordance with sections 19 and 20 as well as the deviations of the operators of these guidelines and the average efficiency value determined in accordance with section 24.
(2) the Federal Network Agency publishes the efficiency values determined in accordance with section 22 not anonymized in their official journal and on its Internet site.
(3) a publication of operating and trade secrets is not.

§ 32 specifications or purposes permits the regulator (1) to the realization of efficient grid access and in section 1 para 1 of the energy industry Act can the regulatory authority decisions 1 to the revenue cap under section 4, in particular for determining the height according to § 4 para 1 and 2, to adapt after para 3 to 5 by regulations or provided for in section 29, paragraph 1, of the energy industry Act , to form and content of applications for adjustment according to paragraph 4, to 2 to design and balance of the account for regulation § 5, 3. to use other parameters for calculating the expansion factor according to § 10 para 2 sentence 2 No. 4, 4 to the areas which are subject to according to § 11 para 2 sentence 2 to 4 of an effective regulation of the procedure; the determination is made for the duration of the regulatory period, 4a.
to volatile costs shares pursuant to article 11, paragraph 5, in particular to the procedures with the incentives used the grid operator or group of operators which ensure that volatile shares of the cost-efficient amount in the revenue cap are taken into account, as well as to the conditions under which shares of the cost as volatile shares of the cost within the meaning of § 11 paragraph 5 apply, 4B. to claim of the costs according to § 10 paragraph 1 and section 22 of the system stability regulation in accordance with article 11, paragraph 2, sentence 1 number 5 , including the obligation to adjust flat rates, 5. to carry out a comparable statement according to § 14 para 1 No. 3, 6 through the beginning of the application, the detailed design and the procedure of determining the quality element according to the articles 19 and 20, 7 to formal design, content and structure of the report on the investment behavior according to § 21, 8 to investment measures according to article 23, including the formal design , Content and structure of the application, as well as to financial incentives according to § 23 paragraph 5 sentence 3, where also the summary may be required by projects, as well as to conduct, detailed design and to the procedures of the reference network analysis, 8a.
to calculate the capital resulting from approved investment measures and operating costs, as well as to one of article 23, paragraph 1, sentence 3 different height of the operating expenses for certain assets, as far as this is required, approved to structural peculiarities of investment for the investment measures can be adequately taken into account, 9 to participate in the simplified procedure under section 24 and to the extent, timing and form of the application according to § 24 para 4 , 9a.
formal design, content and structure of the application and at the time of submission of the application pursuant to section 25a paragraph 1, 10th and formal design, content and structure of the application after section 26 para 2 and 11 to scope, time and form of to be collected after the sections 27 and 28 and to be communicated data, in particular on the permitted data carriers and transmission paths.
(2) the Federal Network Agency can also provisions meet to carry out, detailed design and procedures of the efficiency comparison and relative reference network analysis for operators of transmission and transmission networks pursuant to § 22.

§ 33 evaluation and reports of the Federal Network Agency (1) that sets Federal Network Agency the Federal Ministry of Economics and technology 31 December 2014 a report with an evaluation and proposals for the further development of incentive regulation before. The report contains information for the development of the investment behaviour of system operators and to the need for further measures to avoid investment barriers. She can in particular proposals to make evaluation part 1 to use another key figures monetarily valued as the comparison methods listed in annex 3 and to their correct combination, 2. to use network reliability as overhead parameters efficiency comparison, 3. the avoidance of barriers to investment and 4 a new or further developed concept of incentive regulation.
(2) the Federal Network Agency should create the report pursuant to paragraph 1, with the participation of countries, academia, and industry stakeholders and take into account international experience with incentive regulatory systems. It gives opportunity to comment the economic circles concerned and published the received opinions on the Internet.
(3) two years before the start of the second regulatory period the Federal Network Agency shall submit a report to the need, relevance, content and scope of a technical economic unit register no. 5 according to § 32 para 1. A year before the start of the second regulatory period she shall submit a report to take account of key figures of interest for a long-term assurance of network quality in the context of the quality element according to § 20 paragraph 5, as well as indicators to take into account. She has to listen to the representatives of industry and consumers to create these reports, as well as to take into account international experiences.
(4) (dropped out) part 5 final provisions article 34 transitional arrangements (1) excess or reduced proceeds according to § 10 be gas network fee regulation or section 11 of the electricity fee regulation in the first regulatory period as costs or revenues according to § 11 para. 2. The balance of this more or less revenue is carried out according to § 10 of the gas network fee regulation and section 11 of the electricity fee regulation over the first regulatory period distributed. The interest of this more or less revenue is carried out according to § 10 of the gas network fee regulation and § 11 of mains charge regulation.
(1a) paragraph 1 24 shall apply to the simplified procedure pursuant to § accordingly.
(1B) by way of derogation from § 3 par. 2 of the first regulatory period for gas lasts four years. The system charges of the gas network operators are determined pro-rata taking into account the efficiency targets for the first adjustment period.
(2) by way of derogation from § 5 ABS. 4 the regulatory authority determined the balance of the regulation account for the first in the last year of the first regulatory period for gas three for power for the first four years of the first regulatory period.
(3) section 6 does not apply network operators who choose the participation of the simplified procedure under section 24, before the first adjustment period, insofar as the network operators in the context of the approval of the network charges have requested pursuant to section 6 para 2 no increase of power charges based on the data of the year 2006. In this case, the output levels for the determination of the revenue cap stems from the costs, which have been approved within the framework of the last approval of the network charges according to Section 23a of the energy industry Act. These are to adjust for the years 2005 and 2006 at an annual inflation factor of 1.7 per cent. Was granted the final approval on the basis of the data of the year 2005, is just an adaptation to an inflation factor in the amount of 1.7 per cent for the year 2006.
(3a) by way of derogation from article 24, paragraph 2, sentence 3 20 per cent shall apply with regard to the operators of gas distribution networks in the simplified procedure pursuant to § 14 para 1 No. 1 determined total cost as a permanently non-influenceable costs shares, as long as no cost rolling from upstream power levels is carried out.
(4) article 25 is to apply only until 31 December 2013. § 4 paragraph 3 sentence 3 shall apply only in the first regulatory period.
(5) network charges of the operators of supra-regional transmission grids, which cost must be made after an order of the Federal Network Agency within the meaning of § 3 paragraph 3 sentence 4 of the gas network fee regulation, are determined by way of incentive regulation as of 1 January 2009 only in the first regulatory period if the arrangement of the Federal Network Agency happened opposite the operator before October 1, 2007. In the case of a later arrangement, the network charges of these operators to January 1, 2010, in the way of incentive regulation, pro-rata taking into account the efficiency targets for the first regulatory period are determined. Section 23a para. 5 of the energy industry Act shall apply mutatis mutandis with the proviso that the Federal Network Agency also then provisionally may impose a fee according to the principles of cost-based fee education, when an operator not presents that data necessary for determining the revenue cap within a period set by the Federal Network Agency.
(6) in the case of a change beyond costs shares according to article 11, paragraph 2, sentence 1, number 6 in the force until March 22, 2012 version because of costs and revenues, which in the years incurred by 2010 or 2011, be adapted the revenue cap under this regulation in the version applicable up to March 22, 2012 taking into account plus a bar worth neutral balance. On investment budget, which up to § 23 paragraph 3 as amended by force until March 22, 2012 submitted June 30, 2011, in accordance with and to be cost effective in the year 2012, finds this Regulation apply accordingly amended as of March 22, 2012.
(7) on costs and revenues arising from the financial compensation according to section 17 d, paragraph 4, of the energy industry Act and arising in the year 2012, applies this regulation in the version applicable from December 28, 2012.

Appendix 1 (to § 7) (reference: Federal Law Gazette I 2011, 3035) fixing the revenue cap after the sections 4 to 16 in the first regulatory period according to the following formula: EOt = KAdnb, t + (KAvnb, 0 + (1 - VT) ·) KAb, 0) · (VPIt / VPI0 - PFt) · EFt + Qt + (VKt - VK0).
As of the second regulatory period the revenue cap determination according to the sections 4 to 16, according to the following formula: EOt = KAdnb, t + (KAvnb, 0 + (1 - VT) ·) KAb, 0) · (VPIt / VPI0 - PFt) · EFt + Qt + (VKt - VK0) + St
It is: EOt revenue ceiling of net salaries, which is used in the year of the regulatory period in accordance with section 4.
KAdnb, t-permanently not extraneous costs pursuant to article 11 paragraph 2, which 2 applies for the year t of the regulatory period, taking into account the changes to section 4, paragraph 3, sentence 1 number.
KAvnb, 0 temporarily not extraneous costs according to § 11 paragraph 3 in the base year.
VT distribution factor for reducing the inefficiencies, which shall apply in accordance with the article 16 in the year of the regulatory period.
KAb, 0 of extraneous costs pursuant to § 11 paragraph 4 in the base year. It corresponds to the inefficiencies pursuant to § 15 paragraph 3 VPIt index consumer prices overall, which shall apply in accordance with § 8 sentence 2 for the year of the regulatory period.
VPI0 by the Federal Statistical Office published total consumer price index for the base year.
PFt of general sectoral productivity factor in accordance with article 9, which reflect the changes of the general sectoral productivity factor for the year t of the regulatory period in relation to the first year of the regulatory period. In analogy to the term VPIt/VPI0 PFt is to form by multiplying each year values of a regulatory period.
EFt expansion factor in accordance with of article 10 for the year of the regulatory period.
Qt access and discounts on the revenue cap in accordance with of article 19 in the year of the regulatory period.
St is determined In the last year of a regulatory period in accordance with § 5 paragraph 4 the balance (S) of the adjustment account including interest. Because according to section 5, paragraph 4, sentence 2 the balance of the balance must be distributed evenly over the following period of adjustment to premiums or discounts has, has t is brought in the year 1/5 of the balance in the approach (St).
VKt volatile share of cost which is applicable according to § 11 paragraph 5 in the year of the regulatory period.
VK0 volatile costs according to § 11 paragraph 5 in the base year.
The base year determined in accordance with article 6, paragraph 1.

Annex 2 (according to § 10) (site: BGBl. I 2007, 2542) an expansion factor according to § 10 is determined using the following formula: for the voltage levels of medium voltage and low voltage (current) or the level of the entirety of all cable networks regardless of compression (gas) is: the transformer level high voltage/medium voltage and medium voltage/low voltage (current) or the level of the entirety of all control systems regardless of the pressure range (gas) is : This is: EFt, level i coverage factor of level i in the year of the regulatory period.
FT, i the covered area of the level i in the year of the regulatory period.
F0, i the covered area of the level i in the base year.
APt, i number of connection points in the level i in the year of the regulatory period.
AP0, i number of connection points in the level i in the base year.
Lt, i amount of load in the level i in the year of the regulatory period.
L0, i amount of load in the level i in the base year.
The expansion factor for the entire network is the weighted average across all levels of the network.

Annex 3 (to § 12) (site: Federal Law Gazette I, 2007, 2543) 1.
The methods to be used in the implementation of the efficiency comparison under section 12 are the a) incase analysis (Data Envelopment Analysis - DEA) and b) stochastic efficiency limits analysis (stochastic frontier analysis - SFA).
DEA is a non-parametric method of the optimal combination of cost and performance resulting from a linear optimization problem in the sense of this regulation. Determining a limit of efficiency from the data of all the efficiency comparison is carried out by the DEA to include company and the determination of the relative positions of the individual companies to this efficiency limit.
The SFA is a parametric method, which produces a functional connection between effort and performance in the form of a cost function. The deviations between the actual and the regression analysis estimated costs in a symmetrically distributed noise term and a positive distributed rest component be dismantled in the context of the SFA. The remaining component is an expression of inefficiency. It thus assumes leaning distribution of the residual component.
2. the efficiency boundary is formed by the transmission system operators with the best ratio between net-economic performance and effort. For network operators, which are included in the efficiency comparison as efficient an efficiency value of 100 per cent applies, all other network operators a correspondingly lower value.
3. determined the efficiency values efficiency compared with the involvement of all pressure stages or power levels. There is no determination of Teileffizienzen for the individual pressure stages or power levels.
4. performing a DEA, not falling returns to scale are to submit.
5. the regulatory authority performs analyses to identify extreme efficiency values (outliers) for the parametric method and non-parametric method, which must correspond to the State of the science. Determined outlier in the sense that they have a very high efficiency, be fixed with an efficiency value of 100 percent. Outlier in the sense that they have a very low efficiency, get the minimum efficiency value according to article 12, paragraph 4, sentence 1.
The non-parametric method a value considered to break, if he would be considered for a majority of the record efficiency scale. There are statistical tests to identify outliers. While the average efficiency of all network operators including the potential break with the average efficiency of network operators is to compare, which would result in exclusion of the potential outliers. The difference here identified is to identify with a confidence probability of at least 95 percent. The outliers identified in this way must be removed from the record. An analysis of the super efficiency values making is complementary. While those outliers in the data set must be removed, their efficiency values exceeding the upper Quartilswert by more than the 1.5 times interquartile. The interquartile is defined as the span of the Central 50% of a data set.
The parametric method a value considered to break, he influenced the location of the calculated regression line to a considerable degree. There are statistical tests, which is a numeric value for the influence to determine for the determination of significant influence. The determined value is above a methodologically appropriate critical value, then the outliers in the data set must be removed. Especially Cook's distance, DFBETAS, DFFITS, covariance ratio or robust regression are methods that can be applied.