Ordinance On The Incentive Regulation Of Energy Distribution Networks

Original Language Title: Verordnung über die Anreizregulierung der Energieversorgungsnetze

Subscribe to a Global-Regulation Premium Membership Today!

Key Benefits:

Subscribe Now for only USD$40 per month, or Get a Day Pass for only USD$9.99.

Regulation on the incentive regulation of energy supply networks (incentive regulation regulation-ARegV)

unofficial table of contents

ARegV

date of departure: 29.10.2007

Full quote:

" The incentive regulation of the 29. October 2007 (BGBl. 2529), as last amended by Article 2 of the Regulation of 9 December 2000. March 2015 (BGBl. I p. 279) "

:Last modified by Art. 2 V v. 9.3.2015 I 279

For details, see the Notes

Footnote

(+ + + + + + + text from: 6.11.2007 + + +)


for details. has been referred to as Article 1 of the V v. 29.10.2007 I 2529 issued by the Federal Government with the consent of the Federal Council. She's gem. Art. 4 of this V entered into force on 6 November 2007. unofficial table of contents

content overview

part 1General rules
§ 1Scope
§ 2Start of
2General Rules on incentive regulation section 1regulatory
§ 3Start and duration of the Regulation
2General preferences for determining the revenue limits
§ 4 ErlösoberLimits
§ 5Regulatory Account
§ 6 Determination of the output level of the revenue limit
§ 7Regulatory formula
§  8General monetary value development
§ 9Sectoral sectoral productivity factor
§ 10Expansion Factor
§ 11Impacted and not Cost shares
§ 12Efficiency Comparison
§ 13 Efficiency Comparison Parameters
§ 14Determination of the cost of performing the efficiency comparison
§ 15Determination of inefficiencies
§ 16 Efficiency
3Determination of network
§ 17 Network charges
4Quality
§ 18Quality Preferences
§ 19Quality element in the regulatory formula
§ 20Determination of the quality element
§ 21Investment behavior
3 Special provisions on the incentive regulation section 1Operator of transmission and transmission networks
§ 22Special provisions for efficiency comparison
§ 23Investment measures
2Special rules for small network operators
§ 24simplified
3Flat-rate investment surcharge, research and development costs
§ 25Flat-rate investment surcharge
§ 25aResearch and Development
4Transition of Networks,
Network Connections and Splits
§ 26 Transition from networks, networkgroups and splits
4Other provisions
§ 27 Data Collection
§ 28Contributor Duty
§ 29 Transmission of data
§ 30Missing or insufficient data
§ 31 Publication of data
§ 32Regulatory authority specifications or approvals
§ 33Evaluation and reports of the Federal Network
5Final rules
§ 34Transitional rules
Appendix 1 (to § 7)
Appendix 2 (to § 10)
Appendix 3 (to § 12)

Part 1
General Rules

Unofficial Table of Contents

§ 1 Scope

(1) This Regulation regulates the determination of the charges for access to the Energy supply networks by means of incentive regulation. Network charges shall apply from 1 January 2008. January 2009, by way of incentive regulation.(2) This Regulation shall not apply to a network operator for which no calendar annual revenue limit has yet been determined in accordance with Article 4 (1), for a transitional period until the end of the current regulatory period. The legal regulation shall remain unapplied until the end of the following regulatory period if, in the case of the next cost assessment pursuant to § 6 (1), there are still no adequate data for the base year for this network operator. Non-official table of contents

§ 2 Start of procedure

The procedure for determining revenue limits is initiated by the Office.

Part 2
Incentive Regulation General Rules

Section 1
Regulatory Periods

Non-official table of contents

§ 3 Start and duration of regulatory periods

(1) The first regulatory period starts on 1 January 2014. January 2009. The following regulatory periods start at 1. 1 January of the calendar year following the last calendar year of the previous regulatory period.(2) A regulatory period takes five years.

Section 2
General guidelines for determining the revenue limits

unofficial table of contents

§ 4 revenue limits

(1) The limits of the total allowable revenue of a network operator from the network charges (earnings limit) shall be determined in accordance with § § 5 bis 16, 19, 22, 24 and 25.(2) The revenue ceiling shall be determined for each calendar year of the entire regulatory period. Adjustment of the revenue ceiling during the current regulatory period shall be carried out in accordance with the provisions of paragraphs 3 to 5.(3) An adjustment of the revenue limit shall take place in each case to the 1. January of a calendar year in the case of a change
1.
of the consumer price index by § 8,
2.
from non-influenceable cost components in accordance with § 11 (2), first sentence, points 1 to 11, 12a to 15, sentences 2 and 3; to be sent to the respective one in the previous Costs incurred in the calendar year; in the case of cost benefits in accordance with Article 11 (2), first sentence, points 4 to 6, 8 and 15, the calendar year on which the revenue limit shall be applied
3.
from volatile cost components in accordance with § 11 paragraph 5; to the calendar year on which the revenue limit is to be applied.
The revenue limit does not need to be raised in these cases. Sentence 1 shall not apply in the first year of the relevant regulatory period.(4) At the request of the network operator
1.
an adjustment of the revenue limit shall be made in accordance with § 10;
2.
may be an adjustment of the revenue limit if, due to the occurrence of an unpredictable event, in the event of the maintenance of the revenue limit, a
thefor an adjustment in accordance with the first sentence of the first subparagraph may be granted once a year to the 30. The adjustment shall be made in June of the calendar year; the adjustment shall take place at 1. January of the following calendar year.(5) In the event of a determination of the quality element in accordance with § 19, the regulatory authority shall, on its own initiative, adjust the revenue ceiling accordingly. The adjustment referred to in the first sentence shall take place at most once a year to 1. January of the following calendar year. Non-official table of contents

§ 5 Regulatory account

(1) The difference between the revenues permitted under § 4 and the difference between the system operator and the network operator under Taking into account the actual quantity development recoverable revenue is accounted for annually in a regulatory account. The same shall apply to the difference between the actual costs incurred for the calendar year pursuant to Article 11 (2), first sentence, points 4 to 6, 8 and 15, and the costs incurred in the relevant calendar year in accordance with Article 11 (5), insofar as this is carried out in a In accordance with Article 32 (1) (4a), the provisions contained in the revenue ceiling shall be laid down. In addition, the difference between the cost of the measurement point operation or the measurement and the approaches in the revenue limit for the calendar year in the case of efficient service provision will also be included in the A regulatory account shall be included in so far as this difference is due to changes in the number of terminal users in which the operation of the measurement site or measurement is carried out by the network operator, or by measures in accordance with Article 21b (3a) and (3b) of the Energy Economics Act as well as pursuant to Section 18b of the Electricity Network Access Regulation and § 44 of the Gas Network Access Regulation is caused. The regulatory account shall be managed by the regulatory authority.(2) The differences referred to in paragraph 1 shall be galvanissed in the amount of the average amount committed during the calendar year concerned. The average amount is based on the average of the year-end and end-of-year balance. The rate of return in accordance with the first sentence shall be based on the average return on fixed-yield securities of domestic issuers published by the Deutsche Bundesbank on the last ten completed calendar years.(3) In excess of the revenues actually achieved by more than 5 percent according to § 4 of the last completed calendar year, the network operator shall be obliged to adapt its network charges in accordance with § 17. If the revenues actually achieved remain by more than 5 percent after the release of the last completed calendar year according to § 4, the network operator shall be entitled to adjust its network charges in accordance with § 17.(4) The regulatory authority shall determine the balance of the regulatory account in the last year of the regulatory period for the preceding five calendar years. The balance of the balance in the regulatory account shall be effected by means of an increase or discount evenly distributed over the following regulatory period. The surcharges shall be galvanissed in accordance with the third sentence of paragraph 2. An adjustment of the revenue limits within the regulatory period on the basis of the change in the annual differences referred to in paragraph 1 shall not take place. Non-official table of contents

§ 6 Determination of the exit level of the revenue limit

(1) The regulatory authority determines the initial level for the Determination of the revenue limits by means of a cost assessment in accordance with the provisions of Part 2, Section 1, of the Gas Network Regulation and of Part 2, Section 1 of the Electricity Network Regulation. § § 28 to 30 of the gas network regulation as well as the § § 28 to 30 of the Electricity Network Regulation apply accordingly. The cost assessment shall be carried out in the penultimate calendar year prior to the start of the regulatory period on the basis of the data of the last financial year completed. The calendar year in which the financial year underlying the cost audit shall end shall be considered as the base year within the meaning of this Regulation. The base year for the first regulatory period shall be 2006.(2) The initial level for the first regulatory period is the result of the cost assessment of the last approval of the network charges in accordance with Section 23a of the Energy Economic Act before the start of the incentive regulation, which is based on the data base of the financial year 2006 or an earlier financial year.(3) Insofar as costs are based on a specific nature of the financial year to which the cost assessment relates, the cost is not taken into account in the determination of the level of the initial charge. § 3 (1) sentence 4, second half-sentence of the gas network charges regulation as well as § 3 paragraph 1 sentence 5 second half-sentence of the electricity network regulation no application shall be found. Non-official table of contents

§ 7 Regulatory formula

The determination of the revenue limits for the network operators shall be carried out in application of the Regulatory formula in Appendix 1. Non-official table of contents

§ 8 General monetary value development

The value for the general monetary value development is derived from the value of the The Federal Statistical Office published the overall consumer price index. For the purpose of determining the revenue ceiling in accordance with Article 4 (1), the total consumer price index of the penultimate calendar year shall be used before the year for which the revenue limit applies. This is set in proportion to the consumer price overall index for the base year. Non-official table of contents

§ 9 General sectoral productivity factor

(1) The general sectoral productivity factor is determined from the Deviation of net-economic productivity progress from overall economic productivity progress and total economic income price development from net-economic income price development.(2) In the first regulatory period, the general sectoral productivity factor for gas and electricity network operators is 1.25 per cent a year, and 1.5 per cent per year in the second regulatory period.(3) The Federal Network Agency shall have the general sectoral productivity factor as from the third regulatory period before the start of the regulatory period for the entire regulatory period, in accordance with the methods used in the state of the scientific community shall be determined. The investigation shall be carried out with the inclusion of the data of network operators from the entire Federal territory for a period of at least four years. The Federal Network Agency can each determine a value for power supply networks and for gas supply networks.(4) The national regulatory authorities may apply the general sectoral productivity factor identified by the Federal Network Agency in accordance with paragraph 3 in the determination of the revenue limits.(5) The inclusion of the general sectoral productivity factor in the revenue limits shall be effected by potentiating the values referred to in paragraphs 2 and 3 with the relevant year of the regulatory period. Non-official table of contents

§ 10 Expansion Factor

(1) Changes the power supply task of the network operator during the regulatory period. sustainable, this is taken into account when determining the revenue ceiling by means of an expansion factor. The determination of the expansion factor is carried out according to the formula in Appendix 2.(2) The supply task shall be determined on the basis of the area of the supplied area and on the supply of electricity and gas intended by the network customers, which directly affect the network design. A sustainable change in the supply task within the meaning of the first sentence of paragraph 1 shall be provided if one or more of the parameters
1.
surface of the supplied Area,
2.
Number of connection points in power supply networks and the exit points in gas supply networks,
3.
Yearly Maximum Load or
4.
Other by the Regulatory Authority pursuant to § 32 para. 1 no. 3 Parameters
have changed permanently and to a significant extent at the time of application. As a rule, a significant change in the total cost of the network operator after deduction of the permanently non-influenceable cost shares by at least 0.5 per cent shall be assumed by a change to a significant extent in accordance with the second sentence.(3) The parameters referred to in the second sentence of paragraph 2, point 4, shall be used, in particular, to take account of the different levels of connection and connection of gas supply networks. They shall be comparable with those referred to in the second sentence of paragraph 2, Nos 1 to 3, in terms of their validity. In their selection, Section 13 (3) shall apply accordingly.(4) Paragraphs 1 to 3 shall not apply to transmission and transmission system operators and to high-voltage networks of distribution system operators. The cost of the high-voltage network shall be disregarded in the determination of the total cost of the network operator referred to in the third sentence of paragraph 2. Non-official table of contents

§ 11 Influential and non-influenceable cost shares

(1) Non-influenceable cost shares shall be deemed to be permanent Non-influenceable cost shares and non-influenceable cost shares.(2) Costs or revenues from
1.
statutory costs or revenues shall be deemed to be permanently non-influenceable costs. Acceptance and Remuneration Obligations,
2.
Concession duties,
3.
Operational taxes,
4.
required utilization of pre-stored network levels,
5.
the retrofitting of inverters according to § 10 paragraph 1 of the System Stability Regulation and the retrofitting of plants for the generation of electricity from renewable energy sources and from Combined heat and power in accordance with § 22 of the System Stability Regulation,
6.
approved investment measures according to § 23, insofar as they are carried out according to the content of the approval , as well as in the regulatory period, have been cost-effective and the approval has not been repealed,
6a.
the liquidation of the deduction amount in accordance with § 23 paragraph 2a,
7.
Costs for the construction, operation and modification of underground cables according to § 43 sentence 1 no. 3 and sentence 3 of the Energy Economic Law, insofar as these do not apply after point 6, and as far as the costs are incurred in the case of efficient network operation,
8.
forged network charges within the meaning of § 18 of the Electricity Network Regulation, Section 57 (3) of the Renewable Energies Act and Section 4 (3) of the Law on Heat and Power,
8a.
the extended balance sheet compensation according to § 35 of the German Renewable Energy Act. Gas network access regulation of 3. September 2010 (BGBl. 1261), as amended, minus the flat-rate package to be paid by the feed-in of biogas,
-
required actions of the network operator in accordance with § 33 (10), § 34 (2) and § 36 (3) and 4 of the Gas Grid Access Regulation,
-
the cost of the efficient power supply, as well as for the maintenance according to § 33 paragraph 1 of the gas network access regulation,
-
Charges for avoided network costs, which are provided by the network operator in accordance with § 20a of the gas network fee regulation of 25. July 2005 (BGBl. 2197), as last amended by Article 5 of the Regulation of 3 June 2008. September 2010 (BGBl. 1261), as amended, to be paid to the transport customers of biogas,
at the level at which the costs, taking into account the transfer in accordance with § 20b of the gas network charges regulation to the network operator remaining.
8b.
Payments to cities or municipalities in accordance with § 5 (4) of the Electricity Grid Regulation,
9.
In-company and collective agreements on wage supplement and utilities, as long as they are in the period prior to the 31 December 2013.
10.
in the legal framework of operations and staff,
11.
Vocational training and continuing education in the enterprise and in company daycare centres for children of the employees working in the network,
12.
paused investment surcharges in accordance with § 25,
12a.
Research and development in accordance with Section 25a,
13.
The dissolution of network connection fees and construction grants pursuant to § 9 (1) sentence 1, no. 3 and 4 in conjunction with sentence 2 of the Current network charges regulation and § 9 para. 1 sentence 1 no. 3 and 4 in conjunction with sentence 2 of the gas network charges regulation,
14.
the nationwide compensation mechanism according to § 2 Section 4 of the Energy Management Act of 21. August 2009 (BGBl. 2870), as amended,
15.
financial compensation in accordance with § 17d (7) of the German Energy Economic Law.
In the case of electricity supply networks, cost shares shall also be subject to such costs or revenues arising from measures taken by the network operator, which shall be subject to effective procedural regulation pursuant to the Electricity Network Access Regulation or Regulation (EC) No 1228/2003 of the European Parliament and of the Council of the European Communities. of the European Parliament and of the Council of 26 On the conditions for access to the network for cross-border exchanges in electricity (OJ L 327, 30.4.2003, p. EU No 1), as last amended by Decision No 2006 /770/EC of the Commission of 9 June 2001 on the November 2006, amending the Annex to Regulation (EC) No 1228/2003 on conditions for access to the network for cross-border exchanges in electricity (OJ L 327, 22.12.2006, p. EU No 59), in particular
1.
compensation payments under the Equalisation mechanism provided for in Article 3 of Regulation (EC) No 1228/2003,
2.
Revenue from congestion management in accordance with Article 6 of Regulation (EC) No 1228/2003 or in accordance with § 15 the Electricity Network Access Regulation, to the extent that such a charging is to be made pursuant to Article 6 (6) (c) of Regulation (EC) No 1228/2003 or Article 15 (3) sentence 1 of the Electricity Network Access Regulation, and
3.
Costs for the procurement of energy to provide compensation, including the cost of the load-side procurement.
Gas supply networks are considered to be: Permanently non-influenceable costs shall also cover such costs or revenues arising from measures taken by the network operator, which shall be subject to effective procedural regulation in accordance with the gas network access regulation or Regulation (EC) No 1775/2005 of the European Parliament Parliament and the Council of 28 September 2005 on the conditions for access to the natural gas transmission networks (OJ L 327, 28.12.2005, p. EU No L 289 p. 1). Effective procedural regulation within the meaning of sentences 2 and 3 shall be provided in so far as a comprehensive regulation of the area concerned by means of enforceable decisions of the regulatory authorities or voluntary commitments by the network operators , the regulatory authority has determined this in accordance with Article 32 (1) (4) and is not a volatile component of the cost in accordance with § 11 (5).(3) As a temporarily non-influenceable cost share, the total costs multiplied by the adjusted efficiency value determined in accordance with § 15 shall apply after deduction of the permanently non-influenceable cost shares. These include the cost shares based on structural differences in supply areas which cannot be attributed.(4) All costs, which are not permanently or temporarily non-influenceable, shall be deemed to be an influenceable component of the costs.(5) As volatile cost shares, the costs of procurement of driving energy shall apply. Other non-influenceable or temporary non-influenceable cost shares, in particular the costs of the procurement of loss energy, the amount of which in a calendar year is significantly different from the level of the respective cost share in the previous A calendar year may be considered to be volatile cost shares, provided that the regulatory authority has determined this in accordance with Section 32 (1) (4a). Capital costs or borrowing costs are not considered to be volatile cost shares. Non-official table of contents

§ 12 Efficiency comparison

(1) The Federal Network Agency leads with the provisions of Appendix 3 before the start of the regulatory period. , taking into account the requirements set out in Annex 3 and in accordance with paragraphs 2 to 4 and Articles 13 and 14, a national efficiency comparison for the operators of electricity distribution networks, and Gas distribution networks with the aim of determining the efficiency values for these network operators. In the design of the methods listed in Appendix 3 by the Federal Network Agency, representatives of the business circles concerned and of consumers shall be heard in good time. If subsequent changes in the initial level determined in accordance with § 6 arise on the basis of final judicial decisions, the efficiency comparison shall remain unaffected by these subsequent changes.(2) The efficiency value shall be shown as a percentage of the total costs after deduction of the permanently non-influenceable cost shares as a percentage.(3) If the efficiency values of a network operator determined in the efficiency comparison with the methods approved in accordance with Appendix 3 differ from each other, then the higher efficiency value shall be used.(4) If the efficiency comparison for a network operator has resulted in an efficiency value of less than 60 per cent, the efficiency value shall be set at 60 per cent. The first sentence shall also apply if no efficiency values have been established for individual network operators because they have not complied with their obligation to carry out data communication.(4a) In addition, efficiency comparisons shall be carried out in which the application parameter is replaced in accordance with § 13 (1) for all network operators by the application parameter, which is without consideration of the comparability calculation in accordance with § 14 (1) (3), (2) and (3). The comparison parameters determined in accordance with Section 13 (3) and (4) remain unchanged. If the efficiency value determined in this way deviates from the efficiency value determined in accordance with paragraph 1, the higher efficiency value shall be used for the network operator under consideration.(5) The Federal Network Agency shall transmit up to 1. July of the calendar year before the beginning of the regulatory period, the national regulatory authorities shall determine the efficiency values determined by it in accordance with paragraphs 1 to 3 for the competent authority of the respective authority pursuant to Section 54 (2) of the Energy Law the network operator. The communication shall contain the initial data in accordance with § § 13 and 14, the individual calculation steps and the respective results of the methods approved in accordance with Appendix 3. To the extent that no efficiency values could be determined for individual network operators from the nationwide efficiency comparison, the Federal Network Agency shall inform the state regulatory authorities of this.(6) The national regulatory authorities shall, in order to determine efficiency values, carry out an efficiency comparison in accordance with paragraphs 1 to 3, provided they do not use the results of the efficiency comparison of the Federal Network Agency. In order to ensure the resilience of the results of the efficiency comparison, network operators, which do not fall within their competence under Section 54 (2) of the German Energy Economics Act, should also be included in the efficiency comparison. Non-official table of contents

§ 13 Efficiency Comparison Parameters

(1) The regulatory authority has effort parameters in the efficiency comparison and Comparative parameters should be taken into account.(2) The costs determined in accordance with § 14 shall be used as an expense parameter.(3) Comparison parameters are parameters for determining the supply task and the territorial characteristics, in particular the geographical, geological or topographical characteristics and structural characteristics of the supply task on the basis of Demographic change in the area of supply. The parameters must be suitable to support the load capacity of the efficiency comparison. This is to be assumed, in particular, if it is measurable or quantified in terms of quantity, cannot be determined by decisions of the network operator and is not, in its effect, repeated in whole or in part, and in particular not already by other Parameters are mapped. In particular, comparison parameters can be
1.
the number of connection points in power supply networks and the exit points in gas supply networks,
2.
the area of the supplied area,
3.
the line length,
4.
the annual work,
5.
the same year-year maximum or
6.
the decentralized generation systems in power supply networks, in particular the number and power of plants to generate electricity from wind and solar radiation energy.
the determination of parameters for the description of geographical, geological or topographical characteristics and structural characteristics of the supply task due to demographic change of the supplied area can be carried out in the area of the area Average values are formed. The comparison parameters can be used with respect to the different network levels of power supply and gas supply networks; a comparison of individual network levels does not take place. The selection of the comparison parameters shall be carried out using qualitative, analytical or statistical methods which correspond to the state of the scientific community. By selecting the comparison parameters, the structural comparability should be ensured as much as possible. In this connection, the differences between electricity and gas supply networks must be taken into account, in particular the different degrees of connection and connection of gas supply networks. In the selection of the parameters of comparison, representatives of the business circles concerned and of consumers shall be heard in good time.(4) In the first and second regulatory periods, the regulatory authority shall have the comparison parameters
1.
Number of connection points in power supply networks and of the Exit points in gas supply networks,
2.
Area of the supplied area,
2a.
Line length (system length) and
3.
time_same year maximum load
to use. In addition, further parameters may be used in accordance with paragraph 3. Non-official table of contents

§ 14 Determination of the cost of performing the efficiency comparison

(1) The costs of the efficiency comparison as a Cost parameters to be applied shall be determined according to the following measures:
1.
The total cost of the network operator shall be determined in accordance with the Initial levels to be used for the cost test according to § 6.
2.
The total costs thus determined are the permanently non-influenceable according to § 11 para. 2
3.
The cost of capital for the performance of the efficiency comparison should be determined in such a way as to ensure comparability as much as possible. and distortions which may arise, in particular, by differences in the age structure of installations, depreciation and activation practices, and a comparability calculation for the determination of to carry out capital costs in accordance with the provisions of paragraph 2; the cost of capital shall include the cost positions in accordance with § 5 (2) and § § 6 and 7 of the Electricity Network Regulations and § 5 (2) as well as § § 6 and 7 of the Gas Network Charges Regulation.
(2) The comparability invoice referred to in paragraph 1 (3) shall be based on the daily revaluing assets of the network operator. For the determination of uniform use durations for each group of plants, the lower values of the normal use durations are to be used in Appendix 1 of the gas network charging regulation and Appendix 1 of the electricity network charging regulation. The interest rate to be used is determined as a weighted average of the equity interest rate and the debt interest rate, with the equity interest rate being 40 per cent and the debt interest rate of 60 per cent to be weighted. Of the 60 per cent of the debt interest rate, 25 percentage points are attributable to non-interest-bearing foreign capital. The capital interest rates in force in accordance with Article 7 (6) of the Gas Network Regulation and Article 7 (6) of the Electricity Network Regulation on new investments must be applied. In the case of interest-bearing foreign capital, the interest rate depends on the average return on fixed-yield securities issued by the Deutsche Bundesbank on the last ten completed calendar years of fixed-income securities of domestic use. Issuers. The equity interest rates and the debt interest rate shall be the average of the rate of change in the last ten completed calendar years according to the index of consumer prices published by the Federal Statistical Office. shall be moderate. Non-official table of contents

§ 15 Determination of inefficiencies

(1) A network operator shows that the specifics of its supply task in the sense of the existence of exceptional structural circumstances, which have not been sufficiently taken into account by the selection of parameters in accordance with Article 13 (3) and (4) in terms of efficiency, and which cannot be influenced by the network operator, and the costs determined in accordance with Article 14 (1) (1) (1) and (2) shall be increased by at least 5 per cent, the regulatory authority shall set an impact on the efficiency value determined in accordance with § § 12 to 14 or 22 (adjusted efficiency value). If the efficiency value has been set in accordance with Article 12 (4), the network operator shall provide the necessary evidence that the characteristics of its supply task justify an additional surcharge as set out in the first sentence.(2) In order to determine the adjusted efficiency values in accordance with paragraph 1, the national regulatory authorities may use the efficiency values determined by the Federal Network Agency in the nationwide efficiency comparison according to § § 12 to 14.(3) The inefficiencies shall be determined from the efficiency value determined in accordance with § § 12 to 14, 22 or 24 or by the adjusted efficiency value. The inefficiencies result from the difference between the total cost after deduction of the permanently non-influenceable cost shares and the total cost multiplied by the efficiency value referred to in sentence 1 after deduction of the permanently non- Ineligible costs. Non-official table of contents

§ 16 Efficiency Preferences

(1) The determination of the revenue limits by the regulatory authority must be determined in such a way as to ensure that the Inefficiencies determined in accordance with § § 12 to 15 shall be uniformly degraded within one or more regulatory periods using a distribution factor (individual efficiency requirement). For the first regulatory period, the individual efficiency requirement is determined in such a way that the reduction of the determined inefficiencies after two regulatory periods has been completed. For the following regulatory periods, the individual efficiency requirement is determined in such a way that the reduction of the determined inefficiencies is concluded at the end of the regulation period.(2) Insofar as a network operator proves that he cannot achieve and exceed the individual efficiency requirements defined for him using all possible and reasonable measures, the regulatory authority shall have the efficiency requirement by way of derogation from paragraph 1. In assessing the reasonableness, account must be taken of the extent to which the efficiency value has been set in accordance with § 12 (4). Measures which result in the essential working conditions, which are common in the area regulated under the Energy Act, are also unacceptably undershot. Structural particularities are taken into account exclusively in accordance with § 15 (1).

Section 3
Determination of network charges

unofficial table of contents

§ 17 network charges

(1) The revenue limits established pursuant to section 32 (1) no. 1 are converted into charges for access to the energy supply networks. This is done in accordance with the provisions of Part 2 (2) and (3) of the Gas Network Regulation and Part 2 (2) and (3) of the Ordinance on Electricity Regulation (Electricity). § § 16, 27 and 28 of the Gas Network Regulation as well as § § 20, 27 and 28 of the Electricity Network charges regulation apply accordingly. § 30 of the Gas Network Regulation and § 30 of the Electricity Network Regulation shall remain unaffected.(2) The network operator shall be obliged to adjust the network charges in the event of an adjustment of the revenue limit according to § 4 (3) and (5), insofar as a reduction in the network charges results from this in accordance with paragraph 1. In addition, in the event of an adjustment of the revenue limit according to § 4 (3) to (5), it is entitled to adjust the network charges.(3) The adjustment of network charges as referred to in paragraph 2 shall be 1. January of a calendar year. Upstream network operators shall inform the downstream network operators of the level of the planned adjustment of network charges in good time before the date of sentence 1.

Section 4
Quality Preferences

unofficial table of contents

§ 18 quality specifications

quality guidelines are designed to secure a long term, Efficient and reliable operation of power supply networks. To this end, quality elements are used in accordance with § § 19 and 20 and the reporting obligations according to § 21. unofficial table of contents

§ 19 Quality Element in the Regulatory Formula

(1) The revenue limits can be set to, or set off, to or from the revenue limit. if network operators differ in terms of network reliability or network performance of key performance indicators (quality element). In accordance with § 20, the measures are to be determined and implemented by network operators from all over the Federal Republic of Germany, and shall be implemented in the form of surcharges and surcharges. A distinction must be made between gas distribution networks and power distribution networks.(2) The regulatory authority shall decide on the start of the application of the quality element to be made in the case of electricity supply networks at the second regulatory period. It shall already take place on or in the course of the first regulatory period, to the extent that the regulatory authority has sufficiently robust data series. By way of derogation from the first sentence, the commencement of the application of the quality element in gas supply networks to or in the course of the second regulatory period shall be made, provided that the regulatory authority has sufficiently robust data series.(3) Network reliability describes the ability of the power supply network to transport energy without interruption and in compliance with the product quality. Network performance describes the power grid's ability to meet the demand for transmission of energy. Non-official table of contents

§ 20 Determination of the quality item

(1) Permitted measures for the evaluation of network reliability according to § 19 are in particular, the duration of the interruption of the energy supply, the frequency of the interruption of the energy supply, the quantity of energy not delivered and the amount of the uncovered load. A combination and weighting of these measures is possible. For the selected measures, the number of key figures for each network operator must be determined.(2) The number of measure values referred to in paragraph 1 shall be determined as weighted averages. The determination of the number of indicators shall take into account the differences in the structure of the region. This can be done by group formation.(3) For the weighting of the key figures or the number of measures as well as the valuation of the deviations in money for the determination of the increase and discount on the proceeds according to Article 19 (1) (monetary valuation), the readiness of the customers, for a Change of net reliability to pay lower or higher charges, as a benchmark, analytical methods, in particular analytical cost models, which must correspond to the state of science, or a combination of both Methods are used.(4) In the determination of quality elements, the national regulatory authorities may use the measure specifications determined by the Federal Network Agency, their combination, weighting or monetary valuation.(5) Key figures can also be used for the evaluation of network performance capability. This shall apply only to the extent to which the regulatory authority has sufficiently robust data series for this purpose. Key figures according to the first sentence may in particular be the frequency and duration of measures for the management of bottlenecks and the frequency and duration of the feed-in semantics according to the Renewable Energy Sources Act. Paragraphs 1 to 4 shall apply in this case, where, in the case of interviews referred to in paragraph 3, it is not the customers, but the network users who feed the energy, to be put to an end. The Federal Network Agency shall evaluate, in accordance with § 33 (3) sentence 2, the extent to which the use of key figures according to sentences 1 and 3 serves to fulfil the purposes specified in Section 1 of the Energy Economic Law. Non-official table of contents

§ 21 Report on investment behavior

The network operators are required to submit a request from the regulatory authority Report on their investment behaviour and submit them to the regulatory authority. The report shall in particular serve to determine whether the incentive regulation does not adversely affect the investment behaviour of the network operators with regard to the purposes set out in Article 1 of the Energy Economic Law. The report shall indicate the extent to which the annual investments of the network operators are proportionate to the age and condition of their installations, their annual depreciation and the quality of their supply. The regulatory authority may request additions and explanations of the report.

Part 3
Special incentive regulation rules

Section 1
Transmission and Transmission Network Operators

Non-official table of contents

§ 22 Special provisions for the Efficiency comparison

(1) In the case of transmission system operators, an efficiency comparison involving network operators in other Member States of the European Union is required before the start of the regulatory period to determine the efficiency values. (international efficiency comparison). The international efficiency comparison shall be carried out by means of the methods mentioned in Appendix 3. If the data of a sufficient number of network operators are not available for the implementation of a stochastic efficiency limit analysis, only the data envelope analysis will be used. In the implementation of international efficiency comparison, the structural comparability of the companies used for comparison is to be ensured, in particular by taking into account national differences such as different technical and legal requirements, or differences in wage levels. Articles 12 (2) to (4) and 13 (1) and 3 (2), (3), (7) and (9) shall apply accordingly.(2) Where the carrying capacity of the international comparison of efficiency referred to in paragraph 1 is not ensured by individual or all transmission system operators, a relative reference network analysis shall be carried out for the network operator or operators concerned; , which corresponds to the state of the scientific community. The relative reference network analysis can also be carried out in addition to the international efficiency comparison in order to improve the resilience of the results. The reference network analysis is an optimization method for the determination of model network structures and plant quantity scaffold, which is subject to the existing boundary conditions, in particular the need for the operation of a technically secure network. the optimal ratio of costs and net economic benefits (reference network). [0050] In the relative reference network analysis, relative deviations of the costs corresponding to the actual plant quantities from the costs of a reference network are determined by a comparison of a number of network operators. The network operator with the slightest deviations from the reference network is the efficiency measure for the determination of the efficiency values; the efficiency value of this network operator is 100 per cent.In the case of operators of transmission systems, the efficiency values shall be determined by means of a national efficiency comparison with the methods referred to in Appendix 3. If the data of a sufficient number of network operators are not available for the implementation of a stochastic efficiency limit analysis, only the data envelope analysis will be used. § 12 (2) to (4), § 13 (1) and (3) and 14 (14) shall apply accordingly. If the data of a sufficient number of network operators are not available for the implementation of a national efficiency comparison according to the first sentence, an international efficiency comparison as referred to in paragraph 1 shall be carried out instead.(4) Where the carrying capacity of the international comparison of efficiency referred to in the fourth sentence of paragraph 3 is not guaranteed for individual or all operators of transmission systems, a relative position shall be taken instead for the network operator or operators concerned. Reference network analysis referred to in paragraph 2. The relative reference network analysis may also be carried out in addition to the international efficiency comparison referred to in paragraph 3, sentence 4, in order to improve the resilience of the results. Non-official table of contents

§ 23 Investment measures

(1) The Federal Network Agency approves investment measures for extension and Restructuring investments in transmission and transmission networks to the extent that such investments contribute to the stability of the overall system, to integration into the national or international network, or to the needs-based development of the network Energy supply networks according to § 11 of the German Energy Act are necessary. This includes, in particular, investments that are planned for
1.
Network expansion measures, which Connection of power generation plants pursuant to § 17 (1) of the German Energy Economics Act (Energiewirtschaftsgesetz),
2.
the integration of plants, which are the Renewable Energy Sources Act and the Force-Heat-Coupling Act,
3.
The expansion of interconnection capacities in accordance with Article 16 (6) (b) of Regulation (EC) No 714/2009 (OJ L 145, 31.5.2009, p. 15),
4.
The expansion of gas transport capacity between market areas, provided that technically-related bottlenecks are present and these are not due to other, economically reasonable measures can be removed,
5.
Lines for the grid connection of wind turbines at sea according to § 17d (1) and § 43 sentence 1 no. 3 Energy Economics Act,
6.
Expansion investments for the construction of high-voltage power lines on new routes with a nominal voltage of 110 kilovolts as Earth cables, in so far as the total cost of setting up and operating the earth cable does not exceed the total cost of the technically comparable overhead line by a factor of 2.75 and no planning approval or planning approval procedure for the construction of the cable an overhead line, as well as underground cables according to § 43 sentence 3 of the Energy Economic Law and § 2 para. 1 of the Energy Law Ausbaugesetz,
7.
basic, with significant costs related to restructuring, which are necessary to implement the technical standards to ensure the technical safety of the network, which is based on a regulatory arrangement pursuant to Article 49 (5) of the energy law, or the necessity of which is confirmed by the competent authority according to the law of the country,
8.
the use of the Conductor cable temperature monitoring and high-temperature conductor cables or
9.
High-voltage DC transmission systems for the expansion of power transmission capacities and new cross-border high-voltage direct current interconnectors, each as pilot projects, which are required for the development of an efficient network operation.
As the cost of an approved investment measure, it is possible to: the costs of operating and capital are claimed. As operating costs, a flat-rate 0.8% of the cost of the investment and production costs eligible for the investment measure can be claimed annually, unless the Federal Network Agency is responsible for certain capital goods pursuant to Article 32 (1) (8a) of the Treaty. has set something different.(2) Revenue arising from congestion management in accordance with Article 16 of Regulation (EC) No 714/2009 or in accordance with Article 15 of the Electricity Network Access Regulation, insofar as these are for measures to eliminate bottlenecks under Article 16 (6) (b) of Regulation (EC) No 714/2009 or § 15 (3), first sentence, of the Electricity Network Access Regulation shall be deducted in the determination of the costs resulting from the approved investment measures. The first sentence shall apply to the revenue from congestion management provided for in Article 16 of Regulation (EC) No 715/2009 (OJ L 378, 27.3.2009, p. 36) or Article 17 (4) of the gas network access regulation, in so far as these measures are applicable to measures to eliminate bottlenecks under Article 16 of Regulation (EC) No 715/2009 (OJ L 211, 14.8.2009, p. 36) or Article 17 (4) of the gas network access regulation.(2a) The operating and capital costs incurred during the last three years of the period of approval of the investment measure, resulting from the scheme in accordance with Article 4 (3), first sentence, point 2, both within the framework of the approved investment measure and in the The maximum income limit referred to in Article 4 (1) of the following regulatory period shall be taken into account as the deduction amount. The operating and capital costs referred to in the first sentence shall be galvanic until the end of the period of approval. In the case of interest, § 5 (2) sentence 3 shall apply accordingly. The deduction of the deduction amount determined in accordance with the rates 1 to 3 shall be equal to more than 20 years, beginning with the year after the date of expiry of the period of approval of the investment measure.(3) The application for the approval of investment measures shall be submitted to the Federal Network Agency at the latest nine months before the beginning of the calendar year in which the investment is to become, for the first time, wholly or partly cost-effective. The application shall contain an analysis of the investment needs identified in accordance with paragraph 1. This is to be drawn up in particular on the basis of the information provided by the transmission system operators in the network status and network expansion reports in accordance with § 12 para. 3a of the Energy Economic Law; for transmission system operators, the application shall be subject to appropriate Contain information. The application shall contain information as to when, at what level and for what period of time, the investments will be made and will be cost-effective. The time period of cost-effectiveness must be based on the operating life of the respective plant group. The operating durations of the respective groups of plants are based on Appendix 1 of the Gas Grid Regulation and Annex 1 of the Electricity Network Regulation. The application may be made for several regulatory periods. The information contained in the application must enable a knowledgeable third party to be able, without further information, to examine the existence of the conditions of approval and to make a decision.(4) In the examination of the conditions referred to in paragraph 1, reference network analyses shall be applied in accordance with Article 22 (2), third sentence, corresponding to the state of the scientific community; the establishment of the reference networks shall be carried out on the basis of existing networks.(5) The authorisation shall be accompanied by a right of revocation in the event that the investment is not carried out in accordance with the authorisation. It can be provided with additional secondary provisions. In particular, side-by-side provisions may provide financial incentives to lower the costs of the approved investment measure.(6) Distribution network operators may be authorised to take investment measures by the regulatory authority for such expansion and restructuring investments, through the integration of installations under the Renewable Energy Sources Act or the Force-Heat-Coupling Act, for the implementation of measures within the meaning of the second sentence of paragraph 1, point 6 to 8 as well as for network expansion measures which are used for the connection of power generation plants pursuant to Article 17 (1) of the Energy Economic Law and which are not taken into account by the expansion factor in accordance with § 10. Investment measures in accordance with the first sentence shall only be approved for such measures which are associated with significant costs. As a general rule, the investment measures taken by a network operator in accordance with the first sentence or paragraph 7 shall be deemed to have a significant cost in accordance with the second sentence of the second subparagraph, the total cost of which shall be at least 0.5 after deduction of the permanently non-influenceable cost shares. percent. The third and fourth sentences of paragraph 1 and the provisions of paragraphs 2a to 5 shall apply by analogy.(7) Distribution network operators may also authorise investment measures by the regulatory authority for expansion and restructuring investments in the high-voltage level, provided that such investments contribute to the stability of the overall system, are necessary for the integration into the national or international network or for the needs-oriented expansion of the energy supply network in accordance with § 11 of the German Energy Law. Paragraphs 1, 3 and 4, and paragraphs 2a to 5 shall apply accordingly.

Section 2
Special provisions for small network operators

unofficial table of contents

§ 24 simplified procedure

(1) network operator, whose gas distribution network is less than 15,000 customers or whose electricity distribution network is less than 30,000 Customers who are directly or indirectly connected may take part in the simplified procedure with respect to the respective network instead of the efficiency comparison for the determination of efficiency values in accordance with § § 12 to 14 vote.(2) For the participants in the simplified procedure, the efficiency value in the first regulatory period is 87.5 percent. As of the second regulatory period, the efficiency value shall be determined as a weighted average value of all those determined in the nationwide efficiency comparison according to § § 12 to 14 for the previous regulatory period and adjusted in accordance with § 15 para. 1 Efficiency values (averaged efficiency value) are formed. In the simplified procedure, 45 percent of the total costs determined in accordance with § 14 (1) No. 1 shall be deemed to be permanently non-influenceable cost shares in accordance with § 11 (2). In the determination of the total costs, the concession fee and the surcharge from the combined heat and power law remain unaccounted for. The Federal Network Agency shall transmit to the national regulatory authorities the values which it has determined in accordance with the second sentence. The national regulatory authorities shall determine an averaged efficiency value in accordance with the provisions of the second sentence, provided that they do not use the values determined by the Federal Network Agency.(3) § 4 (3) sentence 1 no. 2 with the exception of § 4 (3) sentence 1 no. 2 in conjunction with § 11 paragraph 2 sentence 1 no. 4, 5 and 8, § 15 para. 1 and 2 as well as § § 19, 21, 23 (6) and § 25 shall not be used in the simplified procedure.(4) Network operators wishing to participate in the simplified procedure shall have this to the regulatory authority in each case up to 30 years. to apply for the preceding calendar year preceding the last year of the regulatory period; by way of derogation, the application for the first regulatory period shall be 15. December 2007. The application referred to in the first sentence shall contain the necessary information concerning the existence of the conditions set out in paragraph 1. The regulatory authority shall authorise participation in the simplified procedure within four weeks of receipt of the complete application if the conditions set out in paragraph 1 are met. The network operator shall be bound by the chosen procedure for the duration of a regulatory period. The regulatory authority shall publish the averaged efficiency value determined by it in accordance with paragraph 2 at the latest by the 1. January of the penultimate calendar year preceding the regulatory period. The Federal Network Agency shall be informed of the decision on the application by the State Regulatory Authority.

Section 3
Flat-rate investment surcharge, research and development costs

unofficial table of contents

§ 25 flat-rate investment surcharge

(1) The revenue limit is set before the start of the regulatory period. to include, at the request of the network operator, a flat-rate investment surcharge in accordance with the provisions of paragraphs 2 to 5, in accordance with section 32 (1) (1).(2) The flat-rate investment surcharge shall not exceed 1 percent per calendar year of the capital costs determined in accordance with Section 14 (1) No. 3 in conjunction with paragraph 2.(3) The cost of capital from the actual investments made by the network operator pursuant to § 28 No. 7 second half-sentence, pursuant to § 14 (1) No. 3 in conjunction with paragraph 2, in the regulatory period per each calendar year under the The value referred to in paragraph 2 shall be equated to the difference in the following regulatory period. § 5 (4) sentences 2 to 4 and section 34 (2) apply accordingly. Where the cost of capital in accordance with the first sentence is higher than the value referred to in paragraph 2, no compensation shall be taken.(4) The request referred to in paragraph 1 shall be from the network operator to the 31. It shall apply to the regulatory authority in March of the calendar year preceding the regulatory period.(5) Paragraphs 1 to 4 shall not apply to transmission and transmission system operators. Non-official table of contents

§ 25a Research and development costs

(1) At the request of the network operator, a surcharge shall be made by the regulatory authority for research and development costs, to be included in the revenue ceiling for the calendar year concerned. The supplement to be included shall be 50% of the cost of the non-publicly funded share of the total cost of the research and development project which is eligible under paragraph 2, as it is due to the corresponding cost statements of the research and development project. Network operator.(2) Only costs arising from a research and development project within the framework of the State Energy Research Promotion, which are due to a competent authority of a country or federal government, in particular of the Federal Republic of Germany, are eligible for consideration. Federal Ministry of Economics and Technology, the Federal Ministry for the Environment, Nature Conservation and Nuclear Safety, or the Federal Ministry of Education and Research, has been approved and is subject to technical support. Costs for research and development projects which have already been taken into account in determining the initial level of the revenue limits according to § 6 or as part of an investment measure pursuant to § 23 shall not be taken into account.(3) The application referred to in paragraph 1 shall be submitted to the regulatory authority in good time before the beginning of the calendar year in respect of which the expenditure on the research and development project in the revenue ceiling is to be taken into account. The application may be made for several regulatory periods. The information in the application must enable a knowledgeable third party to examine the existence of the conditions of approval without further information and to be able to take a decision.(4) The authorisation shall be limited to a limited period. The authorisation shall be accompanied by a right of revocation in the event that the costs taken into account in accordance with paragraph 1 in the revenue ceiling have not been used in accordance with the requirements of the grant decision, in the amount of the costs referred to in the decision the examination of the proof of use or of the research funds actually used in the price examination, or where it is verifiably not related to the research and development project. The authorisation may be accompanied by other secondary provisions.(5) Once the research and development project has been completed, the network operator shall have the communication of the verification of the proof of use and, if a price check is carried out, by the person responsible for the technical and administrative examination of the project. issued to the regulatory authority.

Section 4
Transition of networks, networks, and splits

Non-official table of contents

§ 26 Transition of networks, network combinations and splits

(1) If a power supply network is or are being used, a number of Energy supply networks, for which one or more of the revenue limits are defined in accordance with section 32 (1) (1), are transferred entirely from one network operator to another network operator, the revenue limit shall be set or the Total redeeming limits on the accepting network operator. The first sentence shall apply in the case of mergers of several energy supply networks.(2) In the event of a partial transfer of a power supply network to another network operator and in the case of network splits, the revenue limits shall be redefined at the request of the network operators concerned in accordance with section 32 (1) (1). The application shall indicate and justify the revenue share to be attributed to the overpassing and remaining power supply. The sum of both revenue shares must not exceed the total revenue limit set for this network.

Part 4
Other Provisions

unofficial table of contents

§ 27 Data collection

(1) The regulatory authority shall determine the facts necessary to determine the revenue limits in accordance with Parts 2 and 3. For this purpose, it shall collect the necessary data from the network operators
1.
for the purpose of carrying out the cost-checking procedure. § 6,
2.
for the determination of the general sectoral productivity factor according to § 9,
3.
Determination of the efficiency values according to § § 12 to 14,
4.
for the determination of the quality element according to § 19 and
5.
for the implementation of efficiency comparisons and relative reference network analyses for transmission and transmission system operators according to § 22;
the network operators shall be Information required. In particular, it identifies the necessary facts
1.
for the adjustment of the revenue limit according to § 4 (4),
2.
for the design of the expansion factor according to § 10,
3.
Determination of the adjusted efficiency values according to § 15 and the individual efficiency requirements according to § 16,
4.
to the requirements for the reports according to § 21 and
5.
for the approval of investment measures according to § 23.
(2) The Federal Network Agency may also evaluate the incentive regulation system and collect the necessary data for the preparation of the reports in accordance with § 33. unofficial table of contents

§ 28 contributor obligations

The network operators share the regulatory authority with
1.
the adjustments to the revenue limits according to § 4 (3) as well as the changes underlying the adjustments of non-influenceable cost components in accordance with § 4 (3) sentence 1 no. 2 and the the adjustments to the underlying changes in terms of costs in accordance with Article 4 (3), first sentence, point 3, in each case to 1. January of the calendar year;
2.
the data necessary for the management of the regulatory account in accordance with § 5, in particular the data permissible under § 4 and the revenues actually achieved of the previous calendar year, in each case at 30. June of the following calendar year,
3.
the data necessary for the verification of network charges in accordance with § 17, in particular those in the report according to § 28 in conjunction with § 16 (2) of the Gas Network Regulation and § 28 in conjunction with Section 20 (2) of the Electricity Network Regulation,
4.
The adjustment of the network charges on the basis of from amended earnings limits according to § 17 para. 2 per year to the 1. January,
5.
Deviations from the measure specifications in accordance with § § 19 and 20,
6.
Details the extent to which the investments underlying the investment measures pursuant to section 23 are to be actually carried out and cost-effective, and the corresponding adjustment of the revenue ceiling in accordance with Article 4 (3), first sentence, point 2, and the extent to which the the investment measures in accordance with § 23 underlying investments in the previous year have actually been carried out and have become cost-effective, in each case annually to the 1. January of a calendar year,
7.
the difference according to § 25 (3) sentence 1; in addition, a representation of the in-the- The regulatory period for the utilisation of the proposed flat-rate investment surcharge actually made investments and their cost-effectiveness, and
8.
Transfer of networks, networks and divisions according to § 26, in particular the transition or the addition of revenue limits according to § 26 (1).
unofficial table of contents

§ 29 transfer of data

(1) The Federal Network Agency and the national regulatory authorities shall communicate to each other those responsible for carrying out their tasks in accordance with the The provisions of this Regulation shall include data, including personal data, and business and commercial secrets. In particular, the national regulatory authorities of the Federal Network Agency shall transmit the total costs determined in accordance with § 14 (1) No. 1 in conjunction with § 6 for the implementation of the nationwide efficiency comparison according to § 12 bis zum 31. March of the calendar year preceding the regulatory period. If the data in accordance with the second sentence are not available in time, the Federal Network Agency shall carry out the nationwide efficiency comparison exclusively with the existing data.(2) The Federal Network Agency shall transmit the data collected by it pursuant to Article 27 (1) and (2) and the data transmitted to it pursuant to paragraph 1, at the request of the national regulatory authorities, to the extent that this is necessary for the performance of their tasks. The Federal Network Agency shall draw up a national database with the data collected by it pursuant to Article 27 (1) and (2) and transmitted by the national regulatory authorities in accordance with paragraph 1. The Land Regulators shall have access to this database. Access is limited to the data required for the task performance of the national regulatory authorities. Unofficial table of contents

§ 30 Missing or insufficient data

As far as the data for the determination of the revenue limit according to § 4 (1), in particular for the application of the regulatory formula in accordance with § 7 and for the implementation of the efficiency comparison according to § § 12 to 14 required data is not available in time before the start of the regulatory period, the data for the last available calendar year shall be used. In so far as no or manifestly inaccurate data are available, the regulatory authority may use the missing data by estimating or using a reference network analysis using data existing or known to the regulatory authority. . Section 12 (4) sentence 2 and section 14 (3) sentence 4 and 5 shall remain unaffected. Non-official table of contents

§ 31 Publication of data

(1) The regulatory authority shall publish the information determined in accordance with § § 12 to 15. Efficiency values network operator in non-anonymized form in its Official Journal and on its website. It shall continue to publish the general sectoral productivity factor determined in accordance with § 9, the number of measures determined in accordance with § § 19 and 20 and the deviations of the network operators from these requirements and those determined in accordance with § 24. mediated efficiency value.(2) The Federal Network Agency shall publish in a non-anonymized form the efficiency values determined in accordance with § 22 in its Official Journal and on its website.(3) A publication of operational and business secrets shall not take place. Non-official table of contents

§ 32 Regulators or regulatory approvals

(1) To achieve efficient access to the network and to the In accordance with Section 1 (1) of the German Energy Act, the regulatory authority may take decisions by means of stipulations or authorisations pursuant to Section 29 (1) of the German Energy Law (Energiewirtschaftsgesetz)
1.
to the revenue limits according to § 4, in particular to determine the amount according to § 4 (1) and (2), to Adjustment according to para. 3 to 5, on the form and content of the requests for adjustment according to paragraph 4,
2.
on the design and compensation of the regulatory account according to § § 3. 5,
3.
to use other parameters to determine the expansion factor according to § 10 para. 2 sentence 2 no. 4,
4.
on the areas subject to effective procedural regulation in accordance with § 11 para. 2 sentence 2 to 4; the determination is made for the duration of the entire Regulatory period,
4a.
to volatile costs in accordance with § 11 (5), in particular to the procedure by which the network operators or a group of network operators Incentives are provided to ensure that volatile cost shares are only taken into account in the earnings ceiling in an efficient manner, as well as to the conditions under which cost shares as volatile components within the meaning of § 11 (5) ,
4b.
to assert the costs pursuant to § 10 (1) and § 22 of the System Stability Regulation pursuant to § 11 (2) sentence 1, point 5, including the Obligation to adjust flat-rate rates,
5.
to perform a comparability invoice in accordance with § 14 para. 1 no. 3,
6.
about the beginning of the application, the more detailed design, and the method of determining the quality element according to § § 19 and 20,
7.
to form the formal design, content, and structure of the Investment Behavior Report according to § 21,
8.
investment measures in accordance with § 23, including the formal design, content and structure of the application, as well as financial incentives pursuant to section 23 (5) sentence 3, whereby the summary of projects can also be required, as well as for implementation, More detailed design and the method of reference network analysis,
8a.
for the calculation of capital and operating costs resulting from approved investment measures , as well as the amount of the flat-rate allowance for certain fixed assets, which is different from Article 23 (1), third sentence, in so far as this is necessary in order to allow for structural particularities of investments for which investment measures can be approved, ,
9.
to participate in the simplified procedure in accordance with § 24 and to the extent, date and form of the application in accordance with § 24 (4),
9a.
on formal design, content and structure of the application, as well as at the time of submission of the application in accordance with Art. 25a, paragraph 1,
10.
to form the formal design, content and structure of the application according to § 26 para. 2 and
11.
to scope, time and the form of data to be collected and communicated in accordance with § § 27 and 28, in particular to the permissible data carriers and transmission paths.
(2) The Federal Network Agency may also make provisions for implementation, more detailed design and the procedures for comparative efficiency and the relative reference network analysis for transmission and transmission system operators in accordance with § 22. Non-official index of contents

§ 33 Evaluation and reports of the Federal Network Agency

(1) The Federal Network Agency shall submit to the Federal Ministry for Economic Affairs and technology to 31. A report with an evaluation and proposals on the further development of incentive regulation. The report provides information on the development of the investment behaviour of network operators and on the need for further measures to avoid obstacles to investment. It may, in particular, make proposals in the context of the evaluation
1.
for the use of further comparative methods as listed in Appendix 3 and for their appropriate use. Combination,
2.
to use monetarily evaluated network reliability metrics as performance parameters in efficiency comparison,
3.
to avoid investment barriers and
4.
to a new or more advanced concept for a Incentive regulation.
(2) The Federal Network Agency shall draw up the report referred to in paragraph 1 with the participation of the countries, the scientific community and the economic groups concerned, as well as international experience with incentive regulation systems. shall be considered. It shall give the economic operators concerned the opportunity to comment and publish the opinions received on the Internet.(3) Two years before the start of the second regulatory period, the Federal Network Agency shall submit a report on the necessity, relevance, content and scope of a technical-economic asset register pursuant to section 32 (1) (5). One year before the start of the second regulatory period, it shall submit a report on the taking into account of key figures in accordance with § 20 (5) as well as of measures to take into account the provision for long-term protection of network quality within the framework of the Quality item before. It has to listen to the representatives of industry and consumers and to take account of international experience in drawing up these reports.(4) (dropped)

Part 5
Final Provisions

Non-tamous table of contents

§ 34 Transitional arrangements

(1) More or less proceeds pursuant to § 10 of the Gas Network Regulation or § 11 of the Electricity Network Regulation shall be treated as costs or proceeds in accordance with § 11 para. 2 in the first regulation period. The compensation of these more or less proceeds shall be effected in accordance with § 10 of the Gas Network Regulation and § 11 of the Electricity Network Regulation on the first regulation period. The interest in these more or less proceeds shall be made in accordance with § 10 of the Gas Network Regulation and § 11 of the Ordinance on Electricity Network charges.(1a) Paragraph 1 shall apply in accordance with the simplified procedure in accordance with Section 24.(1b) By way of derogation from Section 3 (2), the duration of the first regulation period for gas shall be four years. The network charges of the gas grid operators shall be determined by taking into account the efficiency requirements for the first regulatory period.(2) By way of derogation from Section 5 (4), in the last year of the first regulatory period for gas, the regulatory authority shall determine the balance of the regulatory account for the first three, for electricity, for the first four calendar years of the first regulatory period.(3) § 6 shall not apply before the first regulation period in the case of network operators who choose to participate in the simplified procedure in accordance with § 24, to the extent that the network operators do not increase the network charges pursuant to § 6 para. 2 Have applied for network charges based on the data base of 2006. In this case, the initial level for the determination of the revenue limits results from the costs which have been recognized in the context of the last approval of the network charges in accordance with § 23a of the Energy Economic Law. These are to be adjusted for 2005 and 2006 by an annual inflation factor of 1.7%. If the last authorisation was granted on the basis of the 2005 data base, only an adjustment for an inflation factor of 1.7 per cent for the year 2006 will take place.(3a) By way of derogation from § 24 (2) sentence 3, 20 percent of the total costs determined in accordance with § 14 (1) No. 1 shall be considered as permanent non-influenceable cost shares in the simplified procedure with regard to the operators of gas distribution networks, as long as no Cost rolling from upstream network levels is carried out.(4) § 25 is only up to 31. December 2013. § 4 (3) sentence 3 shall be applied only in the first regulatory period.(5) Network charges for the operators of subregional transmission networks which, according to an order of the Federal Network Agency within the meaning of Section 3 (3) sentence 4 of the Gas Grid Regulation, must be formed in a cost-oriented manner, shall be charged in the first regulatory period only then by way of incentive regulation to the 1. January 2009, when the order of the Federal Network Agency is up to 1. The Commission has received an agreement with the operator in October 2007. In the case of a later arrangement, the network charges for these operators shall be 1. January 2010, by way of incentive regulation, taking into account the efficiency requirements for the first regulatory period. According to Article 23a (5) of the German Energy Economic Law, the Federal Network Agency may, in accordance with the principles of cost-oriented remuneration, also provisionally fix a fee if a network operator is responsible for determining the costs of the Data required by the Federal Network Agency shall not be submitted within a time limit set by the Federal Network Agency.(6) In the event of a change in non-influenceable costs, in accordance with Article 11 (2), first sentence, point 6, in the up to the 22. The resolution of the European Parliament and of the Council of 20 March 2012 on the costs and revenues incurred in 2010 or 2011 shall be subject to the limits of the revenue of the Member States referred to in this Regulation in their up to 22 years of age. The new version is adjusted in line with the current version of March 2012, taking into account a barvalue-neutral balance. On investment budgets, up to the 30. June 2011 pursuant to Article 23 (3) of this Directive, in the This Regulation will apply in the period from 22 March 2012 to the date of application of the Regulation, and which will be charged in 2012. The application is in force in March 2012.(7) At the expense and revenue arising from the financial compensation provided for in Article 17d (4) of the German Energy Industry Act (Energiewirtschaftsgesetz) and which arise in 2012, this Regulation shall apply in the period from the 28. December 2012. Non-official table of contents

Appendix 1 (to § 7)

(Fundstelle: BGBl. I 2011, 3035)
The determination of the revenue limit in accordance with § § 4 to 16 takes place in the first regulation period according to the following formula: EOt = KAdnb, t + (KAvnb, 0 + (1-Vt)-KAb, 0)-(VPIt /VPI0-PFt)-EFt + Qt + (VKt-VK0). The regulatory period shall be determined by the following formula: EOt = KAdnb, t + (KAvnb, 0 + (1-Vt)-KAb, 0)-(VPIt /VPI0-PFt)-EFt + Qt + (VKt-VK0) + St.Where is:

EOtErlösoberboundary from network charges, which is applicable in the year t of the respective regulatory period, in accordance with § 4.
KAdnb, tLong-term non-influenceable cost share in accordance with § 11 paragraph 2, which is valid for the year t of the relevant regulatory period, taking into account the changes in accordance with Section 4 (3), first sentence, point 2.
KAvnb, 0A temporarily non-influenceable cost share in accordance with § 11 (3) of the Base year.
VtThe distribution factor for the reduction of inefficiencies, which is applied in the year t of the respective regulatory period in accordance with § 16 .
KAb, 0Impacted cost share in accordance with § 11, paragraph 4, in the base year. It corresponds to the inefficiencies according to § 15 paragraph 3.
VPItConsumer price index, which according to § 8 sentence 2 for the year t of the respective Control Period Application.
VPI0Consumer price index published by the Federal Statistical Office for the Base year.
PFtSectoral sectoral productivity factor in accordance with § 9, which changes the general sectoral productivity factor for the year t of the relevant regulatory period in relation to the first year of the regulatory period. In analogy to the term VPIt/VPI0, PFt is to be formed by multiplying the individual annual values of a regulation period.
EFt Expansion factor in accordance with § 10 for the year t of the respective regulatory period.
QtTo and tee off on the revenue limit in accordance with § 19 in the year t of the respective regulatory period.
StIn the last year of a regulatory period, the following shall be determined in accordance with Section 5 (4) of the Balance (S) of the regulatory account including interest. Since, in accordance with § 5 (4), second sentence, the balance of the balance is to be effected by means of allocs distributed evenly over the following regulatory period, 1/5 of the balance shall be taken into account in each year (St).
VKtvolatile cost share, which is applicable in the year t of the respective regulatory period in accordance with § 11 paragraph 5.
VK0 volatile cost share according to § 11 paragraph 5 in base year.


The base year shall be determined in accordance with § 6 (1). Non-official table of contents

Appendix 2 (to § 10)

(Fundstelle: BGBl. I 2007, 2542)

The determination of an expansion factor in accordance with § 10 is carried out according to the following formula: For the voltage levels of medium voltage and low voltage (current) or the level of all the line networks, independent of pressure stages (Gas) is:For the high voltage/medium voltage and medium voltage/low voltage (current), or the level of all the control systems regardless of the pressure level (gas) is:where:
EFt, Level i
Level i expansion factor in the year t of the relevant regulatory period.
Ft, i
Supply Area Area of level i per year t of the relevant regulatory period.
F0 ,i
Area of the supplied area of level i in base year.
APt, i
Number of connection points in the level i in year t of each regulatory period.
AP0 ,i
Number of Connector points in level i in base year.
Lt, i
Level of load in level i in year t of each regulation period.
L0 ,i
The height of the load in the level i in the base year.
The expansion factor for the entire network is the weighted average over all network levels. Non-official table of contents

Appendix 3 (to § 12)

(Fundstelle: BGBl I 2007, 2543)
1.
The methods to be applied in the performance of the efficiency comparison according to § 12 are the
a)
Data Envelopment Analysis (DEA) and
b)
Stochastic Frontier Analysis (SFA).
DEA in the sense of this regulation is a non-parametric method in which the optimal Combinations of effort and performance result from a linear optimization problem. The DEA provides for the determination of an efficiency limit from the data of all companies to be included in the efficiency comparison and the determination of the relative positions of the individual companies in relation to this efficiency limit. The SFA is a parametric method, which creates a functional relationship between effort and performance in the form of a cost function. Within the scope of the SFA, the deviations between the actual costs and the regression analytically estimated costs are divided into a symmetrically distributed disturbance term and a positively distributed residual component. The residual component is an expression of inefficiency. Thus, an oblique distribution of the residual component is assumed.
2.
The efficiency limit will be between the network operators with the best ratio between network-economic performance and effort. For network operators, which are shown to be efficient in terms of efficiency, an efficiency value of 100 percent applies, for all other network operators, a correspondingly lower value.
3.
The efficiency values are determined in terms of efficiency comparison with the inclusion of all pressure levels or network levels. There is no determination of part efficiencies for the individual pressure stages or network levels.
4.
When performing a DEA, non-falling scale yields are
5.
The regulatory authority leads the parametric method and the non-parametric method analyses for the identification of extreme conditions. Efficiency values (outliers), which must correspond to the state of the art. Identified outliers, in the sense that they have a particularly high efficiency, are set at an efficiency value of 100 percent. Outliers in the sense that they have a particularly low efficiency are given the minimum efficiency value in accordance with § 12 para. 4 sentence 1.In the case of the non-parametric method, a value shall be considered outlier if it is for a major part of the Data record would be considered as an efficiency measure. Statistical tests are to be carried out for the determination of outliers. In this connection, the average efficiency of all network operators, including potential outliers, should be compared with the average efficiency of the network operators, which would result in the exclusion of potential outliers. The difference observed is to be identified with a confidence probability of at least 95 per cent. The outliers identified in this way must be removed from the record. In addition, an analysis of the super-efficiency values is to be carried out. In this case, those outliers are to be removed from the data set whose efficiency values exceed the upper quartile value by more than 1.5 times the quartile spacing. The quartile distance is defined as the span of the central 50 percent of a recordes.In the parametric method, a value is considered outlier if it influences the position of the determined regression line to a considerable extent. In order to determine the significant influence, statistical tests are to be carried out, with which a numerical value for the influence can be determined. If the determined value is above a methodically appropriate critical value, the outlier is to be removed from the data record. Methods that can be used are, in particular, Cooks-Distance, DFBETAS, DFFITS, Covariance-Ratio, or Robust Regression.