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Regulation on the incentive regulation of energy supply networks

Original Language Title: Verordnung über die Anreizregulierung der Energieversorgungsnetze

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

Unofficial table of contents

ARegV

Date of completion: 29.10.2007

Full quote:

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

Status: Last amended by Art. 2 V v. 9.3.2015 I 279

For more details, please refer to the menu under Notes

Footnote

(+ + + Text proof: 6.11.2007 + + +) 

The V was adopted as Article 1 of the V v. 29.10.2007 I 2529 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 Summary

Part 1General provisions
§ 1 Scope
§ 2 Start of proceedings
Part 2General rules on incentive regulation Section 1Regulation periods
§ 3 Start and duration of regulatory periods
Section 2General guidelines for the determination of the revenue limits
§ 4 Revenue limits
§ 5 Regulatory Account
§ 6 Determination of the output level of the revenue limit
§ 7 Regulatory formula
§ 8 General monetary value development
§ 9 General sectoral productivity factor
§ 10 Expansion factor
§ 11 Influenceable and non-influenceable cost shares
§ 12 Efficiency Comparison
§ 13 Parameters for efficiency comparison
§ 14 Determination of the cost of carrying out the efficiency comparison
§ 15 Determination of inefficiencies
§ 16 Efficiency requirements
Section 3Determination of network charges
§ 17 Network charges
Section 4Quality specifications
§ 18 Quality Preferences
§ 19 Quality element in the regulatory formula
§ 20 Determination of quality element
Section 21 Investment Behavior Report
Part 3Special provisions concerning the incentive regulation section 1Operators of transmission and transmission networks
Section 22 Special provisions for efficiency comparison
Section 23 Investment measures
Section 2Special provisions for small network operators
§ 24 Simplified procedure
Section 3Flat-rate investment surcharge, research and development costs
Section 25 Flat-rate investment surcharge
Section 25a Research and development costs
Section 4Transition of networks,
Network connections and splits
Section 26 Transfer of networks, network connections and splits
Part 4Other provisions
§ 27 Data collection
§ 28 Participation obligations
§ 29 Transmission of data
§ 30 Missing or insufficient data
Section 31 Publication of data
Section 32 Provisions or authorisations of the regulatory authority
§ 33 Evaluation and reports of the Federal Network Agency
Part 5Final provisions
Section 34 Transitional arrangements
Appendix 1 (to § 7)
Appendix 2 (to § 10)
Appendix 3 (to § 12)

Part 1
General provisions

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§ 1 Scope

(1) This Regulation provides for the determination of charges for access to energy supply networks by means of incentive regulation. Network charges shall be determined by way of incentive regulation from 1 January 2009. (2) This Regulation shall apply to a network operator for which no calendar annual earnings limit has yet been determined in accordance with Article 4 (1) for a transitional period. no application until the end of the current regulatory period. The legal regulation remains unapplied until the end of the following regulatory period, if no adequate data for the base year are available for this network operator at the next cost assessment in accordance with § 6 (1). Unofficial table of contents

§ 2 Start of proceedings

The procedure for the determination of revenue limits shall be initiated by its own motion.

Part 2
General rules on incentive regulation

Section 1
Regulatory periods

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§ 3 Start and duration of regulatory periods

(1) The first regulatory period shall begin on 1 January 2009. The following periods of regulation shall start on 1 January of the calendar year following the last calendar year of the previous regulatory period. (2) A regulatory period shall take five years.

Section 2
General guidelines for the determination of the revenue limits

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§ 4 ErlösoberLimits

(1) The limits of the total allowable revenues of a network operator from the network charges (income ceiling) shall be determined in accordance with § § 5 to 16, 19, 22, 24 and 25. (2) The earnings limit shall be 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 paragraphs 3 to 5. (3) Adjustment of the revenue ceiling shall be made on 1 January of each calendar year in the event of a change.
1.
of the index of consumer prices in accordance with § 8,
2.
from non-influenceable costs pursuant to § 11 (2), first sentence, points 1 to 11, 12a to 15, sentences 2 and 3; in this case, the costs incurred in the preceding calendar year; in the case of cost benefits in accordance with Article 11 (2), first sentence, point 4 to 6, 8 and 15 shall be adjusted to the calendar year to which the revenue ceiling shall apply,
3.
of volatile cost components in accordance with Article 11 (5) of this Regulation shall be adjusted to the calendar year to which the revenue ceiling shall apply.
In these cases it is not necessary to re-establish the revenue limit. Sentence 1 shall not apply in the first year of the relevant regulatory period. (4) At the request of the network operator
1.
the revenue limit shall be adjusted in accordance with the conditions laid down in § 10;
2.
the revenue ceiling may be adjusted if, on the basis of the occurrence of an unforeseeable event, an unreasonable hardship would arise for the network operator in the event of the maintenance of the revenue limit.
The application for the adjustment referred to in the first sentence of the first subparagraph may be submitted once a year as at 30 June of the calendar year, and the adjustment shall take place on 1 January of the following calendar year. (5) , the regulatory authority shall, on its own account, adjust the revenue ceiling accordingly. The adjustment referred to in the first sentence shall be no more than once a year from 1 January of the following calendar year. Unofficial table of contents

§ 5 Regulatory Account

(1) The difference between the redeemable proceeds pursuant to § 4 and the proceeds recoverable from the network operator taking into account the actual quantity development shall be recorded 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), to the extent that this is done 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 costs of the measuring point operation or the measurement and the approaches in the revenue limit for the calendar year in the case of efficient service provision shall be added to 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 network operator is carrying out a measurement site operation or measurement, 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 depends on the average return on fixed-yield securities of domestic issuers published by the Deutsche Bundesbank on the last ten completed calendar years. (3) If the revenues actually achieved exceed the revenues of the last completed calendar year by more than 5 per cent according to § 4, the network operator shall be obliged to adjust 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 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. Unofficial table of contents

§ 6 Determination of the initial level of the revenue limit

(1) The regulatory authority shall determine 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 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 is 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 German Energy Act before the start of the Incentive regulation based on the data base of the financial year 2006 or of a previous financial year. (3) Insofar as costs are based on a specific characteristic of the financial year on which the Cost-checking, they remain unaccounted for in the determination of the baseline level . § 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. Unofficial 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. Unofficial table of contents

§ 8 General monetary value development

The value for the general monetary value development is derived from the index of consumer prices published by the Federal Statistical Office. 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. Unofficial table of contents

§ 9 Generalised sectoral productivity factor

(1) The general sectoral productivity factor is determined by the deviation of the net-economic productivity progress from the overall economic productivity progress and the total economic income price trend from the (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 has the general sectoral The productivity factor shall be determined from the third regulatory period before the start of the regulatory period for the entire regulatory period, in accordance with the methods which correspond to the state of the scientific community. The investigation shall be carried out with the inclusion of the data of network operators from the whole of the Federal territory for a period of at least four years. The Federal Network Agency can each determine a value for electricity supply networks and for gas supply networks. (4) The national regulatory authorities can determine the revenue limits determined by the Federal Network Agency in accordance with paragraph 3. (5) The inclusion of the general sectoral productivity factor in the revenue limits is achieved by potentiating the values referred to in paragraphs 2 and 3 with the relevant year of the regulatory period. Unofficial table of contents

§ 10 Extension factor

(1) If the supply task of the network operator changes in a sustainable way during the regulatory period, this shall be taken into account in the determination of the revenue limit by an expansion factor. The extension factor shall be determined in accordance with the formula in Appendix 2. (2) The supply task shall be determined by the area of the supplied area and the supply of electricity and gas to the supply of electricity and gas determined by the network customers, which shall be determined by the have a direct effect on 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 is:
1.
the area of the supplied area;
2.
the number of connection points in power supply networks and the exit points in gas supply networks,
3.
Annual maximum load, or
4.
other parameters determined by the regulatory authority pursuant to section 32 (1) (3)
have changed permanently and to a considerable extent on the date of application. As a general 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% is to be expected from a change to a significant extent. (3) The parameters after The second sentence of paragraph 2, point 4, shall, in particular, be used to take account of the different levels of connection and connection of gas supply networks. They must be comparable with those referred to in the second sentence of paragraph 2, Nos 1 to 3, in terms of their validity. (4) paragraphs 1 to 3 shall not apply to operators of transmission and transmission networks 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. Unofficial table of contents

§ 11 Impatable and non-influenceable cost shares

(1) The non-influenceable cost shares shall be deemed to be non-influenceable, non-influenceable, and non-influenceable cost shares. (2) Costs or revenues shall be deemed to be permanently non-influenceable, non-influenceable, cost shares.
1.
Statutory acceptance and remuneration obligations,
2.
concession duties,
3.
operational taxes,
4.
the required use of pre-stored network levels,
5.
the retrofitting of inverters in accordance with Article 10 (1) of the System Stability Regulation and the retrofitting of plants for the generation of electricity from renewable energy sources and combined heat and power according to § 22 of the System Stability Regulation,
6.
approved investment measures pursuant to section 23, in so far as they have been carried out in accordance with the content of the authorisation and are cost-effective in the regulatory period and the authorisation has not been repealed,
6a.
the deduction of the deduction amount in accordance with Article 23 (2a),
7.
Additional costs for the construction, operation and modification of underground cables in accordance with § 43 sentence 1 no. 3 and sentence 3 of the Energy Economic Law, insofar as these are not taken into account in accordance with point 6 and insofar as the costs are incurred in the case of efficient network operation,
8.
Avoided network charges within the meaning of § 18 of the Electricity Network Act, § 57 (3) of the Renewable Energies Act and § 4 (3) of the Force-Heat-Coupling Act,
8a.
the extended balance sheet compensation according to § 35 of the Gas Grid Access Ordinance of 3 September 2010 (BGBl. 1261), as amended, minus the lump sum payable by the feed-in of biogas,
-
measures required by the network operator in accordance with § 33 (10), § 34 (2) and 36 (3) and (4) of the gas network access regulation,
-
the cost of the efficient network connection and the maintenance in accordance with § 33 (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 Grid Regulation of 25 July 2005 (BGBl. 2197), as last amended by Article 5 of the Regulation of 3 September 2010 (BGBl I). 1261), as amended, to be paid to the transport customers of biogas,
in the amount in which the costs remain with the network operator, taking into account the transfer in accordance with § 20b of the gas network charges regulation.
8b.
Payments to cities or municipalities in accordance with § 5 (4) of the Ordinance on Electricity Regulation (Electricity),
9.
operational and collective agreements on wage and supply services, to the extent that they have been concluded in the period prior to 31 December 2008,
10.
the operating and personnel rate activities carried out under the legal framework,
11.
vocational training and continuing vocational training in the enterprise and of day-care centres for children of persons employed in the network sector,
12.
flat-rate investment surcharges in accordance with § 25,
12a.
Research and development in accordance with Art. 25a,
13.
the dissolution of network connection fees and construction grants pursuant to § 9 (1) sentence 1, no. 3 and 4 in conjunction with the second sentence of the Electricity Network Regulation and the first sentence of § 9 (1), no. 3 and 4, in conjunction with sentence 2 of the Gas Network Regulation,
14.
the nationwide compensation mechanism in accordance with § 2 para. 4 of the German Energy Law on Energy Law of 21 August 2009 (BGBl. 2870), as amended,
15.
the financial compensation under Article 17d (7) of the German Energy Act.
In the case of electricity supply networks, such costs or revenues arising from measures taken by the network operator resulting from effective procedural regulation in accordance with the Electricity Network Access Regulation or the current supply system shall also be considered as permanently non-influenceable cost shares. Regulation (EC) No 1228/2003 of the European Parliament and of the Council of 26 June 2003 on conditions for access to the network for cross-border exchanges in electricity (OJ L 284, 31.7.2003, p. EU No 1), as last amended by Commission Decision No 2006 /770/EC of 9 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 378, 27.12.2006, p. EU No 59), in particular:
1.
Compensation payments under the compensation mechanism provided for in Article 3 of Regulation (EC) No 1228/2003,
2.
Proceeds from congestion management in accordance with Article 6 of Regulation (EC) No 1228/2003 or in accordance with Article 15 of the Electricity Network Access Regulation, to the extent that such compensation is subject to compensation under Article 6 (6) (c) of Regulation (EC) No 1228/2003 or Article 15 (3) sentence 1 of Regulation (EC) No 1228/2003. Electricity network access regulation, and
3.
Costs for the procurement of energy for the provision of compensation, including the costs of the procurement of the load.
In the case of gas supply networks, costs or revenues arising from measures of the network operator resulting from effective procedural regulation in accordance with the gas network access regulation or the regulation shall also be considered to be permanently non-influenceable costs. (EC) 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 L 327, 30.12.2005, 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 of the network operators , the regulatory authority has determined this in accordance with § 32 (1) no. 4 and is not concerned with volatile costs in accordance with § 11 (5). (3) As a temporary non-influenceable cost share, the following shall apply with the aid of the Adjusted efficiency value multiplied total costs after deduction of permanent non- Influenceable cost shares. These are the cost shares based on structural differences in the supply areas which cannot be attributed. (4) All costs, which cannot be influenced permanently or temporarily, shall be deemed to be influenced cost shares. (5) As volatile cost shares, the costs for the 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. Unofficial table of contents

§ 12 Efficiency Comparison

(1) Before the start of the regulatory period, the Federal Network Agency shall carry out a national network with the methods listed in Appendix 3, taking into account the requirements set out in Annex 3 and in accordance with paragraphs 2 to 4 and § § 13 and 14. 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 deemed to be a proportion of the total cost after deduction of the permanently non-influenceable cost shares in percentage. (3) The efficiency values of a network operator determined in terms of efficiency comparison with the methods approved in accordance with Appendix 3 shall be diverted from each other, to use the higher efficiency value. (4) Has the efficiency comparison for if a network operator has an efficiency value of less than 60 percent, then the efficiency value is to be set at 60 percent. The first sentence shall also apply if no efficiency values could be determined for individual network operators because they have not complied with their duty to carry out data communication. (4a) In addition, efficiency comparisons are carried out in which the In accordance with § 13 (1) for all network operators, the application parameters shall be replaced by the application parameter which results without taking into account the comparability calculation in accordance with § 14 (1) (3) (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 until 1 July of the calendar year before the start of the regulatory period, the national regulatory authorities shall determine the efficiency values which it has determined in accordance with paragraphs 1 to 3 for the network operators falling within the competence of the respective authority in accordance with Article 54 (2) of the Energy Economic Law. 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 the reasons. (6) The national regulatory authorities shall lead to the Determination of efficiency values by means of an efficiency comparison according to paragraphs 1 to 3, insofar as 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. Unofficial table of contents

§ 13 Parameters for efficiency comparison

(1) The regulatory authority shall have to take account of performance parameters and comparison parameters in the efficiency comparison. (2) The costs determined in accordance with § 14 shall be applied as an expense parameter. (3) Comparison parameters are parameters for determining the The supply task and the area properties, in particular the geographical, geological or topographic characteristics and structural characteristics of the supply task due to demographic change of the supplied area. 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 full or in part repeated in its effect, in particular not already by other Parameters are mapped. Comparison parameters may in particular 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 annual maximum annual load, or
6.
the decentralised generation systems in electricity supply networks, in particular the number and power of installations for the generation of electricity from wind and solar radiation energy.
In the determination of parameters for the description of geographical, geological or topographical features and structural characteristics of the supply task due to demographic change of the supplied area, area-related 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 must be heard in good time. (4) In the first and second regulatory periods, the regulatory authority shall have the same parameters as the
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;
2a.
Line length (system length) and
3.
Maximum annual maximum load
to use. In addition, further parameters may be used in accordance with paragraph 3. Unofficial table of contents

Section 14 Determination of the costs of carrying out the efficiency comparison

(1) The costs to be applied within the framework of the efficiency comparison as an expense parameter shall be determined in accordance with the following measures:
1.
The total cost of the network operator shall be determined in accordance with the cost assessment according to § 6 to be applied for the determination of the initial level.
2.
Of the total costs determined in this way, the cost shares which cannot be permanently influenced in accordance with section 11 (2) shall be deducted.
3.
The cost of capital for the implementation of the efficiency comparison shall be determined in such a way as to ensure that its comparability is as far as possible and that distortions are taken into account, in particular by means of the different age structure of the installations, In order to achieve this, it is possible to establish a comparison calculation for the determination of capital cost annuities in accordance with the provisions of paragraph 2; the cost of capital shall include the cost positions in accordance with Article 5 (2) (b) of the Treaty. 2 as well as § § 6 and 7 of the Electricity Network Ordinance and § 5 (2) as well as § § 6 and 7 of the Gas Grid Regulation.
(2) The comparability invoice referred to in paragraph 1 (3) shall be based on the daily assets of the network operator's assets. 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 at 60 per cent. 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 are the average of the rate of change in the last ten completed calendar years according to the index of the consumer price index published by the Federal Statistical Office. shall be moderate. Unofficial table of contents

§ 15 Determination of inefficiencies

(1) A network operator shall ensure that the specific nature of its supply task is in the sense of the existence of exceptional structural circumstances which are not achieved by selecting the parameters in accordance with Article 13 (3) and (4) in order to compare the efficiency of the operation. have been sufficiently taken into account and are not influenced by the network operator, and this increases the costs determined in accordance with Article 14 (1) (1) and (2) by at least 5 per cent, the regulatory authority shall have an impact on the costs referred to in § § 12 up to 14 or 22 determined efficiency value (adjusted efficiency value). If the efficiency value has been set in accordance with Article 12 (4), the network operator must provide the necessary evidence that the specifics 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, national regulatory authorities can use the efficiency values determined by the Federal Network Agency in the nationwide efficiency comparison according to § § 12 to 14. (3) From the according to § § 12 to 14, 22 or 24 determined efficiency value or the adjusted efficiency value will be the inefficiencies determined. 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. Unofficial table of contents

§ 16 Efficiency requirements

(1) The determination of the revenue limits by the regulatory authority shall be carried out in such a way that the inefficiencies determined in accordance with § § 12 to 15, using a distribution factor, shall be mathematically within one or more regulatory periods will be reduced evenly (individual efficiency requirements). 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 regulatory period. (2) Insofar as a network operator proves that he/she is responsible for the , the regulatory authority shall, by way of derogation from the provisions of paragraph 1, determine the individual efficiency requirements defined by the use of all possible and reasonable measures. When assessing the reasonableness, account must be taken of the extent to which the efficiency value has been set in accordance with Section 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. A consideration of structural features shall be carried out exclusively in accordance with § 15 (1).

Section 3
Identification of network charges

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Section 17 Network charges

(1) The revenue limits established pursuant to section 32 (1) (1) shall be 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 this is based on the provisions of the following paragraph: 1 results in a reduction in network charges. 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 the network charges in accordance with paragraph 2 shall take place on 1 January of a calendar year. Upstream network operators shall be notified of the level of the planned adjustment of network charges to the downstream network operators in good time before the date of the first sentence.

Section 4
Quality Preferences

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§ 18 Quality requirements

Quality specifications are designed to ensure the long-term, efficient and reliable operation of energy 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 may be set up or down 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 should 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 sufficiently robust data series exist for the regulatory authority. By way of derogation from the first sentence, the beginning of the application of the quality element in gas supply networks to or in the course of the second regulatory period shall be carried out in so far as 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 product quality. Network performance describes the power grid's ability to meet the demand for transmission of energy. Unofficial table of contents

§ 20 Determination of the quality element

(1) Permitted figures for the evaluation of the 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 amount of energy not delivered and the amount of the energy supply. the uncovered load. A combination and weighting of these measures is possible. The number of key figures for each network operator must be determined for the selected figures. (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 measure values as well as the evaluation of the deviations in money for the determination of the inflow and discount on the proceeds according to § 19 paragraph 1 (monetary valuation) can in particular, the willingness of customers to pay lower or higher charges for a change in net reliability are used as a benchmark, analytical methods, in particular analytical cost models, which are based on the state of the art , or a combination of both methods. (4) The In the determination of quality elements, national regulatory authorities can use the measure specifications determined by the Federal Network Agency, their combination, weighting or monetary evaluation. (5) Also for the evaluation of the Network performance capability can be used for key figures. This shall apply only to the extent to which the regulatory authority has sufficiently robust data series for this purpose. Key figures in accordance with 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 management 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. Unofficial table of contents

Section 21 Report on investment behaviour

Network operators shall be required to draw up, at the request of the regulatory authority, a report on their investment behaviour and to forward them to the regulatory authority. The purpose of the report is, in particular, to determine whether the incentive regulation does not have an adverse effect on 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 their quality of supply. The regulatory authority may request additions and explanations of the report.

Part 3
Specific rules on incentive regulation

Section 1
Operators of transmission and transmission networks

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Section 22 Special provisions for efficiency comparison

(1) In the case of transmission system operators, an efficiency comparison involving network operators in other Member States of the European Union (international) shall be used before the start of the regulatory period to determine the efficiency values. 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. Sections 12 (2) to (4) and 13 (1) and 3 (2), (3), (7) and (9) shall apply accordingly. (2) If the international efficiency comparison referred to in paragraph 1 is not guaranteed for individual or all operators of transmission networks, instead, to carry out a relative reference network analysis 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 procedure 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. have an 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. (3) In the case of operators of transmission networks, the Efficiency values are determined by means of a national efficiency comparison with 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. § 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 as set out in the first sentence, an international comparison of efficiency shall be carried out in accordance with paragraph 1. (4) If the international efficiency comparison referred to in the third sentence of paragraph 3 does not provide for individual or all operators of transmission networks, a relative reference network analysis shall be carried out for the network operator or operators concerned, (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. Unofficial table of contents

Section 23 Investment measures

(1) The Federal Network Agency approves investment measures for expansion and restructuring investments in transmission and transmission networks, insofar as these investments contribute to the stability of the overall system, for the integration into the national or an international network or for the needs-based expansion of the energy supply network in accordance with § 11 of the German Energy Act. This shall include, in particular, investments intended for:
1.
Network expansion measures, which are used to connect power generation plants pursuant to Article 17 (1) of the German Energy Law,
2.
the integration of plants, which are subject to the Renewable Energy Act and the Power-Heat-Coupling Act,
3.
the development of interconnection capacities in accordance with Article 16 (6) (b) of Regulation (EC) No 714/2009 (OJ L 145, 31.5.2009, p. OJ L 211, 14.8.2009, p.15),
4.
the development of gas transport capacity between market areas, provided that there are long-lasting technical bottlenecks and these cannot be eliminated by other economically reasonable measures,
5.
Lines for grid connection of wind turbines at sea according to § 17d (1) and § 43 sentence 1 (3) of the German Energy Economic Law,
6.
Expansion investments for the construction of high-voltage power lines on new routes with a nominal voltage of 110 kilovolts as underground cables, provided that the total cost of erection and operation of the underground cable is the total cost of the technically comparable Freileitung does not exceed 2.75 and no planning approval or planning approval procedure has yet been initiated for the establishment of a overhead line, as well as underground cables according to § 43 sentence 3 of the Energy Economic Act and § 2 para. 1 of the Energy-Eiding-Expansion Act,
7.
basic, cost-effective restructuring measures necessary to implement the technical standards to ensure the technical safety of the network, which is based on an official order pursuant to Article 49 (3) (a) 5 of the Energy Economic Law, or the necessity of which is confirmed by the authority responsible under national law,
8.
the use of conductor rope temperature monitoring and high-temperature conductor ropes or
9.
High-voltage DC transmission systems for the development of electricity transmission capacities and new cross-border high-voltage direct-current interconnectors as pilot projects, which are used in the context of the development planning for an efficient Network operation is required.
Operating and capital costs can be claimed as the cost of an approved investment measure. As operating costs, a flat rate of 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 (2) proceeds 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 applicable to measures to eliminate bottlenecks under Article 16 (6) Point (b) of Regulation (EC) No 714/2009, or Article 15 (3), first sentence, of the Electricity Network Access Regulation shall be used in the determination of the costs resulting from 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, which are due to the scheme in accordance with § 4 Paragraph 3, first sentence, point 2, both within the framework of the approved investment measure and in the revenue ceiling 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 disbanding of the deduction amount determined in accordance with the rates 1 to 3 shall take place evenly over 20 years, beginning with the year following the expiry of the period of approval of the investment measure. (3) The application for approval of investment measures shall be 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, to the Federal Network Agency. 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 which 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 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 be able to take 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 reference networks shall be drawn up on the basis of existing networks. (5) The authorisation shall be subject to a right of revocation for the purpose of revocation of the network. provide the case that the investment does not correspond to the approval is carried out. It can be provided with additional secondary provisions. In particular, side-by-side provisions may provide financial incentives to reduce the costs of the approved investment measure. (6) Distribution network operators may take investment measures by the regulatory authority for such operations. Extension and restructuring investments approved by the integration of installations under the Renewable Energy Sources Act or the Power-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 to be followed by Power generation plants according to § 17 (1) of the German Energy Act (Energiewirtschaftsgesetz) are to be used and are not taken into account by the expansion factor according to § 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 paragraphs 2a to 5 shall apply accordingly. (7) Distribution network operators may also invest in expansion and restructuring investments in the high-voltage level by the regulatory authority. , in so far as these investments contribute to the stability of the overall system, to the integration into the national or international network or to the needs-based expansion of the energy supply network in accordance with § 11 of the German Energy Law are necessary. The third and fourth sentences of paragraph 1 and the provisions of paragraphs 2a to 5 shall apply accordingly.

Section 2
Special provisions for small network operators

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Section 24 Simplified procedure

(1) Network operators, in whose gas distribution network less than 15,000 customers or whose electricity distribution network is directly or indirectly connected to less than 30,000 customers, may, with regard to the network in question, take place instead of the efficiency comparison for the determination of efficiency values in accordance with § § 12 to 14 the participation in the simplified procedure in accordance with paragraph 2. (2) For the participants in the simplified procedure, the efficiency value in the first regulation 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 per cent of the total costs determined in accordance with § 14 (1) No. 1 shall be considered to be permanently non-influenceable cost shares in accordance with Article 11 (2). In determining the total costs, the concession fee and the surcharge shall remain the Force-heat-coupling law is not taken into account. 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 sentence 2, unless they 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 § 11 (2), first sentence, no. 4, 5 and 8, § 15 (1) and (2) as well as § § 19, 21, 23 (6) and § 25 do not apply in the simplified procedure. (4) Network operators who wish to participate in the simplified procedure shall have this in the case of the Regulatory authority to be held until 30 June of the previous calendar year preceding the last year of the regulatory period , by way of derogation from this, the application for the first regulatory period is to be submitted on 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 the regulatory authority in accordance with paragraph 2 at the latest by 1 January of the preceding calendar year preceding the regulatory period. The Federal Network Agency shall be informed of the decision on the application by the Land Regulatory Authority.

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

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Section 25 Flat-rate investment surcharge

(1) Before the start of the regulatory period, a flat-rate investment surcharge shall be included in the revenue limit at the request of the network operator, in accordance with the provisions of paragraphs 2 to 5, before the start of the regulatory period. (2) The flat-rate investment supplement shall be included in the limit of the income limit. Investment surcharge may 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 section 14 (1) (3) in conjunction with paragraph 2, in which: The regulatory period per calendar year shall be less than the value referred to in paragraph 2, and the difference shall be equated 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 of 1 above the value referred to in paragraph 2 is not compensated. (4) The request referred to in paragraph 1 shall be submitted by the network operator to the regulatory authority as at 31 March of the calendar year preceding the regulatory period. (5) The provisions of paragraphs 1 to 4 shall not apply to transmission and transmission system operators. Unofficial table of contents

Section 25a Research and development costs

(1) At the request of the network operator, a surcharge for research and development costs shall be included in the revenue limit for the calendar year in question by the regulatory authority. 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 eligible for consideration in accordance with paragraph 2, as the cost of the research and development project shall be based on the cost of the project. (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 the federal government, are eligible for consideration. in particular the Federal Ministry of Economics and Technology, the Federal Ministry of the Environment, Nature Conservation and Nuclear Safety, or the Federal Ministry of Education and Research has been approved and subject to professional supervision. 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 section 23 shall not be taken into account. (3) The application in accordance with 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 make a decision. (4) The approval is to 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, at the level of the costs referred to in the Information on the examination of the proof of use or in the information on the price examination, which are actually used, deviate or demonstrably do not relate to the research and development project. The authorisation may be accompanied by additional secondary provisions. (5) After completion of the research and development project, the network operator shall inform the operator of the verification of the proof of use and, if a price check has been carried out, the shall be submitted to the regulatory authority by the authority responsible for the technical and administrative verification of the project.

Section 4
Transfer of networks, network connections and splits

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§ 26 Transitions of networks, network connections and divisions

(1) Where a power supply network or a number of energy supply networks for which one or more revenue limits are defined in accordance with section 32 (1) (1), is wholly from a network operator to another network operator, , the revenue ceiling shall be transferred to the accepting network operator as a whole or the revenue ceiling shall be transferred to the receiving 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 event of a network split, the revenue limits shall be at the request of the in accordance with section 32 (1) (1) of the Regulation. The application shall indicate and justify the revenue share to be attributed to the overpassing and remaining power supply. The sum of the two redemption shares shall not exceed the total income limit laid down for this network.

Part 4
Other provisions

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§ 27 Data collection

(1) The regulatory authority shall determine the facts necessary to determine the revenue limits of Part 2 and 3. To this end, it shall collect the necessary data from the network operators.
1.
for the implementation of the cost assessment pursuant to § 6,
2.
for the determination of the overall sectoral productivity factor in accordance with § 9,
3.
for the determination of the efficiency values in accordance with § § 12 to 14,
4.
for the determination of the quality element in accordance with § 19 and
5.
for the implementation of the efficiency comparisons and relative reference network analyses for transmission and transmission system operators according to § 22;
the network operators shall be obliged to provide information. In particular, it shall identify the facts required
1.
for the adjustment of the revenue ceiling in accordance with Article 4 (4),
2.
on the design of the enlargement factor in accordance with § 10,
3.
for the determination of the adjusted efficiency values according to § 15 and the individual efficiency requirements according to § 16,
4.
to the requirements of the reports in accordance with § 21 and
5.
for the approval of investment measures pursuant to § 23.
(2) In addition, the Federal Network Agency may collect the data necessary for the evaluation of the incentive regulation system and for the preparation of the reports in accordance with § 33. Unofficial table of contents

Section 28 Duty of notification

The network operators shall communicate to the regulatory authority
1.
the adjustments to the revenue limits in accordance with section 4 (3) and the changes underlying the adjustments of non-influenceable cost components in accordance with § 4 (3) sentence 1 no. 2 and the changes underlying the adjustments to the costs of the costs in accordance with Article 4 (3), first sentence, point 3, in each case on 1 January of the calendar year;
2.
the data necessary for the management of the regulatory account in accordance with § 5, in particular the permitted and actual earnings of the previous calendar year, in accordance with § 4, in each case as of 30 June of the following calendar year,
3.
the data necessary for the verification of network charges in accordance with § 17, in particular the data contained in the report pursuant to section 28 in conjunction with section 16 (2) of the Gas Network Regulation and § 28 in conjunction with section 20 (2) of the Electricity Network Regulation (Electricity Network),
4.
the adjustment of network charges on the basis of amended revenue limits in accordance with Article 17 (2) of the Directive on 1 January each year;
5.
Deviations from the measure specifications in accordance with § § 19 and 20,
6.
Information on the extent to which the investments underlying the investment measures in accordance with Article 23 are to be actually carried out and cost-effective, as well as the corresponding adjustment of the revenue ceiling in accordance with Article 4 (3), first sentence, point 2, and the extent to which the investment measures referred to in Article 23 have actually been carried out in the previous year and have become cost-effective, each year on 1 January of a calendar year,
7.
the difference according to § 25 (3) sentence 1; in addition, a presentation of the investments actually made in the regulatory period to take up the flat-rate investment surcharge applied for in the regulatory period for a knowledgeable third party; and of their cost-effectiveness and
8.
the transition of networks, network combinations and divisions according to § 26, in particular the transition or the addition of revenue limits in accordance with section 26 (1).
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Section 29 Transmission of data

(1) The Federal Network Agency and the national regulatory authorities shall communicate to each other the data necessary for carrying out their tasks in accordance with the provisions of this Regulation, including personal data and business and trade 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 to implement the nationwide efficiency comparison according to § 12 to 31 March of the German Federal Network Agency Regulatory period preceding calendar year. If the data according to 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). the data transmitted to it pursuant to paragraph 1, at the request of the national regulatory authorities, in so far as it 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

Insofar as the data required for the determination of the revenue limit pursuant 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, before the start of the regulatory period The data for the last calendar year available may 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. Unofficial table of contents

§ 31 Publication of data

(1) The regulatory authority shall publish the efficiency values determined in accordance with § § 12 to 15 in a non-anonymized form in its Official Journal and on its Internet site. 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. (2) The Federal Network Agency publishes 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 is not done. Unofficial table of contents

Section 32 Festinterpretations or authorisations of the regulatory authority

(1) In order to achieve an efficient access to the network and the purposes specified in Article 1 (1) of the Energy Economic Law, the regulatory authority may take decisions by means of stipulations or authorisations pursuant to Section 29 (1) of the German Energy Law (Energiewirtschaftsgesetz) meeting
1.
to the revenue limits according to § 4, in particular for the determination of the amount pursuant to § 4 (1) and (2), for the adjustment according to paragraphs 3 to 5, on the form and content of the requests for adjustment pursuant to paragraph 4,
2.
on the design and compensation of the regulatory account in accordance with § 5,
3.
on the use of other parameters for the determination of the extension factor in accordance with § 10 (2) sentence 2 no. 4,
4.
the areas subject to effective procedural regulation in accordance with the second sentence of Article 11 (2) to (4); the determination shall be made for the duration of the entire regulatory period,
4a.
on volatile costs in accordance with Article 11 (5), in particular on the procedure by which the network operators or a group of network operators are encouraged to ensure that volatile cost shares are only in an efficient manner in the , as well as to the conditions under which shares are considered to be volatile cost shares within the meaning of Article 11 (5),
4b.
to assert the costs in accordance with § 10 (1) and § 22 of the System Stability Regulation in accordance with Article 11 (2), first sentence, point 5, including the obligation to adjust flat-rate cost rates,
5.
for the implementation of a comparability account in accordance with § 14 (1) (3),
6.
about the start of the application, the detailed design and the method of determining the quality element in accordance with § § 19 and 20,
7.
on the formal design, content and structure of the report on investment behaviour in accordance with § 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, including the summary of projects, as well as the implementation, further design and the reference network analysis procedure,
8a.
for the calculation of the capital and operating costs resulting from approved investment measures, as well as the amount of the operating cost package for certain fixed assets, which is different from the third sentence of Article 23 (1), to the extent that this is necessary to: appropriate account should be taken of the structural characteristics 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 pursuant to section 24 (4),
9a.
on the formal design, content and structure of the application and at the time of the submission of the application in accordance with Article 25a, paragraph 1,
10.
on the formal design, content and structure of the application in accordance with § 26 (2) and
11.
the extent, timing and form of data to be collected and communicated in accordance with § § 27 and 28, in particular with regard to permissible data carriers and transmission paths.
(2) The Bundesnetzagentur may also make provisions for the implementation, further development and procedures of efficiency comparison and the relative reference network analysis for transmission and transmission system operators according to § 22. Unofficial table of contents

§ 33 Evaluation and reports of the Federal Network Agency

(1) The Federal Network Agency shall submit a report to the Federal Ministry for Economic Affairs and Technology on 31 December 2014 with an evaluation and proposals for 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 within the framework of the evaluation
1.
the use of other comparative methods as listed in Appendix 3 and their appropriate combination,
2.
on the use of monetary indicators of net reliability as an effort parameter in terms of efficiency comparison,
3.
in order to avoid barriers to investment and
4.
on a new or more developed approach to 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 circles concerned, as well as taking into account international experience with incentive regulation systems. It gives the economic circles concerned the opportunity to comment and publishes the opinions received on the Internet. (3) Two years before the start of the second regulatory period, the Bundesnetzagentur submits a report on the need to: the usefulness, content and scope of a technical-economic system register pursuant to § 32 (1) no. 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. (4) (to be omitted)

Part 5
Final provisions

Unofficial table of contents

Section 34 Transitional arrangements

(1) More or less proceeds pursuant to § 10 of the Gas Network Regulation or § 11 of the Electricity Network charges 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 regulatory period. In accordance with § 10 of the Ordinance on the Gas Grid Regulation and § 11 of the Ordinance on Electricity Network charges, the interest in these additional or minor proceeds shall be made in accordance with the simplified procedure in accordance with § 24. (1b) By way of derogation from Section 3 (2), the following shall apply: Duration of the first gas regulatory period of four years. The network charges of the gas network operators shall be determined by taking into account the efficiency requirements for the first regulatory period. (2) By way of derogation from § 5 (4), the regulatory authority shall determine the last year of the first regulatory period. for gas, the balance of the regulatory account for the first three, for electricity for the first four calendar years of the first regulation period. (3) § 6 applies to network operators who choose to participate in the simplified procedure in accordance with § 24, before the first The regulatory period shall not apply to the extent that the network operators within the framework of the Approval of network charges pursuant to Section 6 (2) did not apply for an increase in network charges on the basis of the data base of the year 2006. In this case, the initial level for the determination of the revenue limits results from the costs which have been recognised 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 permit 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 takes place. (3a) By way of derogation from § 24 (2) sentence 3, the operator of the Gas distribution networks in the simplified procedure 20 percent of the total costs determined in accordance with § 14 para. 1 no. 1 as permanently non-influenceable cost shares, as long as no cost shift occurs from upstream grid levels. (4) § 25 is only up to the 31. December 2013. § 4 Paragraph 3 sentence 3 is to be applied only in the first regulatory period. (5) Network charges of the operators of subregional transmission networks which are based on an arrangement of the Federal Network Agency within the meaning of Section 3 (3) sentence 4 of the Gas Grid Regulation. In the first regulatory period, the first regulatory period will only be determined by the incentive regulation on 1 January 2009, if the order of the Federal Network Agency is up to 1 January 2009. The Commission has received an agreement with the operator in October 2007. In the event of a subsequent arrangement, the network charges for these operators shall be determined by 1 January 2010 by means of incentive regulation, taking into account the efficiency requirements for the first regulatory period. According to Article 23a (5) of the German Energy Act, 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 fee for the purpose of determining the fee. (6) In the event of a change in non-influenceable costs in accordance with Section 11 (2), second sentence, point 6, in the period up to 22 March 2012, the following: Collection due to costs and revenues created in 2010 or 2011 will be the revenue limits laid down in this Regulation shall be adjusted in their version valid until 22 March 2012, taking into account the value of a net value-neutral compensation. On investment budgets, which have been requested by 30 June 2011 in accordance with Article 23 (3) in the version in force until 22 March 2012 and which are to be cost-effective in 2012, this Regulation shall apply in the version in force as of 22 March 2012. (7) At the expense and revenue arising from the financial compensation provided for in Article 17d (4) of the Energy Economic Law and which arise in 2012, this Regulation shall be applicable in the version in force as of 28 December 2012. Application. Unofficial table of contents

Appendix 1 (to § 7)

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

EOt Earnings ceiling from network charges, which shall apply in the year t of the relevant regulatory period in accordance with § 4.
KAdnb, t Permanently non-influenceable cost share in accordance with Article 11 (2), which shall apply for the year t of the relevant regulatory period, taking into account the changes in section 4 (3), first sentence, point 2.
KAvnb, 0 A temporary non-influenceable share of the costs in accordance with § 11 (3) in the base year.
Vt Distribution factor for the reduction of inefficiencies, which shall be applied in the year t of the relevant regulatory period in accordance with § 16.
KAb, 0 An influenceable cost share in accordance with § 11 (4) in the base year. It corresponds to the inefficiencies according to § 15 (3).
VPIt Total consumer price index, which shall apply for the year t of the relevant regulatory period, in accordance with the second sentence of § 8.
VPI0 Consumer price index published by the Federal Statistical Office for the base year.
PFt General sectoral productivity factor in accordance with § 9, which reflects changes in the general sectoral productivity factor for the year t of the respective regulatory period in relation to the first year of the regulatory period. In analogy to the term VPIt/VPI0, PFt is thereby to be formed by multiplying the individual annual values of a regulation period.
EFT Extension factor in accordance with § 10 for the year t of the respective regulatory period.
Qt Surcharges and discounts on the revenue limit in accordance with § 19 in the year t of the respective regulatory period.
St In the last year of a regulatory period, the balance (S) of the regulatory account, including interest, shall be determined in accordance with Section 5 (4) of the balance (S). Since, in accordance with Article 5 (4), second sentence, the balance of the balance is to be effected by means of surcharges or surcharges distributed evenly over the following regulatory period, in each case 1/5 of the balance shall be taken into account in the year t (St).
VKt volatile share of costs, which shall apply in the year t of the relevant regulatory period in accordance with Section 11 (5).
VK0 volatile cost share in accordance with § 11 (5) in the base year.


The base year shall be determined in accordance with the conditions laid down in § 6 (1). Unofficial table of contents

Appendix 2 (to § 10)

(Fundstelle: BGBl. I 2007, 2542)

The determination of an expansion factor in accordance with § 10 shall be carried out in accordance with the following formula: For the voltage levels of medium voltage and low voltage (current) or the level of the totality of all line networks, irrespective of pressure stages (gas): For the high voltage/medium voltage and medium voltage/low voltage (current) or the level of all the control systems independent of the pressure stage (gas) is: Where:
EFt, level i
Level i expansion factor in the year t of the relevant regulatory period.
Ft, i
Area of the supplied area of level i in the year t of the relevant regulatory period.
F0 ,i
Area of the supplied area of level i in the base year.
APt, i
Number of connection points in the level i in the year t of the respective regulatory period.
AP0 ,i
Number of connection points in the level i in the base year.
Lt, i
Level of the load in the level i in the year t of the relevant regulatory period.
L0 ,i
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. Unofficial table of contents

Appendix 3 (to § 12)

(Fundstelle: BGBl I 2007, 2543)
1.
The methods to be used in the implementation of the efficiency comparison according to § 12 are the
a)
Data Envelopment Analysis (DEA) and
b)
Stochastic frontier analysis (Stochastic Frontier Analysis-SFA).
DEA within the meaning 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 shall be constituted by the network operators with the best relationship between the provision of power and the cost of the network. For network operators, which are shown to be efficient in terms of efficiency, an efficiency value of 100 percent applies, and for all other network operators a correspondingly lower value applies.
3.
The efficiency values are determined in terms of efficiency comparison with the inclusion of all pressure stages or network levels. There is no determination of part efficiencies for the individual pressure stages or network levels.
4.
When carrying out a DEA, non-falling economies of scale shall be subject to a lower level of scale.
5.
For the parametric method and for the non-parametric method, the regulatory authority carries out analyses for the identification of extreme 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 data set. 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.