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05/07ENERGIJAIZDAVA»Hrvatska elektroprivreda d.d., ZagrebZA IZDAVA»AMr. sc. Ivan MravakSUIZDAVA»ISveuËilište u Zagrebu, Fakultet elektrotehnike i raËunarstvaMinistarstvo gospodarstva, rada i poduzetništvaPOMOΔ U IZDAVANJUMinistarstvo znanosti, obrazovanja i πportaURE–IVA»KI SAVJETMr. sc. Kaæimir VrankiÊ (predsjednik) - doc. dr. sc. AnteΔurkoviÊ - prof. dr. sc. Igor DekaniÊ Zagreb - prof. dr. sc. DaniloFeretiÊ, Zagreb - mr. sc. Nikica GrubiπiÊ, Zagreb - prof. dr. sc.Slavko Krajcar, Zagreb - doc. dr. sc. Æeljko TomπiÊ, Zagreb - dr.sc. Mladen Zeljko, ZagrebURE–IVA»KI ODBORGlavni urednik ∑ mr. sc. Goran Slipac, ZagrebGlavni tajnik ∑ mr. sc. Slavica Barta-Koπtrun, ZagrebLektor ∑ ©imun »agalj, prof., ZagrebMetroloπka recenzija ∑ Dragan BorojeviÊ, dipl. ing., ZagrebPrijevod ∑ Hrvatsko druπtvo znanstvenih i tehniËkih prevoditelja∑ Prevoditeljski centar, ZagrebUREDNI©TVO I UPRAVAHEP d.d. - Energija, UreappleivaËki odborUlica grada Vukovara 37, 10000 Zagreb, HrvatskaTelefoni: +385 (1) 6171291 i 6322641Telefaks: +385 (1) 6322143e-mail: goran.slipac@hep.hr; slavica.barta@hep.hr;www.hep.hrGodiπnje izlazi 6 brojeva.Godiπnja pretplata bez PDV-a (22 %) iznosi:∑ za pojedince 250 kn∑ za poduzeÊa 400 kn∑ za studente 60 knÆiro raËun kod ZagrebaËke banke broj:2360000-1400129978Godiπnja pretplata za inozemstvo iznosi USD 95.Devizni raËun:ZagrebaËka banka broj: 2000006299GrafiËko ureappleenje omota ∑ mr. sc. Kaæimir VrankiÊ, ZagrebGrafiËko ureappleivanje ∑ Bestias dizajn d.o.o., ZagrebTisak ∑ Intergrafika d.o.o, ZagrebNaklada ∑ 1 500 primjeraka Godiπte 56(2007)Zagreb, 2007 Broj 5., str. 521∑636Oglasi su veliËine jedne stranice. Cijena oglasa je 3 000 knbez PDV (22%).ENERGIJAPUBLISHED BYHrvatska elektroprivreda d.d., ZagrebPUBLISHER’S REPRESENTATIVEIvan Mravak, MScCO-PUBLISHED BYUnivesity of Zagreb, Fakulty of Electrical Engineering and ComputingMinistry of Economy, Labour and EntrepreneurshipSUPPORTED BYMinistry of Science, Education and SportEDITORIAL COUNCILKaæimir VrankiÊ, MSc (Chairman), HEP d.d., Zagreb - AssistantProf Ante ΔurkoviÊ, PhD, Zagreb - Prof Igor DekaniÊ, PhD, Zagreb- Prof Danilo FeretiÊ, PhD, Zagreb - Nikica GrubiπiÊ, MSc, Zagreb- Prof Slavko Krajcar, PhD, Zagreb - Assistant Prof Æeljko TomπiÊ,PhD, Zagreb - Mladen Zeljko, PhD, ZagrebEDITORIAL BOARDEditor-in-Chief ∑ Goran Slipac, MSc, ZagrebSecretary ∑ Slavica Barta-Koπtrun, MSc, ZagrebLanguage Editor ∑ ©imun »agalj, prof., ZagrebMetrology ∑ Dragan BorojeviÊ, dipl. ing., ZagrebTranslation ∑ Croatian Association of Scientific and TechnicalTranslators ∑ Croatian Translation Agency, ZagrebHEAD OFFICE AND MANAGEMENTHEP d.d. - Energija, Editorial BoardUlica grada Vukovara 37, 10000 Zagreb, CroatiaTelephone: +385 (1) 6171291 and 6322641Fax: +385 (1) 6322143e-mail: goran.slipac@hep.hr; slavica.barta@hep.hr;www.hep.hrAppears 6 times a year.Annual subscription fee excl. VAT (22 %):∑ for individual subscribers HRK 250∑ for companies HRK 400∑ for students HRK 60Number of gyro account with ZagrebaËka Banka:2360000-1400129978Annual subscription fee for the overseas: USD 95.Number of foreign currency account with ZagrebaËka Banka:2000006299Cover design ∑ Kaæimir VrankiÊ, MSc, ZagrebGraphic layout ∑ Bestias Dizajn d.o.o., ZagrebPrinted by ∑ Intergrafika d.o.o., ZagrebCirculation ∑ 1,500 copies Volume 56(2007)Zagreb, 2007 No 5., pp. 521∑636Ads are the size of page. The price of an ad is HRK 3 000 excl.VAT (22%).SADRÆAJCONTENTS526-553554-583Klepo, M.ULOGA REGULATORNOG TIJELA U DONO©ENJUTARIFNIH SUSTAVA: OKRUGLI STOL ∑PRIKAZ I ZAKLJU»CI(pregledni Ëlanak)©tritof, I., KleËina, F.REGULATORNA POLITIKA I NJEN UTJECAJ NA PLANOVERAZVOJA I IZGRADNJE ENERGETSKIH SUBJEKATA KOJIOBAVLJAJU REGULIRANE DJELATNOSTI(pregledni Ëlanak)Klepo, M.THE ROLE OF THE REGULATORY AGENCY IN THE ADOPTION OFTARIFF SYSTEMS: ROUND TABLE DISCUSSION ∑ REPORT ANDCONCLUSION(review article)©tritof, I., KleËina, F.REGULATORY POLICY AND ITS IMPACT ON THE DEVELOPMENTAND CONSTRUCTION PLANS OF ENTITIES PERFORMINGREGULATED ACTIVITIES(review article)584-607608-617618-633TokiÊ, A., UgleπiÊ, I.NUMERI»KI PRORA»UN NISKOFREKVENCIJSKIH ELEKTRO-MAGNETSKIH PRIJELAZNIH POJAVA U ENERGETSKIMTRANSFORMATORIMA(izvorni znanstveni Ëlanak)Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J.,Tsichlakis, Ch., Hatziargyriou, N. D.,DIJAGNOSTI»KI PREGLED RASPADA ELEKTROENERGETSKOGSUSTAVA NA OTOKU RODOSU(izvorni znanstveni Ëlanak)SutloviÊ, E., Petric, K.BAZA PODATAKA RELEJNE ZA©TITE(izvorni znanstveni Ëlanak)TokiÊ, A., UgleπiÊ, I.THE NUMERICAL CALCULATION OF LOW FREQUENCYELECTRO-MAGNETIC TRANSIENT PHENOMENA IN POWERTRANSFORMERS(original scientifical article)Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J.,Tsichlakis, Ch., Hatziargyriou, N. D.,DIAGNOSTIC REVIEW OF A BLACKOUT IN RHODES(original scientifical article)SutloviÊ, E., Petric, K.RELAY PROTECTION DATABASE(izvorni znanstveni Ëlanak)522»asopis je ubiljeæen u Ministarstvu znanosti, obrazovanja i sporta pod The magazine is registered with the Ministry of Science, Education andKlepo, brojem M., 161 Uloga od 12.11.1992.regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., Sport str. 526-553 under No. 161 since 12.11.1992.Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553»asopis je indeksiran u sekundarnom bibliografskom izvoru INSPEC The magazine is indexed with the secondary reference source of INSPEC∑ The Institution of Electrical Engineering, England.∑ The Institution of Electrical Engineering, England.

URE–IVA»KA POLITIKA»asopis Energija znanstveni je i struËni Ëasopiss dugom tradicijom viπe od 50 godina. PokrivapodruËje elektroprivredne djelatnosti i energetike.»asopis Energija objavljuje izvorne znanstvene istruËne Ëlanke πirokoga podruËja interesa, od specifiËnihtehniËkih problema do globalnih analizaprocesa u podruËju energetike.U vrlo πirokom spektru tema vezanih za funkcioniranjeelektroprivredne djelatnosti i opÊenito energetikeu træiπnim uvjetima i opÊoj globalizaciji, Ëasopisima poseban interes za specifiËne okolnostiostvarivanja tih procesa u Hrvatskoj i njezinu regionalnomokruæenju. Funkcioniranje i razvoj elektroenergetskihsustava u srediπnjoj i jugoistoËnojEuropi, a posljediËno i u Hrvatskoj, optereÊenoje mnogobrojnim tehniËko-tehnoloπkim, ekonomskim,pravnim i organizacijskim problemima. Namjeraje Ëasopisa da postane znanstvena i struËnatribina na kojoj Êe se kritiËki i konstruktivno elaboriratinavedena problematika i ponuditi rjeπenja.»asopis je posebno zainteresiran za sljedeÊu tematiku:opÊa energetika, tehnologije za proizvodnjuelektriËne energije, obnovljivi izvori i zaπtitaokoliπa; koriπtenje i razvoj energetske opreme i sustava;funkcioniranje elektroenergetskoga sustavau træiπnim uvjetima poslovanja; izgradnja elektroenergetskihobjekata i postrojenja; informacijskisustavi i telekomunikacije; restrukturiranje i privatizacija,reinæenjering poslovnih procesa; trgovanjei opskrba elektriËnom energijom, odnosi s kupcima;upravljanje znanjem i obrazovanje; europska iregionalna regulativa, inicijative i suradnja.Stranice Ëasopisa podjednako su otvorene iskusnimi mladim autorima, te autorima iz Hrvatske iinozemstva. Takva zastupljenost autora osiguravaznanje i mudrost, inventivnost i hrabrost, te pluralizamideja koje Êe Ëitatelji Ëasopisa, vjerujemo,cijeniti i znati dobro iskoristiti u svojem profesionalnomradu.EDITORIAL POLICYThe journal Energija is a scientific and professionaljournal with more than a 50-year tradition. Coveringthe areas of the electricity industry and energy sector,the journal Energija publishes original scientificand professional articles with a wide area ofinterests, from specific technical problems to globalanalyses of processes in the energy sector.Among the very broad range of topics relating to thefunctioning of the electricity industry and the energysector in general in a competitive and globalizingenvironment, the Journal has special interest in thespecific circumstances in which these processesunfold in Croatia and the region. The functioningand development of electricity systems in Centraland South Eastern Europe, consequently in Croatiatoo, is burdened with numerous engineering, economic,legal and organizational problems. The intentionof the Journal is to become a scientific andprofessional forum where these problems will becritically and constructively elaborated and wheresolutions will be offered.The Journal is especially interested in the followingtopics: energy sector in general, electricityproduction technologies, renewable sources andenvironmental protection; use and development ofenergy equipment and systems; functioning of theelectricity system in competitive market conditions;construction of electric power facilities and plants;information systems and telecommunications;restructuring and privatization, re-engineering ofbusiness processes; electricity trade and supply,customer relations; knowledge management andtraining; European and regional legislation, initiativesand cooperation.The pages of the Journal are equally open to experiencedand young authors, from Croatia and abroad.Such representation of authors provides knowledgeand wisdom, inventiveness and courage as well aspluralism of ideas which we believe the readers ofthe Journal will appreciate and know how to put togood use in their professional work.523

UVODINTRODUCTIONDragi Ëitatelji,u rukama Vam je novi broj Ëasopisa Energija koji,kao i do sada, donosi niz aktualnosti iz podruËjatræiπta elektriËne energije te pojedinih specijalistiËkihpodruËja u elektrotehnici. U svijetu, ali i uHrvatskoj, dominiraju teme vezane uz razvoj i izgradnjuenergetskih infrastrukturnih sustava, biloda se radi o plinskom ili elektroenergetskom sustavu.StruËna javnost osim o ovim vaænim aspektimaenergetskih i elektroenergetskih sustava razmatra ipitanja regulacije energetskih djelatnosti, odnosnoregulatorne politike koja treba omoguÊiti uspostavutræiπta umreæenih energenata; elektriËne energijei prirodnog plina.U ovom broju Ëasopisa Energija, objavljujemoËlanke koji su na neposredan ili posredan naËinvezani uz regulaciju energetskih djelatnosti, a istotako i Ëlanke iz pojedinih specijalistiËkih podruËjaelektrotehnike:∑∑∑∑∑Uloga regulatornog tijela u donoπenju tarifnihsustava ∑ okrugli stol ∑ prikaz i zakljuËciRegulatorna politika i njen utjecaj na planoverazvoja i izgradnje energetskih subjekata kojiobavljaju regulirane djelatnostiNumeriËki proraËun niskofrekvencijskih elektromagnetskihprijelaznih pojava u energetskimtransformatorimaDijagnostiËki pregled raspada elektroenergetskogsustava na otoku rodosuBaza podataka relejne zaπtite.U prvom Ëlanku su prikazani zakljuËci s Okruglogstola Hrvatskog ogranka CIGRE Studijskog odoraC5 ∑ Træiπte elektriËnom energijom i regulacija.Naime, reforma elektroenergetskog sektora podrazumIjevai reformu tarifnog sustava koja bi se trebalaprovesti poËetkom sljedeÊe godine i u ovomËlanku dani su vrlo zanimljivi komentari zainteresiranihstrana u hrvatskom elektroenergetskomsektoru, ali i relevantnih eksperata iz europskihregulatornih tijela i zemalja s viπegodiπnjim iskustvomu ekonomskoj regulaciji, bilo da se radi odugogodiπnjim Ëlanicama EU, ili zemljama koje sutek nedavno postale Ëlanice EU.Dear Readers,You are holding the most recent issue of the journalEnergija, which continues to present news aboutthe electricity markets and individual specializedfields in electrical engineering. In the internationalcommunity as well as Croatia, there is major interestin the development and construction of energyinfrastructure systems, both gas or electricity. Theprofessional public is also concerned with questionsregarding the regulation of energy activitiesand regulatory policies for the purpose of establishingmarkets for networked energy.In this issue of the journal, we are presenting articlesthat are directly or indirectly connectedwith the regulation of energy activities and articlesfrom individual specialized areas of electricalengineering:∑ The Role of the Regulatory Agency in the Adoptionof Tariff Systems: Round Table Discussion∑ Report and Conclusion∑ Regulatory Policy and Its Impact on the Developmentand Construction Plans of RegulatedEnergy Entities∑ The Numerical Calculation of Low FrequencyElectromagnetic Transient Phenomena in PowerTransformers∑ Diagnostic Review of a Blackout in Rhodes∑ Relay Protection DatabaseThe first article presents conclusions from theRound Table Discussion on the Role of theRegulatory Agency in the Adoption of Tariff Systemsorganized by the Croatian National Committee ofCIGRE ∑ C5 ∑ Electricity Markets and Regulation.Reform of the electricity sector also includes reformof the tariff system, which should be implementedearly next year. This article provides valuable commentariesby interested parties in the Croatianelectricity sector as well as relevant experts fromthe European regulatory bodies and countries withmany years of experience in economic regulation,long-time members of the EU as well as countriesthat have recently become members.524

U postupku davanja suglasnosti na visinu tarifnihstavki, Hrvatska energetska regulatorna agencijadaje suglasnost na trogodiπnje planove razvojai izgradnje prijenosne, odnosno distribucijskemreæe. Tako se u drugom Ëlanku daju komentarina razliËite aspekte regulatorne politike, koja uvelikoj mjeri moæe utjecati na razvoj prijenosne idistribucijske mreæe te na poslovanje subjekatakoji obavljaju regulirane djelatnosti.Model transformatora primjenjiv u niskofrekvencijskimelektromagnetskim prijelaznim pojavamas frekvencijama reda veliËine pribliæno 1 kHz, prikazanje u treÊem Ëlanku. U radu se polazi od matematiËkogi analitiËkog modela, a zatim je zbogograniËenja analitiËkog modela u analizu uvedennumeriËki pristup rjeπavanja krutih diferencijalnihjednadæbi koje opisuju prijelaznu pojavu.Razvijeni algoritam moæe se uspjeπno koristiti uostalim niskofrekvencijskim prijelaznim pojavamagdje je glavni predmet analize nelinearni karaktertransformatora.»lanak skupine autora iz GrËke daje saæet prikaz ianalizu raspada elektroenergetskog sustava otokaRodosa. Opisani i dijagnosticirani raspad elektroenergetskogsustava vrlo je zanimljiv s obzirom dase radi o izoliranom sustavu u kojemu se sukcesivnodogaapplea nekoliko poremeÊaja razliËitih uzroka iposljedica.Posljedni Ëlanak obraappleuje temu baze podataka, uovom sluËaju podataka o relejnoj zaπtiti. U dobrostrukturiranom Ëlanku daje se model koriπtenjabaze svih relevantnih podataka vezanih uz relejnuzaπtitu i to na naËin da se koristi relativno lakodostupan komercijalni program. Posebna znaËajkaovog modela upravljanja bazom podataka jenjegova jednostavnost, πto znaËi da potrebna razinaznanja o tehnikama baza podataka te naËinupretraæivanja i Ëuvanja podataka ne mora bitivisoka.»lanke u ovom broju Ëasopisa Energija potpisujedvanaest autora iz sveuËiliπne zajednice, ali i izprakse, πto je, vjerujem, rezultiralo i kvalitetnimËlancima.As part of the procedure for authorizing the amountsof tariff items, the Croatian Energy RegulatoryAgency authorizes three-year development andconstruction plans for transmission and distributionnetworks. The second article provides commentarieson various aspects of the regulatory policy, whichcan have a considerable impact upon the developmentof the transmission and distribution networks,as well as the operations of the regulatory bodies.In the third article, a transformer model is presentedthat is applicable to low frequency electromagnetictransient phenomena of up to 1 kHz. The articlefirst presents analytical and mathematical models.Due to the limitations of the analytical model, anumerical approach is introduced for the solutionof the stiff differential equations that describe thetransient phenomena. The algorithm developed canbe used successfully in other low frequency transientphenomena where the main subject of analysisis the nonlinear character of the transformer.An article by a group of authors from Greece summarizesand analyzes a blackout that occurred in theelectrical energy system on the island of Rhodes.The description and diagnosis of the system blackoutis very interesting because it concerns an isolatedsystem in which there were successive perturbationswith various causes and consequences.The last article concerns the topic of databases,in this case data on relay protection. This wellstructuredarticle presents a relay protection datamodel using the easily obtainable Microsoft AccessDatabase Program. A particular characteristic ofthis model of database management is its simplicity,which means that the required level of userknowledge regarding database techniques, searchesand data storage need not be high.The articles in this issue of the journal Energija aresigned by twelve authors from the university andenergy bussines.Editor-in-ChiefGoran Slipac, MScGlavni urednikmr. sc. Goran Slipac525

ULOGA REGULATORNOG TIJELA UDONO©ENJU TARIFNIH SUSTAVA:OKRUGLI STOL ∑ PRIKAZ I ZAKLJU»CITHE ROLE OF THE REGULATORYAGENCY IN THE ADOPTION OF TARIFFSYSTEMS: ROUND TABLE DISCUSSION∑ REPORT AND CONCLUSIONDr. sc. MiÊo Klepo, Hrvatska energetska regulatorna agencija,Koturaπka cesta 51, 10000 Zagreb, HrvatskaKrajem 2006. godine Hrvatska energetska regulatorna agencija donijela je metodologije za izraËuntarifa za djelatnosti proizvodnje, prijenosa, distribucije i opskrbe elektriËnom energijom, koje sudo sada bile komponente jedinstvene tarife za integrirani sustav djelatnosti proizvodnje, prijenosa,distribucije i opskrbe elektriËnom energijom. Sukladno zakonskoj obvezi razdvajanja navedenihdjelatnosti, izraæenih i kroz pristup spomenutim metodologijama tarifnih sustava, u tijeku su poslovivezani uz izraËun i donoπenje tarifnih stavki za navedene energetske djelatnosti.Primjenom spomenutih metodologija, odnosno donoπenjem i stupanjem na snagu novih tarifnihstavki elektroenergetski sektor i elektroenergetsko gospodarstvo Republike Hrvatske uÊi Êe u probnoregulatorno razdoblje. Stoga je i za regulatorno tijelo, za predstavnike reguliranih djelatnosti,jednako tako i za struËnu javnost od velike vaænosti i pomoÊi bilo raspraviti neka pitanja i dileme izpredmetne problematike, i to upravo na skupu s predstavnicima raznih zainteresiranih strana.In late 2006, the Croatian Energy Regulatory Agency adopted methodologies for the calculationof tariffs for the activities of the generation, transmission, distribution and supply of electricity,which until now have been components of a single tariff for an integrated system of the activitiesof the generation, transmission, distribution and supply of electricity. Pursuant to the legalobligations to separate these activities, as also expressed through the approach of the citedmethodologies of the tariff systems, activities are in progress in reference to the calculation andadoption of tariff items for the aforementioned fundamental energy activities.With the application of the cited methodologies, i.e. the adoption and coming into force of thenew tariff systems of the electricity sector and the electricity sector of the Republic of Croatia, anew trial regulatory period will be entered. Therefore, for the regulatory agency, representativesof the regulated entities, and professional public, discussion of several questions and dilemmasfrom this area at a meeting among representatives of various interested parties was consideredto be of great importance and benefit.KljuËne rijeËi: energetsko regulatorno tijelo, ekonomska regulacija, metoda priznatih troπkova,metodologija tarifnog sustava, regulacija stopom povrataKey words: economic regulation, energy regulatory agency, method of recognized costs, regulationof the rate of return, tariff system methodologyKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553526

1 UVODNa inicijativu SO C5 ∑ Træiπte elektriËnom energijomi regulacija, IO HRO CIGRÉ, u Zagrebu je 15.svibnja 2007. godine odræan Okrugli stol ∑ Ulogaregulatornog tijela u donoπenju tarifnih sustava.Okrugli stol organiziran je sa svrhom i ciljem dapredstavnici regulatornih tijela i predstavnici reguliranihsubjekata uz prisutnost struËne javnostiizloæe svoja iskustva i poglede, odnosno raspraveproblem uloge i postupanja regulatornog tijela tesadræaja ekonomske regulacije kada su u pitanjutarifni sustavi za proizvodnju, prijenos, distribucijui opskrbu elektriËnom energijom. Naravno, postojibitna razlika izmeappleu, s jedne strane proizvodnjei opskrbe elektriËnom energijom kao primarnotræiπnih djelatnosti, dakle djelatnosti izloæenihkonkurenciji, i s druge strane infrastrukturnihprirodnih monopolnih djelatnosti prijenosa i distribucijeelektriËne energije, koji su u pravilu reguliranedjelatnosti. Zakonodavni i regulatorni okvir ukojem postoji jasno izraæena obveza javne uslugeopskrbe tarifnih kupaca taj kontekst moæe djelomiËnoizmijeniti na naËin da energetske djelatnostiproizvodnje i opskrbe elektriËnom energijom inadalje ostaju predmetom ekonomske regulacije inadzora energetskog regulatornog tijela. Tako su uovom sluËaju sve Ëetiri navedene usluge stavljeneu kontekst opÊeg ekonomskog (gospodarskog)interesa i povjerena jednom poduzeÊu, da bi seosigurala sigurna, redovita i kvalitetna opskrbaenergijom po razumnim cijenama, vodeÊi raËunao zaπtiti okoliπa. U svakom sluËaju, problematikaodabira pristupa i utvrappleivanja metodologijeekonomske regulacije i donoπenja odgovarajuÊihtarifnih sustava za svaku od navedenih energetskihdjelatnosti, koje su ranije bile ukljuËene uintegrirani tarifni sustav, i na koje se sada trebajuprimijeniti zasebni tarifni sustavi, stvara jedanpotpuno novi problem koji je uz to praÊen problemomefikasnog odvajanja energetskih djelatnosti.Dakako, sustavi i regulatorna tijela drugih zemaljabili su suoËeni i suoËavaju se sa sliËnim pitanjimai problemima. Stoga je bilo vaæno raspravitineka pitanja i dileme iz predmetne problematikes predstavnicima raznih zainteresiranih strana, apoglavito je bilo vaæno Ëuti iskustva i stavove relevantniheksperata iz europskih regulatornih tijela izemalja s viπegodiπnjim iskustvom u ekonomskojregulaciji, bilo da se radi o dugogodiπnjim ËlanicamaEU, ili zemljama koje su tek nedavno postaleËlanice EU.1 INTRODUCTIONAt the initiative of SC C5 ∑ Electricity Markets andRegulation, the Croatian National Committee ofCIGRÉ, the Round Table Discussion on the Roleof the Regulatory Agency in the Adoption of TariffSystems was held in Zagreb on May 15, 2007.The Round Table Discussion was organized withthe purpose and goal of providing the opportunityfor representatives of the regulatory bodies andthe regulated entities to present their experiencesand views in the presence of the professional public,i.e. discuss the problem of the role and approachof the regulatory agency and the contentof economic regulation regarding the question ofthe tariff systems for the generation, transmission,distribution and supply of electricity. Naturally,there are significant differences between the generationand supply of electricity as primary marketactivities, i.e. activities subject to competition onthe one hand, and on the other hand the infrastructuralnatural monopolistic activities of thetransmission and distribution of electricity, whichas a rule are regulated activities. The legislativeand regulatory framework in which there areclearly expressed public service obligation supplyingtariff customers can partially alter this contextin that the energy activities of the generation andsupply of electricity continue to remain subject toeconomic regulation and supervision by the energyregulatory agency. All four of the stated servicesare considered to be of general economic interestand entrusted to a single enterprise in order to assurea reliable, regular and quality energy supplyat reasonable prices, while taking environmentalprotection into account. In any case, the problemsof selecting an approach, determining a methodologyfor economic regulation and adopting thesuitable tariff systems for each of the cited energyactivities that were previously included within anintegrated tariff system, for which it is now necessaryto apply separate tariff systems, create acompletely new problem which is accompanied bythe problem of the effective separation of energyactivities. Certainly, the systems and regulatoryagencies of other countries have been confrontedwith similar questions and problems. Therefore,it was important to discuss certain questions anddilemmas regarding this topic with representativesof various interested parties and it was especiallyimportant to hear about the experiences and positionsof relevant experts from the European regulatoryagencies and countries with many years ofexperience in economic regulation, whether longstandingmembers of the European Union or countriesthat have only recently become members ofthe EU.Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553528

U radu Okruglog stola po pozivu su uz prezentacijei predavanja, te kroz diskusije razliËitih ulogai nadleænosti regulatornih tijela, ali i praktiËnihpristupa regulaciji i problemu donoπenja tarifnihsustava, sudjelovali predstavnici regulatornih tijelaFrancuske, Austrije, Slovenije, Maapplearske iHrvatske, te predstavnici Hrvatske elektroprivreded.d., odnosno predstavnici energetskih subjekta uRepublici Hrvatskoj za koje se donose i primjenjujuodgovarajuÊi tarifni sustavi. Okrugli stol pobudioje veliki interes struËne javnosti i intenzivnudiskusiju problema i sadræaja uloge regulatornogtijela kada su u pitanju regulatorni pristupi i metodeekonomske regulacije energetskih djelatnosti,dakako onih energetskih djelatnosti koji imajumonopolne pozicije ili kojima su pridijeljene obvezejavnih usluga. Interes za teme metodologijatarifnih sustava, strukture, utjecajnih parametara,podloga i dokaza za utvrappleivanje razine tarifnihstavki i inaËe pobuappleuju veliki interes, πto se oËitovaloi na ovom Okruglom stolu.2 OSNOVNI ZAKONODAVNIOKVIR EU ZA USPOSTAVUTRÆI©TA ELEKTRI»NEENERGIJE I SADRÆAJREGULACIJEKljuËni akti Europske komisije koji definiraju opÊiokvir osnivanja i rada energetskih regulatornih tijela,odnosno utvrappleuju opÊe smjernice i standardeorganizacije energetskog træiπta i nadleænosti tihtijela u svezi elektriËne energije su:∑ Direktiva 2003/54/EZ Europskog parlamentai VijeÊa ministara o opÊim pravilima zaunutraπnje træiπte elektriËne energije i prestankuvaæenja Direktive 96/02/EZ, koja utvrappleujeopÊa pravila za proizvodnju, prijenos, distribucijui opskrbu elektriËnom energijom, tedefinira pravila o organizaciji i funkcioniranjuelektroenergetskog sektora, pristupa træiπtu,kriterije i postupke koji se primjenjuju za objavunadmetanja i davanje odobrenja i upravljanjesustavima,∑ Direktiva 2003/55/EZ Europskog parlamentai VijeÊa o zajedniËkim pravilima unutarnjegtræiπta prirodnog plina i ukidanju Direktive98/30/EZ, koja utvrappleuje zajedniËka pravila zaprijenos, distribuciju, opskrbu i skladiπtenjeprirodnog plina, LNG-a i druge tipove plinovakoji se mogu tehniËki i sigurno ubacivati itransportirati kroz sustav za prirodni plin, tedefinira pravila o organizaciji i funkcioniranjusektora, pristupa træiπtu, kriterije i postupkeIn the Round Table Discussion, in addition to invitedpresentations, lectures and the discussion of thevarious roles and authorities of regulatory agencies,as well as practical approaches to regulation andthe adoption of tariff systems, representatives ofthe regulatory agencies of France, Austria, Slovenia,Hungary and Croatia as well as representatives ofHrvatska elektroprivreda d.d., i.e. representatives ofthe energy entities in the Republic of Croatia whoadopt and apply the corresponding tariff systems,also participated. The Round Table Discussionaroused great interest among the professional publicand provoked intense discussion on the problemand content of the role of the regulatory agency regardingregulatory approaches and methods for theeconomic regulation of energy activities, i.e. thoseenergy activities that have a monopoly position orto whom the public service obligation has been assigned.The topics of the methodologies of the tariffsystems, the structure, influential parameters, basisand evidence for the determination of various tariffitems attract great interest generally, which wasalso apparent at this Round Table Discussion.2 THE BASIC LEGISLATIVEFRAMEWORK OF THEEUROPEAN UNION FOR THEESTABLISHMENT OF ANELECTRICITY MARKET AND THECONTENT OF REGULATIONThe key acts of the European Commission thatdefine the general framework for the establishmentand activity of energy regulatory agencies,i.e. determine the general guidelines and standardsfor the organization of the energy market and theauthorities of these bodies in connection with electricity,are as follows:∑ Directive 2003/54/EC of the European Parliamentand of the Council of Ministers on CommonRules for the Internal Market in Electricityand Repealing Directive 96/02/EC, that determinesthe general rules for the generation, transmission,distribution and supply of electricityand defines the rules on the organization andfunction of the electricity sector, market approach,the criteria and processes that are appliedfor announcing tendering procedures, issuingauthorizations and managing systems,∑ Directive 2003/55/EC of the European Parliamentand of the Council Concerning CommonRules for the Internal Market in Natural Gas andRepealing Directive 98/30/EC, which determinesthe common rules for the transmission, distribution,supply and storage of natural gas, liquefied529Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

koji se primjenjuju na davanje odobrenja i radsustava,∑ Uredba 1228/2003/EZ Europskog parlamentai VijeÊa o uvjetima pristupa mreæi za prekograniËnurazmjenu elektriËne energije, te∑ Uredba 1775/2005/EZ o uvjetima pristupatransportnim mreæama za prirodni plin.Unutar tog opÊeg zakonodavnog okvira regulatornomtijelu mogu se dodijeliti razliËite nadleænostii odgovornosti, odnosno poslovi. Na Okruglomstolu prezentacijama i raspravom primarno su bileobuhvaÊene nadleænosti i uloga regulatornog tijelau pogledu donoπenja metodologija tarifnih sustavai/ili odreappleivanja tarifa/naknada za energetske usluge,odnosno krajnje kupce. Neposredno u svezi stim prezentirani su i raspravljeni i moguÊi pristupireguliranju monopola ili javnih usluga (cijenakoriπtenja mreæe, uvjeta pristupa mreæama, pravilaza voappleenje sustava, uvjeta osiguranja stabilnostii pouzdanosti sustava, pravila i uvjeta osiguranjapomoÊnih usluga sustava). ©irom raspravom bilesu obuhvaÊene i ostale nadleænosti i poslovi kojise u pravilu dodjeljuju regulatornom tijelu, kao πtosu nadzor standarda kvalitete i izvedbe, kreiranjei provoappleenje opÊih uvjeta, propisa i standarda,reguliranje ulaska energetskih subjekata u sektor(dozvole, povlaπteni statusi, prikljuËenja, novaizgradnja) i nadzor nad træiπtem, izvjeπtavanje, savjetovanjevlade, ministarstava, javnosti, rjeπavanjeæalbi na rad operatora sustava i rjeπavanje æalbi isporova kupaca.Na Okruglom stolu jasno je pokazano da je unutartog jednog opÊeg zakonodavnog okvira svaka zemljaËlanica EU razvila i uspostavila vlastiti zakonodavnii regulatorni okvir za træiπte elektriËne energije i radnacionalnog regulatornog tijela, temeljeÊi rjeπenjai praksu na vaæeÊem osnovnom nacionalnompravnom i zakonodavnom sustavu. OpÊe je pravilo,a isto je viπe puta i u svim sluËajevima ponovljenona gotovo istovjetan naËin od strane predstavnikaregulatornih tijela Francuske, Austrije, Slovenije,Maapplearske i Hrvatske, sudionika Okruglog stola, daje cilj svake zemlje uspostaviti neovisno i efikasnonacionalno regulatorno tijelo koje Êe stvoritiuvjete i nadzirati razvoj i uspostavu razvidnog,efikasnog i nepristranog træiπta elektriËneenergije i plina na dobrobit svih sudionika tihtræiπta i krajnjih korisnika. Preduvjeti razvidnog,efikasnog i nepristranog træiπta elektriËne energijei plina su osiguranje i provedba razvidnogi nediskriminirajuÊeg pristupa energetskimmreæama po unaprijed poznatim, reguliranimuvjetima, neovisan i nepristran rad operatoraenergetskih sustava, razvidno i nepristranorjeπavanje sporova i prigovora na pristupe mreæamai rad operatora mreænih sustava, efikasna provedbai garancije raËunovodstvenog i upravljaËkognatural gas (LNG) and other types of gases thatcan technically and safely be injected into andtransported through the natural gas system, anddefines the rules on the organization and functionof the sector, market access, criteria andprocedures that are applicable to the granting ofauthorizations and the operation of the system,∑ Regulation 1228/2003/EC of the EuropeanParliament and of the Council on Conditions forAccess to the Network for Cross-Border Exchangesin Electricity, and∑ Regulation 1775/2005/EC of the European Parliamentand of the Council on Conditions for Accessto the Natural Gas Transmission Networks.Within this general legislative framework, variousauthorizations and responsibilities, i.e. tasks canbe assigned to a regulatory agency. At the RoundTable, the presentations and discussions were primarilyabout the authorities and roles of the regulatoryagency regarding the adoption of methodologies fortariff systems and/or determining tariffs/charges forenergy services, i.e. the final customers. In connectionwith this, potential approaches to the regulationof monopolies or public services were presentedand discussed (the cost of network use, conditionsfor network access, rules for system management,conditions for assuring the stability and reliabilityof a system, and rules and conditions for securingauxiliary system services). Broader discussions includedother authorities and tasks that as a rule areassigned to the regulatory body, such as the supervisionof the standards for quality and implementation,the creation and implementation of generalconditions, regulations and standards; regulation ofthe entry of energy entities into the sector (permits,privileged status, connections and new construction)and supervision over the market, reporting; advisingthe government, ministries and public; the settlingof complaints regarding the work of the system operator,and customer complaints and disputes.At the Round Table Discussion, it was clearly demonstratedthat within this general legislative framework,each Member Country of the EU has developed andestablished its own legislative and regulatory frameworkfor the electricity market and the work of thenational regulatory agency, based upon the solutionsand practice of the prevailing basic national legaland legislative system. As a general rule, which wasrepeated in all cases in a nearly identical manner inthe presentations by the representatives of the regulatoryagencies of France, Austria, Slovenia, Hungaryand Croatia, i.e. the Round Table participants, thegoal of every country is to establish an independentand efficient national regulatory agency that will createthe conditions, supervise the development andestablish transparent, efficient and nondiscriminatoryelectricity and gas markets for the benefit of all theKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553530

azdvajanja energetskih djelatnosti, sprjeËavanjemeappleusobnih subvencioniranja reguliranih inereguliranih djelatnosti unutar vertikalno ilihorizontalno integriranih sustava, efikasan sustavprekograniËnih razmjena, razvoj i uspostavaefikasnih træiπnih mehanizama i slobodna træiπnautakmica itd.S druge strane, Ëinjenice i pojavnost su da regulatornatijela u razliËitim zemljama imaju razliËitepozicije u odnosu na dræavna tijela i institucije,prvenstveno odgovarajuÊe vlade i ministarstva, terazliËite uloge i nadleænosti. U nekim zemljamaregulatorna tijela su organizacijska jedinica ilidio ministarstva ili pod nadzorom ministarstvaili vlade. U drugim zemljama su ili znaËajno iliu potpunosti neovisna tijela. U nekim zemljamaregulatorna tijela imaju nadleænost i obvezu nadzoraprovedbe podzakonskih akata, donoπenja metodologijatarifnih sustava, davanja odobrenja naplanove razvoja i planove investiranja reguliranihsubjekata, nadzora provedbe ili primjene tarifnihsustava i tarifa, nadzora financijskog poslovanja,nadzora provedbe raËunovodstvenog i upravljaËkograzdvajanja, nadzora kvalitete energetskih usluga,davanja odgovarajuÊih miπljenja i savjetovanjaministarstava i vlada o cijenama, tarifama, pitanjimauspostave energetskog træiπta i sl. U drugimzemljama nacionalna regulatorna tijela imajujaËu ulogu i nadleænosti, koje ukljuËuju donoπenjeodgovarajuÊih podzakonskih akata, ali i poduzimanjeodgovarajuÊih mjera, utvrappleivanje tarifai uvjeta pristupa mreæama, rjeπavanje sporova usvezi s pristupom mreæama i uvjetima koriπtenjamreæa, rjeπavanje prigovora i æalbi na rad operatoramreænih sustava, rjeπavanje prigovora i æalbikrajnjih kupaca i sliËno. Nisu zanemarivi i sustavimjera i sankcija koje nekim regulatornim tijelimastoje na raspolaganju da bi osnaæili svoje djelovanjei odluke.Kada su u pitanju nadleænosti za definiranje idonoπenje metodologija ekonomske regulacije,odnosno izbor, definiranje i donoπenje osnovnogregulacijskog pristupa, metodologije tarifnog sustavai samih tarifa, uloge regulatornih tijela se razlikuju.Opet, u nekim zemljama regulatorna tijelaimaju kljuËnu ulogu u svim segmentima procesaod definiranja metode regulacije i metodologijetarifnog sustava, nadzora poslovanja i revizije financijskihpokazatelja i izvjeπÊa energetskih subjekata,dubinske revizije i odobravanja troπkova,definiranja i odobravanja kljuËnih regulacijskih imakroekonomskih parametara, primjene mehanizamajavnog prezentiranja i oËitovanja javnosti,odnosno korisnika i kupaca o iznosima tarifnihstavki itd. U drugim zemljama regulatornim tijelimadane su u nadleænost i obveze samo nekaod navedenih prava, poslova i obveza. NajËeπÊiparticipants of these markets and the final customers.The prerequisites for transparent, efficient andnondiscriminatory electricity and gas markets are theassurance and implementation of transparent andnondiscriminatory access to the energy networks accordingto previously specified regulatory conditions,the independent and nondiscriminatory work of theenergy system operators, the transparent and nondiscriminatoryresolution of disputes and complaintsregarding network access and the work of the networksystem operators, the efficient implementationand guarantee of the accounting and managerial unbundlingof energy activities, the prevention of crosssubsidies among regulated and unregulated activitieswithin vertically or horizontally integrated systems,an effective system for cross-border exchanges, thedevelopment and establishment of efficient marketmechanisms and free market competition etc.Otherwise, the regulatory agencies in various countrieshave differing positions in relation to the stateagencies and institutions, primarily the correspondinggovernments and ministries, and various rolesand authorities. In some countries, the regulatoryagencies are organizational units, parts of a ministryor under the supervision of a ministry or the government.In other countries, they are either considerablyor entirely independent bodies. In some countries,the regulatory bodies have the authority andresponsibility of supervising the implementation ofbylaws, the adoption of the methodologies of the tariffsystems, granting approval for the developmentand investment plans of the regulated entities, supervisionover the implementation or application oftariff systems and tariffs, supervision over financialoperations, supervision over the implementation ofaccounting and managerial unbundling, supervisionover the quality of energy services, issuing suitableopinions and advising ministries and the governmentregarding prices, tariffs, questions regarding the establishmentof the energy market etc. In other countries,the national regulatory agency has a strong roleand powerful authority, including the adoption ofsuitable bylaws but also the undertaking of suitablemeasures for the determination of tariffs and conditionsfor network access, the settlement of disputesin connection with network access and conditions fornetwork use, the settlement of complaints regardingthe work of the network system operator, the settlementof complaints from the final customers etc. Thesystem of measures and penalties that some regulatoryagencies have at their disposal to enforce theiractivity and decisions is not insignificant.When authorities are in question for the definitionand adoption of methodologies for economic regulation,i.e. the selection, definition and adoption ofthe basic regulatory approach, methodologies of thetariff system and tariffs themselves, the roles of the531Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

je sluËaj da regulatorno tijelo ima obvezu i odgovornostza donoπenje odgovarajuÊe metodologijetarifnih sustava, te nadzora poslovanja i troπkovareguliranih subjekata. Regulatorna tijela u nekimzemljama daju miπljenja odgovarajuÊim ministarstvimai vladama u pogledu visine tarifnih stavki,u drugim zemljama imaju nadleænost utvrappleivanja,odnosno reguliranja tarifnih stavki, πto je u pravilui cilj njihova osnivanja.KonaËno, nuæno je ukazati i na treÊi aspekt ili razinumoguÊih nadleænosti i odgovornosti regulatornihtijela. Tu treÊu razinu Ëine pristupi pojedinimsegmentima ili problemima ekonomske regulacijekao πto su problemi kriterija za pridjeljivanje i priznavanjerazine operativnih troπkova poslovanja,odobravanja i priznavanja investicija u nove objekte,postrojenja i instalacije, troπkova kapitala,odnosno amortizacije i povrata na uloæena sredstva,utvrappleivanja odgovarajuÊe regulatorne baze istope povrata na reguliranu imovinu, priznavanjaodgovarajuÊih inflatornih utjecaja na troπkove i tarife,utvrappleivanja i priznavanja i drugih korektivnihfaktora na troπkove i tarife, te konaËno i postupanjau sluËaju viπkova i manjkova prihoda na karajuregulacijskog perioda. Posebno je pitanje odnosa ipostupanja prema kategorijama prihoda koji imajuobiljeæja profita. Naravno, za ovaj treÊi regulacijskiaspekt vezana su i pitanja, odnosno problemikoliko dug regulacijski period ustanoviti, kada primijenitijednostavne, a kada poËeti primjenjivatisloæene metode ekonomske regulacije.»esto je prisutna i dilema kada uvesti poticajnuregulaciju, kako sloæene regulacijske pristupe imehanizme uËiniti razumljivim, razvidnim i prihvatljivimsvim sudionicima, naroËito energetskimsubjektima koji iste trebaju primijeniti i korisnikeili kupce na koje se isti odnose, i konËano, kakoosigurati da ti mehanizmi u sukcesivnom slijedurezultiraju stabilnom i efikasnom strukturom tarifai sl. Za mreæne infrastrukturne sustave i prirodnemonopolne energetske djelatnosti uz navedenetreba dodati i pitanja odgovornosti i naËina osiguravanjapomoÊnih usluga sustava, pokriÊe troπkovagubitaka, odgovornosti za pravovremen i dostatanrazvoj i izgradnju sustava, te izgradnju dostatnihprekograniËnih kapaciteta. Dodatno, operatori prijenosnogi distributivnog sustava imaju i odgovornostiu pogledu ukljuËivanja i osiguravanja uvjetaza rad postrojenja koja koriste obnovljive izvoreenergije.regulatory agencies differ. In some countries, theregulatory bodies have a crucial role in all the segmentsof the process, including the definition of themethod for regulation and the methodology of thetariff system, supervision over operations and theauditing of financial indices and reports of energyentities, in-depth auditing and approval of expenditures,the definition and approval of crucial regulatoryand macroeconomic parameters, the applicationof mechanisms for presentations and statementsto the public, i.e. users and customers, about theamounts of tariff items etc. In other countries, theregulatory agencies are granted the authority andresponsibility for only some of the stated rights, activitiesand responsibilities. The most frequent caseis that a regulatory agency has the obligation andresponsibility for the adoption of a suitable tariffsystem methodology, together with the supervisionof the operations and expenditures of the regulatedentities. The regulatory bodies in some countries issuean opinion to the corresponding ministries andgovernments regarding the amounts of tariff items,and in other countries they have the authority todetermine or regulate the tariff items, which as arule is the purpose for their establishment.Finally, it is necessary to draw attention to the thirdaspect or level of the potential authorities and responsibilitiesof regulatory bodies. This third level consistsof approaches to individual segments or problems ofeconomic regulation, such as the problems of thecriteria for the allocation and recognition of the levelof operational costs, approval and recognition of investmentsin new facilities, plants and installations;capital costs, i.e. depreciation and investment return,determination of the suitable regulatory basis andrate of return on regulated property, recognition ofthe impact of inflation on costs and tariffs; the determinationand recognition of other corrective factorson costs and tariffs, and finally the procedure in theevent of revenue surpluses and deficits at the end ofthe regulatory period. A particular question refers tothe attitude and procedure toward the categories ofrevenue that have recorded profits. Naturally, questionsare connected with this third regulatory aspect,i.e. problems regarding how long a regulatory periodshould be established, when simple methods shouldbe applied and when it is necessary to begin to applycomplex methods of economic regulation.There is often the issue of when to introduce incentiveregulation, how to make complex regulatoryapproaches and mechanisms understandable,transparent and acceptable to all the participants,especially energy entities who must apply them andthe users or customers to which they refer, how toassure that these mechanisms successively result ina stable and efficient tariff structure etc. For networkinfrastructure systems and naturally monopolisticKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553532

3 RESTRUKTURIRANJEELEKTROENERGETSKOGSEKTORA, REGULACIJA ITARIFNI SUSTAVI U REPUBLICIHRVATSKOJU uvodnom dijelu Okruglog stola detaljno jeizloæen kontekst energetskog zakonodavnog okvirai procesa restrukturiranja elektroenergetskog sektora,odnosno otvaranja træiπta elektriËne energijei razvoja i uspostavljanja novog regulatornog okvirau Republici Hrvatskoj [1], [2] i [3]. U tom kontekstui okruæju donesene su i objavljene metodologijetarifnih sustava, a tek treba utvrditi odgovarajuÊestavke za prijenos i distribuciju elektriËne energijete proizvodnju i opskrbu elektriËnom energijom sizuzetkom za povlaπtene kupce.Naime, temeljem vrijedeÊih zakona Hrvatska energetskaregulatorna agencija (u daljnjem tekstu:Agencija) ima obvezu i odgovornost, nakon pribavljenogmiπljenja energetskih subjekata za obavljanjeËijih djelatnosti se primjenjuje tarifni sustavi Ministarstva gospodarstva, rada i poduzetniπtva(u daljnjem tekstu: Ministarstvo), u sektoru elektriËneenergije donijeti metodologije tarifnih sustava,odnosno tarifne sustave bez visine tarifnihstavki, i to za: 1) proizvodnju elektriËne energije,s iznimkom za povlaπtene kupce, 2) opskrbuelektriËnom energijom, s iznimkom povlaπtenihkupaca, 3) prijenos elektriËne energije, 4) distribucijuelektriËne energije, 5) utvrappleivanje naknadeza prikljuËak na prijenosnu i distribucijsku mreæu,te poveÊanje prikljuËne snage, 6) pruæanje uslugauravnoteæenja elektriËne energije u elektroenergetskomsustavu.Prethodno navedene metodologije morajuomoguÊavati ulaganja potrebna za razvoj mreæe iostale zahtjeve sukladno postojeÊim zakonima.Temeljem vrijedeÊih zakona energetski subjekt zaobavljanje Ëijih djelatnosti se primjenjuje tarifnisustav podnosi prijedlog visine tarifnih stavki Ministarstvu,koje nakon pribavljenog miπljenja Agencijepredlaæe iznose tarifnih stavki Vladi RepublikeHrvatske. Vlada Republike Hrvatske utvrappleuje visinutarifnih stavki. Agencija provodi nadzor primjenetarifnih stavki i svih ostalih naknada.Na Okruglom stolu detaljno je izloæen kontekstutvrappleivanja i sadræaja metodologija tarifnih sustavaza proizvodnju elektriËne energije, s iznimkomza povlaπtene kupce, opskrbu elektriËnom energijom,s iznimkom povlaπtenih kupaca, prijenoselektriËne energije i distribuciju elektriËne energije.U nastavku slijedi prikaz do sada vrijedeÊegenergy activities, is also necessary to add questionsof responsibility and the manner of assuring auxiliaryservices for the system, covering losses, responsibilityfor the timely and suitable development andconstruction of the system, and the construction ofadequate cross-border capacities. Additionally, thetransmission and distribution system operators haveresponsibilities in respect to the inclusion and assuranceof the conditions for the operation of the plantsthat use renewable energy sources.3 RESTRUCTURING OFTHE ELECTRICITY SECTOR,REGULATION AND TARIFFSYSTEMS IN THE REPUBLIC OFCROATIAIn the introductory part of the Round Table Discussion,the context of the legislative framework for energyand the process of the restructuring of the electricitysector, i.e. opening the electricity markets and thedevelopment and establishment of a new regulatoryframework in the Republic of Croatia, were presentedin detail [1], [2] and [3]. In this context and environment,methodologies for tariff systems were adoptedand published, and it is necessary to determine thecorresponding tariffs for the transmission and distributionof electricity and production and supply ofelectricity with exceptions for eligible customers.Based upon the prevailing legislation, the CroatianEnergy Regulatory Agency (henceforth: the Agency)has the obligation and responsibility, after obtainingthe opinions of the energy to entities to whose activitiesthe tariff system is applied, and the Ministryof the Economy, Labor and Entrepreneurship(henceforth: the Ministry), to adopt methodologiesfor the tariff systems in the sector of electricity, i.e.the tariff systems without the amounts of the tariffitems, and this for 1) the generation of electricity,with the exception of eligible customers, 2) thesupply of electricity, with the exception of eligiblecustomers, 3) the transmission of electricity, 4) thedistribution of electricity, 5) the determination ofconnection fee to the transmission and distributionnetworks, and increasing the installed capacity, andvi) providing the services of balancing electricitywithin the electricity system.The previously cited methodologies must facilitatethe investment necessary for the development ofthe network and other requirements, pursuant tothe existing legislation.Based upon the prevailing legislation, the energyentities to whose activities the tariff system is ap-533Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

integralnog tarifnog sustava koji je bio na snaziviπe godina, razloga za njegovu promjenu, te opÊihznaËajki pristupa i kontekst regulatornih mehanizamatarifnih sustava u Republici Hrvatskoj koji sudoneseni i stupili na snagu u prosincu 2006. godine[4], [5], [6] i [7]. Naravno, kroz sve te sadræajeodraæava se i specifiËna pozicija i uloga hrvatskogenergetskog regulatornog tijela ∑ Agencije.Meappleutim, ogleda se i teæina problema konteksta,odnosno opsega i sadræaja regulacije energetskihdjelatnosti u sektoru elektriËne energije.Naime, nije naodmet ponoviti i Ëinjenicu da sepotreba za organizacijom Okruglog stola pojavila umomentu kada su u Republici Hrvatskoj donesenai stupila na snagu Ëetiri nova tarifna sustava, bezvisine tarifnih stavki, tj. metodologije za izraËunzasebnih tarifnih stavki za djelatnosti proizvodnje,prijenosa, distribucije i opskrbe elektriËnomenergijom. Iste su do sada bile komponente jedinstvenetarife za integrirani sustav djelatnostiproizvodnje, prijenosa, distribucije i opskrbe elektriËnomenergijom, odnosno svih usluga povezanihs opskrbom elektriËnom energijom krajnjih kupaca.Sukladno jasnoj zakonskoj obvezi razdvajanjanavedenih djelatnosti, izraæenih i kroz pristup spomenutimmetodologijama tarifnih sustava, u tijekusu poslovi vezani uz izraËun i donoπenje tarifnihstavki za navedene temeljne energetske djelatnosti.Primjenom spomenutih metodologija, odnosnodonoπenjem i stupanjem na snagu novih tarifnihstavki elektroenergetski sektor i elektroenergetskogospodarstvo Republike Hrvatske uÊi Êe u prvo regulatornorazdoblje.Stoga je i za regulatorno tijelo, za predstavnikereguliranih djelatnosti, jednako tako i za struËnujavnost od velike vaænosti i pomoÊi bilo raspravitineka pitanja i dileme iz predmetne problematike,i to upravo na skupu s predstavnicima raznih zainteresiranihstrana. Poglavito je bilo vaæno Ëutiiskustva i stavove relevantnih eksperata iz europskihregulatornih tijela i zemalja s viπegodiπnjimiskustvom u ekonomskoj regulaciji, bilo da se radio dugogodiπnjim Ëlanicama EU, ili zemljama kojesu tek nedavno postale Ëlanice EU. U uvodnomdijelu predstavnici Agencije i reguliranih subjekatau Republici Hrvatskoj detaljno su predstaviliulogu Agencije kao regulatornog tijela, odabranei primijenjene regulacijske pristupe i mehanizme,odnosno sadræaje i elemente metodologije tarifnihsustava koji su u Republici Hrvatskoj doneseniu prosincu 2006. godine za energetske djelatnostiprijenosa i distribucije elektriËne energijete proizvodnje i opskrbe elektriËnom energijoms iznimkom za povlaπtene kupce [8], [9] i [10].Okrugli stol pruæio je izvrsnu prigodu za usporedbui diskusiju hrvatskog zakonodavnog i regulatornogokruæja, odnosno regulacijskog pristupa i mehapliedsubmit a proposal for the amounts of the tariffitems to the Ministry, which after obtaining theopinion of the Agency proposes the amounts of thetariff items to the Government of the Republic ofCroatia. The Government of the Republic of Croatiadetermines the amounts of the tariff items. TheAgency supervises the application of the tariff itemsand all other compensation.At the Round Table Discussion, the context for thedetermination and content of the methodology ofthe tariff systems for the generation of electricitywas presented in detail, with an exception for favoredcustomers, as well as the supply of electricity,with an exception for favored customers, thetransmission of electricity and the distribution ofelectricity. A presentation follows of the valid integratedtariff system that was in force for manyyears, the reasons for changing it, and the generalcharacteristics of the approach and context of theregulatory mechanisms of the tariff system in theRepublic of Croatia that were adopted in December2006 and have gone into effect [4], [5], [6] and[7]. Naturally, the specific position and role of theCroatian Energy Regulatory Agency is reflected inall of this. However, the difficulty with the contextof the problem, i.e. the range and content of theregulations of the energy activities in the electricitysector, are also reflected.It is necessary to reiterate the fact that the needfor the organization of the Round Table Discussioncame at the moment when the Republic of Croatiahad adopted and placed into force four new tariffsystems, without specifying the amounts of thetariff items, i.e. the methodology for the calculationof the separate tariff items for the activitiesof the generation, transmission, distribution andsupply of electricity. Until now, they were componentsof a single tariff for the integrated systemof the activities of the generation, transmission,distribution and supply of electricity, i.e. all theservices connected with the supply of electricityto final customers. Pursuant to the clear legal obligationfor the separation of these activities, alsoexpressed through the approach of the previouslymentioned methodologies of the tariff system, workis in progress in connection with the calculationand adoption of the tariff items for these basic energyactivities. Through the application of the previouslymentioned methodologies, i.e. the adoptionand going into force of the new tariff items of theelectricity sector and the economy of the Republicof Croatia, a trial regulatory period will be entered.Therefore, for the regulatory agency, the representativesof the regulated entities, and the professionalpublic, it would be of great importance and benefitto discuss several questions and dilemmas regard-Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553534

nizma, ukljuËujuÊi i sadræaje i elemente metodologijetarifnih sustava, s odgovarajuÊim okruæjima,ulogama regulatornih tijela, odnosno pristupima,sadræajima i elementima regulacije i tarifnih sustavau Francuskoj, Austriji, Sloveniji i Maapplearskoji Hrvatske [11], [12], [13] i [14].Na slici 1 prikazan je tijek procesa restrukturiranjaelektroenergetskog sektora i træiπta elektriËneenergije, iz njegove vertikalno integrirane struktureu strukturu koja u svezi s træiπnim djelatnostimaproizvodnje elektriËne energije i opskrbe elektriËnomenergijom primarno podrazumijeva konkurentnookruæje i træiπnu utakmicu, a glede monopolnihmreænih infrastrukturnih sustava reguliranookruæje po principu reguliranog pristupa treÊe strane,dakle po tarifama i ostalim uvjetima pristupakoji su unaprijed utvrappleeni, razvidni i nepristrani.SpecifiËna struktura regulacije i tarifnih sustavauvjetovana je zakonom utvrappleenom obvezom javneusluge opskrbe elektriËnom energijom tarifnihkupaca. OËito je da Êe tu specifiËnu strukturu ubuduÊnosti znaËajno uvjetovati dinamika otvaranjatræiπta elektriËne energije, tj. brzina kojom Êe sesegment opskrbe i obveza prema tarifnim kupcimasmanjivati, a segment povlaπtenih kupaca rasti.ing these problems at a meeting with the representativesof various interested parties. It wouldbe especially important to hear about the experiencesand positions of the relevant experts fromthe European regulatory bodies and countries withmany years of experience in economic regulation,whether these countries that have been members ofthe EU for many years or have only recently becomemembers of the EU. In the introductory section,representatives of the Agency and the regulatedentities in the Republic of Croatia presented therole of the Agency in detail as a regulatory body,the chosen and applied regulatory approaches andmechanisms, i.e. the contents and elements of themethodologies of the tariff systems that were adoptedin the Republic of Croatia in December 2006 forthe energy activities of the generation of electricity,with an exception for favored customers, the supplyof electricity, with the exception of favored customers,the transmission of electricity and the distributionof electricity [8], [9] and [10]. The Round TableDiscussion provided an excellent opportunity for thecomparison and discussion of Croatian legislationand the regulatory environment, i.e. the regulatoryapproach and mechanisms, including the contentsand elements of the methodology of the tariff systems,with the corresponding environments, roles ofthe regulatory bodies, i.e. the approaches, contentsand elements of the regulations and tariff systemsin France, Austria, Slovenia, Hungary and Croatia[11], [12], [13] and [14].In Figure 1, the process of the reconstruction of theelectricity sector and the electricity market is presented,from its vertically integrated structure in astructure that in connection with the market activitiesof the generation of electricity and the supplyof electricity is primarily understood to mean thecompetitive environment and market competition,and regarding the monopolistic network infrastructuresystems, the regulated environment accordingto the principle of the third party acces accordingto tariffs and other conditions of access that havebeen determined in advance, and are transparentand nondiscriminatory. The specific structure of theregulatory and tariff systems was conditioned by thelegally established public service obligation of thesupply of electricity to tariff customers. It is evidentthat this specific structure will significantly affectthe dynamics of the opening of the electricity marketin the future, i.e. the speed at which the supplysegment and the obligation toward tariff customerswill be reduced and the segment of privileged customerswill grow.535Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

Slika 1Restrukturiranjeelektroenergetskogsektora i tarifni sustaviu HrvatskojFigure 1Restructuring of theelectrical energy sectorand the tariff systemsin CroatiaVertikalnointegrirani EES /Verticallyintegrated EESProizvodnja /GenerationPrijenos /TransmissionReguliranedjelatnosti /RegulatedactivitiesProizvodnja /GenerationPrijenos /TransmissionProizvodnja /GenerationTržišne djelatnosti / Market activitiesTrgovanje, posredovanje,zastupanje / Marketing,brokerage, representationProizvodnja /GenerationProizvodnja /GenerationDistribucija /DistributionOpskrba /SupplyDistribucija /DistributionOpskrba /SupplyTrgovanje, posredovanje,zastupanje / Marketing,brokerage, representationOpskrba /SupplyOpskrba /SupplyOpskrba /SupplyKupci /CustomersTarifni kupci /Tariff customers Povlašteni kupci /Privileged customersS druge strane izloæena struktura ukazuje na toda je realno oËekivati brze promjene konteksta,ali i sadræaja regulacije. Nije beznaËajno ukazatii na dvojnost, bolje reËeno sloæenost regulatornogsadræaja koji s jedne strane proizlazi iz potrebe dase definiraju sadræaji i razraappleuju specifiËni elementiekonomske regulacije za segment tzv. prirodnihmonopolnih djelatnosti prijenosa i distribucijeelektriËne energije, koje su u pravilu svugdjeujedno i regulirane djelatnosti, a s druge strane izpotrebe da se, premda ipak privremeno i do potpunogotvaranja træiπta elektriËne energije, razvijui uvedu regulacijski mehanizmi za træiπne djelatnostiproizvodnje i opskrbe elektriËnom energijom.Træiπne djelatnosti opÊenito i opÊeprihvaÊeno trebajubiti izloæene konkurenciji. To samo svjedoËio teæini zadatka i izazova s kojima se suoËavaregulatorno tijelo, ali i regulirani subjekti, kada jeproizvodnju i opskrbu potrebno prevesti iz stanjamonopola u stanje konkurencije.Na slici 2 prikazana je osnovna struktura, odnosnosadræaji novih tarifnih sustava kako ih definira novizakonodavni okvir u Republici Hrvatskoj.On the other hand, the presented structure indicatesthat it is realistic to anticipate rapid changesin the context as well as the contents of regulation.It is necessary to mention the duality, better to saythe complexity, of the regulatory content that fromthe one side issues from the need to define thecontents and work out the specific elements of theeconomic regulation of this segment, the so-callednaturally monopolistic activities of the transmissionand distribution of electricity, which as a rule arealso regulated activities everywhere; and from theother side the need for, albeit temporarily and untilthe complete opening of the electricity market,the development and introduction of the regulatorymechanisms for the market activities of the generationand supply of electricity. Market activitiesshould generally be exposed to competition. Thisonly testifies to the difficulty of the task and thechallenges confronting the regulatory agency, butalso the regulated entities, when generation andsupply must be changed from a state of monopolyto a state of competition.In Figure 2, the basic structure, i.e. content, ofthe new tariff systems is presented as defined bythe new legislative framework in the Republic ofCroatia.Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553536

Tarifni sustav /Tariff systemSlika 2Osnovna struktura isadræaj novih tarifnihsustavaFigure 2The basic structureand content of the newtariff systemsOdreappleivanje metode regulacije /Determination of the regulatory methodOdreappleivanje tarifnih stavki /Determination of tariff itemsUtvrappleivanje i kontrola troškova /Determination and control of costsPridjeljivanje troškova kupcima /Allocation of costs to customersKljuËni moment ili sadræaj regulacijskog procesa ukojem se definira pristup novom tarifnom sustavuje izbor osnovnog pristupa metodi regulacije (slika3).The crucial moment or content of the regulatoryprocess in which the access to the new tariff systemis defined is the selection of the basic approach tothe method of regulation (Figure 3).Troškovi poslovanja(operativni troškovi) /Operational costsUTP = T pos + T kapUkupni troškovi poslovanja /Total operational costsT kap = A + PR imTroškovi kapitala /Capital expendituresSlika 3Izbor, sadræaj imehanizam regulacijeu novim tarifnimsustavimaFigure 3The selection, contentand mechanism ofregulation in the newtariff systemsAmortizacija regulirane imovine /Depreciation of regulated assetsPovrat od regulirane imovine /Return on regulated assetsPR im = RI x PRTKRegulirana imovina ∑ dugotrajnamaterijalna i nematerijalnaimovina te trajna obrtna sredstva /Regulated assets ∑ fixed tangibleand intangible assets andlong-term current assetsPonderirani prosjeËni troškovikapitala (%) / Weighted averagecost of capital (%)OcjenjujuÊi realnim i razumnim da se na poËetkuprvog regulatornog razdoblja, dakle kada se poprvi put izlazi iz dugogodiπnje integrirane tarifnestrukture i jedinstvenih tarifnih stavki za sve energetskedjelatnosti u sektoru elektriËne energijei prelazi na odvojene pristupe i zasebne tarifnestavke za svaku od tih djelatnosti, odabere πtojednostavniji, lakπe primjenjiv i provedivi pristupi mehanizam, odabrana je opÊe poznata metodapriznatih troπkova poslovanja, pri Ëemu se regulacijazapravo temelji i veæe za kriterij stope povratauloæenog kapitala (eng. Cost Plus ili Rate-of ReturnRegulation). Dakle, slijedilo se odgovarajuÊeiskustvo i praksu viπe europskih zemalja i njihovihregulatornih tijela, koja su u poËetku procesauvodila jednostavne regulacijske mehanizme, aAt the beginning of the first regulatory period, i.e.when for the first time the integrated tariff structureand single tariff items for all the energy activities inthe power system will be replaced in transition toseparate approaches and separate tariff items foreach of these activities, it is realistic and reasonableto choose the simplest possible, easily applicableand feasible approach and mechanism. The generallyknown method of recognized costs of operations hasbeen chosen, so that the regulation is actually basedupon and connected with the criterion of the rate ofreturn on investments. Furthermore, the correspondingexperience and practice have been followed ofseveral European countries and their regulatoryagencies, which introduced simple regulatory mechanismsat the beginning of the process and then,537Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

zatim s vremenom, kako su svi sudionici procesastjecali odgovarajuÊa znanja i iskustva, uvodili svesloæenije mehanizme, da bi danas primjenjivalisloæene mehanizme poticajne regulacije, ali i vrlosloæene i zahtjevne procedure nadzora i kontrolesvakog segmenta tih mehanizama. Tako npr. Ëestosu u regulacijske mehanizme ukljuËeni nekiod makroekonomskih gospodarskih parametarai pokazatelja, koji traæe vrijeme za sloæenu i dugotrajnuanalizu i elaboraciju. U pravilu se pokazujeda nije niti jednostavno niti opravdano bezograde koristiti istovrsne pokazatelje primijenjeneu drugim zemljama, pa Ëak niti prenositi i koristitiistovrsne pokazatelje primijenjene u drugimgospodarskim sektorima iste zemlje. Pogotovo jeoprez nuæan kada su u pitanju razina i struktura,odnosno naËin utvrappleivanja odgovarajuÊih pokazateljatræiπnih rizika u svezi s ulaganjima, vlastitimkapitalom, dugovanjima i sliËno.Zakon utvrappleuje da se tarifni sustavi temelje naopravdanim troπkovima poslovanja, odræavanja,zamjene, izgradnje ili rekonstrukcije objekata izaπtite okoliπa, ukljuËujuÊi razuman rok povratasredstava od investicija u energetske objekte,ureappleaja i mreæa, odnosno sustava, te moraju bitinepristrani i razvidni. Ujedno, tarifni sustavi trebajupoticati mehanizme za poboljπanje energetskeuËinkovitosti i upravljanje potroπnjom, ukljuËujuÊii poveÊano koriπtenje obnovljivih izvora energije.Dakle, kod odabira temeljnog pristupa regulacijebilo je nuæno voditi raËuna da prihod ostvarenprimjenom novih tarifnih stavki treba pokriti svepriznate ukupne troπkove poslovanja, dakle priznateoperativne troπkove i troπkove kapitala, od kojihtroπkove kapitala Ëine amortizacija regulirane imovinei povrat od regulirane imovine.U hrvatskoj literaturi Ëesto se mijeπaju dva razliËitapojma:∑∑kapitalni troπkovi (CAPEX, Capital Expenditures),troπak kapitala (CC, Cost of Capital, odnosnoWACC, Weighted Average CC).Reguliranom energetskom subjektu u opÊemsluËaju treba omoguÊiti nadoknadu svih (priznatih)operativnih troπkova, amortizacije, te troπkovakoje potraæuju vlasnici financijskog kapitala, a tosu:∑ kamate i prinosi emitiranih korporacijskihobveznica,∑ oportunitetni troπak vlasnika dioniËarskogkapitala.with time, when all the participants in the processhad acquired the appropriate knowledge and experience,introduced progressively complex mechanismsin order to apply more complex mechanisms and incentiveregulation today, but also highly complex anddemanding procedures for the supervision and controlof each segment of these mechanisms. Thus, forexample, regulatory mechanisms frequently includedsome of the macroeconomic parameters and indices,which require time for complex and lengthy analysisand elaboration. As a rule, it has been shown thatit is neither simple nor justifiable to use the sametypes of indices applied in other countries withoutlimitation, or even to transfer and use the same typesof indices applied in the other economic sectors ofthe same country. Caution is particularly necessarywhen the level and structure are in question, i.e. themanner of determining the corresponding indices ofmarket risks in connection with investments, equitycapital, debts etc.The law establishes that the tariff systems are basedupon the justified costs of the operations, maintenance,replacement, construction or reconstructionof facilities and environmental protection, includinga reasonable period for the return of investmentsin energy facilities, equipment and networks, i.e.the systems, and must be nondiscriminatory andtransparent. At the same time, tariff systems mustpromote mechanisms for the improvement of energyefficiency and the management of consumption,including the increased use of renewable energysources. Therefore, in the selection of the basic approachto regulation, it was necessary to take intoaccount that the income generated through the applicationof the new tariff items should cover all theknown overall operational costs, i.e. the recognizedoperational costs and capital expenditures, whichconsist of the depreciation of the regulated propertyand the return from the regulated property.In the Croatian literature, two different conceptsare often confused:∑∑capital expenditures (CAPEX),cost of capital (CC, Cost of Capital, or WACC,Weighted Average CC).Through the regulation of an energy entity in thegeneral case, it is necessary to facilitate compensationfor all (recognized) operative costs, depreciationand expenditures claimed by the owners ofcapital, as follows:∑∑interest and the income from corporate bondsissued,opportunity costs for stockholders.Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553538

Stopa povrata koja omoguÊuje naknadu troπkovaiz navedene dvije kategorije zove se ponderiraniprosjeËni troπak kapitala (WACC).Po odabranom pristupu i metodi regulacije,odreappleivanje visine tarifnih stavki za buduÊu regulacijskugodinu zasniva se na sljedeÊim troπkovima:a) priznatim ostvarenim troπkovima poslovanja izprethodne regulacijske godine,b) ostvarenim i procijenjenim troπkovima poslovanjaza sadaπnju regulacijsku godinu, tec) prihvaÊenim planskim vrijednostima troπkova zarazmatranu buduÊu regulacijsku godinu.U reguliranu imovinu, temeljem koje se primjenomodgovarajuÊe priznate stope ponderiranogprosjeËnog troπka kapitala raËuna povrat ili prinosod regulirane imovine, Ëine dugotrajna materijalnai nematerijalna imovina te trajna obrtna sredstva.Izloæena osnovna struktura ili pristup primjenjujese na sve djelatnosti: proizvodnju, prijenos, distribucijui opskrbu elektriËnom energijom.SpecifiËna temeljna struktura i osnovne stavketroπkova poslovanja u svezi s proizvodnjom elektriËneenergije prikazana je na slici 4, u svezis prijenosom elektriËne energije na slici 5, sodgovarajuÊom posebnom razradom potrebnihpodataka koja je prikazana na slici 6, u svezi s distribucijomelektriËne energije na slici 7, te u svezis opskrbom elektriËnom energijom na slici 8.The rate of return that makes compensation for costsfrom the two cited categories possible is known asthe weighted average cost of capital (WACC).According to the selected approach and method ofregulation, the determination of the level of the tariffitems for the subsequent regulated year is basedupon the following expenditures:a) the recognized realized costs of operations duringthe previous regulated year,b) the realized and estimated costs of operations forthe current regulated year, andc) the accepted planned values of expenditures forthe analyzed subsequent regulated year.For regulated property, according to which the correspondingrecognized rate of the weighted averagecost of capital is applied, the return or revenue iscalculated and consists of fixed tangible assets, intangibleassets and permanent current assets. Thebasic structure or approach presented is applied toall activities: the generation, transmission, distributionand supply of electricity.The specific fundamental structure and basic itemsof operational costs in connection with the generationof electricity are presented in Figure 4, inconnection with the transmission of electricity inFigure 5, with the corresponding separate processingof the necessary data presented in Figure 6, thedistribution of electricity in Figure 7 and in connectionwith the supply of electricity in Figure 8.Stalni troškovi /Fixed expenditures − ST posa) održavanje elektrana /power plant maintenanceb) razgradnja elektrana /dismantling of power plantsc) bruto plaÊe /gross salariesd) ostali troškovi osoblja /other personnel expenditurese) zajedniËke funkcije /joint functionsf) ostali troškovi /other expendituresTroškovi poslovanja /Operational costs − TP posa) Energetsko gorivo /Energy fuel− ugljen / coal− loživo ulje / heating oil− plin / gas− ostala goriva, materijalprerade i skladištenje /other fuels, materialprocessing and storagePromjenljivi troškovi /Variable expenditures− PT posb) Nabava elektriËne energije /Procurement of electricalenergy− TE Plomin d.o.o./ PlominTPP d.o.o.− NE Krško / Krško NPP− izvori temeljem ulaganjaizvan Hrvatske / sourcesbased upon investmentoutside Croatia− ostali uvoz / other imports− ostali domaÊi izvori / otherdomestic sourcesc) Naknade, koncesije iostali troškovi odreappleenizakonom /Charges, concessionsand other expendituresstipulated by lawSlika 4Tarifni sustav zaproizvodnju elektriËneenergije (strukturatroπkova)Figure 4The tariff systemfor the productionof electrical energy(the structure ofexpenditures)539Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

Slika 5Tarifni sustav zaprijenos elektriËneenergije (strukturatroπkova)Figure 5The tariff systemfor the transmissionof electrical energy(the structure ofexpenditures)Troškovi poslovanja /Operational costs − TP pos− primarna regulacija / primary regulationa) održavanje mreže / network maintenance− sekundarna regulacija / secondary regulationb) pokriÊe gubitaka / coverage of losses− tercijarna regulacija / tertiary regulationc) nabava pomoÊnih usluga /− proizvodnja jalove energije / generation of reactive powerprocurement of auxiliary services− beznaponski (crni) start / black startd) pokrivanje dopuštenih odstupanja− sposobnost otoËnog rada / possibility of island operationod rasporeda / coverage of permitted− rad elektrane na vlastiti pogon /discrepancies from the scheduleindependent power plant operatione) bruto plaÊe / gross salariesf) ostali troškovi osoblja / other personnel expendituresg) ostali troškovi poslovanja / other operational costs• promjene u realizaciji plana /changes in the implementation of the plan− proizvodnje / generation− potrošnje / consumption− prekograniËne razmjene / cross-border exchangesSlika 6Tarifni sustav zaprijenos elektriËneenergije (strukturapotrebnih podataka)Figure 6The tariff systemfor the transmissionof electrical energy(the structure of therequired data)Troškovi pokriÊagubitaka / Expendituresto cover losses• Iznos / Amount• KoliËina /Quantity• Cijena / PriceTroškovi održavanjamreže / Networkmaintenance costs• Održavanje mreže visokog napona /Maintenance of high voltage network• Održavanje mreže srednjeg napona /Maintenance of medium voltage network• Održavanje mreže niskog napona /Maintenance of low voltage networkTroškovi poslovanja /Operational costsTroškovi brutoplaÊa / Gross salaryexpenditures• Bruto plaÊe / Gross salaries• Doprinosi na bruto plaÊe /Contributions to gross salariesOstali troškoviosoblja / Other personnelexpenditures• Materijalna prava / Substantive rights• Troškovi prijevoza na rad /Costs for transportation to work• Naknade ostalih troškova /Compensation for other expendituresOstali troškoviposlovanja / Otheroperational costs• Vrijednosno usklaappleenje kratkoroËne imovine/ Value coordination of current assets• Troškovi obraËuna i naknade za korištenjemreže / Accounting costs and charges fornetwork use• Troškovi zajedniËkih funkcija / Expendituresfor joint functions• Ostali troškovi poslovanja / Otheroperational costs• Izvanredni rashodi / ContingencyexpendituresSlika 7Tarifni sustav zadistribuciju elektriËneenergije (strukturatroπkova)Figure 7The tariff system for thedistribution of electricalenergy (the structure ofexpenditures)Troškovi poslovanja /Operational costs − TP posa) održavanje mreže / network maintenanceb) pokriÊe gubitaka / coverage of lossc) nabava pomoÊih usluga / procurement of auxiliary servicesd) bruto plaÊe / gross salariese) ostali troškovi osoblja / other personnel expendituresf) ostali troškovi poslovanja / other operational costsKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553540

Troškovi poslovanja /Operational costs − TP posa) bruto plaÊe / gross salariesb) ostali troškovi osoblja / other personnel expendituresc) obraËun i naplata / accounting and billingd) bankarski troškovi i platni promet /banking costs and monetary transactionse) ostali troškovi poslovanja / other operational costsf) troškovi zajedniËkih funkcija HEP d.d. i HEP ODS d.o.o. /expenditures of the joint functions of HEP d.d.and the HEP System Distribution Operator d.o.o.Slika 8Tarifni sustav za opskrbuelektriËnom energijom(struktura troπkova)Figure 8The tariff system forthe supply of electricalenergy (the structure ofexpenditures)Glede prijenosa elektriËne energije, bolje reËenoHEP Operatora prijenosnog sustava problematikupristupa regulaciji, odnosno tarifnom sustavu joπsloæenijima Ëine i sljedeÊa pitanja, odnosno probleminovog okruæja, kao πto su:∑ poslovanje HEP Operatora prijenosnog sustavana otvorenom træiπtu,∑ naËin utvrappleivanja i tretmana troπkova nastalihzbog prekograniËnih tranzita elektriËneenergije,∑ potreba da se u kratkom vremenu razraditrogodiπnji plan razvoja i izgradnje u novomokruæju i po novoj metodologiji (problem okvirai temeljnih odrednica za donoπenje planau znatno restrukturiranom okruæju u koji seuvode træiπni odnosi, stvaraju pretpostavkeza regulirani pristup treÊih strana mreæama iuslugama sustava, ulaze novi sudionici, stvaranovo poticajno okruæje za veÊe koriπtenjeobnovljivih izvora energije, jednom rijeËju mijenjajudosadaπnji tradicionalni odnosi i strukturaodgovornosti),∑ kako napraviti djelotvornu analizu osjetljivosticijene za koriπtenje prijenosne mreæe, kojasada postaje zasebna stavka,∑ kako osigurati pomoÊne usluge sustava i narazvidan i pravedan naËin pridijeliti ih korisnicimai naplatiti,∑ kako obuhvatiti i na djelotvoran naËin analiziratiutjecaj vjetroelektrana i drugih postrojenjakoja koriste obnovljive izvore energije napogonske parametre mreæe, ali i na troπkovekoriπtenja prijenosne mreæe,∑ kako ustanoviti djelotvoran mehanizam proraËunatroπkova upravljanja zaguπenjimamreæe,∑ da li ustanoviti odvojeno raËunovodstvo i kako,itd.Glede distribucije elektriËne energije, bolje reËenoHEP Operatora distribucijskog sustava problematikupristupa regulaciji i tarifnom sustavu dodatnoprati problematika nestandardnih usluga: njihovaRegarding the transmission of electricity, better to saythe HEP Transmission System Operator, the problemof the approach to regulation, i.e. the tariff system,is further complicated by questions and problems ofthe new environment, including the following:∑ the operations of the HEP Transmission SystemOperator on the open market,∑ the manner of the determination and treatmentof costs occurring due to the cross-border transitof electricity,∑ the necessity of preparing a three-year developmentand construction plan in a short time withinthe new environment and according to newmethodology (the problem of the frameworkand fundamental determinants for the adoptionof the plan in the significantly restructuredenvironment into which market relations arebeing introduced, creating the prerequisitesfor the regulated access of third parties to thesystem networks and services, the entry of newparticipants, the creation of a new incentive environmentfor the increased use of renewableenergy sources, i.e. the traditional relationshipsand structure of responsibilities are changing),∑ how to prepare an effective analysis of price sensitivityfor the use of the transmission network,which presently represents a separate item,∑ how to secure auxiliary system services, allocatethem to users and charge for them in a transparentand fair manner,∑ how to include and efficiently analyze theimpact of wind power plants and other facilitiesthat use renewable energy sources on thenetwork operating parameters, but also on thecosts of using the transmission network,∑ how to establish an efficient mechanism forcalculating the costs of the management ofnetwork congestion,∑ whether and how to establish separate accountingetc.Regarding the distribution of electricity, better to saythe HEP Distribution System Operator, the problem of541Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

knjigovodstvenog praÊenja po izdvojenim kontimai njihova odvajanja od standardnih usluga kodpraÊenja troπkova. Problem je i rasporeda troπkovaprema njihovoj vrsti te utvrappleivanja elemenata zaproraËun povrata na reguliranu imovinu.Tijek procesa utvrappleivanja i predlaganja visine tarifnihstavki prikazan je na slici 9.Prethodna godina je godina koja prethodi godiniza koju se donose tarifne stavke za odgovarajuÊuenergetsku djelatnost, a za koju su revidirani iobjavljeni financijski podaci, poznat ukupni prihodprimjenom vrijedeÊih tarifnih stavki i poznatiostvareni ukupni troπkovi poslovanja. Sadaπnja regulacijskagodina je tekuÊa godina u kojoj se podnosiprijedlog promjene visine tarifnih stavki zabuduÊu regulacijsku godinu. Prijedlog promjenevisine tarifnih stavki za odgovarajuÊu energetskudjelatnost podnosi energetski subjekt na koji sete tarifne stavke odnose. Energetski subjekt duæanje uz prijedlog za promjenu visine tarifnih stavkidostaviti sve podatke potrebne za utvrappleivanjetroπkova poslovanja, posebno financijsko izvjeπÊeza prethodnu regulacijsku godinu potvrappleeno odovlaπtenog neovisnog revizora te plan poslovanjai plan razvoja i izgradnje (za sadaπnju i buduÊuregulacijsku godinu). Navedeni dokumenti morajubiti potpisani od ovlaπtene osobe energetskogsubjekta i ovjereni peËatom tvrtke. Na zahtjev Ministarstvaili Agencije energetski subjekt duæan jedostaviti i druge podatke potrebne za utvrappleivanjepromjene visine tarifnih stavki te omoguÊiti uvid upripadnu dokumentaciju. Prijedlog promjene visinetarifnih stavki za buduÊu regulacijsku godinuenergetski subjekt duæan je dostaviti u sadaπnjojregulacijskoj godini, a nakon πto za nju budu potheapproach to the regulation and tariff system is additionallyaccompanied by the problem of nonstandardservices; bookkeeping records according to separateaccounts and their separation from “standard”services in monitoring expenditures. There is also theproblem of the distribution of expenditures accordingto their type and the determination of the elementsfor the calculation of returns on regulated property.The process for the determination and proposal of theamounts of the tariff items is presented in Figure 9.Slika 9Novi tarifni sustavi(proces predlaganjavisine tarifnih stavki)Figure 9New tariff systems (theprocess of proposing theamounts of tariff items)Prethodna regulacijskagodina / Previousregulated yearSadašnja regulacijskagodina / Currentregulated yearBuduÊa regulacijskagodina / Futureregulated yearUP (o) − UTP (o) = ΔTP pretUP (p) ≤ UTP (p) − ΔTP pretOstvareni prihod primjenomtarifnih stavki / Revenue fromthe application of tariff itemsPriznati ostvareni ukupnitroškovi poslovanja /Recognized totaloperational costsPlanirani prihod primjenombuduÊih tarifnih stavki /Planned revenues from theapplication of future tariff itemsPlanirani ukupni troškoviposlovanja / Plannedtotal operational costsThe previous year is the year that precedes the yearfor which tariff items are adopted for the correspondingenergy activity, and for which the financial dataare revised and published: the known total revenuethrough the application of the valid tariff items andthe known realized total operational costs. The currentregulatory year is the current year in which a proposalis submitted for changing the amount of tariffitems for the subsequent regulatory year. A proposalfor a change in the amount of tariff items for the correspondingenergy activity is submitted by an energyentity to which the tariff items apply. Together withthe proposal for the change in the amount of tariffitems, the energy entity is required to submit all datanecessary for the determination of the operationalcosts, especially the financial report for the previousregulatory year audited by an authorized independentauditor, a plan of operations, and a plan of developmentand construction (for the current and futureregulatory years). These documents must be signedby the authorized person of the energy entity andstamped with the company seal. At the request ofthe Ministry or Agency, the energy entity is requiredto submit other data necessary for determining thechanges in the amounts of tariff items and facilitatethe inspection of the corresponding documentation.A proposal for changes in the amount of tariff itemsfor the subsequent regulatory year must be submit-Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553542

znati polugodiπnji ukupni troπkovi poslovanja. IkonaËno, energetski subjekt duæan je predloæitipromjenu visine tarifnih stavki uz uvjet da oËekivaniprihod u buduÊoj regulacijskoj godini, izraËunatprema odgovarajuÊem tarifnog sustava, ne prelaziprihvaÊene planirane ukupne troπkove poslovanja,korigirane za eventualna opravdana ili odobrenaodstupanja.Pored prethodnog bitno je istaÊi da su utvrappleene isljedeÊe obveze energetskih subjekata:∑ rok za usklaappleivanje poslovanja s odredbamatarifnog sustava je πest mjeseci,∑ obveza dostavljanja podataka, posebno planaposlovanja te plan razvoja i izgradnje, odnosnotrogodiπnjeg plana razvoja i izgradnje, kojegsubjekt donosi uz suglasnost Agencije, i to:· do 31. 5. sadaπnje regulacijske godine ∑financijska izvjeπÊa za prethodnu regulacijskugodinu potvrappleena od ovlaπtenogneovisnog revizora,· do 30.11. sadaπnje regulacijske godine -planovi poslovanja.4 ZAKLJU»CI OKRUGLOGSTOLA O ULOZIREGULATORNOG TIJELAU DONO©ENJU TARIFNIHSUSTAVANakon svih prezentacija i rasprava u kojima susudjelovali predstavnici regulatornih tijela iz Francuske,Austrije, Slovenije, Maapplearske i Hrvatske,te predstavnici Hrvatske elektroprivrede d.d.,odnosno predstavnici energetskih subjekta u RepubliciHrvatskoj za koje se donose i primjenjujuodgovarajuÊi tarifni sustavi, utvrappleeni su zakljuËciOkruglog stola. Ti zakljuËci su bili kako slijedi:1) Okrugli stol uspjeπno je organiziran i provedeni u potpunosti je opravdao razloge organiziranja,ponudivπi niz odgovora na vaæna pitanja i dilemeglede pristupa, sadræaja i forme regulacije,provedbenih procedura i metodologija regulacije,metodologija tarifnih sustava i strukture samihtarifnih stavki. Naravno, sudionici nisu propustilinaglasiti i pojasniti niz provedbenih ili proceduralnih,dakle pojavnih i praktiËnih problema s kojimase susreÊu regulatorna tijela i regulirani energetskisubjekti, naroËito oni koji su nositelji monopolnihdjelatnosti i obveza javnih usluga.2) PredavaËi su sudionike Okruglog stola uveliu predmetnu problematiku i ukazali im na opÊuprisutnost sliËnih pitanja i dilema u svim zemljatedby an energy entity during the current regulatoryyear, and after it knows the total operational costs forthe first half of the year. Finally, the energy entity isrequired to propose a change in the amount of tariffitems under the condition that the anticipated revenuein the subsequent regulatory year, calculatedaccording to the corresponding tariff system, doesnot exceed the accepted planned total operationalcosts, corrected for eventual justified or authorizeddiscrepancies.In addition to the above, it is essential to emphasizethat the following obligations of energy entitieshave also been determined:∑∑the deadline for the coordination of operations withthe provisions of the tariff system is six months,the obligation for the submission of data, especiallya plan of operations and a plan for developmentand construction, i.e. a three-year plan fordevelopment and construction, that the subjectadopts with the approval of the Agency, as follows:· by May 31 of the current regulatory year ∑financial reports for the previous regulatoryyear that have been audited by an authorizedindependent auditor, and· by November 30 of the current regulatoryyear ∑ operational plans.4 CONCLUSIONS OF THE ROUNDTABLE DISCUSSION ON THEROLE OF THE REGULATORYBODY IN THE ADOPTION OFNEW TARIFF SYSTEMSFollowing all the presentations and discussions in whichthe participants were the representatives of the regulatoryagencies of France, Austria, Slovenia, Hungaryand Croatia; representatives of Hrvatska elektroprivredad.d., and representatives of the energy entities inthe Republic of Croatia for whom the correspondingtariff systems are being adopted and applied, conclusionswere reached by the Round Table, as follows:1) The Round Table was organized and conductedsuccessfully. It fully justified the reasons for which itwas held, providing a range of answers to importantissues and dilemmas related to the approach, regulatorycontents and form, implemented procedures,regulatory methodology, tariff system methodologyand the structure of the tariff items themselves. Theparticipants emphasized and explained a range ofimplementational or procedural issues, i.e. actualand practical issues that the regulatory agencies andregulated entities encounter, especially those withmonopolies and public service obligations.543Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

ma, kod svih regulatornih tijela i svih reguliranihenergetskih subjekata. Naravno, u zemljama u kojimasu odgovarajuÊa energetska regulatorna tijelaosnovana tek nedavno, u kojima odreappleeni procesirestrukturiranja i novog organiziranja elektroenergetskogsektora nisu u potpunosti dovrπeni, ukojima je proces otvaranja træiπta elektriËne energijei uvoappleenje konkurencije tek u poËetnoj fazi, ikonaËno u kojima odgovarajuÊe makroekonomskepokazatelje i utjecajne regulatorne parametre nijenimalo lako i jednostavno utvrditi, puno je veÊibroj i pitanja i dilema. Oblik prenoπenja znanja isteËenih iskustava, kakav je uostalom ponudio iovaj Okrugli stol, ukazuje na nuænost i potrebu organizacijeistih ili sliËnih formi i sadræaja rada nanacionalnoj, regionalnoj, pa i πiroj meappleunarodnojrazini, bilo da se radi o okruglim stolovima, radionicama,seminarima ili konferencijama.3) Okrugli stol naglasio je da je bez obzira na razliËitaiskustva i dinamiku procesa, i bez obzirana opÊi zakonodavni i gospodarski sustav iz kojegdolazi, odgovarajuÊi vrijedeÊi zakonodavni okvir usvakoj dræavi mora osigurati uvjete za nezavisan,nepristran i razvidan rad energetskog regulatornogtijela. Unutar toga zakonodavnog okvira nadleænodræavno tijelo i regulatorno tijelo imaju obvezu iduænost izgraditi i primijeniti utemeljene, realne,razvidne i lako provedive mehanizme i metodologijeregulacije, odnosno metodologije tarifnih sustava.O raznim oblicima ili sadræajima, politiËkimi gospodarskim utjecajima nuæno je voditi raËunautoliko πto su oni stalno prisutni, πto su izrazi raznihnacionalnih strategija ili interesa, dakle predstavljanjuvaæan element realnog okruæja u kojemse odvija æivot i rad regulatornog tijela i reguliranihenergetskih subjekata, i u kojem se uspostavljatræiπte elektriËne energije.4) Okrugli stol naglasio je suπtinsku uvjetovanostproblema regulacije reguliranih energetskih djelatnosti,naroËito monopolnih mreænih sustavai javnih usluga dinamikom otvaranja i naËinomureappleenja træiπta elektriËne energije. Pravo pristupamreæama i pomoÊnim uslugama sustava prvo je unizu problema s kojima se treba susresti. Nemadvojbe da se pravo pristupa treba i mora ureditiunaprijed kroz odgovarajuÊa mreæna pravila itehniËke uvjete, ali da bi se moglo ostvarivati unepristranom, razvidno i nediskriminirajuÊemokruæju, nuæno je unaprijed utvrditi i objaviti itehniËke i ekonomske uvjete prikljuËka i naknadeza koriπtenja prijenosne i distribucijske mreæe, teuvjete i naknade za koriπtenje pomoÊnih uslugasustava, naravno u sluËaju da su iste obuhvaÊeneodgovarajuÊim regulatornim okvirom.5) Okrugli stol jasno je pokazao prednost u iskustvui rjeπenjima regulatornih tijela, odnosno2) The lecturers introduced the issues to the RoundTable Discussion participants and called attentionto the general presence of similar questions and dilemmasin all the countries, regulatory agencies andregulated electrical power entities. Naturally, thereare many more questions and dilemmas in countrieswhere the energy regulatory agencies have only beenrecently established and certain processes of the restructuringand reorganizing of the electricity sectorhave not been fully completed, where the processesof opening the electricity market and the introducingof competition are in the initial phases and, finally,where the corresponding macro-economic indicesand influential regulatory parameters are not easyto determine. The form of the transfer of knowledgeand acquired experience, as provided at this RoundTable Discussion, indicates the necessity for organizingsimilar events at the national, regional and eveninternational levels, in the form of round table discussions,workshops, seminars or conferences.3) The Round Table Discussion emphasized that,regardless of differences in experiences and processdynamics, and regardless of the general legal andeconomic system, the appropriate valid and transparentlegal framework in each country must provideconditions for the independent, nondiscriminatoryand transparent operation of the energy regulatoryagency. Within this legal framework, the authorizedgovernment agency and regulatory agency have theobligation and duty to build and implement wellfounded,realistic, transparent and feasible regulatorymechanisms and tariff system methodologies. It isnecessary to take the various forms and contents ofthe prevailing political and economic influences intoaccount, which are expressions of various nationalstrategies or interests, i.e. they represent an importantelement of the actual environment in which theregulatory agency and the regulated electrical powerentities function, and in which the electricity marketis established.4) The Round Table Discussion highlighted an essentialcorrelation among the issues of the regulationof regulated activities, especially monopolistic networksystems and public services, in the dynamics ofthe opening of electricity markets and the manner oftheir organization. The right to access the networksand auxiliary services of the system is the first in aseries of issues that must be addressed. There isno doubt that the right to access must be definedin advance through appropriate network rules andtechnical conditions. In order for this right to beexercised in an nondiscriminatory, transparent andnon-discriminatory environment, it is necessary topredetermine and publish the technical and economicprerequisites for electricity connections, chargesfor using the transmission and distribution networks,and the conditions and charges for the use of theKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553544

dræava i njihovih odgovarajuÊih energetskih sektorai gospodarskih subjekata, koji su u spomenuteprocese i problematiku uπli ranije. S druge strane,prednost zemalja, njihovih energetskih sustava igospodarstava, dakako i njihovih regulatornih tijela,koji su procese otvaranja træiπta elektriËne energijei uvoappleenja novih oblika regulacije zapoËeli teknedavno, da mogu koristiti odgovarajuÊa iskustvazemalja u kojima su træiπta elektriËne energije uspostavljenai razvijena ranije, i kojima je regulacijauπla u viπe faze i razdoblja primjene, pri tom neponavljajuÊi njihove zablude i kriva rjeπenja.6) U pogledu regulacije energetskih djelatnostiprednost je dræava i ekonomija, ukljuËujuÊii energetski sektor, koji imaju dobro praÊenje iizvjeπtavanje o adekvatnim makroekonomskimgospodarskim parametrima, kao πto su interesne,odnosno kamatne stope na vlastiti kapitali zaduæenja, stope inflacije, premije na træiπnerizike, prinose od riziËnih i neriziËnih ulaganja,pokazatelje u svezi s prinosom dionica, premijeza træiπni rizik vlastitog kapitala itd. JednoznaËniprijenos i primjena navedenih parametara iz jednognacionalnog u drugi nacionalni energetskigospodarski sustav ili regulatorni okvir vrlo je dvojbeni prati ga niz pitanja i dvojbi. Tim viπe πtone samo da nema jednoznaËnih kriterija, nego sui vrlo razliËiti pristupi utvrappleivanju osnovica, npr.vrijednosti imovine i regulatorne osnovice, na kojese navedeni parametri primjenjuju. U tom kontekstui ciljani financijski pokazatelji, kao πto jeto npr. stopa povrata na imovinu ili pak garantiranivremenski rok povrata uloæenih sredstava, uposljednje vrijeme sve ËeπÊe postaju predmetompreispitivanja, nerijetko Ëak i vaæno politiËko pitanjena nacionalnoj razini. Naime, s navedenimpitanjima usko su povezani problemi novih investicijai ulaganja u elektroenergetske sustave, alii pitanja profita iz energetskih djelatnosti. Svakiod navedenih ekonomskih veliËina i parametaradakako ima svoj odraz u odgovarajuÊem utjecajuna ekonomiËnost poslovanja energetskog subjektai njegovu sposobnost da se dalje razvija.U okviru diskusije konstatirano je da bi bilo dobroi pragmatiËno da prve razvojne faze ekonomske regulacijeprate i relativno jednostavne regulacijskesheme tipa cost plus ili povrata sredstava, da binakon stjecanja odreappleenih iskustava i znanja uslijediorazvoj puno sloæenijih shema koje ukljuËujukombinacije tehniËkih i ekonomskih inicijativakoje kroz dugoroËni period trebaju osigurati sigurnoi stabilno financiranje rada i adekvatni razvojreguliranih energetskih subjekta, naroËito velikihmreænih infrastrukturnih sustava za prijenos i distribucijuelektriËne energije. OpÊi konaËni cilj jedakako sigurna opskrba elektriËnom energijom porealnoj, odnosno opravdanoj cijeni.auxiliary system services in the event that these arecovered by the corresponding regulatory framework.5) The Round Table Discussion clearly demonstratedthe superiority of the experience and solutions of theregulatory bodies, countries, energy sectors and economicentities which had addressed these processesand problems earlier. On the other hand, the countries,energy systems, economies and certainly regulatoryagencies that have only begun the processesof opening the electricity markets and introducingnew forms of regulations have the advantage of beingable to utilize the experiences and avoid repeatingthe past errors and inadequate solutions of the countriesin which the electricity markets have alreadybeen established and developed, and in which regulationshave entered advanced phases and periods ofapplication.6) In the regulation of energy activities, the governmentsand economies, including the energy sectors,that have good tracking and reporting of macroeconomicparameters such as interest rates on equityand debt, inflation rates, market risk premiums,yields from high-risk and low-risk investments, indicesin connection with stock market yields, equityriskpremiums etc. are at an advantage. The directtransfer and application of these parameters fromone national power system or regulatory frameworkto another is not practicable because a numberof issues and dilemmas are involved. This is evenmore the case because there are no uniform criteria.Instead, there are highly varied approaches for thedetermination of the bases, for example the assetvaluebase and regulatory base to which the givenparameters are applied.In this context, the target financial indices such asthe rate of return on assets or the guaranteed periodof return on investment have lately become subjectedto increasing scrutiny and are frequently animportant political issue at the national level. Closelyrelated to these issues are the problems of new investmentsin power systems, as well as the questionof profit from electricity activities. Each of theseeconomic measurements and parameters certainlyinfluence the cost-effectiveness of the operations ofentities and their ability to continue to develop.Within the framework of the discussion, it was concludedthat it would be good and pragmatic for thefirst development phases of economic regulationto accompany relatively simple regulation schemesof the “cost plus” or “return on assets” type. Afterexperience and knowledge are acquired, this shouldbe followed by the development of more complexschemes that include a combination of technical andeconomic initiatives, which over the long run shouldassure the secure and stable financing of operations545Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

7) Regulatorna tijela imaju vaænu ulogu u procesuodobravanja i nadzora provedbe razvojnih planovareguliranih subjekata, tj. prijenosne i distribucijskemreæe i sustava, odnosno nadzornu ulogu upogledu kvalitete i sigurnosti usluga i funkcijakoje obavljaju ti energetski subjekti, ali i opskrbekrajnjih kupaca i korisnika u cjelini. Pristupi ipraksa u razliËitim zemljama razlikuju se.Ima primjera duboke ukljuËenosti i odgovornostiregulatornog tijela u svim fazama i elementimaplaniranja (odobravanje i nadzor provedbe planova),osiguranja sredstava kroz naknade i poticajneelemente tih naknada (kapitalni troπkovi, povratina kapital), te opÊeg procesa nadzora rada reguliranogenergetskog subjekta. S druge strane, ulogenekih regulatornih tijela u poËetku nisu podrazumijevalaobiljeæja duboke ukljuËenosti. Nadomjestakdubljem regulatornom nadzoru bili su opÊipristupi po kojim su npr. planirane investicije izrazvojnih planova i planova izgradnje bile odobravanedo odreappleene razine i kao takve ukljuËene unaknade za koriπtenje mreæe. Ima primjera i manjeinvolviranosti regulatornog tijela u poËetnimfazama uvoappleenja regulacije ili tijekom poËetnihregulatornih perioda. Meappleutim, odmakom procesai sve veÊom involviranosti regulatornog tijela uviπe sluËajeva dovelo je do smanjenja naknada zakoriπtenje mreæa.8) Navedeni tijek gotovo u potpunosti poklapa ses tijekom uvoappleenja sloæenih regulatornih pristupa imetodologija ekonomske regulacije, odnosno metodapoticajne regulacije energetskih djelatnosti.Iz svega prethodnog izveden je zakljuËak da se upoËetku trebaju πto bolje i preciznije definirati odgovornostiregulatornog tijela i reguliranih subjekata.Nadalje, u novonastalim i træiπnim okolnostimatrebaju se dobro obuhvatiti i obrazloæiti svi vaæniparametri, utjecajne veliËine i okolnosti træiπnogokruæja koje se uvodi, Posebno je vaæno krenuti sjednostavnijim regulatornim pristupima i metodama,i to u pravilu s kraÊim regulatornim periodima.Svaka od moguÊih nesigurnosti ili skrivenih manau regulatornom pristupu, krivo procijenjenog utjecajnogparametra ili ciljanog ekonomskog indeksa,nepredviappleene loπe posljedice procesa restrukturiranjau dinamiËnom træiπnom okruæju, ali na krajui posljedice moguÊe krive odluke regulatornogtijela, vodi ili vrlo visokim ili nedopustivo niskimiznosima naknada za koriπtenje mreæa. Visokiiznosi naknada za koriπtenje mreæa znaËe ne samovisoke troπkove za korisnike mreæa, nego, pogotovoza one izvan dosadaπnjih integriranih nacionalnihelektroenergetskih sustava, i znaËajnu prepreku zaulazak na træiπte elektriËne energije, a time i njegovomrazvoju. Iskazani neopravdano visoki iznosiprofita u monopolnim djelatnostima imaju i daljnjenegativne politiËke i socijalne posljedice, Ëak,and the adequate development of the regulated energyentities, especially the large network infrastructuresystems for the transmission and distribution ofelectricity. The general goal is, of course, a securesupply of electricity at a realistic, i.e. justified, cost.7) The regulatory agencies have an important role inthe process of the authorization and supervision ofthe implementation of the plans for the developmentof the regulated entities, i.e. the transmission anddistribution networks and systems, and a supervisoryrole over the quality and security of the services andfunctions performed by these energy entities, as wellas supply to the end users and users in general. Theapproaches and practices in various countries differ.There are regulatory agencies that are deeply involvedin and responsible for all the phases and elements ofplanning (the authorization and supervision of planimplementation), obtaining funds through chargesand the incentive elements of these charges (capitalexpenditures, return on equity) and the generalsupervisory process of the operations of a regulatedentity. On the other hand, initially the roles of someof the regulatory agencies were not characterizedby deep involvement. Instead of in-depth regulatorysupervision, there were general approaches accordingto which, for example, planned investments fromdevelopment and construction plans were approvedup to a specified level and as such included in thecharges for network use. There are examples of lessinvolvement by a regulatory agency during the initialphases of the introduction of regulation or during theinitial regulatory periods. However, as the processesprogressed and the regulatory agencies became increasinglyinvolved in an increasing number of cases,in many cases the charges for network use dropped.8) This nearly completely corresponds with the introductionof more complex regulatory approaches andmethodologies of economic regulation, i.e. methodsof the incentive regulation of activities. From theaforementioned, it was concluded that at the beginningit is necessary to define the responsibilitiesof the regulatory agency and the regulated entitiesas precisely as possible. Furthermore, under thenewly arisen market circumstances, it is necessaryto include and explain all the important parameters,influential values and market environment circumstancesthat are being introduced. It is especiallyimportant to start with simple regulatory approachesand methods and, as a rule, with short regulatoryperiods. Any of the potential uncertainties or hiddenflaws in a regulatory approach, an incorrectlyestimated influential parameter or a target economicindex, the unforeseen negative consequences of therestructuring process in a dynamic market environment,or the ultimate consequences of any wrongdecisions by the regulatory agency may lead eitherKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553546

ili naroËito u sluËajevima kada su dræavna tijela teprofite oduzela energetskim subjektima. S drugestrane, niski ili nedovoljno visoki iznosi naknadaza koriπtenje mreæa direktno ugroæavaju poslovanjeenergetskih subjekata, kvalitetu usluga i funkcijakoje ti subjekti pruæaju, a ako takvo stanje trajeduæe, onda i tehniËko-tehnoloπke osobine samemreæe i sustava.KonaËan zakljuËak u pogledu prethodnog bioje da bez obzira na uzroke, svaki problem i svakaposljedica prenosi se na korisnika ili krajnjegkupca i postaju njegov problem, a obvezaje i energetskog subjekta i regulatornog tijelada u reguliranom okruæju te probleme i posljediceotklone. Najefikasnijim opÊim pristupomotklanjanja svih negativnih posljedica ocjenjujese pragmatiËni pristup i postupanje, a ako jemoguÊe i suradnja sve tri zainteresirane strane.9) Poseban problem i izazov predstavlja regulacijamreænih infrastrukturnih monopola, prijenosa i distribucije,te u svezi s tim usko povezani problemgdje i pod kojim uvjetima se osiguravaju pomoÊneusluge sustava. NaroËito se u segmentu pomoÊnihusluga sustava mogu pojaviti dominantne pozicijei zlouporabe u joπ uvijek znaËajno integriranim sustavima,kada se poduzeÊima iz sustava ili grupeosiguravaju povoljniji uvjeti pristupa i koriπtenjapomoÊnih usluga ili njihova plaÊanja. U sprjeËavanjutakvih situacija, πtoviπe njihova sankcioniranja,presudna je uloga regulatornih tijela.Problem pomoÊnih usluga i odgovornosti za njihovoosiguranje i pruæanje usko je vezan s postojeÊimzakonodavnim i regulatornim okvirom, ili opÊenitopitanjem da li se na taj segment primjenjuje reguliraniili træiπni kontekst. U svakom sluËaju, u svezis tim segmentom najviπe je pitanja i dilema. Pitanjeje i kojoj djelatnosti iz dosadaπnje integriranestrukture i jedinstvene tarife koja je ukljuËivalasve djelatnosti i usluge pridijeliti odgovornost zaosiguranje pomoÊnih usluga, i kako te usluge naplatiti,kao dio odgovarajuÊih naknada ili zasebno.Neke zemlje taj problem razrijeπile su pridjeljujuÊiobveze i funkcije osiguranja pomoÊnih uslugaoperatorima prijenosnih i distribucijskih sustava,odnosno uvodeÊi ugovorne odnose po kojimatræiπni sudionici i te usluge slobodno ugovaraju,osiguravaju i na kraju plaÊaju. No, istaknuto je,da su takva rjeπenja i mehanizmi bili moguÊe teknakon πto je uspostavljena cjelovita funkcionalnai provedbena shema osiguravanja, tj. izvora i pridjeljivanjasvake pojedinaËne pomoÊne usluge ilinjene komponente, ali i uvjeta njihova eventualnogprekida i posljedica toga prekida. »injenicaje da su u nekim zemljama, a radi se o zemljamai energetskim gospodarstvima koja su u pravilu uranim fazama procesa restrukturiranja, otvaranjato very high or inadmissibly low charges for networkuse. High charges for network use would not onlymean high costs for network users but would alsopose a significant barrier to entry into the electricitymarket and development by those entities outsidethe current integrated national power systems. Theunreasonably high profits of monopolies have furthernegative political and social consequences, even orespecially in cases when government agencies haveredirected these earnings away from the entities.On the other hand, low or insufficient charges fornetwork use directly jeopardize the operations ofentities, the quality of the services and functionsprovided by these entities and, if such conditionspersist for extended periods, they may also jeopardizethe technical and technological characteristics ofthe network and system.The final conclusion in respect to the above is thatregardless of the cause, each problem and consequenceis shifted to the user or the final customersand becomes their problem. Both the entity andthe regulatory agency should resolve these issueswithin the regulated environment and eliminate theconsequences. The most efficient general approachto eliminating all such negative consequences isthought to be a pragmatic one, together with cooperationamong all three interested parties, if possible.9) A separate problem and challenge is the regulationof the network infrastructure monopolies, transmissionand distribution and, closely connected tothis, the issue of where and under which circumstancesauxiliary system services should be provided.Especially in the segment of auxiliary services of thesystem, dominant positions and abuses may occurin systems that are still significantly integrated whenenterprises from the system or groups are providedwith more favorable conditions for accessing, usingor paying for auxiliary services. In order to preventsuch situations, moreover to penalize them, the roleof the regulatory agencies is crucial.The issue of auxiliary services and the responsibilityfor providing them are closely connected to theexisting legislative and regulatory frameworks or, ingeneral, to the question whether the regulated ormarket context should be applied to this segment.In any case, the most questions and dilemmas areassociated with this segment. It is a question as towhich activities from the current integrated structureand single tariff that included all the activities andservices should be assigned responsibility for securingauxiliary services, and how should these servicesbe charged, as a part of the corresponding chargesor separately. Some countries have resolved thisproblem by assigning the obligations and functionsfor securing auxiliary services to the transmissionand distribution system operators, or by introduc-547Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

træiπta, odnosno razvoja i uspostave odgovarajuÊegregulatornog okruæja, pitanja i problemi uspostavecjelovitog sustava osiguravanja, koriπtenja, pridjeljivanjai plaÊanja pomoÊnih usluga sustavajoπ uvijek samo naznaËeni ili tek u ranim fazamarjeπavanja. U svakom sluËaju nerijeπena pitanja iproblemi u svezi s pomoÊnim uslugama sustavaznatno oteæavaju razvidnost i efikasnost procesaotvaranja træiπta elektriËne energije u svim njegovimkljuËnim sastavnicama, a naroËito u pogleduosiguranja uvjeta za razvidan, nepristrani pravedan pristup mreæama i sustavima. Takvostanje ima daljnje negativne posljedice po razvoji uvoappleenje novih metoda regulacije i metodologijatarifnih sustava, πto posljediËno i regulatornotijelo dovodi u puno teæi poloæaj i ugroæava njegovuvjerodostojnost suoËavajuÊi ga s objektivnoteπkim problemom izbora pristupa i metodologije,ali i reakcijom energetskih subjekata i træiπnihsudionika.U pravilu, stav je da u reguliranom kontekstu osiguranjei pruæanje tih usluga treba biti jedna odfunkcija i obveza operatora prijenosnog i distribucijskogsustava, koja je po unaprijed poznatim uvjetima,na razvidan, nepristran i nediskriminirajuÊinaËin dostupna i pridjeljuje se korisnicima elektroenergetskihmreæa i sustava. ZakljuËak je darazina cijena, odnosno tarifa za pomoÊne uslugesustava treba biti troπkovno utemeljena i razvidnau svim njegovim elementima. Tijekom raspraveistaknuto je da postoji i problem osiguranjaodreappleenih pomoÊnih usluga od strane starih proizvodnihpostrojenja. Kod postavljanja træiπnogmodela o tom se mora voditi raËuna, naroËito kodtræiπnih modela koji podrazumijevaju moguÊnostpristupa pojedinaËnih proizvodnih postrojenjatræiπtu i njihove participacije na træiπtu kao samostalnihtræiπnih sudionika. Regulatorna tijelai operatori sustava o tim pitanjima i problemimamoraju voditi raËuna u svim segmentima procesadefiniranja træiπnog modela, regulatornog okvira imodela, provedbenih procedura, a ako je kontekstpomoÊnih usluga sustava regulirani, onda i metodologijiutvrappleivanja tarifnih stavki i proceduri ugovaranjai osiguravanja pomoÊnih usluga sustava.10) KljuËnim ciljevima regulacije energetskihdjelatnosti, naroËito prijenosa i distribucijeelektriËne energije smatraju se uspostava nepristranogi razvidnog pristupa mreæi, pokriÊeopravdanih troπkova poslovanja, nastojanja dase unaprijedi efikasnost sektora i/ili da se sektoruËini privlaËnim za nove investicije, odnosnoulaganja. OdgovarajuÊi izvori financiranja moguse osigurati bilo neposredno kroz naknade za prikljuËaki koriπtenje mreæa, bilo kroz odgovarajuÊepoticajne uvjete i povrate na investicije, odnosnood i imovinu energetskog subjekta. Postupke iing contractual relations on the basis of which themarket participants freely contract, provide and atthe end pay for these services. However, it has beenpointed out that such solutions and mechanisms areonly possible after the entire functional and implementationscheme is established, i.e. the sourceand assignment of each individual auxiliary serviceor component thereof, as well as the conditions fortheir eventual termination and the consequences ofsuch termination. The fact is that in some countries,mainly countries and electrical energy economieswhich are in the early phases of restructuring, marketopening and developing an appropriate regulatoryenvironment, the issues and problems of theestablishment of the overall system for the provision,use, allocation and payment of auxiliary servicesare still only on paper or in the early phasesof solution. In any case, the unresolved issues andproblems in connection with auxiliary system servicessignificantly diminish the transparency and efficiencyof the opening of electricity markets in allthe key elements, especially regarding the providingof the conditions for the transparent, nondiscriminatoryand fair access to networks and systems. Sucha situation has further negative consequences uponthe development and introduction of new regulatorymethods and methodologies of the tariff systems,which consequently place the regulatory agency in afar more difficult position and threaten its credibility,confronting it with the difficult problem of choosingan approach and methodology, as well as the reactionsof the entities and market participants.In principle, the position is that in the regulated context,providing these services should be one of thefunctions and obligations of the transmission anddistribution system operators, which, under predeterminedconditions should be available and assigned tousers of electricity networks and systems in a transparent,nondiscriminatory and non-discriminatorymanner. The conclusion is that the level of prices, i.e.tariffs for the auxiliary services of a system, should becost-based and transparent in all elements. Duringthe discussion, it was emphasized that there is alsothe problem of securing certain auxiliary servicesfrom the old power-generation facilities. When settingup a market model, this must be taken into account,especially with market models that include the optionof access by individual power-generation facilitiesto the market, and their status as independentmarket participants. The regulatory agencies and systemoperators must take these issues and questionsinto account in all the segments of the process of thedefinition of a market model, regulatory frameworkand model, and implementation procedures. If thecontext of auxiliary system services is regulated, thisalso means taking into account the methodology forestablishing tariff items and procedures for the contractingand providing of auxiliary system services.Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553548

metode regulacije i metodologije tarifnih sustavau tom pogledu nuæno je stalno dograappleivati iunaprjeappleivati. U tom pogledu, regulatorno tijeloima primarni zadatak, ali s obzirom na to daopskrba elektriËnom energijom ostaje i nadaljeaktivnost visokog socijalnog i gospodarskog znaËenja,u rad na predmetnoj problematici trebaju bitiukljuËena poduzeÊa iz energetskog sektora, tijeladræavne uprave i druge dræavne institucije, struËnai ostala javnost, te organizacije za zaπtitu interesapotroπaËa, sindikati i financijske institucije. Sveviπe je dokaza u prilog opÊe vaænosti koje predmetnojproblematici posveÊuju sve navedene stranke.11) Regulatorno tijelo treba imati kontrolu nadsvim segmentima regulacijskog razdoblja. NaroËitose to odnosi na pripremno razdoblje u kojembi regulatorno tijelo trebalo biti aktivno ukljuËeno,uz regulirani subjekt. Odnosi se to na pregledulaznih podataka, podloga i parametara koje sekoriste, njihovu obradu, kao i rokove u kojimase pojedini segment pripremne faze za uvoappleenjemetode regulacije mora provesti. U prilog tomegovore i odgovarajuÊa iskustva nekih zemalja.12) U prethodnom kontekstu, u socijalnom,politiËkom i gospodarskom smislu u svezi sastabilnoπÊu i sigurnoπÊu opskrbe svakako je dobroizbjegavati velike i nagle skokove u promjenamacijena, nepredvidive ili nenajavljene promjenecijena. U pogledu moguÊnosti reguliranih energetskihsubjekata da razumiju, prilagode se i proveduodgovarajuÊi regulatorni pristup i prilagodeposlovanje novom sadræaju koji su iskazani krozpostupke i metode regulacije, svakako je nuænasuradnja regulatornog tijela i reguliranih subjekata.Suradnja je i kljuËni preduvjet potpunograzumijevanja procesa i sadræaja definicije i uspostaveodreappleenog okvira i postupka regulacije, ikroz proces utvrappleivanja i donoπenja odgovarajuÊihtarifnih stavki, a time i njihova prihvaÊanja i dobreprovedbe. UzimajuÊi u obzir i sve druge moguÊeutjecaje, npr. socijalni i/ili politiËki, nije naodmetustvrditi da se nerijetko postupa pragmatiËno,nastojeÊi odvagnuti i nastojeÊi valorizirati doprinossvakog od tih moguÊih utjecaja ili ograniËavajuÊihelemenata.Od regulatornih tijela traæi se kvalitetan i efikasansustav nadzora nad træiπtem elektriËne energije,pogotovo sprjeËavanje ili Ëak sankcioniranje situacijau kojima se u tzv. integriranim sustavima sredstvaprelijevaju iz monopolnih djelatnosti u træiπnedjelatnosti, osiguravajuÊi træiπnim djelatnostimaznatnu neopravdanu i neprihvatljivu prednost uodnosu na druge træiπne sudionike u træiπnoj utakmici,πto je ujedno i direktan oblik zlouporabaneopravdane træiπne pozicije ili snage. Navedenisu i konkretni sluËajevi u kojima su u takvim si-10) The key goals of the regulation of energy activities,especially the transmission and distribution ofelectricity, are to establish nondiscriminatory andtransparent access to the network, cover justified operationalcosts, attempt to improve the efficiency ofthe sector and/or make the sector attractive for newinvestments. Suitable sources of financing can besecured either directly through charges for connectionto the network, network use or through suitableincentive conditions and returns on investments, i.e.from the assets of the entities. Procedures and methodsfor the regulation and methodology of the tariffsystems must be constantly updated and improved.In this regard, the regulatory agency has the primarytask. However, since the supplying of electricitycontinues to remain an activity of great social andeconomic significance, enterprises from the energysector, government administrative agencies, othergovernment institutions, professionals, the generalpublic, organizations for protecting consumer interests,unions and financial institutions should beincluded in working on this issue. There is increasingevidence of the general importance afforded to thisissue by all the aforementioned parties.11) The regulatory agency must have control over allthe segments of the regulatory period. This especiallyrefers to the preparatory period in which the regulatoryagency should be actively involved, togetherwith the regulated entity. It concerns a review andprocessing of the input data, bases and parametersused as well as the periods within which the separatesegments of the preparatory phase for the implementationof a regulatory method must be completed.The corresponding experiences of some countriesunderscore this point.12) In the aforementioned context, in the social,political and economic sense, regarding the stabilityand safety of supply, it is indeed good to avoid largeand sudden price changes and unforeseen or unannouncedprice changes. Regarding the abilities of theregulated energy entities to understand, adapt to andimplement the suitable regulatory approach and adjustoperations to the new content expressed throughthe regulatory procedures and methods, cooperationbetween the regulatory agency and the regulated entitiesis certainly essential. Cooperation is also a keyprerequisite for completely understanding the processand the contents of the definitions and the establishmentof certain frameworks and regulatory procedures,both through the process of the determinationand adoption of certain tariff items, and through theiracceptance and correct implementation. Taking intoaccount any other possible influences, e.g. social and/or political, it is worth mentioning that a pragmaticapproach, in which it is attempted to weigh and evaluatethe contribution of each of these potential influencesor limiting elements, is often employed.549Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

tuacijama regulatorna tijela postupala tako da seumanjila, ili Ëak oduzela odgovarajuÊi dio prihodaod integriranog poduzeÊa, i to od segmenta træiπnihdjelatnosti, i vratila ga u segment monopolnih,odnosno djelatnosti s obvezama javnih usluga izkojeg su i bili neopravdano uzeti. U svakom sluËaju,dok postoje dvije paralelne komponente træiπta,regulirana i liberalizirana, odnosno træiπna, regulatornotijelo ima striktnu obvezu provjeravati razvidnostodvajanja pripadajuÊih raËuna i prihoda,a nerijetko i pravo da odreappleene oblike ponaπanjai prekrπaja i jaËe sankcionira. »est je sluËaj daregulatorno tijelo ima pravo, utemeljeno na zakonu,samo provesti odgovarajuÊi revizorski nadzor,ili taj nadzor zatraæiti od nezavisnih revizora.13) Okrugli stol je raspravio i pitanja strukture naknadaza koriπtenje prijenosne, odnosno distribucijskemreæe. Istaknuta je vaænost primjene principada struktura i razina naknada za koriπtenjemreæa odraæavaju strukturu troπkova za elementeenergije i snage, tj. kapaciteta, prema i za kojese utvrappleuju. Poglavito je element snage i njegovovrednovanje vaæan u strukturi tarifnih stavki, tj.naknada za prikljuËak, za koriπtenje prijenosne idistribucijske mreæe, i naknada za pomoÊne uslugesustava. Vaænost elementa kapaciteta ogledase i u vrednovanju u svezi s mehanizmima pridjeljivanjem,koriπtenjem i plaÊanjem odgovarajuÊihprekograniËnih kapaciteta, ili utvrappleivanjemodgovornosti, odnosno postupcima rjeπavanjazaguπenja u prijenosnoj i distribucijskoj mreæi.14) U nekim zemljama proces uvoappleenja novog regulatornogpristupa i primjene novih metodologijaekonomske regulacije koji u pravilu ukljuËuju parametrevalorizacije i poticanja uËinkovitosti poslovanjareguliranog energetskog subjekta, a nerijetkoi odgovarajuÊe opÊe makroekonomske indekse zavalorizaciju i pokriÊe adekvatnih rizika poslovanjai ulaganja, rezultirao je u smanjenju naknada zakoriπtenje mreæa. Meappleutim, nije realno oËekivatida bi se takav kontekst ponovio u veÊini drugih zemalja,pogotovo ne u zemljama u kojima su cijeneelektriËne energije bile pod jakom socijalnom i politiËkomkontrolom i u pravilu vrlo niske. ©toviπe, utim zemljama izraæena je potreba za novim velikimulaganjima u odræavanje, rekonstrukciju i izgradnjumreæa. Razdvajanje i izdvajanje energetskihdjelatnosti iz dosadaπnjih vertikalno integriranihelektroenergetskih struktura proizvodnje, prijenosa,distribucije i opskrbe elektriËnom energijom,otvaranje træiπta elektriËne energije i pojava novihsudionika na træiπtu elektriËne energije, tu potrebusamo su joπ viπe naglasili. Nije rijedak sluËaj sveËeπÊe iskazanih uvjerenja da bez dobrih i efikasnihinfrastrukturnih prijenosnih i distribucijskih mreæai sustava ne moæe biti govora o razvoju efikasnogtræiπta elektriËne energije.The regulatory agencies are required to providea quality and efficient system of supervising theelectricity market, especially to prevent or penalizesituations in which funds flow from monopoly activitiesinto market activities in the so-called integratedsystems, which affords businesses with marketoperations a significant unfair and unacceptableadvantage over other market participants in marketcompetition, and is a direct form of the abuse of aninequitable market position or power. Specific caseswere mentioned in such situations when the regulatoryagencies acted to reduce or even confiscate thecorresponding portion of the revenues from an integratedcompany from the segment of market activitiesand direct them back to the monopoly segment,i.e. the activities having the public service obligationfrom which they had been unfairly taken. In anycase, as long as there are two parallel componentsof the market, regulated and liberalized, the regulatoryagency has the strict obligation to verify thetransparency of the separation of the correspondinginvoices and revenues, and not infrequently the rightto penalize certain forms of behavior and violationsseverely. The regulatory agency frequently only hasthe right, pursuant to the law, to conduct a suitableaudit or request to have such an audit performed byindependent auditors.13) The Round Table Discussion also included questionsregarding the structure of charges for the useof a transmission or distribution network. The importancewas stressed of applying the principle that thestructure and level of charges for network use shouldreflect the structure of the costs of the elements ofenergy and power, i.e. the capacities according toand for which they are determined. The element ofpower and its valuation are particularly importantfor the structure of the tariff items, i.e. charges forconnection, the use of the transmission and distributionnetworks and auxiliary system services. Theimportance of the capacity elements is reflected inthe evaluation in connection with mechanisms forcapacity allocation, the use and charges for crossbordercapacities, or determination of the responsibilities,i.e. the procedures for managing congestionin the transmission and distribution networks.14) In some countries, the process of introducinga new regulatory approach and the application ofnew methodologies of economic regulation, whichas a rule include the parameters for the evaluationand increased effectiveness of the operations of aregulated power entity and not infrequently the correspondinggeneral macroeconomic indices for theevaluation and coverage of adequate risk operationsand investments, have resulted in lowered chargesfor network use. However, it is not realistic to expectsuch a context to be repeated in the majority of othercountries, especially those where electricity pricesKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553550

Na spomenuti kontekst ulaganja u odræavanje,rekonstrukciju i izgradnju nacionalnih elektroenergetskihmreæa, odnosno izgradnje novih visokonaponskihprijenosnih prekograniËnih poveznicas drugim zemljama i sustavima sve vaænijiutjecaj ima regionalni i πiri multinacionalni konteksttræiπta i razmjena elektriËne energije. OpÊaje pojava da prekograniËna trgovanja i razmjeneenergije vrlo brzo rastu, zbog Ëega su za tranzitei prekograniËne razmjene energije uvedeni i primjenjujuse novi opÊe prihvaÊeni kompenzacijskii alokacijski mehanizmi. Isti se veÊ jednoznaËnoprimjenjuju u kontekstu internog europskog træiπtaelektriËne energije. Nadalje, prihodi ostvareniprekograniËnim razmjenama moraju se tretiratina razvidan i nepristran naËin. Meappleutim, unatoËnastojanju da se razvije i uspostavi efikasan, razvidan,nepristran i pravedan, u konaËnici i lakoprovediv sustav i mehanizam, za neke elektroenergetskesustave i nadalje ostaje problem naËinautvrappleivanja i alokacije troπkova za visoke gubitkeelektriËne energije. Isto vrijedi i u pogledu adekvatnogdijela pomoÊnih usluga sustava. Naime,radi se o onom dijelu dodatnih gubitaka elektriËneenergije u nacionalnoj elektroenergetskoj mreæii dijelu dodatnih pomoÊnih usluga sustava kojinastaju zbog prolaza ili kruænih tokova energije izmeappleunarodnih, tj. prekograniËnih razmjena energije.OpÊi je stav da europsko energetsko zakonodavstvo,tj. odgovarajuÊe direktive i uredbe EU utom pogledu predstavljaju adekvatan zakonodavniokvir za postupanje svih regulatornih tijela.15) Poseban je problem naËina pristupa i dobivanjainformacija i podatak koje s jedne straneregulatorno tijelo moæe traæiti i traæi od reguliranihsubjekata, a koje s druge strane ti reguliranisubjekti mogu i æele dati ili daju regulatornomtijelu. U svakom sluËaju razlike, tj, asimetrijainformacija, u tom pogledu uvijek su prisutne.ZakljuËak je da je u svakom sluËaju, bilo u pogleduzadovoljavajuÊeg rjeπenja, bilo barem dobreravnoteæe izmeappleu regulatornog tijela i reguliranihenergetskih subjekata najbolje i najefikasnijeodabrati pragmatiËna rjeπenja, po moguÊnostizasnovana na dostupnoj najboljoj i najefikasnijojmeappleunarodnoj praksi i benchmarku. Prethodnogotovo u potpunosti vrijedi i u pogledu procesai prakse regulatornog ili revizorskog nadzora.16) Posebno je uoËena i istaknuta moguÊnost ipotreba πire, tj. regionalne elaboracije i raspraveproblema sadræaja i forme regulacije, regulatornihpristupa i politike, strukture i sadræaja tarifnih metodologijai samih tarifa, utjecajnih parametara ipokazatelja, naroËito ekonomskih i politiËkih, usporednih(benchmark) pristupa i analiza, te svakakoveÊe suradnje i transfera znanja i iskustava.have been under rigorous social and political controland, as a rule, very low. Moreover, in these countriesthere is a marked need for major new investmentsin maintenance, reconstruction and network construction.The separation of energy activities fromthe heretofore vertically integrated structures of thegeneration, transmission, distribution and supply ofelectricity, the opening of the electricity markets andthe appearance of new participants on the electricitymarket further underscore this need. Opinions arefrequently voiced that the development of an efficientelectricity market is not feasible without a goodand efficient infrastructure for the transmission anddistribution networks and systems.In this context, investments in the maintenance,reconstruction and construction of national electricalenergy networks or in the construction of newhigh voltage transmission cross-border connectionswith other countries and systems have an increasingimpact upon the regional and broader multinationalcontext of the markets and the exchange of electricity.The cross-border commerce and exchangeof energy is generally growing very rapidly, due towhich new commonly accepted compensation andallocation mechanisms have been introduced andapplied for the transit and cross-border exchange ofenergy. Such mechanisms are already being applieduniformly within the context of the internal Europeanelectricity market. Furthermore, the revenues fromcross-border exchanges must be treated in a transparentand nondiscriminatory manner. However, despiteattempts to develop and establish an efficient,transparent, nondiscriminatory, just and, in the finalanalysis, easily applicable system and mechanism,some energy systems are still confronted with theproblem of how to determine and allocate expendituresfor high losses of electricity. This concernsthe share of the additional electricity losses in thenational electrical energy network and the share ofthe additional auxiliary system services that occurdue to transit or circular flows from international,i.e. cross-border, energy exchanges. The generalposition is that the European energy legislation, i.e.the corresponding directives and regulations of theEU in this respect, represents an adequate legislativeframework for the operations of all the regulatoryagencies.15) There is a specific problem regarding the mannerof accessing and obtaining information and datawhich a regulatory agency can and does requirefrom regulated entities, and which these regulatedentities can and want to provide or do provide to theregulatory agency. In any case, these differences, i.e.information asymmetry, are always present in thisregard. The conclusion is that in order to obtain asatisfactory solution or at least a good balance betweenthe regulatory agency and the regulated en-551Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

5 ZAKLJU»AKOkrugli stol o ulozi regulatornog tijela u donoπenjutarifnih sustava organiziran je kao mjesto susreta irasprave eksperata i direktnih sudionika, odnosnozainteresiranih strana u regulacijskom procesu, odpredstavnika regulatornih tijela, struËne i znanstvenejavnosti, do predstavnika reguliranih subjekata.Okrugli stol bio je vrlo uspjeπan i u potpunostije opravdao razloge organiziranja, ponudivπidobru elaboraciju problematike i sadræaja regulacijeenergetskih djelatnosti, organizacije i nadzoratræiπta elektriËnom energijom, a posebno i ciljanouloge regulatornog tijela u donoπenju tarifnih sustava.KonaËno, Okrugli stol ponudio je i niz odgovora,ali i πto je joπ vaænije, sudionike je ili uveou predmetnu problematiku i ukazao im na opÊuprisutnost sliËnih pitanja i dilema u svim zemljama,od Ëlanica EU do zemalja koje Êe tek postatiËlanice EU, ili im dao odgovore na pitanja i dilemes kojima su doπli na Okrugli stol. Bez obzira na razliËitaiskustva i dinamiku procesa, Okrugli stol jepomogao da se identificira i komentira niz izazovai problema s kojima se suoËavaju sva regulatornatijela, ali i sva regulirana poduzeÊa i energetskisubjekti, bez obzira na sustave iz kojih dolaze ikontekst u kojem su nastala i u kojem su se razvijala.Takoappleer, uoËena je moguÊnost i potrebaza stalnom elaboracijom i raspravom problemasadræaja i forme regulacije, regulatornih pristupa ipolitike, strukture i sadræaja tarifnih metodologijai samih tarifa, utjecajnih parametara i pokazatelja,naroËito ekonomskih i politiËkih, usporednih(benchmark) pristupa i analiza, te svakako veÊesuradnje i transfera znanja i iskustava.Zbog svega prethodnog, cilj i svrha ovog Ëlanakbili su πiru struËnu i znanstvenu javnost izvijestitio rezultatima, odnosno tijeku i zakljuËcimatog Okruglog stola, te eventualno potaÊi struËnui znanstvenu raspravu o izloæenoj problematici,pa Ëak potaÊi organizaciju novih okruglih stolovai rasprava o izloæenim pitanjima, problemima,sadræajima, ali i izazovima regulacije energetskihdjelatnosti.ergy entities, it is best and most efficient to choosepragmatic solutions, if possible based upon the bestavailable and most efficient international practicesand benchmarks. The aforementioned applies in itsentirety to the processes and practices of regulatoryor audit supervision.16) We have especially noted and emphasized thepossibility and necessity for the broader regionalelaboration and discussion of the problems of thecontents and forms of regulations, regulatory approachesand policies, the structures and contents oftariff methodologies and the tariffs themselves, influentialparameters and indices (especially economicand political), benchmark approaches and analysis,together with greater cooperation and the transfer ofknowledge and experiences.5 CONCLUSIONThe Round Table Discussion on the role of the regulatoryagency in the adoption of tariff systems wasorganized as place of meeting and discussion amongexperts and direct participants, i.e. interested partiesin the regulatory process, from representatives of theregulatory agencies, the professional and scientificpublic, to representatives of the regulated entities.The Round Table was highly successful and completelyjustified the reasons for its organization, providinggood elaboration of the issues and contents ofthe regulations on energy operations, the organizationand supervision of the electricity market and, particularly,the planned role for the regulatory agency inthe adoption of the tariff systems. Finally, the RoundTable Discussion provided a series of answers but,more importantly, introduced the participants to theissue under discussion and demonstrated to themthat similar questions and dilemmas are generallypresent in all countries, from the member countriesof the EU to the countries that will become membersof the EU, or provided them with answers tothe questions and dilemmas that they brought withthem to the Round Table. Regardless of the variousexperiences and process dynamics, the Round TableDiscussion helped identify and comment on a seriesof challenges and problems confronted by all regulatoryagencies, as well as all regulated enterprises andenergy entities, regardless of the systems from whichthey come and the context in which they originatedand developed. Furthermore, the possibility andneed were perceived for the ongoing elaboration anddiscussion of the problems of the content and formof regulation, regulatory approaches and policies,the structure and content of tariff methodologies andthe tariffs themselves, the influential parametersand indices (especially economic and political),benchmark approaches and analysis, and certainlyKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553552

greater cooperation and the transfer of knowledgeand experience.Due to all the aforementioned, the goal and purposeof this article were to inform the general professionaland scientific public about the results and conclusionsof this Round Table Discussion, eventuallystimulate expert and scientific discussion about theissues presented, and even stimulate the organizationof new round tables and discussions on thequestions, problems, contents but also the challengesof the regulation of energy operations.LITERATURA / REFERENCES[1] Zakona o energiji, Narodne novine broj 68/2001 i 177/2004[2] Zakon o regulaciji energetskih djelatnosti, Narodne novine broj 177/2004[3] Zakon o træiπtu elektriËne energije, Narodne novine broj 177/2004[4] Tarifni sustav za prijenos elektriËne energije, bez visine tarifnih stavki, Narodne novine broj143/2006[5] Tarifni sustav za distribuciju elektriËne energije, bez visine tarifnih stavki, Narodne novine broj143/2006[6] Tarifni sustav za proizvodnju elektriËne energije, s iznimkom za povlaπtene kupce, bez visine tarifnihstavki, Narodne novine broj 143/2006[7] Tarifni sustav za opskrbu elektriËnom energijom, s iznimkom povlaπtenih kupaca, bez visine tarifnihstavki, Narodne novine broj 143/2006[8] RAJIΔ, Æ., Polazne osnove za donoπenje novih tarifnih sustava, Okrugli stol, Zagreb, 2007.[9] ÆUTOBRADIΔ, S., Tarifni sustavi za regulirane elektroenergetske djelatnosti, bez visine tarifnih stavki/ Tariff Systems for Regulated Electric Power Activities, without the Amounts of the Tariff Items,Okrugli stol, Zagreb, 2007.[10] MRAVAK KNEZIΔ, K., DUGANDÆIΔ, I., Pripreme energetskih subjekata za buduÊi regulacijski period/ Preparation of Energy Entities for the Future Regulatory Period, Okrugli stol, Zagreb, 2007.[11] LAKHOUA, F., Commission de Régulation de l’Energie : Financijska problematika u reguliranim tarifama:francuski sluËaj / Financial Issues in Regulated Tariffs: the French Case, Okrugli stol, Zagreb,2007.[12] KAISER, S., Energie-Control GmbH: Uloga regulatora u utvrappleivanju tarifnih sustava ∑ Austrija / TheRole of the Regulator in Determining Tariff Systems ∑ Austria, Okrugli stol, Zagreb, 2007.[13] LITVAI, P., Magyar Energia Hivatal: Sustav cijena elektriËne energije u Maapplearskoj / The ElectricityPricing System in Hungary, Okrugli stol, Zagreb, 2007.[14] PARIPOVI», M., Javna Agencija Republike Slovenije za energijo: Naknade za koriπtenje mreæa / ElectricityNetwork Charges, Okrugli stol, Zagreb, 2007.Uredniπtvo primilo rukopis:2007-07-30PrihvaÊeno:2007-08-13Manuscript received on:2007-07-30Accepted on:2007-08-13553Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

REGULATORNA POLITIKA I NJENUTJECAJ NA PLANOVE RAZVOJAI IZGRADNJE ENERGETSKIHSUBJEKATA KOJI OBAVLJAJUREGULIRANE DJELATNOSTIREGULATORY POLICY AND ITSIMPACT ON THE DEVELOPMENT ANDCONSTRUCTION PLANS OF ENTITIESPERFORMING REGULATED ACTIVITIESMr. sc. Ivona ©tritof, Hrvatska energetska regulatorna agencija,Koturaπka cesta 51, 10000 Zagreb, HrvatskaFranjo KleËina, dipl.ing., Energetski institut Hrvoje Poæar,Savska cesta 163, 10000 Zagreb, HrvatskaHrvatska energetska regulatorna agencija u prosincu 2006. godine donijela je tarifne sustavebez visine tarifnih stavki za djelatnosti proizvodnje, prijenosa, distribucije i opskrbe elektriËnomenergijom. Tarifnim sustavima utvrappleena je metoda regulacije koja Êe se primjenjivati prilikomutvrappleivanja iznosa tarifnih stavki za pojedinu djelatnost. Jedan od preduvjeta za donoπenje iznosatarifnih stavki od strane Vlade Republike Hrvatske je donoπenje planova razvoja i izgradnje prijenosnei distribucijske mreæe od strane energetskih subjekata koji obavljaju regulirane djelatnostina koje Hrvatska energetska regulatorna agencija daje suglasnost.In December 2006, the Croatian Energy Regulatory Agency ∑ CERA (Hrvatska energetska regulatornaagencija ∑ HERA) adopted tariff systems without stipulating the amounts of the tariff itemsfor the activities of the generation, transmission, distribution and supply of electrical energy. Aregulatory method was established through the tariff systems that will be applied in the determinationof the amounts of the tariff items for individual activities. One of the prerequisites forthe adoption of the amounts of tariff items by the Government of the Republic of Croatia is theadoption of the development and construction plans of the transmission and distribution networksto which the CERA issues approval.KljuËne rijeËi: planovi razvoja, regulatorna politika, regulatorno tijelo, regulirani energetskisubjekt, tarifni sustaviKey words: development plans, entity performing regulated activity, regulatory body, regulatorypolicy, tariff systemsŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583554

Hrvatska je na poËetku uvoappleenja ekonomske regulacijeu energetskim djelatnostima, stoga se uovom trenutku joπ ne mogu analizirati uËinci regulatornepolitike u cijelosti kao niti pojedinih regulatornihodluka. Iako su tarifni sustavi, bez visinetarifnih stavki, doneseni u prosincu 2006. godine,koliko je poznato autorima (u vrijeme predaje ovogËlanka uredniπtvu) procedura donoπenja iznosa tarifnihstavki nije joπ zapoËela. Za donoπenje iznosatarifnih stavki potrebno je prije svega da energetskisubjekti HEP Operator prijenosnog sustava d.o.o.(HEP OPS) i HEP Operator distribucijskog sustavad.o.o. (HEP ODS) dostave HERA-i na suglasnostprijedlog trogodiπnjih planova razvoja i izgradnje,a sve temeljem Zakona o træiπtu elektriËne energije[8].Kod razmatranja planova razvoja i izgradnje prijenosnei distribucijske mreæe, nameÊe se pitanjekoje se odnosi na dubinu nadleænosti regulatornogtijela, pa tako i HERA-e, odnosno na njegovu pozicijuu odnosu na davanje suglasnosti na pojedinakoncepcijska rjeπenja, odnosno na pojedina tehniËkapitanja. Naime, temeljem Zakona o træiπtuelektriËne energije [8] HEP OPS i HEP ODS donoseplanove razvoja i izgradnje mreæa za razdobljeod tri godine tek po ishoappleenoj prethodnoj suglasnostiHERA-e na svoje prijedloge planova. Doneseniplanovi ujedno su i ishodiπte za utvrappleivanjeiznosa tarifa. Samim zakonskim odredbama nijerazvidno definirana dubina uloge HERA-e u smislunjenih ovlasti prilikom davanja tih suglasnosti.BuduÊi da su iskustva u Hrvatskoj u smislu utjecajaregulatornog tijela na planove razvoja i izgradnjetek u zaËetku, zanimljivo je analizirati ulogu drugihregulatornih tijela u donoπenju planova poslovanja,tj. razvoja i izgradnje subjekata koji obavljajuregulirane djelatnosti. Iskustva regulatornih tijelaËlanica udruæenja energetskih regulatornih tijela izEurope (Energy Regulators Regional Association ∑ERRA) [9], u kojima je regulacija i konkurentnotræiπte elektriËne energije relativno novi koncept,vrlo su razliËita u smislu uloge regulatornog tijela udavanju suglasnosti na planove razvoja i izgradnje.U veÊini sluËajeva regulatorna tijela ne utvrappleujukriterije planiranja razvoja prijenosne i distribucijskemreæe, niti utjeËu na koncepcijska i tehniËkarjeπenja koja vrlo Ëesto proizlaze iz odluka upravetvrtki, veÊ se njihova uloga svodi na odobravanjeposlovnih planova Operatora prijenosnih sustava(OPS) i Operatora distribucijskih sustava (ODS).Paralelno odobravanju poslovnih planova, regulatornatijela postupno uvode i razvidne kriterijekvalitete opskrbe kako bi se izbjeglo smanjenjekvalitete opskrbe zbog smanjivanja troπkova krozprimjenu regulatorne metode te da bi se ujednopostiglo planiranje razvoja mreæe koje za cilj imaThe Republic of Croatia is in the initial phase ofintroducing economic regulation into energy activities.Therefore, at this moment it is still not possibleto analyze the effects of the regulatory policyin their entirety or individual regulatory decisions.For the adoption of the amounts of tariff items, itwill be necessary for the HEP Transmission SystemOperator ∑ HEP TSO (HEP Operator prijesnog sustavad.o.o. ∑ HEP OPS) and the HEP DistributionSystem Operator ∑ HEP DSO (HEP Operator distribucijskogsustava ∑ HEP ODS) as energy entitiesto submit their proposed three-year developmentand construction plans to the CERA for approval, allpursuant to the Electricity Market Act [8].When considering the development and constructionplans of transmission and distribution networks,a question arises in reference to the degreeof the authority of the regulatory body, and thusof the CERA, i.e. its position in relation to issuingapproval for individual conceptual solutionsor individual technical questions. Pursuant to theElectricity Market Act [8], the transmission systemoperator and the distribution system operator onlyadopt plans for the development and constructionof networks for a period of three years after obtainingprior approval from the CERA for their proposedplans. The adopted plans are also the basis for thedetermination of the amounts of tariffs. The legalprovisions themselves have not transparently definedthe range of the CERA's role in the sense ofits authority when issuing these approvals.Since experiences in the Republic of Croatia regardingthe influence of the regulatory body on developmentand construction plans are only in the initialphase, it is interesting to analyze the role of otherregulatory bodies in the adoption of business plans,i.e. development and construction by entities performingregulated activities. The experiences of themember regulatory bodies of the Energy RegulatorsRegional Association (ERRA) [9], in which regulationand a competitive electrical energy market are relativelynew concepts, vary considerably in the sense ofthe role of the regulatory body in issuing approval fordevelopment and construction plans. In the majorityof cases, the regulatory bodies neither determine thecriteria for planning the development of transmissionand distribution networks, nor do they influence theconceptual and technical solutions that very oftenensue from the decisions of company management,but instead their role is limited to approving thebusiness plans of the transmission system operatorand the distribution system operator. Together withthe approval of business plans, regulatory bodiesare gradually introducing transparent criteria for thequality of supply in order to avoid lowering the qualityof the supply due to reduced expenditures throughthe application of regulatory methods in order to557Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

poveÊanje uËinkovitosti, odnosno poveÊanje kvaliteteopskrbe.Odabirom metode regulacije priznatih troπkovai regulatornog razdoblja od godinu dana unutarkojeg je moguÊe inicirati izmjene visine tarifnihstavki, HERA nije dala naglasak na poveÊanjeuËinkovitosti subjekata koji obavljaju reguliranedjelatnosti koji je jedan od glavnih ciljeva ekonomskeregulacije. ImajuÊi u vidu iskustva drugihregulatornih tijela iz EU, nuæno Êe u skoraπnjevrijeme uslijediti izmjena regulatorne metode, atime Êe i HERA intenzivnije pristupiti analizi ovisnostiregulatornog pristupa i razine faktora uËinkovitostiprimjenjujuÊi neku od metoda poticajneregulacije. U Ëlanku se analiziraju dva regulatornapristupa u primjeni faktora uËinkovitosti i uloziregulatornog tijela u odobravanju investicijskihplanova subjekata koji obavljaju regulirane djelatnostipoznatih pod nazivom regulatorni pristupslaganja blokova (engl. Building Blocks Appraoch)i regulatorni pristup ukupnog troπka (engl. TotalExpenditures Approach ∑ TOTEX Approach). Oodabranom regulatornom pristupu ovisi i naËinna koji regulatorno tijelo ocjenjuje uËinkovitostpojedinih ulaganja i razmatra opravdanost razinepredviappleenih ulaganja.achieve the planned development of the networkwith the goal of improving efficiency, i.e. improvingthe quality of the supply.Through the selection of the rate of return (RoR)method and a regulatory period of one year withinwhich it is possible to initiate changes in theamounts of the tariff items, the CERA did not placeemphasis on increasing the efficiency of the entitiesperforming regulated activities, which is oneof the main goals of economic regulation. Bearingin mind the experiences of other regulatory bodiesfrom the EU, changes in the regulatory method willhave to follow soon, and the CERA will have to intensifyits analysis of the dependence of the regulatoryapproach and the level of the efficiency factor,applying some incentive regulation method. In thisarticle, two regulatory approaches are analyzed inthe application of the efficiency factor and the rolesof the regulatory body in the approval of the investmentplans of entities performing regulated activities,known as the building block approach, and theregulatory approach known as the total expenditureapproach or the TOTEX approach. The choice of theregulatory approach will also determine the mannerin which the regulatory body will assess the performanceof individual investments and analyze thejustification for the level of individual investments.2 PRAKSA U »LANICAMAENERGY REGULATORSREGIONAL ASSOCIATIONZemljopisno gledano ERRA je udruæenje regulatornihtijela iz Europe (pojedine dræave ujednosu i Ëlanice EU) i bivπih dræava Sovjetskog savezaosnovano 2000. godine. TrenutaËno su uudruæenju punopravno uËlanjena 22 regulatornatijela ukljuËujuÊi i HERA-u. Na sastancima odboraERRA-e raspravlja se i razmjenjuju se iskustva onadleænostima regulatornih tijela, problemima iizazovima s kojima se susreÊu regulatorna tijela.Jedna od nadleænosti veÊine regulatornih tijela jei sudjelovanje u postupku donoπenja razvojnih/investicijskih planova energetskih subjekata kojise bave prijenosom i distribucijom elektriËneenergije u vidu tehniËkih, financijskih ili poslovnihplanova. Planovi se donose kao preduvjet zautvrappleivanje metodologija za izraËun cijena uslugaili donoπenje samih iznosa cijena usluga. Pitanjakoja se nameÊu prilikom rasprave o ulozi regulatornihtijela u donoπenju predmetnih planova su:∑koliko duboko i detaljno regulatorno tijelo trebabiti ukljuËeno u izradu i donoπenje razvojnih/investicijskih planova, posebice kada se radi ostrateπkim dilemama ili tehniËkim rjeπenjima,2 PRACTICES AMONG THEMEMBERS OF THE ENERGYREGULATORS REGIONALASSOCIATION (ERRA)Viewed geographically, the ERRA is an associationof the energy regulatory bodies from Europe (someof the countries are also members of the EU) andthe former the Soviet Union, which was establishedin the year 2000. Currently, there are twenty-tworegulatory bodies that are full members, includingthe CERA. At the meetings of the ERRA committees,experiences are discussed regarding the authoritiesof the regulatory bodies, together with the problemsand challenges encountered by the regulatory bodies.One of the authorities of the majority of theregulatory bodies is participation in the procedure forthe adoption of the development/investment plans ofthe energy entities engaged in the transmission anddistribution of electrical energy, regarding technical,financial or business plans. Plans are adopted as aprerequisite for the determination of the methodologiesfor the calculation of the prices for services orthe adoption of the amounts of the prices of the services.Questions posed during the discussions on therole of the regulatory bodies in the adoption of theseplans are as follows:Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583558

∑ treba li regulatorno tijelo biti ta instanca kojaÊe utvrditi jediniËni troπak pojedine opreme,∑ koje sastavne dijelove mora sadræavati svakirazvojni/investicijski plan.Na ova pitanja i dileme ERRA-in Odbor za tarife icijene pokuπao je u 2005. godini odgovoriti krozanalizu iskustava dræava Ëlanica [9]. Meappleutim,provedena analiza je pokazala da se uloga regulatornogtijela u donoπenju razvojnih/investicijskihplanova znaËajno razlikuje ovisno o zakonskimrjeπenjima, nadleænostima regulatornih tijela testruËnoj, tehniËkoj i financijskoj osposobljenostiregulatornih tijela.Upitnik koji je tom prilikom pripremljen, analizirani prezentiran sadræi 33 pitanja. Svoje odgovorena pitanja iz Upitnika dala su regulatorna tijelaiz 12 dræava (Armenija, Bosna i Hercegovina,Bugarska, Hrvatska, Estonija, Gruzija, Latvija, Litva,Makedonija, Poljska, Rumunjska i Ukrajina).U dræavama koje su odgovorile na Upitnik brojOPS-ova uglavnom je jedan, dok se broj ODS-ovakreÊe izmeappleu 1 i viπe od 200 (Poljska). U veÊinidræava regulatorno tijelo daje suglasnost na razvojne/investicijskeplanove OPS-a i ODS-a (slika 1).Meappleutim, postoje i rjeπenja u kojima regulatornotijelo nije ukljuËeno u proces donoπenja planova,veÊ je to npr. u potpunosti u nadleænosti energetskihsubjekata. Razdoblje na koje se donose planovikreÊe se od jedne do deset godina, kako zaOPS tako i za ODS.∑ how deep and thorough should a regulatorybody’s involvement be in the preparation andadoption of development/investment plans, especiallyregarding strategic dilemmas or technicalsolutions?∑ should the regulatory body be the one to definethe unit costs of individual types of equipment?∑ what are the integral parts that every development/investmentplan should have?In 2005, the ERRA Tariff/Pricing Committee attemptedto answer these questions and dilemmas throughanalysis of the experiences of the member countries[9]. However, the analysis performed demonstratedthat the roles of the regulatory bodies in the adoptionof development/investment plans vary significantly,depending upon the legal solutions, the authorities ofthe regulatory bodies and the professional, technicaland financial abilities of the regulatory bodies.The questionnaire that was prepared, analyzed andpresented on this occasion has thirty-three questions.The regulatory bodies from twelve countries (Armenia,Bosnia and Herzegovina, Bulgaria, Croatia, Estonia,Georgia, Latvia, Lithuania, Macedonia, Poland,Rumania and the Ukraine) answered the questionson the questionnaire. In the countries that respondedto the questionnaire, the number of TSO (transmissionsystem operators) is generally one, while thenumber of DSO (distribution system operators) rangesbetween one and over two hundred (Poland). Inthe majority of the countries, the regulatory body issuesapproval for the development/investment plansof the transmission system operators and distributionsystem operators (Figure 1). However, there are alsosolutions in which the regulatory body is not includedin the process of the adoption of plans but instead,for example, the energy entities have full authorizationfor this. The periods for which plans are adoptedrange from one to ten years, for both transmissionsystem operators and distribution system operators.Regulatorno tijelo /Regulatory bodyResorno ministarstvo /Responsible ministryEnergetski subjekt / Energy entityRegulatorno tijelo i energetskisubjekt / Regulatory body andenergy entityRegulatorno tijelo i vlada/ Regulatory body and thegovernmentRegulatorno tijelo i resornoministarstvo / Regulatory bodyand responsible ministryRegulatorno tijelo, resornoministarstvo, energetski subjekt/ Regulatory body, responsibleministry and energy entity25 %ODS (Operator distribucijskog sustava) /DSO (Distribution System Operator)8 %0 % 0 % 8 %8 %51 %8 %17 %OPS (Operator prijenosnog sustava) /TSO (Transmission System Operator)8 %8 % 0 %17 %42 %Slika 1Raspodjela nadleænostidavanja suglasnostina planove razvoja/investicija ODS-a iOPS-a u ËlanicamaERRA-e (analiza jeprovedena za 12 dræava)Figure 1Distribution of authorityfor issuing approvalfor the development/investment plans ofdistribution systemoperators andtransmission systemoperators among themembers of ERRA.(Analysis was performedfor twelve countries)559Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

U Bugarskoj se financijski nadzor provodi na temeljuodabranih financijskih pokazatelja koji suutvrappleeni kao pokazatelji od vaænosti za regulatorninadzor. Analiza ovih pokazatelja trebala bi odgovoritina pitanje primjenjuju li energetski subjektimjere utvrappleene od strane regulatornog tijela kojeza cilj imaju poveÊanje ekonomske uËinkovitostiproizaπle iz primjene poticajne regulacije. U Latvijitarifna metodologija utvrappleuje naËin na kojise dostavlja prijedlog tarifa, odnosno utvrappleujeset potrebnih podataka koje je potrebno dostavitiregulatornom tijelu. U Ukrajini nadzor poslovnihplanova provodi se kroz raËunovodstveni nadzori izvjeπÊa za potrebe regulatornog tijela. Poslovni,odnosno investicijski planovi izmeappleu ostalogmoraju sadræavati iznos godiπnjeg budæeta, izvorfinanciranja te detaljnu elaboraciju troπkova. Zaukrajinsko regulatorno tijelo potrebno je naglasitida veÊ dugi niz godina primjenjuje razne vrste metodaravnanja prema mjerilu (engl. benchmarking)za koje je podatak o troπkovima za pojedinaËneinvesticije viπe nego dobrodoπao.Odgovori na Upitnik pokazali su da u veÊinidræava regulatorno tijelo provodi nadzor nad realizacijompredviappleenih investicija tijekom postupkautvrappleivanja tarifa za novo regulatorno razdoblje.Ono πto je bitno kod utvrappleivanja cijena usluga iukljuËivanja pojedinih troπkova u razinu prihodaenergetskog subjekta odobrenog od strane regulatornogtijela je realizacija investicija iz investicijskogciklusa. Naime, ukoliko je pojedina investicijaodobrena i ukljuËena u investicijske planove, te suza istu alocirana potrebna sredstva u regulatornomrazdoblju, tu istu investiciju ne moæe se ukljuËiti uregulirani troπak u novom regulatornom razdoblju.Proizlazi da je nadzor regulatornog tijela vrlo bitanu segmentu nadzora nad realizacijom investicijskihplanova subjekata koji obavljaju reguliranedjelatnosti.Ukoliko energetski subjekt ne realizira predviappleeniinvesticijski ciklus, u pojedinim dræavama (Armenija,Latvija, Litva, Poljska, Ukrajina), u sljedeÊemregulatornom razdoblju dolazi do smanjenja iznosareguliranih tarifnih stavki. No, moguÊa su i drastiËnijarjeπenja, kao npr. u Armeniji, gdje regulatornotijelo osim smanjenja iznosa tarifnih stavkimoæe izreÊi upozorenje ili oduzeti dozvolu za obavljanjeenergetske djelatnosti. Meappleutim, ukoliko seradi o OPS-u, postavlja se pitanje tko Êe obavljatidjelatnost ukoliko se oduzme dozvola. Nadalje,kao sankcija za neispunjavanje investicijskog ciklusa,moguÊe su i novËane kazne, npr. u Ukrajinido 16 000 ameriËkih dolara. I u hrvatskom zakonu[8] predviappleena je novËana kazna za energetski subjektu iznosu do 50 000 kuna ukoliko ne izraappleujeplanove razvoja i izgradnje, odnosno ukoliko ih neIn Bulgaria, financial supervision is performed onthe basis of selected financial indices that are determinedas indices of importance for regulatory supervision.Analysis of these indices should answerthe question of whether energy entities apply themeasures determined by the regulatory body withthe goal of achieving increased economic performancethrough the application of incentive regulations.In Latvia, the tariff methodology determinesthe manner in which a proposed tariff should besubmitted, i.e. determines the set of necessary datathat must be submitted to the regulatory body. Inthe Ukraine, supervision of business plans is performedthrough accounting supervision and reportsfor the purposes of the regulatory body. Business orinvestment plans, among other things, must containthe amount of the annual budget, the sourceof financing and a detailed elaboration of costs. Forthe Ukrainian regulatory body, it is necessary to emphasizethat various types of methods based uponbenchmarking have been applied for many years,for which data on the costs for individual investmentsare more than welcome.Responses to the questionnaire showed that in themajority of the countries, the regulatory body supervisesthe implementation of planned investmentthrough the procedure of determining the tariffsfor the new regulatory period. What is important inthe determination of the prices for services and theinclusion of individual costs in the level of the revenuesof the energy entity approved by the regulatorybody is the implementation of investment from theinvestment cycle. Insofar as an individual investmentis approved and included in investment plans,and the necessary assets are allocated for it in theregulatory period, this same investment cannot beincluded in the regulated expenditures in the newregulatory period. Therefore, it follows that supervisionby the regulatory body is very important in thesegment of supervising the implementation of theinvestment plans of a entities performing regulatedactivities.If an energy entity does not implement a planned investmentcycle, in some countries (Armenia, Latvia,Lithuania, Poland and the Ukraine) there is a reductionin the amounts of the regulated tariff items in thesubsequent regulatory period. However, even moredrastic solutions are possible, such as, for example,in Armenia where the regulatory body, in addition toreducing the amounts of the tariff items, can alsoissue a warning or revoke the license for performingenergy operations. However, when this concerns atransmission system operator, the question is askedwho will perform the activity if the license is revoked.Furthermore, monetary fines can be imposed as penaltiesfor not fulfilling an investment cycle such as,for example, in the Ukraine of up to USD 16 000.561Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

izraappleuje temeljem Strategije energetskog razvitka iPrograma provedbe Strategije.Radi lakπe provedbe postupka davanja suglasnostina planove od strane regulatornog tijela i kasnijegnadzora nad provedbom planova u pojedinimdræavama (Bugarska i Ukrajina) struktura sadræajaplanova je predefinirana. U Litvi razvojni/investicijskiplanovi moraju zadovoljiti nuæan minimumsadræaja planova, a to je:∑ obrazac potpisan od strane odgovorne osobesa svim potrebnim podacima djelatnika (imena,telefon, e-mail adresa) koji su sudjelovali uizradi planova,∑ popis planiranih investicija koje moraju bitiu skladu sa strategijom razvoja i dugoroËnimplanovima razvoja mreæa, ukljuËujuÊi iznospotrebnih financijskih sredstava, izvore financiranja,terminski plan i sliËno,∑ pisano obrazloæenje u vidu investicijskog planaza razdoblje od tri godine iz kojeg je vidljivuËinak pojedine investicije, kako u tehniËkomtako i ekonomskom, socijalnom i ekoloπkompogledu. Isto tako potrebno je navesti utjecajpojedine investicije na cijenu, kvalitetu uslugei sl. U odgovoru na pitanje iz Upitnika nije navedenodo koje naponske razine ili koje visineinvesticije je potrebno pisati ovako detaljnapojaπnjenja razloga za pojedinu investiciju,∑ energetski subjekt treba osigurati i druge podatkeili dokumente ukoliko regulatorno tijeloustanovi da su potrebni za mjerodavan stavregulatornog tijela.U dijelu Upitnika koji se odnosi na povezanostplanova i regulatornih parametara, kao πto je tostopa povrata na kapital, veÊina regulatornih tijelaodgovorila je da institucija koja odobrava planovene treba predefinirati pojedine regulatorne parametrekojima bi se sluæili u analizi planova. Izuzetakje Bugarska u kojoj regulatorno tijelo moæedati instrukcije, u smislu davanja informacije oaproksimativnom iznosu pojedinih regulatornihparametara, kao πto je npr. stopa povrata na kapitalkojom se energetski subjekt moæe koristitiprilikom izrade planova razvoja/investicija.Under Croatian law [8], a monetary fine for an energyentity in the amount of up to 50 000 kunas is stipulatedif development and construction plans are notprepared, i.e. if they are not prepared according tothe Energy Development Strategy and the Programfor the Implementation of the Strategy.To facilitate implementation, the procedures for issuingapproval for plans by the regulatory body andsubsequent supervision of the implementation ofplans in some countries (Bulgaria and the Ukraine),the structure of the content of the plans are predefined.In Lithuania, development/investment plansmust include the necessary minimum contents ofthe plans, as follows:∑ a form should be signed by the responsible persons,with all the necessary data on the employees(names, telephone numbers and e-mail addresses)who participated in the preparation of the plans,∑ there should be a list of the planned investments,which must be pursuant to the developmentstrategy and long-range plans for the developmentof the network, including the amountof the necessary financial assets, the sources offinancing, schedule etc.,∑ there should be a written explanation regardingthe investment plan for the period of three years,from which the impact of individual investmentsis visible, in the economic, social andecological aspects. Furthermore, it is necessaryto state the impact of individual investments onprice, quality of service etc. The responses to aquestion from the questionnaire do not indicatethe voltage level or the level of investment thatrequire a detailed written explanation of the reasonsfor an individual investment,∑ the energy entity should also provide other dataor documents if the regulatory body deems thatthey are necessary in order for it to determineits position.In the part of the questionnaire that refers to theconnection between plans and regulatory parameters,such as the rate of return on capital, themajority of the regulatory bodies answered that theinstitution that approves plans does not have topredefine the individual regulatory parameters thatit would use in the analysis of the plans, with theexception of Bulgaria in which the regulatory bodycan provide instructions in the sense of furnishinginformation on the approximate amounts of regulatoryparameters, such as, for example, the rate ofreturn on capital that an energy entity can use inpreparing development/investment plans.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583562

ZakljuËak koji se moæe izvuÊi iz odgovora na pitanjaiz Upitnika je da regulatorna tijela ukoliko imajuu nadleænosti davanje suglasnosti na planoverazvoja/investicija OPS-a i ODS-a, u naËelu suglasnostdaju na moguÊnost realizacije predviappleenihinvesticija u financijskom pogledu te na rezultatekoji se postiæu predviappleenim investicijama. Podrezultatima smatra se poveÊanje uËinkovitostisubjekata koji obavljaju regulirane djelatnosti ilipoveÊanje razine kvalitete opskrbe. Ono πto jepotrebno naglasiti kao zakljuËak razmatranja odgovorana Upitnik je da se analizirana regulatornatijela ne mijeπaju u koncepcijska tehniËka rjeπenjau planovima razvoja i izgradnje mreæa.Da bi se moglo govoriti o poveÊanju uËinkovitostikoja je rezultat primjene poticajne regulacije i outjecaju razine odobrenih investicija na razinu dozvoljenogprihoda reguliranog subjekta, potrebnoje dati prikaz, odnosno analizu, moguÊih regulatornihpolitika u primjeni poticajne regulacije. Pritome vaænu ulogu ima osnovica na koju se primjenjujefaktor uËinkovitosti te dinamika realizacijepredviappleenih investicija i amortizacijska politika.3 UTJECAJ REGULATORNEPOLITIKE NA DOZVOLJENIPRIHODDo sada je bilo rijeËi o nadleænosti regulatornogtijela u donoπenju planova razvoja/investicija, a dase pri tome nije analizirala regulatorna politika ukojoj vaænu ulogu ima cilj koji se æeli postiÊi pojediniminvesticijskim ciklusom te razina odobrenihinvesticija koje se ukljuËuju u regulirane troπkove.Kontekst regulatorne politike koji se razmatra uovom Ëlanku prvenstveno se odnosi na poticajnuregulaciju Ëije su znaËajke u detalje razmatraneu literaturi pod [6], a za koju je, ukoliko se radi ometodi regulacije maksimalnog prihoda, karakteristiËnasljedeÊa formula:The conclusion that can be drawn from the responsesto the questions on the questionnaire is that the regulatorybodies, insofar as they have the authority to approvethe development/investment plans of the transmissionsystem operator and the distribution systemoperator, in principle issue approval based upon thefeasibility of the implementation of the planned investmentsin the financial aspect and based upon theresults to be achieved by the planned investments.Results include the increased efficiency of the entitiesperforming regulated activities or improved quality ofthe supply. It is necessary to emphasize that a conclusiondrawn from a review of the responses to thequestionnaire is that the analyzed regulatory bodiesdo not interfere in the conceptual technical solutionsof the network development and investment plans.In order to speak about the increased efficiency resultingfrom the application of incentive regulationsand the impact of the level of approved investmentson the level of the allowed revenue of entities performingregulated activities, it is necessary to providea presentation, i.e. an analysis, of the potentialregulatory policies in the application of incentiveregulations. Important roles are played by the baseupon which the efficiency factor is applied, thedynamics of the implementation of planned investmentsand the depreciation policy.3 THE IMPACT OF REGULATORYPOLICIES ON ALLOWEDREVENUEThus far, the authority of the regulatory body in theadoption of development/investment plans has beendiscussed without analyzing the regulatory policies, inwhich the desired goal to be achieved by an individualinvestment cycle and the level of approved investmentsincluded under regulated expenditures have importantroles. The context of the regulatory policies that arediscussed in this article primarily refers to incentiveregulation, the characteristics of which are discussedin detail in the literature [6], and for which, insofar asthey concern methods for the regulation of maximumrevenue, are characterized by the following formula:(1)gdje je:P max t ∑ gornja granica dozvoljenog prihoda ugodini t,where:R max t ∑ the upper limit of revenue, i.e. revenuecap,in year t,563Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

P max (t - 1) ∑ gornja granica dozvoljenog prihoda ugodini t -1,CPI t ∑ indeks potroπaËkih cijena u godini t,X t ∑ faktor uËinkovitosti u godini t,KP t ∑ faktor korekcije u godini t.Mehanizam poticajne regulacije prije svega nastojikroz poticaje (X-faktor) poveÊati uËinkovitost energetskihsubjekta. Pri tome vrijedi pretpostavka daje energetski subjekt u stanju kontrolirati razinusvojih troπkova. Za troπkove za koje se smatra daih energetski subjekt ne moæe kontrolirati, odnosnoda su izvan kontrole subjekta, kao πto su tonpr. porezi, naknada za regulaciju, troπkovi kojeje prouzroËila viπa sila i sl., ne moæe se oËekivatipoveÊanje uËinkovitosti subjekta na raËun njihovogsmanjenja. Stoga se poticaji primjenjuju narazinu kontroliranih troπkova, dok se nekontroliranitroπkovi smatraju prolaznim i u cjelokupnomiznosu se prebacuju na kupca. Detaljna elaboracijagranice izmeappleu kontroliranih i nekontroliranihtroπkova zahtijeva dublje analize od straneregulatornog tijela. Kao primjer troπkova koji semogu svesti u sferu kontroliranih i nekontroliranihtroπkova su troπkovi tehniËkih gubitaka u mreæi.Ukoliko regulatorno tijelo smatra da su gubici upotpunosti nekontrolirani troπak, prihvaÊa njihovurazinu, odnosno njihov troπak, u iznosu koji prijavljujeenergetski subjekt. U tom sluËaju energetskisubjekt neÊe imati nikakav poticaj da ih smanji,bilo u vidu troπka bilo u vidu fiziËkih gubitakaizraæenih u kWh. Meappleutim, ukoliko ih regulatornotijelo smatra kontroliranim troπkom, nastojat Êe ihkroz regulatornu politiku svesti u granice koje sesa stajaliπta regulatornog tijela Ëine opravdanima.Kada se radi o kontroliranim troπkovima, regulatornapolitika razlikuje dvije grupe troπkova:∑∑operativne troπkove (engl. Operating Expanditures∑ OPEX), troπkovi koje je moguÊe kontroliratiu kratkoroËnom razdoblju ikapitalne troπkove (engl. Capital Expanditures∑ CAPEX), troπkove koje je moguÊe kontroliratiu dugoroËnom razdoblju.U OPEX se ubrajaju troπkovi osoblja, materijalnitroπkovi, troπkovi odræavanja, ostali troπkovi poslovanjai sl. Troπkovi koje je moguÊe prilagoappleavati urelativno kratkom roku. S druge pak strane, CA-PEX se u kratkoroËnom razdoblju moæe promatratikao fiksni troπak buduÊi da se i prvenstveno radio troπkovima koji se veæu uz investicije u razvojmreæa i poboljπanje kvalitete opskrbe. CAPEX jemoguÊe podijeliti u dvije grupe ∑ amortizaciju ipovrat sredstava koji se definira kao godiπnja stopapovrata primijenjena na neamortizirani dio ulaganja.Povrat sredstava u naËelu utvrappleuje regulator-R max (t -1) ∑ the upper limit of revenue, i.e. revenuecap,in year t -1,CPI t ∑ the consumer price index in year t,X t ∑ the efficiency factor in year t,KP t ∑ the correction factor in year t.The mechanism of incentive regulation primarily attemptsto increase the efficiency of energy entitiesthrough incentives (the X-factor). It is presumed thatan energy entity is in a position to control the levelof its expenditures. For expenditures presumed tobe non-controllable by an energy entity, i.e. that areout of the control of the entity, such as, for example,taxes, regulation charges, expenditures due to forcemajeure etc., it is not possible to expect that theentity will achieve increased efficiency by reducingthem. Therefore, incentives are applied at the levelof controllable costs, while non-controllable costsare considered to be transitory and are transferredin their entirety to the customers. A detailed elaborationof the boundary between controllable and noncontrollableexpenditures requires in-depth analysisby the regulatory body. An example of expendituresthat can be classified within the spheres of both controllableand non-controllable expenditures are thecosts of technical losses in the network. Insofar asthe regulatory body considers the losses to be entirelynon-controllable expenditures, it accepts their level,i.e. their cost, in the amount that the energy entityreports. In this case, the energy entity will not haveany incentive to reduce them, whether in the aspectof expenditures or the aspect of physical losses expressedin kWh. However, insofar as the regulatorybody considers them to be controllable expenditures,it will attempt to lower them through regulatory policyto within the limits considered justified from thestandpoint of the regulatory body.Concerning controllable expenditures, regulatorypolicy differentiates between two groups ofexpenditures:∑∑Operating expenditure ∑ OPEX, expenditure thatcan be controlled within a short-term periodCapital expenditure ∑ CAPEX, expenditure thatcan be controlled within a long-term period.Under OPEX are included personnel costs, materialcosts, maintenance costs, other operating costs etc.These are expenditures that can be adjusted withina relatively short period. On the other hand, CAPEXcan be considered as fixed expenditures within ashort-term period, primarily concerning expendituresin connection with investment in networkdevelopment and improvement in the quality of thesupply. CAPEX can be divided into two groups ∑depreciation and return on assets, defined as theannual rate of return applied to the non-depreciatedportion of investment. In principle, the returnŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583564

no tijelo na osnovi troπka kapitala subjekata kojiobavljaju regulirane djelatnosti [7].ImajuÊi u vidu da regulatorno tijelo u naËelu moæeregulirati dvije kategorije troπkova, moguÊe jedefinirati dva pristupa u regulaciji. Prvo, regulatornotijelo moæe primjenjujuÊi pojedinu metodupoticajne regulacije zasebno razmatrati OPEXi CAPEX. Ovakav pristup poznat je pod nazivomregulatorni pristup slaganja blokova, buduÊi da sesastoji od dvije komponente, odnosno bloka, zakoje regulatorno tijelo pojedinaËno utvrappleuje opravdanurazinu.Drugi pristup se odnosi na regulatornu politikuu kojoj regulatorno tijelo OPEX i CAPEX razmatrakao integrirani troπak na koji se sumarno primjenjujeodabrana metoda poticajne regulacije.Ovakav pristup poznat je pod nazivom regulatornipristup ukupnog troπka. TOTEX oznaËava sumuOPEX-a i CAPEX-a. U nastavku razmatra se svakiod pristupa pojedinaËno.3.1 Regulatorni pristup slaganja blokovaU regulatornom pristupu slaganja blokova regulatornotijelo mora odvojeno analizirati uËinkovitu,odnosno opravdanu razinu, OPEX-a i CAPEX -a.Pri ocjenjivanju razine uËinkovitosti i opravdanostiOPEX-a Ëest je sluËaj da regulatorna tijelakoriste razne metode ravnanja prema mjerilu [7].Meappleutim, utvrappleivanje faktora uËinkovitosti X uformuli za poticajnu regulaciju (1) zahtijeva punosloæeniji postupak, ukljuËujuÊi i diskrecijske odlukeregulatornih tijela, od direktnog uvrπtavanjarezultata dobivenih primjenom neke od poznatihmetoda ravnanja prema mjerilu.Dozvoljena razina CAPEX-a utvrappleuje se na osnoviinvesticijskih planova energetskih subjekatapredviappleenih za sljedeÊe regulatorno razdoblje. Naosnovi predloæenih investicija, regulatorno tijeloprocjenjuje koje investicije ukljuËiti u regulatornuosnovicu sredstava. Investicije koje su ukljuËene uregulatornu osnovicu sredstava bit Êe u potpunostiukljuËene u troπak amortizacije te Êe se na neamortiziranidio primijeniti stopa povrata na uloæenikapital.»est je sluËaj da se predviappleena razina investicijapromatra kao troπak koji se prihvaÊa na razini prijedlogaenergetskih subjekata. Ukoliko regulatornotijelo u potpunosti prizna predloæene investicije,kod energetskog subjekta se stvara poticaj daprikazuje πto veÊu razinu buduÊih investicija nevodeÊi se opravdanim razlozima kao πto su smanjenjegubitaka u mreæi ili postizanje optimalne,odnosno propisane razine kvalitete opskrbe. Pritome energetski subjekt ima u vidu da Êe se veÊaon assets is determined by the regulatory body onthe basis of the capital expenditures of the entitiesperforming regulated activities [7].Bearing in mind that the regulatory body can inprinciple regulate the two categories of expenditures,it is possible to define two approaches toregulation. First, when the regulatory body appliesan individual incentive regulation method, it canconsider OPEX and CAPEX separately. Such an approachis known as the building block approach,since it consists of two components, i.e. blocks, forwhich the regulatory body determines the justifiablelevels individually.The second approach refers to the regulatory policyin which the regulatory body considers OPEX andCAPEX as an integrated expenditure, to which theselected incentive regulation method is summarilyapplied. Such an approach is known as the totalexpenditure, TOTEX, regulatory approach. TOTEXrepresents the sum of OPEX and CAPEX. Each approachwill be discussed separately.3.1 The building block regulatory approachIn the building block regulatory approach, the regulatorybody must analyze the efficiency or justifiedlevel of OPEX and CAPEX separately. In assessingthe efficiency and justified level of OPEX, a regulatorybody frequently employs various benchmarkingmethods [7]. However, the determination of the efficiencyfactor X in the formula for incentive regulation(1) requires a far more complex procedure,including discretional decisions by the regulatorybodies, such as the direct classification of the resultsobtained from the application of some of thewell-known benchmarking methods.The allowed level of CAPEX is determined onthe basis of the investment plans of energy entitiesfor the subsequent regulatory period. On thebasis of the proposed investments, the regulatorybody assesses which investments to include in theregulatory asset base (RAB). Investments that areincluded in the regulatory asset base will be fullyincluded in the depreciation cost, and the returnrate on invested capital will be applied to the nondepreciatedpart.It is frequently the case that the investment levelis considered as an expenditure which is acceptedat the level of the proposals by the energy entities.Insofar as the regulatory body recognizes theproposed investments in full, incentive is createdfor the energy entity to show the highest possiblelevel of future investments, whether or not theyare based upon justified reasons such as reducinglosses in the network or achieving the optimal, i.e.565Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

azina investicija ukljuËiti u regulatornu osnovicusredstava, a time Êe biti i veÊi povrat sredstava,πto Êe se u konaËnici odraziti i na profite. Energetskomsubjektu bit Êe u interesu prikazati πto veÊeinvesticije u buduÊem regulatornom razdoblju.PovodeÊi se tim naËelom postoji i moguÊnost dapojedine OPEX troπkove energetski subjekt prikaæekao CAPEX. Na taj naËin pojedini OPEX troπkovinisu ukljuËeni u poticajni mehanizam poveÊanjauËinkovitosti na razini OPEX troπkova. Time Êe sepostiÊi privid manjih OPEX troπkova, odnosno postizanjeveÊe uËinkovitosti energetskog subjekta usferi OPEX troπkova. Strateπka alokacija OPEX-apod CAPEX, odnosno poveÊanje regulatorne osnovicesredstava na taj naËin, uoËena je veÊ u nekimsluËajevima regulatornog nadzora posebice u VelikojBritaniji [10].Postavlja se pitanje na koji naËin regulatorno tijelomoæe reagirati ukoliko se tijekom regulatornograzdoblja ne realiziraju sve predviappleene investicijeodobrene od strane regulatornog tijela. Ukolikose pokaæe da nisu realizirane sve predviappleene investicije,regulatorno tijelo moæe u sljedeÊem regulatornomrazdoblju utvrditi niæe cijene usluga,odnosno moæe ne dozvoliti ponovno ukljuËivanjenerealiziranih investicija u regulatornu osnovicusredstava. Meappleutim, da bi regulatorni pristup biodosljedan i razvidan za obje strane, regulatornotijelo i energetski subjekt, regulatorno tijelo moæeutvrditi donju i gornju granicu za realizaciju investicijaiz plana poslovanja i razvoja. Prekomjerneinvesticije neÊe biti uopÊe ukljuËene u regulatornuosnovicu sredstava ili Êe biti ukljuËene samo djelomiËno.Ono πto predstavlja problem u takvom regulatornompristupu je da energetski subjekt nemapoticaja za poveÊanje uËinkovitosti u segmentuCAPEX -a. Naime, ukoliko se ostvari manji CAPEXod predviappleenog, regulatorno tijelo Êe u naËelu ubuduÊem regulatornom razdoblju kao osnovicu zaizraËun imati manji CAPEX, bez obzira da li se radio uπtedama na raËun podinvestiranosti (manjegrazmjera investicija od odobrenih) ili o poveÊanjuproduktivnosti energetskog subjekta. Energetskisubjekt ne ostvaruje nikakve financijske koristi odpoveÊanja uËinkovitosti u segmentu CAPEX -a.the stipulated, level of supply quality. The energyentity must bear in mind that a higher level of investmentwill be included in the regulatory assetbase and, therefore, there will be a greater returnon assets, which will ultimately reflect upon profits.Consequently, it is in the interest of the energy entityto show the maximum investments in the futureregulatory period. Consequently, there is also thepossibility that an individual OPEX by an energyentity is shown as a CAPEX. In this manner, individualoperating expenditures are not included inthe incentive mechanism for increasing efficiencyat the level of OPEX. In this manner, apparentlylower operating expenditures will be achieved, i.e.greater efficiency of the energy entity in the sphereof OPEX. The strategic allocation of operating expendituresunder capital expenditures, i.e. increasingthe regulatory asset base in this manner, hasalready been noted in some cases of regulatory supervision,especially in Great Britain [10].The question is posed regarding how a regulatorybody can react if all the planned investments that ithas approved have not been made during a regulatoryperiod. Insofar as all the planned investmentshave not been implemented, during the subsequentregulatory period the regulatory body can set lowerprices for services or can prohibit non-implementedinvestments from being included in the regulatoryasset base again. However, in order for the regulatoryprocedure to be consistent and transparentfor both sides, the regulatory body and the energyentity, the regulatory body can set lower and upperlimits for the implementation of investment fromthe business and development plans. Excessiveinvestment will not be included in the regulatoryasset base or will be included only in part. Whatrepresents a problem in such a regulatory approachis that an energy entity does not have any incentiveto increase efficiency in the CAPEX segment.If there is lower CAPEX than anticipated, in principlethe regulatory body will have lower CAPEX asa base for calculation in the subsequent regulatoryperiod, regardless of whether this concerns savingsat the expense of under investment (lower investmentthan approved) or increased productivity bythe energy entity. Therefore, the energy entity doesnot derive any financial benefits from increasing efficiencyin the CAPEX segment.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583566

Tablica 1 ∑ Pojednostavljen primjer izraËuna dozvoljenog prihoda primjenom regulatornog pristupa slaganja blokovaTable 1 ∑ Simplified example of the calculation of the allowed revenue through the application of the building block regulatory approachRegulatorni parametri / Regulatory parametersOPEX ∑ faktor uËinkovitosti / OPEX ∑ efficiency factor 90 %Godiπnje smanjenje OPEX-a / Annual reduction in OPEX 2,60 %Razdoblje amortizacije (godina) / Depreciation period (years) 20Stopa povrata / Rate of return 7 %Godine / Year0. 1. 2. 3. 4.(10 6 HRK) (10 6 HRK) (10 6 HRK) (10 6 HRK) (10 6 HRK)Odobrene investicije / Authorized investments 1 000,00 1 200,00 1 000,00 1 400,00Odobrena amortizacija / Authorized depreciation− od prethodnih investicija / from previous investments 700,00 700,00 700,00 700,00− od investicija iz 1. godine / from investments from the 1 st year 50,00 50,00 50,00 50,00− od investicija iz 2. godine / from investments from the 2 nd year 60,00 60,00 60,00− od investicija iz 3. godine / from investments from the 3 rd year 50,00 50,00− od investicija iz 4. godine / from investments from the 4 th year 70,00− Ukupno odobrena amortizacija / Total authorized depreciation 750,00 810,00 860,00 930,00IzraËun regulatorne osnovice (ROS) / Calculation of the regulatory asset base (RBA)− poËetni ROS / initial RBA 3 000,00 3 250,00 3 640,00 3 780,00− plus: nove investicije / plus: new investments 1 000,00 1 200,00 1 000,00 1 400,00− minus: amortizacija / minus: depreciation 750,00 810,00 860,00 930,00− konaËni ROS / final RBA 3 000,00 3 250,00 3 640,00 3 780,00 4 250,00− prosjeËni ROS / mean RBA 3 125,00 3 445,00 3 710,00 4 015,00IzraËun ukupnog dopuπtenog prihoda / Calculation of total authorized revenue− OPEX / OPEX 2 400,00 2 337,60 2 276,82 2 217,63 2 159,97− amortizacija / depreciation 700,00 750,00 810,00 860,00 930,00− povrat sredstava (stopa povrata *ROS) / return on assets (return rate *RBA) 210,00 218,75 241,15 259,70 281,05− dozvoljeni prihod / allowed revenue 3 310,00 3 306,35 3 327,97 3 337,33 3 371,02Nadalje, problem koji se javlja prilikom uspostaveciljane razine investicija je da ta razina moraodraæavati uËinkovitu razinu svake pojedine investicijekoja se ukljuËuje u regulatornu osnovicusredstava. Da bi ovakav pristup bio moguÊ, regulatornotijelo mora imati dovoljnu koliËinu informacijakao i dovoljan broj struËno osposobljenihljudi, πto se u praksi Ëesto pokazalo neostvarivim.Problem se dodatno komplicira buduÊi da je primjenaneke od metoda ravnanja prema mjeriluna CAPEX -a popriliËno sloæen i teæak postupakza primjenu, stoga ga regulatorna tijela izbjegavaju.Polaziπte za definiranje investicijskog planaFurthermore, a problem that arises when establishinga target level of investment is that it must reflect thelevel of the performance of each individual investmentthat is included in the regulatory asset base.In order for this approach to work, the regulatorybody must have a sufficient amount of informationas well as a sufficient number of qualified personnel,which in practice is often unfeasible. The problem isadditionally complicated because the application ofsome benchmarks to CAPEX is a fairly complex anddifficult procedure and, therefore, regulatory bodiesavoid it. The starting point for the definition of aninvestment plan is growth in consumption and the567Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

je porast potroπnje te zamjena postojeÊe opreme.Ti Ëimbenici se razlikuju kada je rijeË o razliËitimenergetskim subjektima te mogu znaËajnoutjecati na rezultate primjene metode ravnanjaprema mjerilu. Nadalje, iako se radi o istovrsniminvesticijama i istoj razini investicija, na rezultatemetoda ravnanja prema mjerilu moæe utjecatii razliËito vrijeme zapoËinjanja investicije i dinamikarealizacije investicije, kao i utvrappleena razinakvalitete opskrbe. Kvaliteta opskrbe kao funkcijaregulacije do sada se Ëesto promatrala kao zasebnafunkcija od funkcije regulacije cijena usluga,iako iskustva pokazuju da regulatorna tijela sveviπe nastoje razviti integrirane modele regulacijekojima bi se izbjegli svi dosadaπnji rizici primjenepojedine metode regulacije [9]. Tablica 1 prikazujepojednostavljeni primjer izraËuna dozvoljenog,odnosno od strane regulatornog tijela odobrenogprihoda regulatornim pristupom slaganja blokova.Vrijednosti za dozvoljene investicije (na godiπnjojrazini od 1 000 milijuna kuna), poËetni OPEX(2 400 milijuna kuna) i amortizaciju od prethodnihinvesticija (700 milijuna kuna) koje su pritome koriπtene na razini su vrijednosti HEP ODS-a[12]. Od vrijednosti prikazanih u literaturi pod[12] oduzeti su troπkovi koji po procjeni autora otpadajuna prikljuËke. Od regulatornih parametarautvrappleeni su:∑ regulatorno razdoblje od 4 godine,∑ faktor uËinkovitosti za OPEX u vrijednosti90 %, πto godiπnje iznosi smanjenje OPEX-a2,6 %,∑ linearna amortizacija na razdoblje od 20godina,∑ stopa povrata od 7 %.Iz tablice 1 vidljivo je da, ukoliko se svi parametridefiniraju kako je prethodno reËeno, dozvoljeniprihod subjekata koji obavljaju regulirane djelatnostikroz 4 godine regulatornog razdoblja ostajena skoro istoj razini. Regulatorna politika, odnosnoocjena potrebne razine poveÊanja uËinkovitosti,moæe imati znaËajan utjecaj na regulirani prihodenergetskog subjekta.3.2 Regulatorni pristup ukupnih troπkovaU regulatornom pristupu ukupnih troπkova regulatornotijelo kada utvrappleuje razinu opravdane uËinkovitostine razlikuje izmeappleu OPEX-a i CAPEX -a,stoga faktor uËinkovitosti X primjenjuje na sumuOPEX-a i CAPEX-a, odnosno na ukupan troπak(TOTEX) (tablica 2). U ovom sluËaju regulatornotijelo ne mora utvrappleivati odvojeno opravdanu razinuinvesticija za sljedeÊe regulatorno razdoblje,veÊ analizu provodi za ukupne troπkove. U ovompristupu regulatorno tijelo utvrappleuje X-faktor naosnovi razine uËinkovitosti iz prethodnih regulatorreplacementof existing equipment. These factorsdiffer among various energy entities and can significantlyinfluence the results of the benchmarkingmethod applied. Moreover, although this concernsthe same types of investments and the same level ofinvestment, the results of the benchmarking methodcan be affected by differing times for the beginningof investments and the dynamics of the implementationof the investments, as well as the determinedlevel of the quality of the supply. Up to now, thequality of the supply as a function of regulationhas been frequently viewed as a function that isseparate from the function of the regulation of theprices for services, although experience shows thatthe regulatory bodies are increasingly attempting todevelop integrated models of regulation that avoidall the risks inherent in the individual regulatorymethods that have been applied [9]. Table 1 showsa simplified example of the calculation of allowedrevenue, i.e. revenue authorized by the regulatorybody, using the building block approach. The valuesfor allowed investments (at an annual level of1 000 million kunas), the initial OPEX (2 400 millionkunas) and depreciation from previous investments(700 million kunas) were previously used atthe level of the HEP Distribution System Operator(HEP ODS d,o.o.) [12]. From the values presentedin the literature under [12], expenditures have beendeducted that the authors consider to be connectioncosts. The following regulatory parameters havebeen established:∑ a regulatory period of 4 years,∑ a efficiency factor for OPEX with a value of90 %, which amounts to an annual reduction inOPEX of 2,6 %,∑ linear depreciation during a period of 20 years,∑ a rate of return of 7 %.From Table 1, it is evident that, when all the parametersare defined as above, the allowed revenueof a entities performing regulated activities during a4-year regulatory period remains at nearly the samelevel. Thus, regulatory policy, i.e. the assessmentof the necessary level of increasing efficiency, canhave a significant impact on the regulated revenueof an energy entity.3.2 The regulatory approach of total expenditureIn the regulatory approach of total expenditure,when the regulatory body determines the level ofjustified efficiency it does not differentiate betweenOPEX and CAPEX, and therefore the efficiency factorX is applied to the sum of OPEX and CAPEX,i.e. to the total expenditure (TOTEX) (Table 2).Therefore, in this case the regulatory body does notneed to determine the justified levels of investmentseparately for the subsequent regulatory period butŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583568

nih razdoblja. Ukoliko je energetski subjekt uspiou prethodnim razdobljima podiÊi razinu uËinkovitosti,koju Êe zadræati i u buduÊem razdoblju, X-faktor Êe biti niæi. Naime, ovo je znaËajna razlika uregulatornom pristupu u odnosu na pristup slaganjablokova u kojem se prije svega ocjenjuje opravdanostrazine predviappleenih investicija u buduÊemrazdoblju, ali ne i uËinkovita razina CAPEX -a.analyzes the total expenditure instead. In this approach,the regulatory body determines the X-factoron the basis of the level of efficiency from the previousregulatory periods. If the energy entity has successfullyachieved the specified level of efficiencyduring the previous periods, which will also bemaintained during the future period, the X-factorwill be lower. This is a significant difference in theregulatory approach in comparison to the buildingblock approach, in which the justification of thelevel of the anticipated investments in the futureperiod is assessed but not the efficiency level at theCAPEX level.Tablica 2 ∑ Pojednostavljen primjer izraËuna dozvoljenog prihoda primjenom regulatornog pristupa ukupnog troπkaTable 2 ∑ A simplified example of the calculation of the allowed revenue through the application of the total expenditure regulatory approachRegulatorni parametri / Regulatory parametersUkupni faktor uËinkovitosti / Total efficiency factor 88 %Godiπnja stopa porasta uËinkovitosti / Annual rate of efficiency growth 4 %Godina / Year0. 1. 2. 3.(10 6 HRK) (10 6 HRK) (10 6 HRK) (10 6 HRK)OPEX / OPEX 2 400,00 2 304,00 2 212,00 2 123,00Amortizacija / Depreciation 700,00 672,00 645,00 619,00Povrat sredstava / Return on assets 300,00 288,00 276,00 265,00Dozvoljeni prihod / Allowed revenue 3 400,00 3 264,00 3 133,00 3 008,00U ovom pristupu problem ocjenjivanja opravdanostirazine investicija je na svojevrstan naËinizbjegnut. Nadalje, buduÊi da ovaj pristup ne razlikujeOPEX i CAPEX, moguÊe je da energetskisubjekt postigne odgovarajuÊu razinu uËinkovitostibalansirajuÊi izmeappleu OPEX-a i CAPEX -a, odnosnoizmeappleu, u klasiËnom smislu teorije produktivnosti,rada i kapitala. Kod regulatornog pristupa ukupnihtroπkova, regulatorno tijelo ne mora razvijatikriterije za ocjenjivanje prijedloga investicija, veÊanalizira TOTEX, koji ukljuËuje i investicije, teutvrappleuje X-faktor na osnovi analize TOTEX-a.In this approach, the problem of assessing the justificationof the level of investment is avoided inits own way. Furthermore, since this approach doesnot differentiate between OPEX and CAPEX, it ispossible for an energy entity to achieve the suitablelevel of efficiency by balancing OPEX and CAPEXor labor and capital, in the classical sense of thetheory of productivity. Therefore, in the regulatoryapproach of total expenditure, the regulatory bodydoes not have to develop criteria for the assessmentof an investment proposal but instead analyzesTOTEX, which also includes investment, and determinesthe X-factor on the basis of analysis of theTOTEX.569Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

Tablica 3 ∑ Pojednostavljen primjer utjecaja razliËite dinamike investiranja i amortizacijske politike na godiπnji troπak amortizacijeTable 3 ∑ A simplified example of the influence of various dynamics of investment and depreciation policies on the annual depreciation costEnergetski subjekt A1, amortizacija kroz 4 godine / Energy Entity A1, depreciation during 4 yearsGodina / YearInvesticije /Investments(10 6 HRK)Godiπnji troπak amortizacije po investicijama / Annualdepreciation cost according to investments(10 6 HRK)Troπkovi amortizacije /Depreciation costs(10 6 HRK)1. 2. 3.1. 100 25 252. 200 25 50 753. 400 25 50 100 1754. 25 50 100 1755. 50 100 1506. 100 100Ukupno / Total 700 100 200 400 700Energetski subjekt A2, amortizacija kroz 2 godine / Energy Entity A2, depreciation during 2 years1. 100 50 502. 200 50 100 1503. 400 100 200 3004. 200 2005. 06. 0Ukupno / Total 700 100 200 400 700Energetski subjekt B1, amortizacija kroz 4 godine / Energy Entity B1, depreciation during 4 years1. 500 125 1252. 100 125 25 1503. 100 125 25 25 1754. 125 25 25 1755. 25 25 506. 25 25Ukupno / Total 700 100 200 400 700Energetski subjekt B2, amortizacija kroz 2 godine / Energy Entity B2, depreciation during 2 years1. 500 250 2502. 100 250 50 3003. 100 50 50 1004. 50 505. 06. 0Ukupno / Total 700 500 100 100 700Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583570

Problem koji se javlja u regulatornom pristupuukupnih troπkova je vezan uz roËnost investicija.Naime, CAPEX se, ukljuËujuÊi amortizaciju i povratsredstava, proteæe kroz niz godina. Stoga biprilikom primjene metoda ravnanja prema mjeriluanaliza trebala u obzir uzeti razdoblje od nekolikogodina, a ne da se provodi na troπkovimapredviappleenim samo za jednu godinu. Kao ilustrativniprimjer dan je prikaz u kojem na CAPEX znaËajnoutjeËe dinamika realizacije investicije, pri tomeje prikazan samo troπak amortizacije, ali ne i povratsredstava (tablica 3). Ukoliko bi se u analizipromatrala samo jedna godina, npr. druga godinarealizacije investicije, energetski subjekt A1 bio biuËinkovitiji od energetskog subjekta B1, buduÊida su troπkovi (75 milijuna kuna) energetskog subjektaA1 znatno niæi od troπkova (150 milijunakuna) energetskog subjekta B1. Obrnuti sluËaj bise dogodio ukoliko bi se analiza provela u kasnijimgodinama. Taj pojednostavljeni primjer naglaπavavaænost ukljuËivanja duæeg razdoblja u analizuTOTEX-a metodom ravnanja prema mjerilu, πto spraktiËne strane komplicira analizu buduÊi da semora analizirati veÊi skup podataka. Analiza se dodatnokomplicira ukoliko se u obzir uzme razliËitaraËunovodstvena praksa, πto prikazuje tablica 3.Naime, energetski subjekti A1 i A2, odnosno B1i B2, imaju istu dinamiku investiranja, meappleutimkoriste razliËita amortizacijska razdoblja, stogase njihov troπak amortizacije u pojedinoj godiniznaËajno razlikuje (slika 3).A problem that arises in the total expenditureregulatory approach is connected with investmentmaturity. CAPEX, including depreciation and returnon assets, occurs over a series of years. Therefore,when applying the benchmarking method, analysisshould take a period of several years into accountand should not be performed for expenditures anticipatedfor only one year. An illustrative exampleis presented in which CAPEX significantly influencesthe dynamics of the investment, in which onlythe deprecation cost is shown and not the return onassets (Table 3). If only one year were considered inthe analysis, for example the second year of the investment,Energy Entity A1 would be more efficientthan Energy Entity B1, since the expenditures (75million kunas) of Energy Entity A1 are significantlylower than the expenditures (150 million kunas) ofEnergy Entity B1. The reverse situation would occurif the analysis were performed in later years. Thissimplified example emphasizes the importance ofincluding a longer period of analysis in the TOTEXbenchmarking method, which from the practicalaspect complicates analysis since it necessitatesthe analysis of a larger group of data. Analysis isfurther complicated insofar as various accountingpractices are taken into account, as shown in Table3. Energy Entities A1 and A2, i.e. B1 and B2, havethe same dynamics of investment. However, theyuse different depreciation periods and, therefore,their depreciation costs in an individual year differsignificantly (Figure 3).Godišnji trošak amortizacije / Annual cost of depreciation(10 6 HRK)3503002502001501005001. 2. 3. 4. 5. 6.Energetski subjekt A1, amortizacija kroz 4 godine /Energy entity A1, depreciation during 4 yearsEnergetski subjekt A2, amortizacija kroz 2 godine /Energy entity A2, depreciation during 2 yearsEnergetski subjekt B1, amortizacija kroz 4 godine /Energy entity B1, depreciation during 4 yearsEnergetski subjekt B2, amortizacija kroz 2 godine /Energy entity B2, depreciation during 2 yearsSlika 3Prikaz godiπnjegtroπka amortizacije zaenergetske subjekte Ëijaje razina investiranjakumulativno jednaka,no godiπnji troπakamortizacije se razlikujeFigure 3Annual depreciationcosts for energyentities whose levelsof investment arecumulatively equalbut whose annualdepreciation costs differGodina / YearIako su prilikom razmatranja dva razliËita regulatornapristupa koriπteni popriliËno jednostavni primjerikroz koje su predoËene razliËitosti u pristupima,primjeri odraæavaju da se ulaganja trebajurazmatrati kroz duæi vremenski rok. Na taj naËinmoæe se provesti dosljedna regulatorna politika, nesamo u smislu utvrappleivanja opravdane razine uËinkovitosti,veÊ i u smislu postizanja kontinuiranihAlthough two fairly simple examples were used inanalyzing the two different regulatory approaches,through which the differences in the approacheswere presented, the examples demonstrate that investmentsmust be analyzed over a long period oftime. In this manner, it is possible to implement aconsistent regulatory policy, not only in the sense ofdetermining the justified level of efficiency but also571Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

eguliranih cijena. Stabilna razina reguliranih cijenabez veÊih fluktuacija ne moæe se postiÊi ukolikosu moguÊe Ëeste promjene cijena usluga kao πtoje to sluËaj s hrvatskim regulatornim okvirom, kojirazmatra troπkove subjekata koji obavljaju reguliranedjelatnosti godinu za godinu. Naime, iakoenergetski subjekti nastoje, dugoroËno gledajuÊi,odræavati istu razinu investicija na godiπnjoj razini,njihovi troπkovi su razliËiti od godine do godine,a time i razina dozvoljenog prihoda. Pitanje je nakoji naËin Êe se HERA postaviti prema ovakvomproblemu s kojim se susreÊu regulatorna tijela.in the sense of achieving continuously regulatedprices. A stable level of regulated prices withoutwide fluctuations cannot be achieved if it is possibleto change the prices for services frequently, asis the case with the Croatian regulatory framework,which considers the expenditures of the entitiesperforming regulated activities from year to year.Although the energy entities attempt to maintainthe same level of investment on the annual level,viewed over the long-term, their costs differ fromyear to year and therefore the level of allowed revenuealso differs. It is a question how the CERA willaddress this problem.4 ULOGA HRVATSKEENERGETSKE REGULATORNEAGENCIJE U DONO©ENJUPLANOVA RAZVOJA IIZGRADNJE4.1 Zakonodavno rjeπenjeHrvatski zakonodavac propisao je Zakonom o træiπtuelektriËne energije [8] da HEP OPS i HEP ODSdonose planove razvoja i izgradnje za razdoblje odtri godine uz prethodnu suglasnost HERA-e na prijedlogplanova. Meappleutim, zakonodavac ne prepoznajenadleænost HERA-e u davanju suglasnosti zaplanove razvoja i izgradnje djelatnosti proizvodnjei opskrbe elektriËnom energijom za tarifne kupce.PrimjenjujuÊi ovakvo zakonsko rjeπenje postavljase pitanje na koji naËin Êe HERA razmatrati investicijskeplanove subjekata za proizvodnju i opskrbuelektriËne energije i ukljuËiti opravdana ulaganjau regulatornu osnovicu sredstava, buduÊi dana njih temeljem Zakona [8] ne daje suglasnost, aprimjenjuje istu metodu regulacije kao kod monopolnihdjelatnosti ∑ metoda priznatog troπka. Onoπto je potrebno napomenuti je da su tarifni sustavi,koje je donijela HERA, a ne zakonodavac, uloguHERA-e u davanju suglasnosti na planove razvojai izgradnje definirali kao identiËnu za sve djelatnosti,iako to nije u skladu sa zakonskim odredbama.Nadalje, u tekstu svih tarifnih sustava navodi seda HERA daje suglasnost i na planove poslovanjasvih djelatnosti iako pojam plan poslovanja Zakon[8] isto tako ne prepoznaje.Takva razlika nadleænosti izmeappleu zakonskih odredabakoje je utvrdio Hrvatski sabor i odredaba kojeproizlaze iz podzakonskih akata koje je donijelosamo tijelo za sebe, u ovom sluËaju HERA, potenciraËinjenicu da se prije donoπenja drugog setaenergetskih zakona nije detaljno analizirala uloga ipozicija HERA-e kao regulatornog tijela u energetskomsektoru RH kao niti regulacija energetskihdjelatnosti kao disciplina sa svojim znaËajkama.4 THE ROLE OF THE CROATIANENERGY REGULATORYAGENCY IN THE ADOPTIONOF DEVELOPMENT ANDCONSTRUCTION PLANS4.1 Legislative solutionCroatian legislation stipulates that pursuant to theElectricity Market Act [8], the transmission systemoperator and the distribution system operator shalladopt development and construction plans for periodsof three years, pending prior approval of theproposed plans by the CERA. However, the legislationdoes not recognize the authority of the CERAin issuing approval for the development and constructionplans for the activities of the productionand supply of electrical energy for tariff customers.Applying such a legal solution, the question arisesconcerning how the CERA will analyze the investmentplans of the entities for the generation andsupply of electrical energy and include the justifiedinvestment in the regulatory asset base, since accordingto the Law [8] it does not issue approvaland applies the same method of regulation as formonopoly activities ∑ the regulation of the rate ofreturn. It should be mentioned that in the tariffsystems which the CERA has adopted, and not thelegislator, the roles of the CERA in issuing approvalfor development and construction plans are definedas identical for all activities, although this is notpursuant to the legal provisions. Furthermore, inthe text of all the tariff systems, it is stated that theCERA also issues approval for the business plans ofall activities, although the Law does not recognizethe concept of a business plan [8].Such differences in the specified authority betweenthe legal provisions established by the CroatianParliament and the provisions ensuing from thebylaws that the agency has issued for itself, in thiscase the CERA, emphasize the fact that the roleŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583572

4.2 Kriteriji za davanje suglasnosti na planove razvojai izgradnje reguliranih energetskih subjekataEnergetski subjekti na koje se doneseni tarifnisustavi odnose nisu joπ dostavili HERA-i planoveposlovanja, razvoja i izgradnje (koliko je poznatoautorima) radi davanja suglasnosti. Rok za dostavuplanova je 30. studenoga πto proizlazi iz odredbitarifnih sustava. Stoga se u ovom trenutku nemoæe razmatrati HERA-in odnos prema davanjusuglasnosti na planove razvoja i izgradnje te kolikoduboko je HERA spremna analizirati kriterije zaodabir pojedinih investicija kao i da li Êe uÊi uanalizu tehniËkih rjeπenja ili Êe se povesti samoza odlukama energetskih subjekata kao instancimeritornih za definiranje kriterija od HERA-e.Isto tako ne moæe se razmatrati na koji naËin ÊeHERA pristupiti utvrappleivanju opravdanih, moæe sereÊi i uËinkovitih, razina pojedinih troπkova, tekoje investicije Êe priznati u regulatornoj osnovicisredstava.are thereby assigned to it. A public institution mustexercise public authority only under the conditions,in such a manner and according to the procedurestipulated for it according to law. Therefore, it isnot possible for enactments to assign authorizationnot stipulated by law, such as in the case of individualenactments resulting from energy legislation.4.2 Criteria for issuing approval for the developmentand construction plans of entities performingregulated activitiesThe energy subjects to which the adopted tariffsystems refer have still not submitted their plansfor operations, development and construction (tothe best of the authors’ knowledge) to the CERAfor approval. The deadline for the submission of theplans is November 30, according to the provisionsof the tariff systems. Therefore, at this moment it isnot possible to discuss the CERA’s attitude towardissuing approval for development and constructionplans and how deeply the CERA is prepared to analyzethe criteria for choosing individual investments,as well as whether it will enter into analysis of thetechnical solutions itself or rely solely upon thedecisions of the energy entities as sufficiently authoritativefor defining its criteria. Similarly, it is notpossible to discuss how the CERA will approach thedetermination of justified, it can be said effective,levels of individual expenditures, and which investmentsit will recognize in the regulatory asset base.Slika 4Vremenski tijekdonoπenja propisakoji su vezani uzulogu regulatornogtijela (VRED/HERA) udavanju suglasnostina planove razvoja iizgradnje prijenosne idistribucijske mreæeFigure 4Time line of regulationsadopted in connectionwith the role oh theregulatory body (CERC/CERA) in approvingthe development andconstruction plans ofthe transmission anddistribution networksožujak 2002.osnovan VREDMarch 2002Founding of theCroatian EnergyRegulatory Council(CERC)listopad 2003.HEP Prijenos d.o.o. i HEPDistribucija d.o.o. dostavljajuPlanove razvoja i izgradnjeza razdoblje 2003. − 2005.VRED-u radi davanjasuglasnostiOctober 2003HEP Transmission andHEP Distribution submittedDevelopment andConstruction Plans for theperiod of 2003 ∑ 2005 to theCroatian Energy RegulatoryCouncil for approval.listopad 2003.VRED donosi ZakljuËak o planovimarazvoja i izgradnje te pokreÊeizradu studije Kriteriji i metodologijaplaniranja razvoja i izgradnje tezamjena i rekonstrukcija prijenosne idistribucijske mrežeOctober 2003The Croatian Energy RegulatoryCouncil adopted the Conclusions onthe Development and ConstructionPlans and began preparation of thestudy Criteria and Methodology forthe Planning of the Development,Construction, Replacement andReconstruction of the Transmissionand Distribution Networkssrpanj 2005.Osnovana HERAJuly 2005The Croatian EnergyRegulatory Agency(CERA) was founded2001. 2002. 2003. 2004. 2005. 2006.2007.srpanj 2007.Donesene izmjene idopune drugog paketaenergetskih zakonaJuly 2007The second package ofenergy legislation wasamended.Godina / Yearsrpanj 2001.Donesen prvi paketenergetskih zakonaJuly 2001Adoption of the firstpackage of energylegislationlipanj 2003.VRED donosi Pravilniko naËinu i kriterijima zautvrappleivanje iznosa naknadeza korištenje prijenosne idistribucijske mrežeJune 2003The Croatian EnergyRegulatory Council adoptedthe Regulations on theManner and Criteria forDetermining the Charges forUsing the Transmission andDistribution Networkslistopad 2003.VRED donosi Odluku o iznosu naknadaza korištenje prijenosne i distribucijskemreže bez davanja prethodnesuglasnosti na planove razvoja iizgradnje prijenosne i distribucijskemrežeOctober 2003The Croatian Energy Regulatory Counciladopted the Ruling on the Amount ofCharges for Using the Transmission andDistribution Networks, without issuingprior approval of the Development andConstruction Plans of the Transmissionand Distribution Networksprosinac 2004.Donesen drugi paketenergetskih zakonaDecember 2004The second package ofenergy legislation wasadoptedprosinac 2006.HERA donosi tarifne sustaveza proizvodnju, prijenos,distribuciju i opskrbuelektriËnom energijom bezvisine tarifnih stavkiDecember 2006The Croatian EnergyRegulatory Agency adoptedtariff systems for thegeneration, transmission,distribution and supply ofelectrical energy, withoutstipulating the amounts ofthe tariff items.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583574

4.2.1 Iskustva VijeÊa za regulaciju energetskihdjelatnostiZakon o træiπtu elektriËne energije iz 2001. godinetakoappleer je definirao da tadaπnje regulatorno tijelo,VijeÊe za regulaciju energetskih djelatnosti (VRED)[14], daje prethodnu suglasnost na plan razvojai izgradnje prijenosne i distribucijske mreæe. Hrvatskinezavisni operator sustava i træiπta d.o.o.(HNOSIT d.o.o.) i HEP Prijenos d.o.o. u 2003.godini proslijedili su Plan razvoja i izgradnje prijenosnemreæe za razdoblje od 2003. do 2005.godine, odnosno HEP Distribucija d.o.o. Plan razvojai izgradnje distribucijske mreæe za razdobljeod 2003. do 2005. godine, VRED-u radi davanjaprethodne suglasnosti. BuduÊi da prije toga VREDnije zauzeo stav prema naËinu na koji Êe pristupitidavanju prethodne suglasnosti na planove,VRED je pokrenuo izradu Kriterija i metodologijaplaniranja razvoja i izgradnje te zamjena i rekonstrukcijaprijenosne i distribucijske mreæe kojimase nastojalo na razvidan, jasan i dosljedan naËinutvrditi polazno stajaliπte regulatornog tijela visá-visstrategije razvoja prijenosne i distribucijskemreæe kao i kriterija za rekonstrukciju postojeÊihobjekata. ImajuÊi u vidu da rad regulatornog tijelatreba poËivati na naËelima razvidnosti, dosljednostii struËnosti, VRED je zauzeo stajaliπte da jeenergetskom subjektu potrebno jasno definirati πtose od njega oËekuje tako da i buduÊa stajaliπta,odnosno odluke regulatornog tijela budu na svojevrstannaËin predvidljive. Tim viπe ukoliko se radio kapitalno intenzivnim djelatnostima za Ëija ulaganjasu potrebne dugoroËnije analize kao i srednjoroËan,odnosno dugoroËan povrat investicijskihsredstava, koji se ujedno odraæava i u iznosu tarifnihstavki.Ilustrativni primjer VRED-ovog ZakljuËka iz 2003.godine koje je bilo ishodiπte za izradu Kriterija imetodologija planiranja razvoja i izgradnje te zamjenai rekonstrukcija prijenosne mreæe, odnosnopokretanje dorade dostavljenog Plana razvoja iizgradnje prijenosne mreæe za razdoblje od 2003.do 2005. godine, je sljedeÊi [15]:I. Plan je potrebno donijeti u skladu sa Strategijomenergetskog razvitka i Programomprovedbe Strategije energetskog razvitka,II. Da bi se provela procedura ocjene Plana idavanja suglasnosti na prijedlog Plana propisaneËlankom 12. stavak 1. Zakona o træiπtuelektriËne energije [14] potrebno je ispunitisljedeÊe uvjete:1) definirati kriterije i metodologiju planiranjarazvoja prijenosne mreæe kao i metodologijuplana zamjene i rekonstrukcije koje ÊeukljuËivati i ekonomske kriterije planiranja,4.2.1 Experience of the Croatian Energy RegulatoryCouncilThe Electricity Market Act of 2001 also stipulatedthat the regulatory body at the time, the CroatianEnergy Regulatory Council ∑ CERC (VijeÊe za regulacijuenergetskih djelatnosti ∑ VRED) [14], would issueprior approval for the development and constructionplans of the transmission and distribution networks.In the year 2003, the Croatian Independent Systemand Market Operator ∑ CISMO (Hrvatski nezavisnioperator sustava i træiπta d.o.o. ∑ HNOSIT d.o.o.)and HEP Transmission (HEP Prijenos d.o.o.) forwardedthe Development and Construction Plan forthe Transmission Network for the Period of 2003 to2005, and HEP Distribution (HEP Distribucija d.o.o.)forwarded the Development and Construction Planfor the Distribution Network for the Period of 2003to 2005 to the Croatian Energy Regulatory Council∑ CERC in order to obtain prior approval. Since theCERC had not previously taken a position regardingthe manner in which it would approach the issue ofprior approval for plans, it started work on the Criteriaand Methodology for Planning the Development,Construction, Replacement and Reconstruction ofTransmission and Distribution Networks, by which itattempted to determine the starting position of theregulatory body vis-à-vis the strategic developmentof the transmission and distribution networks as wellas the criteria for the reconstruction of the existingfacilities in a transparent, clear and consistentmanner. Bearing in mind that the work of the regulatorybody should be based upon the principles oftransparency, consistency and expertise, the CERCassumed the position that it is necessary to provide aclear definition to the energy entity concerning whatis expected of it so that the future positions, i.e. decisions,of the regulatory body would be predictable.This is even more important regarding investmentsin capital intensive activities, which would requirelong-term as well as medium-term analysis, i.e. thelong-term return of invested assets, as also reflectedin the amount of the tariff items.An illustrative example of the CERC's conclusionfrom the year 2003, which was the starting point fordevising the Criteria and Methodologies for Planningthe Development, Construction, Replacement andReconstruction of the Transmission Network, aswell as preparing the final modifications of the submittedDevelopment and Construction Plan for theTransmission Network for the Period from 2003 to2005, is as follows [15]:I. The plan must be adopted, pursuant to theStrategy for Energy Development and the Programfor the Implementation of the Strategy forEnergy Development,575Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

πto je u skladu s prijedlogom Mreænih pravilahrvatskog elektroenergetskog sustava(koja u trenutku donoπenja ZakljuËka nisubila usvojena), a u kojima se takav kriterijjednoznaËno ne definira,2) planirati izgradnju objekata te zamjenui rekonstrukcije objekata na naËin dapredviappleeni objekti zadovoljavaju definiranekriterije,3) iskazati troπkove HNOSIT-a d.o.o. odvojenood planova HEP Prijenos d.o.o. te ihprocijeniti u skladu s ulogom koju HNOSITd.o.o. preuzima prema Zakonu o træiπtuelektriËne energije,III. U daljnjim koracima potrebno je zapoËeti sasljedeÊim radnjama:1) definirati zahtjeve koji se postavljaju naprijenosnu mreæu prvenstveno u smislukvalitete elektriËne energije isporuËeneizravnim i distributivnim kupcima (frekvencija,napon, raspoloæivost mreæe),te s obzirom na strateπka pitanja razvojamreæe (samodostatnost, tretman susjednihmreæa u planiranju, tranziti i uloga mreæeu træiπtu elektriËne energije, izgradnja novihinterkonekcija, modernizacija sustava,kriteriji izgradnje GIS postrojenja i dr.),2) formirati jedinstvenu bazu podataka nuænuza planiranje razvoja mreæe te definiratineke osnovne ulazne podatke bitne kodplaniranja poput jediniËnih troπkova neisporuËeneelektriËne energije, jediniËnihcijena visokonaponske opreme, diskontnestope za potrebe planiranja i dr.,3) za svaki objekt predviappleen za izgradnju ilizamjenu i rekonstrukciju izraditi tehnoekonomskielaborat iz kojeg bi proizaπlo dali razmatrani objekt zadovoljava kriterijeplaniranja definirane Mreænim pravilima iostalim pripadnim dokumentima.ZakljuËak sliËnog karaktera VRED je donio i prilikomocjene Plana razvoja i izgradnje distribucijskemreæe za razdoblje od 2003. do 2005. godine. Naistoj sjednici VRED-a na kojoj je VRED donio navedeneZakljuËke, VRED je donio Odluku o iznosunaknada za koriπtenje prijenosne i distribucijskemreæe [16] temeljem Zakona o træiπtu elektriËneenergije iz 2001. godine [14]. Ta Odluka joπ uvijekje na snazi buduÊi da je tarifni sustavi kojeje donijela HERA nisu stavili van snage. Slika 4prikazuje tijek donoπenja relevantnih propisa i odlukakoji se odnose na ulogu hrvatskog regulatornogtijela HERA-e, odnosno VRED-a, u donoπenjuplanova razvoja i izgradnje prijenosne i distribucijskemreæe.II. In order to implement the procedures for theevaluation of the Plan and the issue of approvalfor the proposed Plan stipulated in Article 12,Paragraph 1 of the Electricity Market Act [14],the following prerequisites must be met:1) to define the criteria and methodology forthe planning of the development of the transmissionnetwork as well as the methodologyfor the replacement and reconstructionplan, which will include the economic criteriafor planning, pursuant to the proposedGrid Code of the Croatian Electrical EnergySystem (which at the time of the adoption ofthe conclusion had still not been adopted),and in which such criteria are not definedunambiguously,2) to plan the construction of facilities and thereplacement and reconstruction of facilitiesin such a manner that the facilities meetthe defined criteria,3) to present the expenditures of the CroatianIndependent System and Market Operator ∑CISMO (HNOSIT d.o.o.) separately from theplans of HEP Transmission (HEP ∑ Prijenosd.o.o.) and to evaluate them according tothe role that the CISMO assumes accordingto the Electricity Market Act,III. In subsequent steps, it is necessary to beginthe following activities:1) to define the requirements that are establishedfor the transmission network, primarilyin the sense of the quality of theelectrical energy to direct customers andcustomers connected to the distributionnetwork (frequency, voltage and networkavailability), and regarding the strategicquestion of network development (selfsufficiency,the treatment of neighboringnetworks in planning; transit and the roleof networks in the electrical energy market,the construction of new interconnections,the modernization of the system, the criteriafor the construction of GeographicalInformation System [GIS] facilities etc.),2) to establish a unified database necessaryfor the planning of network developmentand to define some basic input data requiredfor planning, such as the unit prices ofundelivered electrical energy, unit prices ofhigh-voltage equipment, discount rates forthe necessary planning etc.,3) for each facility planned for construction,replacement or reconstruction, to preparea technical/economic study which wouldshow whether said facility meets the planningcriteria defined by the Grid Code andother relevant documents.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583576

4.2.2 Iskustva Hrvatske energetske regulatorneagencijeHERA za sada nije pristupila izradi sliËnih kriterijaili stajaliπta o planovima razvoja i izgradnjeHEP OPS-a i HEP ODS-a, niti je utvrdila svoj stavprema dubini analize (prema javno dostupnim informacijama).Nepostojanje unaprijed definiranihkriterija za davanje suglasnosti na planove moglobi dodatno odgoditi donoπenje iznosa tarifnih stavkiza pojedine djelatnosti, buduÊi da je davanjesuglasnosti na planove preduvjet je za davanjemiπljenja na prijedlog iznosa tarifnih stavki kojeenergetski subjekt dostavlja Ministarstvu gospodarstva,rada i poduzetniπtva (MINGORP), a MIN-GORP prosljeappleuje HERA-i na miπljenje.4.3 Stavovi Hrvatske energetske regulatorne agencijeu rjeπavanju preduvjeta za primjenu metodepriznatih troπkovaIz prethodno iznesene rasprave vezano uz regulatornipristup gradnje blokova i regulatorni pristupukupnih troπkova vidljivo je da je vrlo znaËajnauloga regulatornoga tijela u utvrappleivanju opravdanerazine pojedinih regulatornih parametara. Utvrappleenametoda priznatih troπkova u donesenim tarifnimsustavima prepoznaje regulatorne parametre koji suranije analizirani kao πto su to ∑ regulatorna osnovicasredstava, amortizacija i stopa povrata u viduponderiranog prosjeËnog troπka kapitala. Tarifni sustavidefiniraju da miπljenje o priznatim troπkovimaposlovanja (OPEX) i stopi povrata kapitala dajeHERA, dok se kapitalni troπkovi (CAPEX) ∑ reguliranaosnovica sredstava, tj. prinos od reguliraneimovine i amortizacija utvrappleuju na osnovi planovarazvoja i izgradnje na koje HERA daje suglasnost.Utvrappleena metoda regulacije ne poznaje faktor uËinkovitostikao regulatorni parametar metode.Osim stava o dubini uplitanja u elemente planovaposlovanja, razvoja i izgradnje, HERA bi trebalapo miπljenju autora prilikom postupka davanjamiπljenja na prijedlog iznosa tarifnih stavki podjelatnostima, izmeappleu ostalog, svoj stav zauzeti io sljedeÊem:∑∑∑∑∑je li obavljen razvidan i dosljedan nadzor nadrazdvajanjem djelatnosti kako u tehniËkom itako i financijskom pogledu,opravdanoj razini stope povrata za svaku pojedinudjelatnost,koje investicije ukljuËiti u regulatornu osnovicusredstava, πto ukljuËuje i tumaËenje pojedinihpojmova iz tarifnih sustava, kao πto jenpr. pojam nove investicije koje su sufinancirane,a ukljuËene su u regulatornu osnovicusredstava,opravdanoj razini troπkova poslovanja (OPEX),i sliËno.The CERC also adopted a conclusion of a similarcharacter in the evaluation of the Development andConstruction Plan for the Distribution Network forthe Period from 2003 to 2005. At the same CERCsession, at which the CERC adopted the previouslymentioned conclusions, it also adopted the Decisionon Fees for Using the Transmission and DistributionNetworks [16], pursuant to the Electricity Market Actof 2001 [14]. This Decision is still in force, since thetariff systems that the CERA adopted are still in force.Figure 4 shows the course of the adoption of the relevantregulations and decisions that refer to the roleof the Croatian Energy Regulatory Agency ∑ CERA orthe Croatian Energy Regulatory Council ∑ CERC, inthe adoption of development and construction plansfor the transmission and distribution networks.4.2.2 Experience of the Croatian Energy RegulatoryAgencyFor the present, the CERA has not started to developsimilar criteria or positions on the developmentand construction plans of the transmission systemoperator and the distribution system operator, andhas not defined its position toward in-depth analysis.The lack of previously defined criteria for issuingapproval for plans could additionally postponethe adoption of the amounts of the tariff items forindividual activities, since the issuing of approvalfor the plans is a prerequisite for issuing an opinionon the proposed amounts of the tariff items whichan energy entity submits to the Ministry of theEconomy, Labor and Entrepreneurship, and whichthe Ministry forwards to the CERA for an opinion.4.3 Positions of the Croatian Energy RegulatoryAgency in resolving the prerequisites for the applicationof the rate of return (RoR) methodFrom the previous discussion of the building blockregulatory approach and the total expenditure regulatoryapproach, it is evident that the regulatorybody has a highly significant role in the determinationof the justified levels of individual regulatoryparameters. The rate of return method in theadopted tariff systems recognizes the regulatory parametersthat were analyzed previously, such as theregulatory asset base (RAB), depreciation and therate of return regarding the weighted average costof capital (WACC). The tariff systems stipulate thatan opinion on the recognized operating expenditure(OPEX) and the rate of return on capital shall beissued by the CERA, while the capital expenditure(CAPEX) ∑ the regulatory asset base, i.e. the revenuefrom regulated assets and depreciation shallbe determined on the basis of the development andconstruction plans which shall be approved by theCERA. The established method of regulation doesnot recognize the efficiency factor as a regulatoryparameter.577Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

Jedan od bitnih preduvjeta za moguÊnost uvoappleenjametode regulacije kao πto je to metoda priznatihtroπkova je provoappleenje razvidnog i dosljednog razdvajanjadjelatnosti u punom smislu ∑ od razdvajanjaimovine, osoblja do pridjeljivanja potraæivanjapo kreditima i sl. Jedan od problema je na kojinaËin Êe HERA pristupiti davanju miπljenja naiznos tarifnih stavki za opskrbu elektriËnom energijomukoliko se zna da se nisu razdvojile djelatnostidistribucije i opskrbe elektriËnom energijom te daHEP Operator distribucijskog sustava d.o.o. obavljauz djelatnost distribucije i opskrbu elektriËnomenergijom, iako je zakonski rok za razdvajanje istihistekao (1. srpnja 2007. godine) [8].Isti problem preslikava se i na utvrappleivanje opravdanerazine OPEX-a koji bi se trebao utvrditina razini koja odraæava uËinkovitost poslovanjaili barem bi se ta razina tijekom godina trebalapribliæiti uËinkovitoj razini koja bi vrijedila da sedjelatnost izloæi træiπnom natjecanju i rizicima.Izmeappleu ostalog, postavlja se pitanje πto predstavljaOPEX u sluËaju HEP Opskrbe d.o.o. koja obavljadjelatnost opskrbe samo za povlaπtene kupce.ZnaËi, taj troπak tarifni kupci uopÊe ne bi trebalisnositi. Sa stajaliπta regulatornog tijela koje, uzzaπtitu odræivog poslovanja energetskog subjektai omoguÊavanje nenaruπenog træiπnog natjecanja,ima zadatak zaπtite kupaca, bilo bi neopravdanopriznati taj troπak kroz primjenu metode priznatihtroπkova i davanja pozitivnog miπljenja na prijedlogiznosa tarifnih stavki koji ukljuËuju trenutaËnitroπak alociran unutar HEP Grupe na HEP Opskrbud.o.o.Nadalje, provedba razvidnog razdvajanja ima utjecajai na CAPEX u svim djelatnostima. Naime, zasvaku djelatnost HERA bi trebala utvrditi opravdanurazinu poËetne regulatorne osnovice sredstava,zatim amortizacijsku politiku i sredstva koja setijekom regulatornog razdoblja dodjeljuju regulatornojosnovi sredstva na koju se primjenjuje stopapovrata na kapital. Stopu koja se primjenjuje nasrednju vrijednost regulatorne osnovice sredstavautvrappleuje HERA na prijedlog energetskog subjekta.Problem koji se ovdje javlja je i utvrappleivanjeopravdane stope povrata, buduÊi da se radi odjelatnostima koje su po svom karakteru razliËite∑ monopolne i træiπne, iz Ëega proizlaze razliËitistupnjevi rizika u poslovanju kao i razliËiti uvjetifinanciranja. Naime, iz opisa metode navedene utarifnim sustavima nije razvidno koja Êe se stopaprimijeniti i hoÊe li se ona razlikovati po djelatnostima,iako se radi o istom vertikalno organiziranompoduzeÊu HEP Grupi. Utvrappleivanje stopepovrata zahtijeva provoappleenje detaljnih analiza kojeHERA joπ nije provela. Da bi HERA-in rad dobiona vjerodostojnosti i struËnosti potrebno je daHERA pravodobno, prije donoπenje odluka i pod-In addition to the position on the depth of involvementin the elements of the business, developmentand construction plans, it is the authors’ opinionthat the CERA should take a position on the followingmatters when issuing opinions on the proposedtariff amounts according to activities:∑ whether transparent and consistent supervisionhas been performed over the unbundling of thetechnical and financial activities,∑ the justified level of the rate of return for eachindividual activity,∑ which investments should be included in theregulatory asset base, together with the interpretationof individual concepts from the tariffsystems, such as, for example the concept ofnew investments that are co-financed and includedin the regulatory asset base,∑ the justified level of operating expenditures(OPEX),∑ etc.One of the essential prerequisites for the possibleintroduction of regulatory methods such as the rateof return method is the transparent and consistentunbundling of activities in the full sense ∑ includingthe unbundling of assets, personnel, claims onloans etc. One of the problems is how the CERAwill approach the issuing of opinions on the amountof tariff items for the supply of electrical energyif it knows that the activities of the distributionand supply of electrical energy have still not beenunbundled and that the HEP Distribution SystemOperator performs the activity of the supply of electricalenergy in addition to the activity of the distributionof electrical energy.The same problem is also reflected in the determinationof the justified level of OPEX, which shouldbe determined at a level that reflects the efficiencyof operations or at least this level during the yearshould approach a efficiency level that would bevalid if the activity were subject to market competitionand risks. Thus, among other things, the questionis posed what OPEX represents in the case ofHEP Supply (HEP Opskrba d.o.o.), which only performsthe activity of supply for eligible customers.This means that tariff customers should not have tocover this expenditure. From the standpoint of theregulatory body which, in addition to safeguardingthe sustainable operations of the energy entity andfacilitating inviolable market competition, also hasthe task of protecting the customers, it would beunjustified to recognize this expenditure throughthe application of the rate of return method andissue a positive opinion on the proposed amounts oftariff items, which include the current expenditureallocated within the HEP Group for HEP Supply.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583578

zakonskih akata, provede sve nuæne analize kojeu sluËaju utvrappleivanja metoda za izraËun cijenausluga ponekad (po iskustvima drugih regulatornihtijela) traju i po 18 mjeseci [6].Osim stope povrata, kod CAPEX -a, dilemu predstavljatumaËenje i drugih pojmova koje prepoznajetarifni sustav, a isti nisu u dovoljnoj mjeripojaπnjeni, npr. vrijednost novih investicija koje susufinancirane. Pretpostavlja se da ih sufinancirakupac. Troπak investicije koji je financirao kupacne bi trebao uÊi u regulatornu osnovicu sredstavaniti biti priznat kroz troπak amortizacije energetskogsubjekta, buduÊi da bi na taj naËin kupacplaÊao investiciju dva puta ∑ kroz troπak investicijei kroz tarifu. Upitno je na koji naËin Êe HERApristupiti rjeπavanju problema investicija koje sufinancirakupac.Navedeni primjeri pitanja na koje HERA moraodgovoriti prilikom davanja miπljenja na prijedlogiznosa tarifa i provoappleenja regulatorne politikesamo su ilustrativni. Primjena ekonomske regulacijeseæe puno dublje i kompleksnija je od navedenihprimjera te zahtijeva detaljne elaboracijei analize. No, i argumentirani stavovi koje HERAtreba zauzeti prilikom rjeπavanja navedenih dilemaiz opisanog primjera mogu znaËajno utjecatina razinu tarifnih stavki pojedinih djelatnosti te naraspodjelu troπkova i prihoda izmeappleu djelatnosti.Furthermore, transparent division also has an impacton CAPEX in all activities. For each activity, theCERA would have to determine the justified levelof the initial regulatory asset base, the depreciationpolicy and the assets that would be allocated to theregulatory asset base during the regulatory period,to which the rate of return on capital would be applied.The rate that is applied to the mean value ofthe regulatory asset base is determined by the CERAat the proposal of the energy entity. A problem thatoccurs here is the determination of the justified rateof return, since this concerns activities that differ innature ∑ monopolistic and market, from which thereare different degrees of risks in operations as well asdifferent conditions of financing. From the descriptionof the methods stated in the tariff systems, it isnot clear which rate will be applied and whether therates will differ according to activities, although theyconcern the same vertically organized enterprise inthe HEP Group. Determination of the rate of returnrequires detailed analysis. In order for the CERA’swork to obtain credibility and professionalism, priorto adopting decisions and regulations the CERAmust first perform all the necessary analyses in atimely manner, which in the case of the determinationof the methods for the calculation of the pricesfor services sometimes (according to the experiencesof other regulatory bodies) requires as long as 18months [6].In addition to the rate of return, regarding CAPEXthere is a dilemma posed by the interpretation ofother concepts that the tariff system recognizes,which are not explained to a sufficient extent,such as the value of new investments that are cofinanced.It is assumed that they are co-financedby the customer. An investment expenditure that acustomer has financed should not enter the regulatoryasset base or be recognized as a depreciationexpenditure of the energy entity. Otherwise, the customerwould have to pay for the investment twice∑ through the investment expenditure and throughthe tariff. Therefore, it is a question how the CERAwill approach the solution of the problem of investmentsthat are co-financed by the customer.The cited examples of questions to which the CERAmust respond when issuing an opinion on the proposedamounts of tariffs and the implementation ofregulatory policies are merely illustrative. The applicationof economic regulations ranges far deeper, ismuch more complex than the examples presentedand requires more detailed elaboration and analysis.However, the argued positions that the CERAshould assume when resolving the cited dilemmasfrom the example described could significantly affectthe level of the tariff items for individual activitiesand the allocation of expenditures and revenuesamong the activities.579Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

5 ZAKLJU»AKU utvrappleivanju reguliranih cijena primjenjuju serazliËite metode ekonomske regulacije i to prvenstvenou djelatnostima koje su po svom karakterumonopolne, znaËi prijenosu i distribuciji elektriËneenergije, a ne u djelatnostima proizvodnje iopskrbe koje su po svom karakteru træiπne djelatnosti.Sukladno tome, regulatorno tijelo u veÊinianaliziranih dræava donosi ili daje suglasnost naplanove razvoja i izgradnje monopolnih djelatnostikao preduvjet za utvrappleivanje cijena reguliranihusluga. Zakonska nadleænost regulatornog tijelada donosi ili daje suglasnost na planove razvoja iizgradnje energetskih subjekata u naËelu ne dajeodgovor koliko duboko je pravo regulatornog tijelada zadire u planove razvoja i izgradnje energetskihsubjekata. Stoga se vrlo Ëesto u poËetku uvoappleenjaregulatorne prakse postavlja pitanje koliko meritornomoæe biti regulatorno tijelo prilikom ulaskau rasprave o pojedinim koncepcijskim rjeπenjima,odnosno o pojedinim tehniËkim pitanjima. Praksau regulatornim tijelima u EU, odnosno ËlanicamaERRA-e, s duæom regulatornom praksom odHERA-e pokazala je da su koncepcijska rjeπenjai kriteriji za izgradnju objekata u naËelu odlukaenergetskog subjekta, dok regulatorno tijelo odobravaposlovne planove ukljuËujuÊi financijsko pokrivanjeinvesticijskog plana. Paralelno odobravanjuposlovnih planova, regulatorna tijela utvrappleujuopravdanu razinu uËinkovitosti te razinu kvaliteteopskrbe kako se smanjenjem troπkova ne bi smanjilai kvaliteta opskrbe.Regulatorna politika moæe imati znaËajan utjecajna buduÊi prihod energetskog subjekta krozutvrappleivanje regulatorne osnovice sredstava u kojuulaze odobrena ulaganja te kroz utvrappleeni faktoruËinkovitosti. Odobrena razina ulaganja ima znaËajanodraz na visinu regulirane cijene koja proizlaziiz primijenjene regulatorne metode. Isto tako,ukoliko se jednom investicija prizna u CAPEX-u,a ne realizira se tijekom regulatornog razdobljaza koje je odobrena, nije opravdano opet ukljuËitije u CAPEX u sljedeÊem regulatornom razdoblju.Ako se radi o kratkom regulatornom razdoblju,kao πto je to npr. jedna godina kako je predviappleenotarifnim sustavima koje je donijela HERA, postavljase pitanje na koji naËin Êe regulatorno tijelopratiti realizaciju investicije i njeno ukljuËivanje uCAPEX. Naime, regulatorni pristupi analizirani uovom Ëlanku pokazali su da je prilikom utvrappleivanjaCAPEX-a, odnosno razmatranja uËinkovitosti pojedinogenergetskog subjekta potrebno analiziratitroπkove kroz duæe vremensko razdoblje. Takvomanalizom, odnosno primjenom metoda ravnanja pomjerilu na sloæenijem skupu podataka, osiguralabi se vjerodostojnost i razvidnost postupanja regu-5 CONCLUSIONIn the determination of regulated prices, variousmethods of economic regulation are applied,primarily to activities that are by their nature monopolistic,i.e. the transmission and distribution ofelectrical energy, and not to the activities of generationand supply, which are by their nature marketactivities. Consequently, the regulatory bodies inthe majority of the countries analyzed adopt or issueapproval for the development and constructionplans of monopolistic activities as a prerequisite forthe determination of the prices for regulated services.The legal authority of a regulatory body to adoptor issue approval for the development and constructionplans of energy entities in principle does notprovide an answer to how much of a right the regulatorybody has to interfere in the development andconstruction plans of energy entities. Therefore, thequestion is very often posed at the beginning of theintroduction of regulatory practices concerning howcompetent a regulatory body can be when enteringinto a discussion on individual conceptual solutions,i.e. individual technical questions. The practice ofthe regulatory bodies in the EU or the members ofthe ERRA, with longer regulatory experience thanthe CERA, has shown that conceptual solutionsand criteria for the construction of facilities are inprinciple the decision of the energy entity, whilethe regulatory body approves business plans includingthe financial coverage of the investment plan.Parallel to approving business plans, the regulatorybody determines the justified level of efficiency andthe level of the quality of supply, so that a reductionin expenditures does not lead to a reduction in thequality of the supply.Regulatory policy can have a significant impact onthe future revenue of an energy entity through thedetermination of the regulatory asset base in whichapproved investments are made and through thedetermination of the efficiency factor. The approvedlevel of investment is significantly reflected in theamounts of the regulated prices determined fromthe application of a regulatory method. Similarly,if an investment is recognized in CAPEX and is notimplemented during the regulatory period for whichit has been approved, it is not justified to includeit in CAPEX again for the subsequent regulatoryperiod. If the regulatory period is short, such as,for example, one year, the question is posed howthe regulatory body will monitor the implementationof the investment and its inclusion in CAPEX. Theregulatory approaches analyzed in this article havedemonstrated that when determining CAPEX, i.e.considering the efficiency of an individual energyentity, it is necessary to analyze expenditures over along period of time. With such analysis, i.e. the applicationof the benchmarking method to a complexŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583580

latornog tijela tijekom procesa utvrappleivanja cijenareguliranih usluga.HERA, prilikom donoπenja tarifnih sustava i opredjeljenjaza metodu regulacije priznatih troπkova,nije razmatrala posljedice koje regulatorni pristupmoæe imati na dozvoljeni prihod reguliranih energetskihsubjekata. Ujedno nije zauzela jasan i nedvosmislenstav prema nizu pitanja i dilema koje semogu javiti tijekom postupka davanja suglasnostina planove razvoja i izgradnje prijenosne i distribucijskemreæe kao i tijekom davanja miπljenja naprijedlog energetskih subjekata o iznosu tarifnihstavki. Stoga je postupanje hrvatskog regulatornogtijela u postupku donoπenja reguliranih cijena natemelju neke od poznatih metoda ekonomske regulacijejoπ uvijek nedefinirano te nema dosadaπnjeprakse koja bi se mogla analizirati. Isto tako nepoznataje praksa HERA-e u smislu davanja suglasnostina planove razvoja i izgradnje HEP OPS-ai HEP ODS-a.ImajuÊi u vidu dosadaπnji tijek uvoappleenja ekonomskeregulacije u Hrvatskoj te argumentacijuiz Ëlanka kao i iskustva drugih regulatornih tijelazakljuËak je autora da se zakonsko rjeπenje nuænomora mijenjati u viπe segmenata.Prvo, da se prilikom definiranja nadleænosti HE-RA-e definiraju sve njene nadleænosti kroz zakonskeodredbe, a ne da se naknadno iste utvrappleujukroz podzakonske akte koje donosi MINGORP iliHERA, kao πto je to npr. sluËaj s davanjem suglasnostina planove poslovanja ili planove razvojai izgradnje energetskog subjekta za proizvodnju iopskrbu elektriËnom energijom.Drugo, da se uloga HERA-e i primjena neke odpoznatih metoda ekonomske regulacije ograniËisamo na monopolne djelatnosti za koje su iste irazvijane. Naime, regulacija cijena u klasiËnomsmislu rijeËi gubi vaænost u djelatnostima koje supo svom karakteru træiπne (u kojima tarifa znaËajnoovisi o parametrima na koje energetski subjektne moæe utjecati i koje regulatorno tijelo ne moæenadzirat, kao πto je to npr. cijena goriva) i u kojimaregulatorno tijelo ne daje suglasnost na planove,kao πto je to sluËaj s proizvodnjom i opskrbomelektriËnom energijom.TreÊe, zakonsko rjeπenje sa samo poloviËno definiranimrokovima pokazalo se kao nedostatno. Naime,predviappleen je rok za donoπenje tarifnih sustavabez visine tarifnih stavki, a da nije predviappleen rokza donoπenje iznosa tarifnih stavki.Posljedica ovakvog slijeda zakonskih rjeπenja jeda su tarifni sustavi doneseni u prosincu 2006.godine, a da nisu prije toga napravljene simulacijegroup of data, the credibility and transparency ofthe behavior of the regulatory body during the processof the determination of the prices for regulatedservices would be assured.When adopting tariff systems and deciding uponthe method for the regulation of the rate of return,the CERA did not consider the consequences thata regulatory approach can have on the allowed revenueof entities performing regulated activities. Italso did not assume a clear and unambiguous positiontoward a series of questions and dilemmasthat can arise during the procedure for the issuingof approval for the development and constructionplans of the transmission and distribution networksas well as when issuing an opinion on proposalsby energy entities on the amounts of tariff items.Therefore, the procedure by the Croatian EnergyRegulatory Agency in the adoption of regulated priceson the basis of some of the recognized methodsof economic regulation has still not been definedand there is no practical experience to date thatcould be analyzed. Similarly, the CERA’s practicesin the sense of issuing approval for developmentand construction plans for the transmission systemoperator and the distribution system operator arealso unknown.Bearing in mind the progress thus far in the introductionof economic regulation in the Republic ofCroatia and the argumentation from the article, aswell as the experiences of other regulatory bodies,it is the authors’ conclusion that several segmentsof the legislative solution in the Republic of Croatiamust be changed.First, all of the CERA’s authorities should be definedthrough legal provisions instead of determiningthem retrospectively through regulationsissued by the Ministry of the Economy, Labor andEntrepreneurship or the CERA, such as, for example,the case of issuing approval for the businessplans or the development and construction plansof an energy entity for the generation and supply ofelectrical energy.Second, the role of the CERA and the application ofsome of the recognized methods of economic regulationshould be limited to the monopolistic activitiesfor which they were developed. Price regulationin the classical sense has diminished significancein activities with a market character (in which thetariff significantly depends upon parameters whichthe energy entity cannot influence and which theregulatory body cannot supervise, such as, for example,the price of fuel) and for which the regulatorybody does not issue approval for plans, such asin the case of the generation and supply of electricalenergy.581Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

prihvaÊene metode priznatih troπkova s ulaznimpodacima od HERA-e odobrenih planova razvojai izgradnje reguliranih energetskih subjekata. Takvasimulacija iznosa tarifnih stavki bi na razvidannaËin prikazala HERA-in stav prema priznavanjurazine OPEX-a i CAPEX-a.Third, a legal solution with only partially defineddeadlines has proven to be insufficient. The deadlinehas been set for the adoption of tariff systemswithout the stipulation of the amounts of the tariffitems, and the deadline for the adoption of the tariffitems has not been set.As a consequence of such a sequence of legislativesolutions, the tariff systems were adopted inDecember 2006 without prior simulations basedupon the accepted rate of return method and the inputdata came from development and constructionplans of the entities performing regulated activitieswhich the CERA had not previously approved.Such simulations of the amounts of the tariff itemswould present the CERA’s position toward the recognizedlevels of OPEX and CAPEX in a transparentmanner.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583582

LITERATURA / REFERENCES[1] Zakon o energiji, Narodne novine, 68/2001, 177/2004, 76/2007[2] Tarifni sustav za distribuciju elektriËne energije, bez visine tarifnih stavki, Narodne novine,143/2006[3] Tarifni sustav za prijenos elektriËne energije, bez visine tarifnih stavki, Narodne novine, 143/2006)[4] Tarifni sustav za proizvodnju elektriËne energije, s iznimkom za povlaπtene kupce, bez visine tarifnihstavki, Narodne novine, 143/2006[5] Tarifni sustav za opskrbu elektriËnom energijom, s iznimkom za povlaπtene kupce, bez visine tarifnihstavki, Narodne novine, 143/2006[6] ©TRITOF, I., GELO, T., ZnaËajke regulacije maksimalnih veliËina, Zbornik radova grupe C5 ∑ TræiπteelektriËnom energijom i regulacija sa 7. savjetovanja HO CIGRÉ, Cavtat, 2005.[7] ©TRITOF, I., Preduvjeti za uvoappleenje modela poticajne regulacije u prijenosu elektriËne energije uRepublici Hrvatskoj, Magistarski rad, Fakultet elektrotehnike i raËunarstva SveuËiliπta u Zagrebu,Zagreb, 2005.[8] Zakon o træiπtu elektriËne energije, Narodne novine, 177/2004, 76/2007[9] ©TRITOF, I., Presentation: Disccusion Paper ∑ Development Plans (Financial, Technical and Business),Energy Regulatory Regional Association, Tariff/Pricing Committee, Vilnius, 2005[10] BURNS, P., DAVIES, J., Regulatory incentives and capital efficiency in UK electricity distributionbusiness, CRI Technical paper No.12, 1998[11] AJODHIA, V. et al, Optimal Investment Appraisal under Price ∑ Cap Regulation, Presented at 4 thInternational Conference on Applied Infrastructure Research, Berlin, 2005[12] HEP Operator distribucijskog sustava d.o.o., Godiπnje izvjeπÊe 2005, Zagreb, 2006.[13] BORKOVIΔ, I., Upravno pravo, Narodne novine, Zagreb, 2002.[14] Zakon o træiπtu elektriËne energije, Narodne novine, 68/2001[15] ZakljuËak o prijedlogu Plana razvoja i izgradnje prijenosne mreæe za razdoblje od 3 godine, 21. sjednicaVijeÊa za regulaciju energetskih djelatnosti, Zagreb, 2003.[16] Odluka o iznosu naknada za koriπtenje prijenosne i distribucijske mreæe, 21. sjednica VijeÊa za regulacijuenergtskih djelatnosti, Zagreb, 2003.Uredniπtvo primilo rukopis:2007-08-14PrihvaÊeno:2007-09-14Manuscript received on:2007∑08∑14Accepted on:2007∑09∑14583Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

NUMERI»KI PRORA»UNNISKOFREKVENCIJSKIH ELEKTRO-MAGNETSKIH PRIJELAZNIH POJAVA UENERGETSKIM TRANSFORMATORIMATHE NUMERICAL CALCULATIONOF LOW FREQUENCY ELECTRO-MAGNETIC TRANSIENT PHENOMENAIN POWER TRANSFORMERSDoc. dr. sc. Amir TokiÊ, Univerzitet u Tuzli, Fakultet elektrotehnike,FranjevaËka 2, 75000 Tuzla, Bosna i HercegovinaProf. dr. sc. Ivo UgleπiÊ, SveuËiliπte u Zagrebu,Fakultet Elektrotehnike i raËunarstva, Unska 3, 10000 Zagreb, HrvatskaU radu je predstavljen model transformatora primjenjiv u niskofrekvencijskim elektromagnetskimprijelaznim pojavama, frekvencija reda oko 1 kHz. Analiziran je primjer uklapanja neoptereÊenogenergetskog transformatora. Prvo je pokazan pojednostavljeni analitiËki pristup, a zatim, zbognjegova ograniËenja, u analizu je uveden numeriËki pristup rjeπavanja krutih diferencijalnihjednadæbi koje opisuju prijelaznu pojavu. U oba sluËaja je realiziran algoritam za generiranje valnihoblika varijabli stanja. Rezultati oba algoritma su usporeappleeni s rezultatima MATLAB/Simulink/Power System Blockset, namjenskog programa za analizu elektromagnetskih prijelaznih pojava uelektroenergetskom sustavu. Razvijeni algoritam se moæe uspjeπno koristiti u ostalim niskofrekvencijskimprijelaznim pojavama gdje je glavni predmet analize nelinearni karakter transformatora:ferorezonancija, ispad tereta, kvarovi kod transformatora itd.In this article, a transformer model is presented that is applicable to low frequency electromagnetictransient phenomena of up to 1 kHz. An example of the energization of a no-load transformeris analyzed. A simplified analytical approach is presented first. Due to the limitations of this approach,a numerical approach is introduced for the solution of the stiff differential equations thatdescribe the transient phenomena. In both cases, algorithms have been developed for generatingthe waveforms of the state variables. The results of both algorithms are compared to the resultsof the MATLAB/Simulink/Power System Blockset for the analysis of electromagnetic transientphenomena in electrical energy systems. Developed algorithm with the introduced numericalapproach can be used successfully in other low frequency transient phenomena where the mainsubject of analysis is the nonlinear character of the transformer: ferroresonance, load switch-off,transformer faults etc.KljuËne rijeËi: implicitno trapezno pravilo, krivulja magnetiziranja, krute diferencijalne jednadæbe,uklapanje transformatoraKey words: implicit trapezoidal rule, magnetization curve, stiff differential equations, transformerenergizationTokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607584

1 UVODU niskofrekvencijske prijelazne pojave u transformatorimase obiËno ubrajaju uklapanjeneoptereÊenih transformatora i ferorezonancija. Uspomenutim prijelaznim pojavama parametar, kojidominantno utjeËe na rezultate prijelaznih pojava,je nelinearni induktivitet æeljezne jezgre transformatora.Kao posljedica nelinearnosti jezgre moæedoÊi do jakih strujnih udara prilikom uklapanjaneoptereÊenih transformatora. Osnovne karakteristikestruja uklopa transformatora su relativnovelika amplituda, koja dostiæe ekstremno i do 10I naz kao i relativno velika duljina trajanja do postizanjastacionarnog stanja [1]. Ovakve struje Ëestomogu uzrokovati nepotrebno djelovanje zaπtitnihureappleaja buduÊi da mogu dostiÊi vrijednosti strujakratkog spoja transformatora. S tim u vezi, danassu razvijene razliËite metode za razlikovanje strujeuklapanja od struje kratkog spoja transformatora.NajËeπÊe upotrebljavane tehnike razlikovanja su:harmonijska analiza struje (praÊenje drugog harmonikastruje) [2], energetske metode [3], metodemagnetskih karakteristika transformatora [4], tesuvremene tehnike koje se baziraju na upotrebiwavelet transformacije i neuronskih mreæa [5], suvremenihkorelacijskih algoritama [6], itd.Posljedica struja uklapanja neoptereÊenih transformatoramogu biti privremeni, niskofrekvencijski,nesinusoidalni prenaponi [7], koji mogu znaËajnoenergetski preopteretiti metal-oksidne odvodnikeprenapona koji su instalirani uz transformatore [8].Zagrijavanje odvodnika bitno zavisi od promatranekonfiguracije mreæe i od parametara sustava kaoi odgovarajuÊih poËetnih uvjeta (trenutak uklopatransformatora, remanentni magnetizam transformatoraitd.). Amplituda i duljina trajanja ovakvihprivremenih napona, a samim time i zagrijavanjeodvodnika prenapona, su znatno izraæeniji u uvjetimaslabih elektroenergetskih sustava.Dodatno, uklapanje, odnosno isklapanje transformatorau elektriËnim krugovima koje sadræe kapacitivnostimoæe dovesti do dugotrajnih ferorezonantnihprekostruja, odnosno prenapona. TipiËniprimjeri nastanka ferorezonancije nastupaju priserijskoj kompenzaciji [9] ili pri isklapanju naponskihmjernih transformatora [10], te pri neregularnimsklopnim operacijama trofaznih prekidaËa(prijevremeni uklop/isklop jedne faze u mreæamasa izoliranom neutralnom toËkom) [11].S obzirom na iznesene praktiËne strane problemapri niskofrekvencijskim prijelaznim pojavamatransformatora, potrebno je naroËitu pozornostusmjeriti na pravilno modeliranje transformatora,odnosno simuliranje spomenutih pojava.1 INTRODUCTIONLow frequency transient phenomena in transformersusually include the inrush currents of no-loadtransformers and ferroresonance. In these transients,the parameter with the dominant impact onthe results is the nonlinear inductance of the ironcore. As a consequence of the nonlinearity of thecore, high inrush currents can occur when energizingno-load transformers. The basic characteristicsof transformer inrush currents are relatively highamplitude, which in extreme cases can reach up to10 I rated as well as the relatively long period of timeuntil a steady state is reached [1]. Such currentsfrequently can cause unnecessary tripping to occurbecause they can reach the short-circuit currentvalues of the transformers. In connection with this,various methods have been developed today fordifferentiating between transformer inrush currentand short-circuit current. The most frequently useddifferentiation techniques are as follows: harmonicanalysis of the current (second harmonic component)[2], power differential methods [3], methodsbased on transformer magnetizing characteristics[4], modern techniques that are based on the useof wavelet transform and neural networks [5], moderncorrelation algorithms [6] etc.Consequences of no-load transformer inrush currentscan be temporary, low frequency and nonsinusoidalovervoltages [7], which can significantlyoverload the metal oxide surge arresters that areinstalled next to the transformers [8]. The thermalstress on surge arresters depends significantly onthe network configuration and the system parametersas well as the initial conditions (the instantof energization, remnant magnetism etc.). Theamplitude and duration of such transient voltages,together with the thermal stress on surge arresters,are significantly more marked under the conditionsof weak powersystems.Additionally, energizing and de-energizing transformersin electrical networks with capacitancecan lead to long term overcurrents or overvoltagesdue to ferroresonance. Typical examples of ferroresonanceoccur in series compensation [9], whenswitching off voltage measuring transformers [10]and due to the abnormal switching operations ofthree-phase switches (the premature energizing/deenergizingof a transformer phase in networks withan isolated neutral point) [11].Taking into account the above-described practicalaspect of the problem with the low frequencytransient phenomena of transformers, particularattention should be devoted to the correct modelingof transformers, i.e. the simulation of thesephenomena.TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607586

Kao πto je veÊ spomenuto, osnovna poteπkoÊa umodeliranju energetskih transformatora je nelinearnikarakter induktiviteta æeljezne jezgre transformatora.Ostali parametri transformatora: otpor irasipni induktiviteti primarnog i sekundarnog namotakao i otpor koji reprezentira gubitke u æeljezuuzimaju se konstantnim [12]. Osnovna krivuljamagnetiziranja transformatora dana je na slici 1a.Ova krivulja se moæe kvalitativno aproksimirati sdva pravca, slika 1b, koji predstavljaju tangente unezasiÊenom i zasiÊenom podruËju. Krivulja magnetiziranjaenergetskih transformatora ima jakooπtar prijelaz iz nezasiÊenog u zasiÊeno podruËje.Ovo je posljedica konstruktivne izvedbe visokonaponskihenergetskih transformatora. Naime, sporastom naponske razine, odnosno nazivne snagetransformatora struja praznog hoda se smanjuje iiznosi [13] oko 5 % do10 % nazivne struje transformatoraza transformatore snaga reda 100 kVAi opada sve do vrijednosti oko 0,47 % do 0,59% nazivne struje transformatora za transformatoresnage reda 500 MVA.Pregled standardnih vrijednosti struje magnetiziranjaza energetske transformatore razliËitih nazivnihsnaga dan je tablicom 1. Struja prijelaza u zasiÊenopodruËje i z jednaka je nazivnoj struji pomnoæenojs faktorom ulaska u zasiÊenje k: i z = k·i 0naz ,gdje je za energetske transformatore obiËno1,05 k 1,3. Dakle, koljeno krivulje magnetiziranjaza energetske transformatore velikih snagaje razmjeπteno u veoma uskom podruËju nazivnestruje transformatora (reda 0,5 % do 1 % i naz ).Povrπina, koja je omeappleena realnom krivuljom magnetiziranjai njenom aproksimacijom preko dvapravca, ovdje je reda svega oko 0,001 % ako uzmemoda je 100 % povrπina ispod cijele krivuljemagnetiziranja u p.u. sistemu. LogiËna je posljedicaovako malih nazivnih struja praznog hoda dapredstavljanje krivulje magnetiziranja preko svegadva pravca Ëini gotovo zanemarive pogreπke u usporedbis realnim predstavljanjem krivulje [14].As previously mentioned, the basic difficulty in modelingpower transformers is the nonlinear characterof the inductance of the iron transformer core. Theother transformer parameters, the resistance andleakage inductance of the primary and secondarywindings as well as the resistance that representslosses in iron are assumed to be constant [12]. Thebasic transformer magnetizing curve is presented inFigure 1a. This curve can be qualitatively approximatedwith two straight lines, Figure 1b, that representtangents in the unsaturated and saturatedregions. The power transformer magnetizing curvehas a very sharp transition from the unsaturatedto the saturated regions. This is a consequence ofthe design of high voltage power transformers. Withan increase in the voltage level or rated power ofthe transformer, no-load current is decreased andamounts to approximately 5 % to 10 % of thetransformer rated current [13] for transformers withpower ratings of 100 kVA and decreases to a valueof approximately 0,47 % to 0,59 % of transformerrated current for transformers with power ratingsof 500 MVA.A review of the standard values of power transformermagnetizing currents for various rated powers ispresented in Table 1. The transition current to thesaturated region i z is equal to the rated current multipliedby the saturation factor k: i z = ki 0rated , whereusually for power transformers 1,05 k 1,3.Thus, the bend in the magnetizing curve for ahigh power transformer is in a very narrow regionof the transformer rated current (an order of 0,5 %to 1% i rated ). The surface, which is bounded by thereal magnetizing curve and its approximation bytwo straight lines is of an order here of only approximately0,001 % if it is taken into accountthat 100 % of the surface below the magnetizingcurve is in a p.u. system. A logical consequenceof such low rated no-load currents is that it is possibleto approximate the magnetizing curve usingtwo straight lines with nearly negligible error incomparison to the real curve [14].Tablica 1 − TipiËne vrijednosti struje praznog hoda kao postotak nazivne struje za energetske transformatoreTable 1 − Typical values of no-load current as a percentage of rated current for power transformersS TR (MVA) 0,1 1,0 10 20 40 60i 0 (% i naz/rated ) 5,0 − 8,0 1,75 − 2,32 0,35 − 1,1 0,8 − 1,2 0,65 − 0,94 0,58 − 0,84S TR (MVA) 80 100 150 200 300 500i 0 (% i naz/rated ) 0,54 − 0,77 0,51 − 0,73 0,47 − 0,67 0,51 − 0,64 0,49 − 0,61 0,47 − 0,59587TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

Slika 1Krivulja magnetiziranjatransformatora a) i njenaaproksimacija preko dvapravca b)Figure 1Magnetizing curve oftransformer a) and itsapproximation via twostraight lines b)a)Nazivna struja / Rated currentStruja magnetiziranja / Magnetizing currentb)Magnetski tok / Magnetic fluxStruja magnetiziranja / Magnetizing currentPosljedica nelinearnog karaktera æeljezne jezgretransformatora je nesinusoidalna struja magnetiziranjatransformatora pri sinusoidalnom naponunapajanja, tj. sinusoidalnom magnetskom toku,πto je jasno ilustrirano na slici 2. Na istoj slici suprikazana dva oblika struje magnetiziranja za dvijerazliËite tjemene vrijednosti magnetskog toka. Tijekomprijelazne pojave uklapanja transformatorakada magnetski tok moæe poprimi vrijednosti iveÊe od svoje dvostruke nazivne vrijednosti [15],dolazi do jakih strujnih udara transformatora, πtoje pokazano na slici 3.A consequence of the nonlinear character of theiron transformer core is the nonsinusoidal transformermagnetizing current at the sinusoidal supplyvoltage, i.e. sinusoidal magnetic flux, which isclearly illustrated in Figure 2. In the same figure,two forms of magnetizing current are presentedfor two different peak values of the magnetic flux.During the transient phenomena of transformerenergization, when the magnetic flux can acquirevalues greater than twice its rated value [15], highinrush current occurs, as presented in Figure 3.TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607588

Slika 2Nesinusoidalnastruja magnetiziranjatransformatoraFigure 2Nonsinusoidaltransformermagnetizing currentStruja transformatora / Transformer current(A)1 000800600400200Slika 3TipiËan valni oblikstruje uklapanjatransformatoraFigure 3Typical waveformof transformerinrush current00 0,2 0,4 0,6 0,8 1Vrijeme / Time (s)589TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

2 MATEMATI»KI MODELPRI UKLAPANJUNEOPTEREΔENOGENERGETSKOGTRANSFORMATORAU ovom poglavlju Êe se analizirati matematiËki modelpri uklapanju neoptereÊenog energetskog transformatora,slika 4a i b. Izmeappleu transformatora itoËke prikljuËka na mreæu postoji kapacitet C, kojimse ekvivalentira prilaz kabelskim ili nadzemnimvodom, kapacitet kondenzatorskih baterija i sl.2 MATHEMATICAL MODEL OFTHE ENERGIZATION OF A NO-LOAD POWER TRANSFORMERThis chapter presents an analysis of a mathematicalmodel of the energization of a no-load power transformer,Figures 4a and b. Between the transformerand the connection point to the network, there is acapacity C, which is equivalent to the capacity of acable or overhead approach line, the capacitance ofthe capacitors etc.Slika 4UklapanjeneoptereÊenogenergetskogtransformatoraFigure 4The energizationof a no-load powertransformera) Shema uklapanja transformatora na mreæu / Simplified electrical circuit of transformer energizationb) OdgovarajuÊa zamjenska shema slike a) / Equivalent electrical circuit of Figure a)Parametri mreæe se dobivaju iz podataka o snazitropolnog kratkog spoja u toËki prikljuËka:The network parameters are obtained from data onthe three-phase short-circuit power at the point ofconnection:(1)Pretpostavlja se da je odnos X / R za danu mreæupoznat, na osnovi kojega se odreappleuje otpor R.Na osnovi poznate nazivne snage transformatoraS TR , te napona kratkog spoja moguÊe je odreditirasipni induktivitet tansformatora:It is assumed that the ratio of X / R for the givennetwork is known, on the basis of which we determineresistance R.On the basis of the known transformer rated powerS TR and the short-circuit voltage, it is possible to determinethe leakage inductance of the transformer:(2)Ostali podaci, djelatni otpor primarnog namotatransformatora R 1 , djelatni otpor izazvan gubicimau æeljezu R m , te nelinearni induktivitet æeljezneOther data, the effective resistance of the primarytransformer winding R 1 , the effective resistance dueto iron core losses R m , and the nonlinear inductanceTokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607590

jezgre transformatora L m , inaËe definirana krivuljommagnetiziranja -i m ( je glavni ulanËenimagnetski tok, i m je struja magnetiziranja transformatora),lako se mogu odrediti mjerenjem ili suveÊ dani od strane proizvoappleaËa. Ovaj nelinearniinduktivitet aproksimiran je s dva pravca u -i mkoordinatnom sustavu, slika 2, πto je za energetsketransformatore u praksi uglavnom prihvatljivo.ToËka (i z , z ) predstavlja kritiËnu toËku pri prelaskuiz nezasiÊenog u zasiÊeno podruËje æeljezne jezgre.Koeficijenti pravaca ustvari predstavljaju induktiviteteu nezasiÊenom (L m1 , const 1 ) i zasiÊenompodruËju (L m2 , const 2 ). Na ovaj naËin dobivamofunkcionalnu ovisnost struje magnetiziranja o magnetskomtoku kao (funkcijom sign osiguravamopozicioniranje u odgovarajuÊem kvadrantu):of the transformer iron core L m , otherwise definedby the magnetizing curve -i m ( is the main linkagemagnetic flux, i m is the transformer magnetizingcurrent), can easily be determined through measurementor are already provided by the manufacturer.This nonlinear inductance is approximated with twostraight lines in the -i m coordinate system, Figure 2,which is generally acceptable in practice for powertransformers. Point (i z , z ) represents the criticalpoint at the transition from the unsaturated regionto the saturated region of the iron core. The straightlines coefficients actually represent inductances inthe unsaturated region L m1 , const 1 and saturated regionL m2 , const 2 . In this manner, we obtain the functionaldependence of the magnetizing current on themagnetic flux (we define the position in the correspondingquadrant with the sign function) as follows:(3)(4)3 ANALITI»KI PRISTUPRadi jednostavnosti zanemarit Êe se sve aktivneelemente sa slike 4b. Dakle, pri prijelaznoj pojaviuklapanja transformatora ako trenutaËna vrijednostmagnetskog toka, po apsolutnoj vrijednostipremaπi kritiËnu vrijednost z , induktivnost transformatorase mijenja sa L m1 na L m2 . To ustvariznaËi da se trenutak kada magnetski tok dostignevrijednost z moæe uzeti kao vrijeme t=T>T uk isklapanjainduktiviteta L m1 odnosno uklapanja induktivitetaL m2 . Ekvivalentna shema bi u tom sluËajuizgledala kao na slici 5. SliËno, pri smanjenjumagnetskog toka ispod vrijednosti z iskljuËuje seinduktivitet L m2 i ukljuËuje induktivitet L m1 .3 ANALYTICAL APPROACHFor the purpose of simplicity we shall ignore allthe active elements from Figure 4b. In the transientphenomena during transformer energization,if the instantaneous value of the magnetic flux interms of absolute value exceeds the critical valueof z , the transformer inductance changes from L m1to L m2 . This actually means that the moment whenthe magnetic flux reaches the value of z can betaken as the time t=T>T uk of switching off the inductanceL m1 , respectively the time of switchingon the inductance L m2 . In this case, an equivalentdiagram would look like the one presented in Figure5. Similarly, when the magnetic flux is decreasedbelow the value of z , inductance L m2 is switchedoff and inductance L m1 is switched on.591TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

Slika 5Uklapanjetransformatora ∑pojednostavljeni modelFigure 5Transformer energization∑ simplified modelDakle, promjena trenutaËne vrijednosti magnetskogtoka pri prelaznoj pojavi uvjetuje prelaskes jednog na drugi pravac πto u diferencijalnimjednadæbama koje opisuju ponaπanje elektriËnihkrugova ustvari znaËi promjenu koeficijenata. ProcespoËinje s induktivitetom L m1 . Uz oznake kao naslici 5 dobiju se diferencijalne jednadæbe koje opisujuponaπanje elektriËnog kruga u proizvoljnomtrenutku tT uk , gdje je t=T uk trenutak uklapanjaprekidaËa :Therefore, in transient phenomena transition from onestraight line to another is conditional upon change inthe instantaneous value of the magnetic flux, whichin differential equations that describe the behavior ofelectric circuits actually signifies coefficient changes.The process begins with the inductance L m1 . Usingthe same symbols as in Figure 5, differential equationsare obtained that describe the behavior of theelectric circuit at the arbitrary moment tT uk , wheret=T uk is the moment that the switch is turned on:(5)(6)Rjeπava se prvo diferencijalna jednadæba (5). Uzizraz za prirodnu kruænu frekvenciju kruga:Differential equation (5) is solved first. When thenatural circular frequency of the circuit is as follows:(7)dobiva se opÊe rjeπenje diferencijalne jednadæbe (5):the general solution to equation (5) is obtained:(8)Konstante a, b i c odreappleuju se iz poËetnih uvjeta:Constants a, b and c are determined from the initialconditions:TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607592

(9)(10)(11)Napon U 0 i struja I C0 se odreappleuju iz stanja prijeuklapanja prekidaËa:Voltage U 0 and current I C0 are determined from thestate prior to turning on the switch:(12)(13)Koeficijenti a, b i c se dobivaju iz matriËnejednadæbe koja se formira na osnovi jednadæbi (9)do (13):Coefficients a, b and c are obtained from the matrixequation formed on the basis of equations (9) to(13):(14)gdje su matrice M, K i N redom:where matrices M, K and N are as follows:(14a)(14b)(14c)593TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

Kada se odrede konstante a, b i c tada se za vremenskioblik magnetskog toka (t), napona u(t) natransformatoru i struje kondenzatora i C (t) dobiva:When constants a, b and c are determined, themagnetic flux (t), transformer voltage u(t) andcondenser current i C (t) waveforms as a function oftime are then as follows:(15)(16)(17)U jednadæbi (8) konstanta a predstavlja istosmjernukomponentu magnetskog toka, b, c i 01 konstantekojima je definiran vlastiti odziv, a B i konstantekojima je definiran prinudni odziv u rjeπenjuza magnetski tok. Posljednje tri jednadæbe vrijedesve dok je zadovoljeno z . U protivnom,kada bude z tada ponaπanje elektriËnogkruga opisuje diferencijalna jednadæba (6) opisujestanje ravnoteæe s parametrom L m2 umjesto L m1 .PoËetni uvjeti za novu diferencijalnu jednadæbu(6) su posljednje trenutaËne vrijednosti rjeπenjaprvobitne jednadæbe (5). Rjeπenja diferencijalnejednadæbe (6) se dobivaju istim postupkom kaorjeπenja jednadæbe (5). Analogno se razmiπlja priponovnom smanjenju magnetskog toka ispod vrijednosti z sa odgovarajuÊim poËetnim uvjetimakoji su odreappleeni posljednjim trenutaËnim vrijednostimastare diferencijalne jednadæbe.Struja magnetiziranja transformatora i m odreappleujese na osnovi relacija (3) i (4).Generalno se moæe organizirati algoritam kojibi prateÊi vrijednost trenutaËnog magnetskogtoka rjeπavao diferencijalne jednadæbe (5) i (6)s odgovarajuÊim poËetnim uvjetima. UvodeÊiteæinske koeficijente k 1 i k 2 koji bi uzimali vrijednosti0 ili 1 moguÊe je naËiniti petlju koja bistalno raËunala vrijednost magnetskog toka uzasiÊenom ili nezasiÊenom podruËju vodeÊi raËunao odgovarajuÊim poËetnim uvjetima.Remanentni magnetizam transformatora remmoguÊe je uvaæiti ako se u proraËun krene s tomvrijednoπÊu, (T uk ) = rem . Histerezna petlja je zanemarena,πto je u praktiËkim primjerima za energetsketransformatore sasvim prihvatljivo [16].In equation (8), constant a represents the DC componentof the magnetic flux, b, c and 01 are theconstants by which the self response is defined,and B and are the constants by which the forcedresponse is defined in the solution for the magneticflux. The last three equations are valid untilthe condition of z is met. Otherwise, when z , differential equation (6) describes thebehavior of the electric circuit with the parameterL m2 instead of L m1 . The initial conditions for a newdifferential equation (6) are the last instantaneousvalues from the solution of equation (5). The solutionto differential equation (6) is obtained accordingto the same procedure as the solution toequation (5). An analogous procedure is used whenthe magnetic flux is again reduced below the valueof z with the corresponding initial conditions thatare determined using the instantaneous values ofthe previous differential equation.The transformer magnetizing current i m is determinedon the basis of equations (3) and (4).It is generally possible to develop an algorithm thatwould solve differential equations (5) and (6) byfollowing the value of the instantaneous magneticflux with the corresponding initial conditions. Byintroducing weighting coefficients k 1 and k 2 thatwould assume the value of 0 or 1, it is possible tomake a loop that that would constantly calculatethe value of the magnetic flux in the saturated andunsaturated regions, taking the corresponding initialconditions into account.Transformer remnant magnetism, rem can be takeninto account if this value is entered into the calculation(T uk ) = rem . The hysteresis loop is ignored,which is completely acceptable in practical applicationsfor power transformers [16].TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607594

Pojednostavljeni algoritam raËunanja varijablistanja (magnetskog toka, napona i struje) dan jena slici 6. OteæavajuÊa Ëinjenica pri realizacijiprograma je da se poËetni uvjeti pri svakom prijelazuiz jednog u drugo podruËje stalno morajupreraËunavati.A simplified algorithm for the calculation of statevariables (magnetic flux, voltage and current) ispresented in Figure 6. A complicating factor in theimplementation of the program is that the initialconditions at every transition from one region to anothermust constantly be recalculated.PoËetakUËitavanjeparametara sustavaStartLoading systemparametersSlika 6Razvijeni algoritam,pojednostavljenimodelFigure 6Developed algorithm,simplified modelRaËunanje poËetnih uvjeta 01 , U 01 , I 01i koeficijenata a, b i cCalculation of initial conditions 01 , U 01 , I 01and coefficients a, b i cTeæinski koeficijenti:i=1, j=0, k 1 =1, k 2 =0Weighting coefficients:i=1, j=0, k 1 =1, k 2 =0t=T ukt=T ukt=t+ht=t+hRaËunanje magnetskog toka = k 1 (L m1 , 01 , U 01 , I 01 ) + k 2 (L m1 , L m2 , 02 , U 02 , I 02 )Magnetic flux calculation = k 1 (L m1 , 01 , U 01 , I 01 ) + k 2 (L m1 , L m2 , 02 , U 02 , I 02 )NENO||≤ z||≤ zDAYESi=i+1, j=0i=0, j=j+1i=i+1, j=0i=0, j=j+1NEi=1 j=1NENOi=1 j=1NODADAYESYESPreuzimanje novihpoËetnih uvjeta 01 , U 01 , I 01 ikoeficijenata a, b i cPreuzimanje novihpoËetnih uvjeta 02 , U 02 , I 02 ikoeficijenata a, b i cAcceptance of newinitial conditions 01 , U 01 , I 01 andcoefficients a, b i cAcceptance of newinitial conditions 02 , U 02 , I 02 andcoefficients a, b i cNEt≤T promNOt≤T considDAYESPrintanje rezultata:(t), u(t), i c (t), i m (t)Print-out of the results:(t), u(t), i c (t), i m (t)KrajEnd595TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

4 NUMERI»KI PRISTUPSada Êe se analizirati sluËaj uklapanja transformatorasa svim elementima prema slici 7. Dok setransformator joπ uvijek nalazi u nezasiÊenom podruËju,gdje Êe se radi jednostavnosti induktivitetæeljezne jezgre oznaËiti s L m , vrijede jednadæbe:4 NUMERICAL APPROACHA case will now be analyzed of the energization ofa transformer with all the elements according toFigure 7. While the transformer is still in the unsaturatedregion, where for purposes of simplicitythe inductance of the iron core will be designatedby L m , the following equations apply:(18)(19)(20)(21)Slika 7Uklapanje transformatora∑ potpuni modelFigure 7Transformer energization∑ complete modelTransformacijom posljednje Ëetiri jednadæbe dolazimodo diferencijalne jednadæbe Ëetvrtog redaoblika:Through the transformation of the last fourequations, we arrive at fourth-order differentialequations:(22)TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607596

gdje su konstante a i, i = 0, 1, 2, 3, 4 dane sa:where the constants a i, i = 0, 1, 2, 3, 4 are asfollows:(22a)(22b)(22c)(22d)(22e)Uz realne podatke [8]:∑ E m = 172 kV,∑ R = 8,82 ,∑ L = 0,281 H,∑ C = 4,218 F,∑ R 1 = 0,529 ,∑ L 1 = 0,126 H,∑ z = 657,88 W,∑ L m1 = 185,24 H,∑ L m2 = 0,253 H,∑ R m = 0,576 ·10 6 ,primjenjujuÊi Bairstow numeriËku metodu, za korjenekarakteristiËne jednadæbe bi dobili rjeπenja:with real data [8]:∑ E m = 172 kV,∑ R = 8,82 ,∑ L = 0,281 H,∑ C = 4,218 F,∑ R 1 = 0,529 ,∑ L 1 = 0,126 H,∑ z = 657,88 W,∑ L m1 = 185,24 H,∑ L m2 = 0,253 H,∑ R m = 0,576 ·10 6 ,and by applying the Bairstow numerical method,the roots of the characteristic equation are obtainedas follows:(23)(24)(25)597TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

Tada je opÊe rjeπenje jednadæbe (22):Then the general solution of the equation (22) is:(26)OËita je jaka rasutost korijena p 1 i p 2 . Kada bi poanalogiji na razmatranje kao u poglavlju 3 formiralimatrice M, K i N, lako bismo zakljuËili da matricaK predstavlja singularnu matricu, jer u prvomstupcu sadræi umnoπke broja ep 1 T uk. Svi ti brojevisu za raËunalo praktiËki jednaki nuli zbog golemevrijednosti p 1 . Dakle, klasiËan analitiËki pristup uopÊem se sluËaju ne bi mogao provesti zbog singularnostimatrice K. U daljem dijelu razmatrat Êese numeriËki pristup rjeπavanja ovog problema.Meappleutim, i pri numeriËkom pristupu veoma jevaæno obratiti pozornost na izbor odgovarajuÊegnumeriËkog postupka zbog istaknute Ëinjenice dasu korijeni karakteristiËne jednadæbe jako rasuti ulijevom dijelu kompleksne ravnine. Jaka disperzijakorijena karakteristiËne jednadæbe definirazasebnu klasu diferencijalnih jednadæbi poznatihpod imenom krute diferencijalne jednadæbe (stiffdifferential equations). Naime, diskutabilna jeapsolutna stabilnost numeriËkih postupaka primijenjenihna ovu vrstu jednadæbi [17]. Nijedanod klasiËnih numeriËkih postupaka u eksplicitnojformi, bio jednokoraËni ili viπekoraËni tipa Eulera,Runge-Kuta, Adams-Moulton itd. pri standardnimkoracima integracije, ne osigurava apsolutnustabilnost postupka, πto dovodi do divergiranjarjeπenja u numeriËkom smislu (pogreπka k u k-tojiteraciji izaziva u k+1-oj iteraciji pogreπku k+1 > k ).Apsolutnu stabilnost osiguravaju jedino implicitninumeriËki postupci [17] i [18], mada i pri njihovojupotrebi treba biti jako oprezan. U konkretnomprimjeru upotrijebljeno je apsolutno stabilno implicitnotrapezno pravilo.Jednadæbe (18) do (22) Êe se napisati u prostorustanja uzimajuÊi da je vektor varijabli stanja:High dispersion of the roots p 1 and p 2 is evident.If matrices M, K and N are formed, analogically tothe discussion in Chapter 3, it could be easily concludedthat matrix K represents a singular matrixbecause it contains multiples of the number e p 1 T ukin the first column. All these numbers are practicallyequal to zero for a computer due to the enormousvalue of p 1 . Therefore, the classical analytical approachin a general case could not be implementeddue to the singularity of matrix K. The numericalapproach to the solution of this problem will bediscussed subsequently. However, with the numericalapproach it is very important to pay attentionto the selection of the suitable numerical approachprocedure due to the significant fact that the rootsof the characteristic equation are highly dispersedin the left part of the complex plain. The high rootdispersion of the characteristic equation defines aseparate class of differential equations known asstiff differential equations. The absolute stabilityof the numerical approaches applied in this typeof equation is disputable [17]. None of the classicalnumerical approaches in explicit form, whetherof the single-step or multistep Euler, Runge-Kutta,Adams-Moulton type etc. using standard integrationsteps, assures the absolute stability of the procedure,which leads to divergence of the solutions inthe numerical sense (error k in the k-th iterationcauses error k+1 > k in the k+1 iteration). Only implicitnumerical procedures guarantee absolute stability[17] and [18], although it is necessary to usethem very cautiously. In a concrete example, the absolutelystable implicit trapezoidal rule is applied.Equations (18) to (22) can be written in the statespace form where the state variable vector is:(27)Za nezasiÊeno podruËje gdje inaËe vrijedi:For the unsaturated region where the following otherwiseapplies:za / for(28)TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607598

dobiva se jednadæba u prostoru stanja:the following state space equation is obtained:(29)gdje su:Where:(29a)(29b)U zasiÊenom podruËju gdje inaËe vrijedi relacija:In the saturated region where the following relationotherwise applies:za / for(30)dobiva se:the following is obtained:(31)599TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

gdje su:where:(31a)(31b)Implicitno trapezno pravilo primijenjeno na sustavẋ = A i x + bi, i = 1, 2 daje iteracijsku vezu:The implicit trapezoidal rule applied to the system ẋ= A i x + bi, i = 1, 2 yields the iteration expression:(32)U posljednjoj relaciji sa h oznaËen je korak integracijei on je veoma problematiËan za eksplicitnemetode. Naime, da bi se osigurala stabilnost ovihpostupaka korak se mora odræati dovoljno malimda bi testovi stabilnosti bili zadovoljeni. Za Eulerovopravilo je potrebno da korak integracije budeIn the previous expression, h is designated as theintegration step and it is highly problematic forexplicit methods. In order to assure the stabilityof these procedures, the step should be kept sufficientlysmall in order to satisfy the stability tests.For Euler’s rule, it is necessary for the integrationstep to be:(33)gdje su sa i oznaËene sve svojstvene vrijednostimatrice A i . Za ovaj bi primjer veÊ za nezasiÊenopodruËje korak bio:where i denotes all the characteristic values ofmatrix A i . For this example, the step for the unsaturatedregion would be:(34)Pri upotrebi implicitnog trapeznog pravila nije potrebnovoditi raËuna o veliËini koraka h.Dakle, moguÊe je naËiniti algoritam, slika 8, kojiÊe prema (32) numeriËki rjeπavati sustav diferencijalnihjednadæbi (29) za z i (31) za > z .When applying the implicit trapezoidal rule, it is notnecessary to take the size of step h into account.Therefore, it is possible to develop an algorithm,Figure 8 , which according to (32) will numericallysolve the system of differential equations (29) for z and (31) for > z .TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607600

PoËetakUËitavanjeparametara sustavaStartLoading systemparametersSlika 8Razvijeni algoritam,potpuni modelFigure 8Developed algorithm,complete modelRaËunanje poËetnih uvjetax=[I 0 U C0 I 10 0 ] TCalculation of initial conditionsx=[I 0 U C0 I 10 0 ] TRaËunanje matricaU i =[E− h/2 A i ] −1 , i=1, 2Matrix calculationU i =[E− h/2 A i ] −1 , i=1, 2i=T uki=T ukt=i+ht=i+hRaËunanje magnetskog toka = k 1 f 1 (L m1 , x, U 1 ) + k 2 f 2 (σ, L m1 , L m2 , x, U 2 )Magnetic flux calculation = k 1 f 1 (L m1 , x, U 1 ) + k 2 f 2 (σ, L m1 , L m2 , x, U 2 )NENO|| ≤ z|| ≤ zDAYESK 1 =1, K 2 =0 K 1 =0, K 2 =1K 1 =1, K 2 =0 K 1 =0, K 2 =1NEt≤T promNOt≤T considDAYESPrintanje rezultata:(t), u c (t), i(t), i 1 (t)Print-out of the results:(t), u c (t), i(t), i 1 (t)KrajEnd601TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

5 TEST PRIMJERProgrami dobiveni prema algoritmima sa slika 6 i8 testirani su na MATLAB/Simulink/Power SystemBlockset (PSB), dio MATLAB-a za elektromagnetsketranzijente [19]. Parametri modela preuzeti suiz [8]. Rezultati simulacija dani su na slikama 9i 10.5 TEST EXAMPLEThe programs obtained according to the algorithmsfrom Figures 6 and 8 have been tested using theMATLAB/Simulink/Power System Blockset (PSB), apart of MATLAB for electromagnetic transients [19].The model parameters were taken from [8]. The simulationresults are presented in Figures 9 and 10.Slika 9Pojednostavljeni model,T uk = 5 ms, rem = 0Figure 9Simplified model,T uk = 5 ms, rem = 0Struja transformatora / Transformer current(A)3000-300-600-900-1 200-1 5000 0,02 0,04 0,06 0,08 0,1Vrijeme / Time (s)400(A)Magnetski tok / Magnetic flux0-400-800-1 2000 0,02 0,04 0,06 0,08 0,1Vrijeme / Time (s)Slika 9 pokazuje rezultate razvijenog algoritmakoji uzima u obzir pojednostavljeni model uklapanjatransformatora, bez priguπnih elemenata,poglavlje 3.Slika 10 pokazuje rezultate razvijenog algoritmakoji uzima u obzir potpuni model uklapanjatransformatora, sa svim elementima, poglavlje 4.Na slici 10 je uvaæen i remanentni magnetizamtransformatora.Moæe se zakljuËiti da se rezultati realiziranihprograma u potpunosti podudaraju s programomPSB.Figure 9 presents the results of the developed algorithmthat takes the simplified model of transformerenergization into account, without the damping elements,Chapter 3.Figure 10 presents the results of the developed algorithmthat takes the complete model of transformerenergization into account, with all the elements,Chapter 4. In Figure 10, the transformer remnantmagnetism has also been taken into account.It can be concluded that the results of the realizedprograms are in complete agreement with the PSBprogram.TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607602

Struja transformatora / Transformer current(A)1 6001 2008004000Slika 10Potpuni model,T uk = 15 ms, rem = 0,8 nomFigure 10Complete model,T uk = 15 ms, rem = 0,8 nom-4000 0,02 0,04 0,06 0,08 0,1Vrijeme / Time (s)1 200(Vs)Magnetski tok / Magnetic flux80040000 0,02 0,04 0,06 0,08 0,1Vrijeme / Time (s)6 KOMPARACIJA SMJERENJIMARazvijeni program se moæe dalje generalizirati namodeliranje trofaznih transformatora, gdje su krivuljemagnetiziranja predstavljene preko konaËnogbroja pravaca. Tada se vrijednosti struja magnetiziranja,po fazama, raËunaju iz formule [20]:6 COMPARISON WITHMEASUREMENTSA developed program can be further generalized forthe modeling of three-phase transformers, wherethe magnetizing curves are represented by a finitenumber of straight lines. The values of the magnetizingcurrent, according to phases, are then calculatedfrom the following formula [20]:(35)U posljednjoj relaciji su krivulje magnetiziranja,po fazama, dane s vektorima:In the previous expression, the magnetizing curves,according to phases, are represented by vectors:603TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

(36)(37)gdje su:j = 1, 2, 3 oznake faza,N = ukupni broj pravaca krivulje magnetiziranja.Razvijeni algoritam je verificiran kompariranjemizmjerenih i simuliranih struja uklapanjaneoptereÊenog trofaznog transformatora. Parametritrofaznog, trostupnog 2,4 kVA, 0,38/0,5 kV, Y-Ytransformatora su:∑ napon kratkog spoja u k% = 3 %,∑ djelatni otpor namota po fazi R tr = 1,5 Ω,∑ rasipni induktivitet L tr = 1 mH,∑ gubici u jezgri transformatora R m = 4 626 Ω.Nelinearna krivulja magnetiziranja je predstavljenapreko 13 pravaca, [20]. Pri modeliranju trostupnogtransformatora uvaæena je i nulta reaktancijaL 0 = 15 mH [20].Model transformatora [20], s pridodanom nultomreaktancijom prikazan je na slici 11.where:jN= 1, 2, 3 are phase designations,= the total number of straight lines of the magnetizingcurve.The developed algorithm is verified by compairsonbetween the measured and simulated inrush currentsof the no-load three-phase transformer. Theparameters of the three-phase three-legged 2,4kVA, 0,38/0,5 kV, Y-Y transformer are as follows:∑ short-circuit voltage u k% = 3 %,∑ effective resistance per winding phase R tr = 1,5 Ω,∑ leakage inductance L tr = 1 mH,∑ iron core losses R m = 4 626 Ω.A nonlinear magnetizing curve is presented via13 straight lines [20]. In the modeling of a threeleggedtransformer, zero reactance L 0 = 15 mH istaken into account [20].A transformer model [20] with added zero reactanceis presented in Figure 11.Slika 11Model trofaznog,trostupnogtransformatora spridodanom nultomreaktancijomFigure 11Model of a three-phase,three-legged transformerwith added zeroreactanceIzvor je modeliran s vektorom elektromotorne silepo fazama:The source is modeled with a vector of the electromotiveforce for each phase:TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607604

(38)Rezultati mjerenja i simulacija dani su na slici12.The measurement and simulation results are presentedin Figure 12.a) Mjerenje / MeasurementSlika 12Struje uklapanjatrofaznog transformatora:mjerenje i simulacijaFigure 12Inrush current of athree-phase transformer:measurement andsimulationb) Simulacija / Simulation40(A)Struja transformatora / Transformer current3020100-10-20-30-400 0,02 0,04 0,06 0,08 0,1 0,12Vrijeme / Time (s)Analizom rezultata mjerenja i simulacija dolazi sedo zakljuËka da maksimalna relativna pogreπka,raËunata po tjemenim vrijednostima struje uklapanjatijekom svakog perioda, iznosi 3,56 %.Through analysis of the measurement and simulationresults, the conclusion is reached that themaximum relative error calculated according tothe peak inrush current values during each periodamounts to 3,56 %.605TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

7 ZAKLJU»AKU radu je opisan model transformatora primjenjivu prijelaznim pojavama relativno niskih frekvencija.Za energetske transformatore velikihsnaga pokazano je da se krivulja magnetiziranjakvalitativno moæe predstaviti preko dva pravca.Pokazane su granice upotrebe analitiËkih metodaproraËuna prijelaznih pojava u transformatorima.Za numeriËko rjeπavanje sustava krutih diferencijalnihjednadæbi iskoriπteno je implicitno trapeznopravilo. Razvijeni algoritam je moguÊe apliciratiu niskofrekvencijskim prijelaznim pojavama kaoπto su: uklapanje transformatora, ferorezonancija,ispad tereta, kvarovi transformatora itd. Na krajuje pokazan primjer upotrebe realiziranog algoritmana proraËun prijelazne pojave uklapanja trofaznogtrostupnog transformatora. Kompariranjemmjerenih i simuliranih struja uklapanja trofaznogtransformatora ustanovljeno je da se pogreπke nalazeu zadovoljavajuÊim granicama (maksimalno3,56 %).7 CONCLUSIONA transformer model applicable to relatively lowfrequency transient phenomena is described in thearticle. For power transformers with high power ratings,it was demonstrated that the magnetizing curvecan be adequately presented with two straight lines.The limits for the use of analytical methods for thecalculation of transient phenomena in transformersare presented. The implicit trapezoidal rule wasused for the numerical solution of a system of stiffdifferential equations. The developed algorithm canbe applied to low frequency transient phenomenasuch as transformer energization, ferroresonance,load switch-off, transformer faults etc. An exampleof the application of the developed algorithmwas presented for the calculation of the transientsthat occur during the energization of a three-phase,three-legged transformer. Through comparison ofthe measured and simulated inrush currents of thethree-phase transformer, it was established that theerrors were within acceptable limits (a maximum of3,56 %).TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607606

LITERATURA / REFERENCES[1] CIPCIGAN, L., XU, W., DINAVAHI, V., A New Technique to Mitigate Inrush Current Caused by TransformerEnergization, IEEE PES, Summer Meeting, July 2002, Vol. 1[2] LIN, C. E., CHENG, C. L., HUANG, C. L., YEH, J. C., Investigation of Magnetizing Inrush Current inTransformers: Part II ∑ Harmonic Analysis, IEEE Transaction on Power Delivery, Vol. 8, No. 1, January1993[3] YABE, K., Power Differential Method for Discrimination Between Fault and Magnetizing Inrush Currentin Transformers, IEEE Transaction on Power Delivery, Vol. 12, No. 3, July 1997[4] KITAYAMA, M., NAKABAYASHI, M., A New Approach to Fast Inrush Current Discrimination Based onTransformer Magnetizing Characteristics, 14 th PSCC Conference, Sevilla, June 2003[5] MAO, P. L., AGGARWAL, R. K., A Novel Approach to the Classification of the Transient Phenomenain Power Transformers Using Combined Wavelet Transform and Neural Network, IEEE Transaction onPower Delivery, Vol. 16, No. 4, October 2001[6] LIN, X., LIU, P., MALIK, O. P., Studies for Identification of the Inrush Based on Improved CorrelationAlgorithm, IEEE Transaction on Power Delivery, Vol. 17, No. 4, October 2002[7] RIOUAL, M., SICRE, C., DRISS, K. B., Special Methods for the Calculation of Temporary OvervoltagesDue to Transformer Saturation, IEEE PES, Winter Meeting, January 2001, Vol. 2[8] SCHEI, A., EKSTROM, A., Stresses on Metal Oxide Surge Arresters in HVAC Systems by Temporaryand Transient Overvoltages and Related Tests, International Conference on Large HV Electrical Systems,Paris, 1986[9] BAR, R. A., PLATT, D., Modelling and Mapping Ferroresonant States in Series Compensated Distributionand Subtransmission Lines, IEEE Transactions on Power Delivery, Vol. 11, No. 2, April 1996[10] EMIN, Z., AL ZAHAWI, B. A. T., TONG, Y. K., Voltage Transformer Ferroresonance in 275 kV Substation,International Symposium on High Voltage Engineering, Vol. 1, August 1999[11] Working Group, Modeling and Analysis Guidelines for Slow Transients ∑ Part III: The Study of Ferroresonance,IEEE Transaction on Power Delivery, Vol. 15, No. 1, January 2000[12] ONG, C. M., Dynamic Simulation of Electric Machinery using MATLAB ® /SIMULINK, Prentice HallPTR, New Jersey, 1998[13] GREENWOOD, A., Electrical Transients in Power Systems, John Wiley & Sons, New York, 1991[14] MIRI, A. M., MÜLLER, C., SIHLER, C., Modelling of Inrush Currents in Power Transformers by aDetalied Magnetic Equivalent Circuit, International Conference on Power Systems Transients IPST,Rio de Janeiro, August 2001[15] BRUNKE, J. H., FRÖHLICH, K. J., Elimination of Transformer Inrush Currents by Controlled Switching∑ Part I: Theoretical Considerations, IEEE Transaction on Power Delivery, Vol. 16, No. 2, April2001[16] SEMLYEN, A., DE LEON, F., A Simple Represetation of Dynamic Hysteresis Losses in Power Transformers,IEEE Transactions on Power Delivery, 1, 1995[17] PRESSS, W. H., VETTERLING, W. T., TEUKOLSKY, S. A., FLANNERY, B. P., Numerical Recipes in C,The Art of Scientific Computing, Cambridge University Press, New York, 1994[18] SHAMPINE, L. F., REICHELT, M. W., The MATLAB ODE site, Matlab/ toolbox/ ode, 1999[19] Power System Blockset, User’s Gude, The MathWorks, Hydro-Quebec, TEQSIM International, 1999[20] TOKIΔ, A., NumeriËki proraËun niskofrekvencijskih elektromagnetskih prelaznih pojava u transformatorima,Doktorska disertacija, Fakultet Elektrotehnike i RaËunarstva SveuËiliπta u Zagrebu, Zagreb,listopad, 2004.Uredniπtvo primilo rukopis:2007-07-10PrihvaÊeno:2007-07-29Manuscript received on:2007-07-10Accepted on:2007-07-29607TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

DIJAGNOSTI»KI PREGLEDRASPADA ELEKTROENERGETSKOGSUSTAVA NA OTOKU RODOSUDIAGNOSTIC REVIEW OF ABLACKOUT IN RHODESProf Papazoglou, Th. M., PhD, Prof Papazoglou, M. T., PhD,The Technological Education Institute of Crete,P.P. Box 1939, Iraklio, Crete, GreeceProf Thalassinakis, E. J., PhD, Prof Tsichlakis, Ch., PhD, ProfHatziargyriou, N. D., PhD, The Greek Power Public Corporation,The testing Research and Standard Center ∑ DEH S.A.,32 Halkokondili Street, 10432 Athens, GreceU radu se daje tehniËka analiza jednog incidenta koji se dogodio 21. oæujka 2007. godine u00:50 sati u noÊi i doveo do dvosatnog potpunog raspada elektroenergetskog sustava na otokuRodosu. Analiza dogaappleanja temelji se na registriranim operativnim podacima kao i nalazima naterenu. Izvrπena je tehniËka analiza smetnji kako bi se utvrdili vjerojatni uzroci i Ëimbenici kojisu pridonijeli pojavi smetnji. S obzirom da se radi o izoliranom sustavu koji je osobito je osjetljivna poremeÊaje, ispitane su uloge zaπtite sustava kao i kolebanja proizvodnje vjetroelektranatijekom incidenta. IzvuËeni su zakljuËci od praktiËnog znaËenja i dane su preporuke korektivnihmjera koje valja provesti kako bi se u buduÊnosti sprijeËile takve smetnje.A technical review of an incident on March 21, 2007 that began at 00:50 a.m. and led to atwo-hour blackout of the island of Rhodes electric power system is presented with the completesequence, including all the relevant registered operational data as well as the on-site field findings.A technical analysis of the disturbance was performed to determine the probable causesand factors that contributed to the duration of the disturbance. Since the system is an isolatedone, it is particularly vulnerable to perturbations. The roles of system protection and wind powergeneration during the incident are examined. Conclusions of practical importance are drawn,including recommendations for corrective measures to be implemented for preventing disturbancesof this kind from reoccurring in the future.KljuËne rijeËi: izolirani elektroenergetski sustav, nestanak strujeKey words: blackout, isolated electric power systemPapazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617608

1 UVODIzolirani otoËni elektroenergetski sustavi zanimljivisu s tehniËkog stajaliπta jer pokazuju neke izraziteznaËajke. Ako je u takvim sustavima prisutani visok stupanj proizvodnje vjetroelektrana, javljase u odreappleenim okolnostima veÊa osjetljivost napogonske poremeÊaje.Elektroenergetski sustav grËkog otoka Rodosaizolirani je sustav s ukupno 234 MW instaliranogkapaciteta termoelektrana (5 dizelskih, 2 parnei 4 plinske turbine) te 15 MW instalirane snageu vjetroelektranama. Meappleutim, zbog nekih tehniËkihproblema i karakteristika termoelektrana,stvarna snaga termoelektrana iznosi tek pribliæno192 MW. Godine 2006. proizvodnja u satu vrπnogoptereÊenja iznosila je 192,6 MWh. To znaËi dasustav nije uvijek imao na raspolaganju rezervnusnagu.U ovom se Ëlanku istraæuje incident poremeÊajasustava 21. oæujka 2007. godine koji je zapoËeou 00:50 sati u noÊi i doveo do dvosatnog raspadaelektroenergetskog sustava na otoku Rodosu.U vrijeme neposredno prije incidenta u pogonusu bili dva parna bloka (ATM 1 i ATM 2), svakioptereÊen s 10 MW (rotirajuÊa rezerva svakogagregata 2 MW), dva dizelska bloka (D1 i D3): soptereÊenjem 6 MW (rotirajuÊa rezerva 5 MW),ostala proizvodnja s 12 MW (rotirajuÊa rezerva 5MW) te 12 MW vjetroelektrana. Vremenski uvjetibili su loπi i jamaËno su odigrali odreappleenu uloguna poËetku incidenta. Na slici 1 dana je jednopolnashema sustava.Smetnje u sustavu zapoËele su asimetriËnim trofaznimkratkim spojem bez zemljospoja. Taj je kvaruspjeπno uklonjen. Meappleutim, zbog nestabilnostiuzrokovane zaπtitnim mehanizmima sustav se nijeoporavio veÊ je postupno gubio proizvodnju i izazivaoznaËajnu redukciju optereÊenja πto je, nakon2 minute i 45 sekundi od uklanjanja prvog kvara,konaËno dovelo do potpunog raspada elektroenergetskogsustava.1 INTRODUCTIONIsolated island power systems are of interest fromthe technical point of view because they exhibit notablecharacteristics. For example, when there is ahigh penetration of wind generation, there is greatervulnerability to operation perturbations under certainconditions.The electric power system of the Greek island ofRhodes is an isolated system with 234 MW installedcapacity of thermal plants (5 diesel, 2 steamand 4 gas turbines) plus 15 MW wind generation.However, due to some technical problems and thecharacteristics of the thermal generating plant, theactual thermal generation capacity is only about192 MW. In the year 2006, the mean average hourlygeneration peaked at 192,6 MWh. This meansthat the system did not have appreciable reservepower at all times.This article examines the system disturbance incidentof March 21, 2007 that began at 00:50 a.m.and led to a two-hour blackout of the Rhodes IslandElectrical Power System.At the time just before the incident, the system wasoperating with 2 steam units (ATM 1, and ATM 2)with 10 MW production each (a spinning reserve of2 MW each) and 2 diesel units (D1, and D3): oneproducing 6 MW (with a 5 MW spinning reserve)and the other generating 12 MW (with a 5 MWspinning reserve). At the same time, wind generationwas 12 MW. A one-line diagram of the systemis shown in Figure 1. The weather conditions weresevere and played a definite role at the start of theincident.The system disturbance began with an asymmetricalthree-phase fault, not involving ground. Thisfault was successfully cleared. However, due to instabilitiestriggered by the protective mechanisms,the system never really recovered, gradually losinggeneration and causing significant load shedding,which finally led to a complete blackout lasting 2minutes and 45 seconds after the initial fault hadbeen cleared.Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617610

Slika 1Jednopolna shemasustava na poËetkusmetnjeFigure 1One-line diagram ofthe system at thestart of the faultKvar se dogodio na trafostanici Rhodini na distribucijskomvodu napajanom putem prekidaËaP-320 od 15 kV sabirnice, kako je prikazano naslici 1. Nakon gubljenja struje iz voda aktiviranaje zaπtita i otpuπteni su prekidaËi P-320, P-255i P-225. Zbog kvara je izgorio drveni stup distribucijskogvoda te se kasnije morao zamijeniti.Vrijeme je bilo vrlo loπe u trenutku kvara, pri Ëemuje jak vjetar rasprπivao kapljice morske vode poizolatorima vodova, πto je intenziviralo povrπinskopraænjenje. Naknadnom analizom pronaappleen jesrednji fazni vodiË (u vodoravnom rasporedu od3 faza) prekinut na jednom drvenom stupu. Istose dogodilo s drugim stupom istog voda gdje su,osim prekinutog srednjeg vodiËa, takoappleer bilirazbijeni porculanski izolatori, najvjerojatnije kaoposljedica struje zemljospoja. Taj je poËetni kvarkonaËno uklonjen oko 13 sekundi nakon πto sedogodio. Meappleutim, 19 sekundi nakon uklanjanjakvara ispao je parni blok #1 a potom, 2 minute i45 sekundi nakon uklanjanja kvara, i parni blok#2, πto je rezultiralo raspadom elektroenergetskogsustava.The fault occurred at the Rhodini substationon the distribution line fed through the breakerP-320 from the 15 kV bus, as shown in Figure 1.Following the fault, protection was activated andtripped the breakers P-320, P-255 and P-225. Asa result of the fault, a wooden pole of the distributionline burned and had to be replaced later.The weather was severe at the time of the fault,with strong wind spraying sea water droplets overthe line insulators, thereby increasing the likelihoodof a flashover. Post-mortem examination found thejumper wire for the middle phase conductor (ina horizontal arrangement of the 3 phases) cut atanother wooden pole of the same distribution line.The same thing also happened to another pole ofthe same line where, in addition to a broken middlejumper wire, its porcelain insulators were also broken.This would most likely imply that these werethe results of the fault current. This initial fault wasfinally cleared at about 13 sec after it happened.However, 19 sec after the fault clearance, SteamUnit #1 was lost, and 2 min and 45 sec after thefault clearance Steam Unit #2 was lost, resulting inthe blackout.611Papazoglou,Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617

2 ANALIZA INCIDENTAKako sustavu SCADA u kontrolnom centru nedostajuneke vaæne funkcije bilo je moguÊe tek samobiljeæenje pogonskih podataka u realnom vremenu,dok se u mnogim sluËajevima dogaappleaju znaËajnazakaπnjenja u biljeæenju podataka. Iz ispitivanjazabiljeæenih dogaappleaja i podataka moguÊe je zakljuËitikako je smetnja zapoËela asimetriËnimtrofaznim kratkim spojem bez zemljospoja. OvajzakljuËak temelji se na vremenskim krivuljamaizmjeniËne struje zabiljeæenih digitalnim relejimaprekidaËa P-225 i P-255 (slika 2), koji su pokazivalinepostojanje struje zemljospoja. Moglo setakoappleer zamijetiti da impendancije kvara varirajus vremenom, upuÊujuÊi na elektriËno iskrenje kaouzrok. Oscilogrami 1 i 2 (slike 3 i 4) prikazujunapone na sabirnicama 66 kV na trafostanici Rhodini,odnosno struje na prekidaËu 66 kV P-110onako kako su se i razvijali. Naknadni vremenskioscilogrami 3 i 4 (slike 5 i 6) tu oscilaciju (frekvencije100 Hz) jasnije prikazuju. Oscilacija seodræava do kraja (kao πto je razvidno iz oscilograma5 (slika 7). To moæe znaËiti i da je automatskimregulatorima napona (AVR) potrebno podeπavanje.Iz oscilograma napona moguÊe je izraËunati veliËinunapona kao funkciju vremena, i to od nastankakvara do potpunog pada napona, kako je prikazanona slici 8.Tijekom smetnje zabiljeæene su promjene frekvencijeπirokog raspona. Relevantni podaci prikazanisu na slici 9 na kojoj je vidljiva minimalna frekvencijaod 47,7 Hz (2 s nakon poËetka smetnje)i maksimalna frekvencija od 54 Hz (16 s nakonpoËetka smetnje).2 INCIDENT ANALYSISAt the outset, one should note that the SCADA atthe Control Center leaves important functionalitiesto be desired. As a result, real-time registration ofoperation is only partially possible, while in manycases significant time delays occur in data registration.From examination of the registered eventsand data, one is able to see the following. The faultbegan as an asymmetrical three-phase fault, not involvingthe ground. This was evident from the timealternating current curves registered by the digitalrelays of the P-225 andP-255 (Figure 2) breakers, which showed zero earthcurrent. It could also be observed that the faultimpedances varied randomly with time, suggestingthat the electric-arcing of varying spans was thecause. Oscillograms 1 and 2 (Figures 3 and 4) showthe voltages at the 66 kV buses at Rhodini and thecurrents at the 66 kV breaker P-110, respectively.These oscillograms show oscillation developing astime progresses. Subsequent time Oscillograms 3and 4 (Figures 5 and 6) show this (100 Hz frequency)oscillation more clearly. This oscillationis sustained to the end (as seen in Oscillogram 5(Figure 7). This could indicate that the automaticvoltage regulators (AVR) need adjustments.From the voltage oscillogram, one can calculate thevoltage magnitude as a function of time, from theoccurrence of the fault up to the voltage collapse,as shown in Figure 8.In the course of the disturbance, wide frequencyswings were registered. The respective data areshown in Figure 9. In this figure, one can see theminimum frequency of 47,7 Hz (2 s after the startof the disturbance), and the maximum frequency of54 Hz (16 s after the start of the disturbance).Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617612

2.7951.3980-1.398-2.7952.7951.3980Slika 2Vremenske krivuljeizmjeniËnihstruja faza a, b,c i uzemljenja naprekidaËu P-255Figure 2Time curves of thealternating currentsof Phases a, b,c and ground atbreaker P-255-1.398-2.7950.6160.3080-0.308-0.616-1750 -1500 -1250 -1000 -750 -500 -250 0 250 500Tijekom smetnje tri su se dodatna Ëimbenika pokazalakljuËnima. Podeπenja podnaponske zaπtite zapark vjetroelektrana kao i za pojedinaËne vjetrogeneratoreimala su za posljedicu ispade generatorai gubitak proizvodnje iz vjetroelektrana (24 % ukupneproizvodnje). Podeπenja zaπtite poduzbudnihlimitera dizelskih elektrana imala su za posljedicunjihov ispad. Ispadanje 40 MW optereÊenja, zbograda automatske podfrekvencijske zaπtite, rezultiraloje u preostaloj snazi od 10 MW napajanoj izparnog bloka #2 u zadnjim trenucima neposrednoprije potpunog ispada.In the course of events, three additional factorswere shown to be crucial. The under-voltageprotection settings for the wind park and for theindividual wind generators resulted in the loss ofwind generation (24 % of the total generation). Theunder-excitation limiters protection settings of thediesel units resulted in the loss of those units. Theshedding of 40 MW of load, due to the operation ofthe automatic under-frequency protection, resultedin a remaining load of 10 MW which was fed fromSteam Unit #2 in the final moments just before thecollapse.Slika 3Oscilogram 1 ∑ Naponina sabirnici 66 kV natrafostanici Rhodini(poËetak gubljenja strujeiz voda)Figure 3Oscillogram 1 ∑ Voltagesat the 66 kV bus atRhodini (the fault begins)Zygos 1 fase AZygos 1 fase BZygos 1 fase C613Papazoglou,Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617

Slika 4Oscilogram 2 ∑Struje zabiljeæenena prekidaËu 66 kVP-110 na trafostaniciRhodiniFigure 4Oscillogram 2 ∑Currents registered at66 kV Breaker P-110at RhodiniZygos 1 fase AZygos 1 fase BZygos 1 fase CSlika 5Oscilogram 3 ∑ Naponina sabirnici 66 kV natrafostanici RhodiniFigure 5Oscillogram 3 ∑Voltages at 66 kV busat RhodiniZygos 1 fase AZygos 1 fase BZygos 1 fase CSlika 6Oscilogram 4 ∑ Naponina sabirnici 66 kV natrafostanici RhodiniFigure 6Oscillogram 4 ∑Voltages at 66 kV busat RhodiniZygos 1 fase AZygos 1 fase BZygos 1 fase CPapazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617614

Slika 7Oscilogram 5 ∑ Naponna sabirnici 66 kV natrafostanici Rhodini(nestanak struje vidljivna kraju)Figure 7Oscillogram 5 ∑ Voltageat 66 kV bus at Rhodini(blackout seen at theend)Zygos 1 fase AZygos 1 fase BZygos 1 fase CNapon / Voltage (%)120100806040Slika 8Varijacija napona nasabirnici 66 kV (u %)tijekom smetnjeFigure 866 kV bus voltagevariation (in %) duringthe disturbance2000 30 60 90 120 150 180Vrijeme / Time (s)Frekvencija / Frequency(Hz)54.553.552.551.550.549.548.5Slika 9Trend varijacijefrekvencije zabiljeæentijekom smetnjeFigure 9Frequency variationtrend registered duringthe disturbance47.50 2 4 6 8 10 12 14 16 18 20 22 24 26 28Vrijeme / Time (s)615Papazoglou,Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617

3 ZAKLJU»CIElektroenergetski sustav otoka Rodosa, kao jedanizoliran sustav, osjetljiv je na smetnje. Distribucijskisustav srednjenaponskih nadzemnih vodova ublizini obale takoappleer je osjetljiv na uËinke morskesoli koja negativno utjeËe na pouzdanost izolacije.Osjetljivost proizvodnje vjetroelektrana na kolebanjau naponu mreæe kao i ukupna zaπtita sustavaodigrale su kljuËnu ulogu u razvijanju poremeÊajakoji je doveo do raspada elektroenergetskogsustava.TrenutaËno se razmatra nadogradnja prijenosnogsustava na otoku Rodosu sa sadaπnjih 66 kV na150 kV πto bi se trebalo realizirati u naredne dvijedo tri godine. Osim izgradnje prijenosne mreæe,potrebno je nadograditi i sustav SCADA te sustavezaπtite.3 CONCLUSIONSAs an isolated system, the Rhodes Island system isvulnerable to disturbances. The MV overhead linedistribution system in the vicinity of the coast isalso vulnerable to the effects of sea salts that adverselyaffect the reliability of insulation.The sensitivity of wind generation to voltage swingsas well as the overall system protection played acritical role in the development of the perturbationwhich led to the blackout.In view of the fact that the transmission system onRhodes Island is currently being considered for anupgrade from the present 66 kV to 150 kV, scheduledfor the next two-to-three years, it is importantthat the SCADA system is upgraded as well. Theprotection scheme should also be upgraded.Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617616

LITERATURA / REFERENCES[1] Internal Incident-Report DEH, Blackout of the Rhodes EPS on 21.03.2007 (Interno izvjeπÊe o incidentu,Kolaps elektroenergetskog sustava Rodosa 21.03.2007)[2] Marconato, R., Electric Power Systems, Volume 2 (Second Edition), CEI ∑ Italian ElectrotechnicalCommittee, Milano, 2004Uredniπtvo primilo rukopis:2007-07-25PrihvaÊeno:2007-09-27Manuscript received on:2007-07-25Accepted on:2007-09-27617Papazoglou,Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617

BAZA PODATAKARELEJNE ZA©TITERELAY PROTECTIONDATABASEIzv. prof., dr. sc. Elis SutloviÊ, SveuËiliπte u Splitu, Fakultet elektrotehnike,strojarstva i brodogradnje, R. BoπkoviÊa bb, 21000 Split, HrvatskaKrunomir Petric, dipl. ing., HEP Operator distribucijskog sustava d.o.o.,PoljiËka cesta 73, 21000 Split, HrvatskaU radu je prikazan razvoj baze podataka relejne zaπtite kroz niz faza. U fazi planiranja bazesagledani su problemi u tipiËnom odjelu relejne zaπtite i utvrappleeno je zaπto razvijati bazu podataka.Potom je u fazi analize i specifikacije zahtjeva definirano za πto Êe se baza koristiti. U fazioblikovanja i izrade baze podataka definiran je njen logiËki, a potom i fiziËki model na raËunalukoriπtenjem sustava za upravljanje bazom podataka Microsoft Access koji je precizirao kako Êebaza podataka raditi. Na kraju je baza podataka uvedena u rad provjerom na stvarnim podacimate izobrazbom buduÊih korisnika. Prikazana baza podataka omoguÊava sistematizaciju, Ëuvanjei koriπtenje velikog broja podataka uz minimalnu redundanciju. Pored toga pruæa podrπku priredovnom odræavanju ureappleaja relejne zaπtite, izdavanju radnih naloga, periodiËkom izvjeπtavanjuitd. Bazi podataka relejne zaπtite moæe pristupiti nekoliko korisnika s razliËitim ovlastima nadpojedinim objektima baze. Pravo pristupa odreappleeno je korisniËkim identitetom. Takoappleer jekreirana i posebna aplikacija za lakπi pregled, aæuriranje i ispis podataka koji omoguÊava prikazniza ranije pripremljenih komponenti baze podataka relejne zaπtite. Osnovna namjena aplikacijeje omoguÊiti korisniku koriπtenje pune snage Microsoft Access uz najmanje truda i minimumpotrebnog znanja o tehnici baza podataka i sustavu za upravljanje bazom podataka.The article presents the development of a relay protection database through a series of phases.In the planning phase of the database, problems in a typical relay protection department are examinedand the reasons why a database should be developed are determined. Subsequently, duringthe phase of analysis and the specification of requirements, what the database will be usedfor is defined. In the phase of the formation and construction of the database, its logic is definedand then a physical model is prepared on a computer using the Microsoft Access database managementsystem, which stipulates how the database will operate. The database is placed intooperation and verified using actual data. Training is then provided for the future users.The database presented facilitates the systematization, storage and use of a large quantity ofdata with minimum redundancy. In addition, it provides support during the regular maintenanceof relay protection equipment, the issuing of work orders, periodic reporting etc. The relayprotection database can be accessed by several users with differing permissions for individualobjects of the database. The right to access is defined by the user identity. Furthermore, aspecial application has been created to simplify searching updating and printing-out of data,which facilitates the display of a series of previously prepared components of the relay protectiondatabase. The basic purpose of the application is to allow the user to utilize the full powerof Microsoft Access with a minimum of effort and a minimum of required knowledge aboutdatabase technique and the system for database management.KljuËne rijeËi: baza podataka, elektroenergetski sustav, relacijski model podataka, relejna zaπtitaKey words: database, electric power system, relational data model, relay protectionSutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633618

1 UVODSustavi relejne zaπtite u elektroenergetskomsustavu su iznimno vaæni i istodobno priliËnokompleksni. U praksi se koristi puno elemenatarazliËitih proizvoappleaËa, ureappleaji razliËite tehnoloπkegeneracije. TipiËni odjeli relejne zaπtite (npr.Odjel za zaπtitu i mjerenja u HEP Operator distribucijskogsustava d.o.o.) koriste veliku koliËinupodataka iz razliËitih izvora Ëiji se broj neprestanopoveÊava. Radi toga raste potreba za racionalnomi sigurnom pohranom niza podataka te njihovimsvrsishodnim koriπtenjem od strane viπe korisnika.Primjena modernih informacijskih tehnologija uodjelima relejne zaπtite, naroËito znanja i tehnikabaza podataka, ne samo da pruæa veliku pomoÊkorisnicima, veÊ sve viπe postaje nuænost.Baze podataka do danas su najkompleksniji naËinorganiziranja i koriπtenja pohranjenih podataka.Napredni sustavi za upravljanje bazom podatakakontroliraju sloæene strukture podataka i integrirajuih u jedinstveni sustav. Svrha sustava bazepodataka jest pretvaranje niza podataka u korisneinformacije prikazane u obliku pogodnom zakorisnika.Namjera ovoga rada je ukazati na moguÊnosti primjenetehnike baze podataka u odjelima relejnezaπtite, odnosno odgovoriti na pitanja zaπto stvaratibazu podataka, zatim za πto Êe se baza koristiti ina kraju prikazati kako organizirati bazu podatakaradi zadovoljenja postavljenih zahtjeva.1 INTRODUCTIONRelay protection systems in an electric power systemare exceptionally important and at the same timefairly complex. In practice, many elements fromvarious manufacturers are used as well as equipmentfrom several technological generations. A typical relayprotection department (e.g. the Department forProtection and Measurement at the HEP DistributionSystem Operator (HEP ODS d.o.o.) uses a largeamount of data from various sources, which are constantlyincreasing. Therefore, there is a growing needfor the rational and secure storage of data series andtheir appropriate use by a number of users. The applicationof modern information technologies in relayprotection departments, particularly database knowledgeand techniques, not only provides great assistanceto users but is increasingly becoming a necessity.Databases are still the most complex manner of organizingand using stored data. Advanced systemsfor database management control complex datastructures and integrate them into a single system.The purpose of a database system is to transform aseries of data into useful information, presented ina form that is suitable for the user.The purpose of this article is to present possibilitiesfor the application of database technique in relayprotection departments, i.e. to answer the questionswhy a database should be created, what it willbe used for and how to organize a database in orderto meet the determined requirements.2 NAMJENA BAZA PODATAKARELEJNE ZA©TITEU odjelu relejne zaπtite vrπe se poslovi izbora vrstei mjesta ugradnje elemenata relejne zaπtite, projektiranje,konfiguriranje i parametriranje releja(podeπavanje releja), puπtanje ureappleaja u pogon,zatim redovni i interventni pregledi ureappleaja usustavu zaπtite, odræavanje ureappleaja itd. Za svakirelej i svaku njegovu funkciju potrebno je imatisluæbenu dokumentaciju odnosno ispitne protokoles tehniËkim podacima o releju, ali i vlastitepodatke o mjestu ugradnje pojedinog releja itrenutaËno postavljenim parametrima. Redovno ipovremeno odræavanje, ispitivanje i udeπenje relejatakoappleer zahtijeva popratnu dokumentaciju.Posao, tijekom niza godina, obiËno obavlja viπeljudi s razliËitim pristupom pri formiranju potrebnetehniËke dokumentacije, pisanju izvjeπÊa itd.NajËeπÊe postoje formulari za upis podataka o nekomzaπtitnom releju, no i formulari se povremenomijenjaju i usklaappleuju. Takoappleer se elementi sustava2 THE PURPOSE OF RELAYPROTECTION DATABASESIn a relay protection department, tasks are performedsuch as the selection of the types and sites for installingrelay protection elements, designing, configuringand parametrizing relays, placing equipment intooperation, regular and interventional inspections ofequipment within the protection system, equipmentmaintenance etc. For every relay and each of itsfunctions, it is necessary to have official documentation,i.e. testing protocols with technical data on therelay but also particular data on the installation siteof an individual relay and the currently set parameters.Regular and periodic maintenance, testing andadjustment of the relay also require accompanyingdocumentation. Over the years, this task is generallyperformed by several people with differing approachesto the formation of the necessary technicaldocumentation, the writing of reports etc. Most commonlythere are forms for data entry on a protectiverelay but the forms also change occasionally and areSutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633620

zaπtite povremeno mijenjaju novijim ureappleajima,ponekad elementi sustava zaπtite mijenjaju mjestougradnje ili im se udeπene vrijednosti postavljajuna nove iznose. Sve skupa nerijetko rezultiravrlo πarolikom i nesreappleenom dokumentacijom. Zaodreappleeno izvjeπÊe Ëesto se postavlja pitanje da lije to izvjeπÊe posljednje ili postoji neko novije.Odjeli relejne zaπtite, oËito je, barataju s velikimbrojem razliËitih podataka. Opseg tih podataka seneprestano poveÊava.Temeljni cilj pri planiranju baze podataka relejnezaπtite bio je stvoriti bazu podataka koja Êe pomoÊikorisniku u rjeπavanju navedenih problema. Velikibroj podataka koji Êe se Ëuvati u toj bazi veÊ sadapostoje na papiru u raznim formama. Uz to πtoih treba sistematizirati i pravilno skladiπtiti, korisnikutreba omoguÊiti dobivanje izvjeπÊa jednakaonima na kakve su veÊ navikli u dosadaπnjemradu. Analizom poslovnih procesa u odjelu zaπtitedoπlo se do osnovnih informacijskih zahtjeva nabazu podataka:∑ sistematizacija podataka zaπtitnih ureappleaja, sobzirom da se koriste zaπtitni ureappleaji razliËitihtehnoloπkih generacija i razliËitih proizvoappleaËa.Ureappleaji novije generacije obiËno imaju mnogoveÊe moguÊnosti i mnogo veÊi skup podatakakojim su definirani od ureappleaja starijegeneracije,∑ Ëuvanje niza podataka o zaπtitnim ureappleajimana jednom mjestu u raËunalu. U bazu podatakatreba pohraniti i statiËke podatke o elementimazaπtite kao tehniËke podatke pojedinihureappleaja, mjesto ugradnje pojedinih ureappleajai sl. te dinamiËke podatke o trenutaËnomudeπenju zaπtite, izvrπenom ispitivanju,∑ evidencija dostupnih podataka i onih zaπtitnihureappleaja koji trenutaËno nisu u pogonu, veÊ suu remontu ili na skladiπtu,∑ posjetnik i podrπka pri redovnom odræavanju iizdavanju radnih naloga,∑ moguÊnost uvida u razliËite skupine podatakai moguÊnost ispisa razliËitih unificiranihizvjeπÊa od strane viπe korisnika razliËitog profilau odjelu relejne zaπtite,∑ moguÊnost unosa, brisanja i izmjene podatakaod strane jednog ovlaπtenog korisnika.Prilikom kreiranja baze podataka nametnuli su sei dodatni zahtjevi i ograniËenja:∑baza podataka relejne zaπtite mora biti jednostavnaza koriπtenje odnosno potrebni razinaznanja korisnika o tehnikama baza podatakate naËinu pretraæivanja i Ëuvanja podatakamora biti πto niæi. Zbog toga, a i zbog vaænostipohranjenih podataka, struktura i integritetpodataka moraju biti na visokoj razini,coordinated. Furthermore, elements of the protectionsystem are periodically replaced by new equipment.Sometimes elements of the protection system are installedin different sites or their values are set to newlevels. All of this not infrequently results in a lackof uniformity and highly disorganized documentation.For a specific report, the question is frequentlyasked whether the report is the most recent or if anewer one exists. Relay protection departmentsobviously deal with a large quantity of varied data.The range of these data is constantly increasing.The fundamental goal in the planning of a relay protectiondatabase was to create a database that wouldhelp the user solve these problems. The great quantityof data that will be stored in the database alreadyexists on paper in various forms. In addition, theymust be systematized and stored in an orderly manner.The users must be able to obtain reports identicalto those to which they have become accustomedin their work thus far. Analysis of the operationalprocesses in the protection department resulted inthe basic information requirements for the database:∑ systematization of the data of the protectionequipment, since protection equipment of varioustechnological generations and variousproducers is used. Equipment from more recentgenerations generally has much greater possibilitiesand a much larger group of data, in contrastto the equipment of older generations,∑ storage of a large amount of data on protectionequipment in one place in the computer. In thedatabase, it is also necessary to store static dataon the elements of protection such as technicaldata on individual devices, the installation site ofindividual devices etc., and dynamic data on realtimeprotection settings and testing performed,∑ records of available data on protective devicesthat are currently not in operation but are beingrepaired or stored in a warehouse,∑ reminder and support for regular maintenanceand the issue of work orders,∑ the possibility of inspecting various groups ofdata and the possibility of printing out variousuniform reports by several users of differingprofiles in the relay protection department,∑ the possibility of entering, deleting and changingdata by an authorized user.When creating the database, additional requirementsand limitations have been imposed:∑the relay protection database must be simple touse, i.e. the required level of user knowledge regardingdatabase techniques, searches and datastorage must be kept to a minimum. Therefore anddue to the importance of the stored data, the datastructure and integrity must be at a high level,621SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

∑ Ëesti problem sliËnih baza podataka relejnezaπtite je redovno odræavanje zbog velikog brojarazliËitih komponenti baze (tablica, upita,izvjeπÊa) prilagoappleenih raznim vrstama i generacijamareleja [1]. O ovom problemu takoappleertreba voditi raËuna prilikom dizajniranja baze,∑ podaci pohranjeni u bazi takoappleer mogu sluæitinizu aplikacijskih programa koji se koriste uodjelima zaπtite pri proraËunu raznih parametaraelemenata sustava relejne zaπtite (npr.proraËunu kratkog spoja u elektroenergetskojmreæi) i sl. Pripremu podataka za aplikacijskeproraËune moguÊe je automatizirati koristeÊidodatne programske rutine za povezivanje iprilagoappleene podataka iz baze i aplikacijskihprograma [2]. Takoappleer je moguÊe oko bazepodataka izgraditi cijeli sustav za rukovanjepodacima zaπtitnih ureappleaja, proraËunavanje ianalizu kvarova, postavljanje parametara releja,provjeravanje, simulaciju itd. [3], [4] i[5]. U ovoj fazi razvoja prikazane baze podatakanije predviappleeno automatsko povezivanjeaplikacijskih proraËuna s podacima u bazi πtoznaËajno smanjuje informacijske zahtjeve tekoliËinu potrebnih podataka,∑ opseg podataka koje Êe baza obuhvatiti i pravapristupa odreappleenim skupinama podataka trebaprilagoditi postojeÊoj organizacijskoj strukturiodjela relejne zaπtite, a takoappleer mjestu odjelarelejne zaπtite u organizacijskoj shemi cjelokupnogpoduzeÊa. Informacijski zahtjevi kojisu postavljeni na bazu podataka relejne zaπtiteu jednom tipiËnom odjelu relejne zaπtite, baru ovom trenutku, nisu obuhvatili i nekakvepomoÊne procese kao voappleenje knjigovodstva iizdavanje knjigovodstvenih izvjeπÊa, proraËunamortizacije pojedine opreme, obavljanje financijskihtransakcija i sliËno.3 MODELIRANJE PODATAKAModeliranje podataka je proces koji poËinje analiziranjeminformacijskih zahtjeva, a zavrπavaizgradnjom baze podataka [6] i [7]. Postupnimrazvojem i transformacijom modela podataka kroztri razine, πto je uobiËajeni postupak pri modeliranjupodataka, doπlo se do realizacije konaËnogimplementacijskog modela na raËunalu i stvaranjabaze podataka relejne zaπtite.3.1 Konceptualni model podatakaSukladno zahtjevima koji su postavljeni na bazupodataka u prvom koraku, razvijen je konceptualnimodel tipa entiteti-veze. Model tipa entiteti-vezejedan je od najËeπÊe koriπtenih modela podatakatreÊe generacije zato πto raspolaæe sa semantiËki∑ a frequent problem with similar relay protectiondatabases is regular maintenance due tothe large number of various base components(tables, queries and reports) adapted to varioustypes and generations of relays [1]. This problemmust also be taken into account whendesigning the database,∑ data stored in the base can also be used in aseries of application programs employed by protectiondepartments for the computation of variousparameters of the relay protection systemelements (e.g., calculation of a short circuit inthe electric power network). Preparation of datafor calculation applications can be automatedby using additional program routines for linkingand adapting data from the base and ∑ applicationprograms [2]. Furthermore, it is possibleto construct an entire system around the databasefor the data management of protectiveequipment, calculation and analysis of faults,establishment of relay parameters, verification,simulation etc. [3], [4] and [5]. In this phaseof the development of the database presented,automatic linking of the application softwarewith data in the base has not been anticipated,thereby significantly reducing the informationrequirements and the quantity of data needed,∑ the range of data that the base will cover and theright to access certain groups of data should beadjusted to the existing organizational structureof the relay protection department and the positionof the relay protection department within theorganizational schema of the entire enterprise.Information requirements placed upon the relayprotection database in a typical relay protectiondepartment, at least at the moment, do not coverany auxiliary processes such as bookkeeping andissuing bookkeeping reports, calculation of thedepreciation of individual equipment items, performanceof financial transactions etc.3 DATA MODELINGData modeling is a process that begins with theanalysis of information requirements and ends withthe construction of a database [6] and [7]. The progressivedevelopment and transformation of a datamodel through three levels, which is the customaryapproach in data modeling, resulted in the implementationof the model on the computer and thecreation of the relay protection database.3.1 Conceptual data modelBased upon the requirements established for thedatabase in the first step, a conceptual model ofthe entity-relationship type was developed. A modelSutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633622

ogatim, prirodnim i korisniku bliskim konceptima,lako se transformira u klasiËne komercijalnemodele, a prikladan je i za daljnje projektiranjebaze podataka. Pri izradi modela podataka entitetivezevodilo se raËuna da podaci budu meappleusobnoneovisni te da se jedan podatak nalazi samo najednom mjestu. Na ovaj naËin model podatakamoæe se graditi modularno, a iz modela podatkamogu se izluËivati podmodeli.Tijekom modeliranja podataka takoappleer se vodiloraËuna o tome da je ovo samo jedan projekt, odnosnojedan podsustav unutar veÊeg globalnog modelapodataka. Stoga se teæilo strogom poπtivanjupravila pri oblikovanju podataka kako bi se kasnijeomoguÊila razmjena podataka drugim aplikacijama[8] i [9]. Cilj strateπkog planiranja velikih informacijskihsustava i jest podjela sustava na dijelovekoji se mogu realizirati malim projektimaautonomno te relativno stabilna infrastruktura, ukojoj se manji, modularno projektirani podsustavilako mogu povezati.Tijekom izrada modela entiteti-veze najprije su definiranitipovi entiteta (energetski objekt, postrojenje,polje, strujni transformator, jezgra strujnogtransformatora itd.) i njihovi tipovi atributa (funkcijapolja, proizvoappleaË strujnog transformatora,nazivna struja jezgre strujnog transformatora itd.)odnosno uoËeni su i razluËeni entiteti i atributi. Sobzirom da su neki entiteti grupirani (klasificirani)prema zajedniËkim svojstvima izvrπena je preraspodjelaentiteta prema klasifikacijskim strukturama.Potom su definirane veze meappleu entitetima injihove karakteristike. Na kraju je nekoliko podmodela(podmodel energetskog transformatora,podmodel mjernih transformatora itd.) objedinjenou zajedniËki model podataka tipa entiteti-veze.3.2 LogiËki model podatakaKada je konceptualni model zadovoljio postavljenezahtjeve, postupkom logiËkog modeliranja pretvorenje u relacijski model podataka. Relacijskimodel podataka je izabran za logiËki model s obziromda je to najpopularniji model komercijalnihsustava za upravljanje bazom podataka, a strukturamodela je jednostavna. Dobivena logiËka shemabaze podataka je provjerena prema zahtjevimakorisnika.Dio sheme relacijske baze podataka prikazan jena slici 1. U relacijama prikazanim na slici vidise samo dio atributa kako slika ne bi bila prevelika.Model podataka je priliËno sloæen s obziromda se u praksi koristi niz razliËitih vrsta zaπtita, asvaka opet viπe razliËitih tipova ureappleaja i razliËitihgeneracija izvedbe. Uz identifikacijske i opisnepodatke, u model podataka integrirane su razneof the entity-relationship type is one of the mostfrequently used third-generation data models becauseit employs semantically rich, natural anduser-friendly concepts; can easily be transformedinto classical commercial models and is suitablefor the further design of a database. In developingthe entity-relationship data model, it was stipulatedthat the data would be mutually independent andeach data entry would be located in only one place.In this manner, the data model could be built modularlyand submodels could be extracted.During data modeling, it was taken into accountthat this is only one project, i.e. one subsystemwithin a larger global data model. Therefore, thereis a tendency to respect rules more strictly whenforming data to facilitate data exchange with otherapplications in the future [8] and [9]. The goal ofthe strategic planning of a large information systemis the division of the system into parts, whichcan be achieved autonomously with small projectsand a relatively stable infrastructure, within whichsmaller, modularly designed subsystems can beeasily linked.During the preparation of an entity-relationshipmodel, first of all the types of entities (power systemfacilities, bays, current transformer, current transformercore etc.) are defined and their attributes(bay function, current transformer manufacturer,rated current of the current transformer core etc.),i.e. entities and attributes are noted and differentiated.Since some entities are grouped (classified)according to common properties, the entities werereconfigured according to the classification structures.Then the relationships among the entitiesand their characteristics were defined. Finally, severalsubmodels (a submodel of a power transformer,a submodel of the measurement transformers etc.)were combined into a common data model of theentity-relationship type.3.2 Logic Data ModelWhen a conceptual model has met the establishedrequirements, it is transformed into a relational datamodel through the procedure of logical modeling. Arelational data model has been chosen for the logicmodel because it is the most popular model used incommercial systems for database management, andthe model structure is simple. The logic schema obtainedof the database is verified according to userrequirements.Part of the schema of the relational database is presentedin Figure 1. In the relationships shown inthe figure, only a part of the attributes are seen sothat the figure is not too large. The data model isfairly complex because a series of various types of623SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

slike (npr. jednopolne sheme), dijagrami i sl. PrikazanilogiËki model podataka je joπ uvijek neovisanod konkretnog sustava za upravljanje bazompodataka.3.3 FiziËki model podatakaU posljednjoj fazi modeliranja podataka logiËkimodel podataka postupkom fiziËkog modeliranjapretvoren je u fiziËki model i realiziran na raËunalupomoÊu sustava za upravljanje bazom podatakaMicrosoft Access 2000. Prilikom izrade fiziËkogmodela velika paænja je posveÊena osiguranjuintegriteta podataka, a time stabilnosti i pouzdanostibuduÊe baze podataka u radu. FiziËkomodeliranje je, uz odreappleivanje formata fiziËkogzapisa svih atributa definiranih u prethodnoj fazi(izbor vrste podataka i alokacija prostora), obuhvatilodefiniranje niza kontrola koje pridonoseminimalizaciji pogrjeπaka kod unosa podataka,indeksiranje pojedinih atributa radi kasnijeg bræegi sigurnijeg pretraæivanja. Procedure za kontroliranjeispravnost unesenih podataka provjeravaju dali su podaci unutar odreappleenih graniËnih vrijednostikod podataka gdje je ta ograniËenja moguÊedefinirati, za neke podatke pruæaju korisniku listumoguÊih vrijednosti s tim da mu nekad dozvoljavajui drugi izbor, a nekad ne. Za podatke, gdjeje to bilo potrebno, definirane su maske za unos,nekim podacima su odmah upisane pretpostavljenevrijednosti koje se kasnije mogu promijeniti itd.Realizacijom fiziËkog modela na raËunalu nastalaje baza podataka relejne zaπtite.Microsoftov sustav za upravljanje bazom podatakaodabran je iz dva razloga:∑ Access 2000 (i novije verzije) prema svojimmoguÊnostima i popularnosti danas spadameappleu vodeÊe programe za baze podataka naPC platformama,∑ ako podaci nadrastu moguÊnosti Accessa 2000posebnom procedurom ugraappleenom u Accessu2000 lako ih je premjestiti na Microsoft SQLServer koji je dovoljno snaæan za gotovo svezahtjeve.Performanse koje pruæa Access 2000 sasvim sudostatne da zadovolje zahtjeve koji su u poËetkupostavljeni na ovu bazu podataka [10] i [11].Ukoliko se u buduÊnosti postave stroæi zahtjevi nasustav za upravljanje bazom podataka kao veÊi opsegpodataka, viπe korisnika, viπe istodobnih transakcija,poboljπana sigurnost itd., baza se moæeproπiriti na SQL Server. Takoappleer, ako se ukaæe potrebaza integriranjem ove baze podataka s drugimbazama, moguÊnost prelaska na Microsoft SQLServer verziju moæe biti od velike koristi.protection are used in practice, and for each thereare several different types of equipment of differentgenerations. In addition to the identification and descriptivedata, various figures are integrated into thedata model (e.g. single-pole schemata), diagramsetc. The logic data model shown is still independentfrom the concrete database management system.3.3 Physical Data ModelIn the final phase of data modeling, the logic datamodel is transformed into a physical model throughthe procedure of physical modeling and realized on acomputer using the Microsoft Access 2000 databasemanagement system. During the development of thephysical model, great attention has been devoted toassuring the integrity of the data and, thereby, thestability and reliability of the future database in operation.Physical modeling, in addition to the determinationof the format for the physical record of all theattributes defined in the previous phase (the selectionof the types of data and the allocation of space),is the definition of a series of controls that contributeto minimizing errors in data entry and the indexing ofindividual attributes to facilitate more rapid and dependablesearches later. The procedures for controllingthe accuracy of the data entered verify whetherthe data are within the specified limit values for datawhere this limit can be defined. For some data, theuser is offered a list of possible values. Sometimesanother choice is permitted and sometimes not.Where necessary, data entry forms are defined andthe assumed values for some data are entered immediately,which can be changed later etc. Withthe implementation of the physical model on thecomputer, a relay protection data base was created.The Microsoft database management system waschosen for two reasons:∑ Access 2000 and newer versions are among theleading database programs on PC platforms today,in terms of their possibilities and popularity.∑ if the data outgrow the capabilities of Access2000, a special procedure installed in Access2000 makes it is easy to transfer them to a MicrosoftSQL Server that is sufficiently powerfulfor nearly all requirements.The performance provided by Access 2000 is fullysufficient to meet the requirements established atthe beginning for this database [10] and [11]. Ifstricter requirements are set in the future on thesystem for database management such as a largerrange of data, more users, more simultaneous transactions,improved security etc., the base can be extendedto the SQL Server. Furthermore, if the needis demonstrated for the integration of this databasewith other bases, the possibility for transfer to theMicrosoft SQL Server version could be very useful.SutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633624

Slika 1Dio relacijske shemebaze podatakaFigure 1Part of the relationshipschema of the database4 SIGURNOST BAZEPODATAKA RELEJNE ZA©TITESustav za upravljanje bazom podataka MS Access2000 nudi nekoliko sigurnosnih opcija za oËuvanjeintegriteta i tajnosti podataka koje su iskoriπtenepri kreiranju baze podataka relejne zaπtite. Sigurnostna razini korisnika kombinira korisnike, radnegrupe i dozvole na razini objekta za potporuograniËenom pristupu razliËitim dijelovima bazepodataka. Kod pokretanja programa MS Access2000 potrebno je unijeti korisniËko ime i lozinkuza definiranje korisniËkog identiteta. KorisniËkoime je povezano sa skupom dozvola koje odreappleujeπto korisnik moæe raditi nad pojedinim objektimabaze kad se baza podataka otvori. U bazi podatakarelejne zaπtite definirane su tri grupe korisnika srazliËitim pravima:∑∑∑administrator baze - ima moguÊnost izmjenedizajna i strukture baze te pregled i aæuriranjepodataka u bazi,ovlaπteni korisnik - ima moguÊnost pregleda iizmjene podataka u bazi, ali nema moguÊnostizmjene dizajna i strukture baze,obiËni korisnici - imaju samo moguÊnost pregledapodataka.Grupne ovlasti administratora baze i grupne ovlastiovlaπtenog korisnika ima po jedan korisnik dokovlasti grupe obiËni korisnici ima viπe korisnika.4 SECURITY OF THE RELAYPROTECTION DATABASEThe MS Access 2000 database management systemoffers several security options for safeguardingthe integrity and secrecy of the data that are usedin creating a relay protection database. Security atthe user level encompasses users, work groups andpermission at the level of the object to support limitedaccess to various parts of the database. Whenstarting the MS Access 2000 program, it is necessaryto enter the user name and password for thedefinition of the user’s identity. The user’s nameis linked with a set of permissions that determinewhat a user can do regarding individual objects ofthe base when the database opens. In the relay protectiondatabase, three groups of users with differentrights are defined:∑∑∑the base administrator can change the designand structure of the base as well as view andupdate the data in the base,the authorized user can view and change datain the base but cannot change the design andstructure of the base,the ordinary users can only view data.The administrator group permissions and the usergroup permissions have one user each while permissionsfor the group of ordinary users are held byseveral users. Individual users in this group can be625SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

Pojedinim korisnicima u ovoj grupi mogu se datidodatne ovlasti nad nekim objektima baze kao naprimjer moguÊnost dodavanja podataka u neketablice, ali bez moguÊnosti brisanja ili izmjenepostojeÊih podataka. Ovlasti grupa i korisnika nisutrajno definirane jer administrator baze podataka usvakom trenutku moæe ovlasti promijeniti ili dodatinovog korisnika. Prirodno je da ovlasti ovlaπtenogkorisnika dobije osoba u odjelu zaπtite zaduæenaza ispravnost unesenih podataka.Baza podataka relejne zaπtite je, za sada,zamiπljena i prilagoappleena Ëuvanju i odræavanjuna jednom PC raËunalu (najvjerojatnije raËunaluovlaπtenog korisnika) uz moguÊnost koriπtenja kopijaza pregled na drugim raËunalima. Takoappleer jemoguÊe dozvoliti rad nad bazom podataka s drugihraËunala u lokalnoj mreæi. Tada se postavkomlokalne mreæe definiraju raËunala s kojih se moæepristupiti i s kakvim ovlastima (samo Ëitanje ili Ëitanjeuz moguÊnost aæuriranja i sl.).Uz sigurnost na razini korisnika uvedena je i dodatnazaπtitna mjera u obliku lozinke na bazu podataka.Ovu lozinku se ne smije brkati s korisniËkomlozinkom pri pokretanju MS Accessa 2000. Dakleza rad s bazom podataka relejne zaπtite nakon prijavljivanjakorisnika (upis korisniËkog ime i lozinke)joπ je potrebno unijeti i lozinku baze podatakarelejne zaπtitite kao drugu razinu sigurnosti.given additional permissions for some of the databasesuch as, for example, the option of adding datato some tables, but without the option of deleting orchanging existing data. Group and user permissionsare not permanently defined because the administratorof the database can change permissions atany moment or add new users. It is natural for thepermission of an authorized user to be obtained bya person in the security department in charge of theaccuracy of the data entered.The relay protection database is, for now, conceivedand adapted for storage and maintenance on one PC(most likely the computer of the authorized user),with the possibility of using copies for searching onother computers. Furthermore, it is possible to permitwork on the database from other computers in thelocal network. In this case, the settings of the localnetwork define the computers from which the databasecan be accessed and the types of permissions(read only or read with the option of updating etc.).In addition to security at the user level, an additionalsecurity measure has been introduced in theform of a password for the database. This passwordmust not be confused with the user password forstarting MS Access 2000. Thus, in order to workwith the relay protection database, after enteringthe user's name and password it is also necessary toenter the password of the relay protection databaseas a second level of security.5 APLIKACIJA ZA PREGLED,AÆURIRANJE I ISPISPODATAKASustav za upravljanje bazom podataka MS Access2000 uz razne moguÊnosti pri konstrukciji tablicai upisu podataka nudi niz vrlo moÊnih alata za pregledavanjebaze podataka, postavljanje razliËitihupita, kreiranju izvjeπÊa i njihovo prilagoappleavanjeispisu na papir. Za uspjeπno koriπtenje baze podatakai svih prednosti koja ona pruæa nuæno jeodreappleeno znanje iz tehnike baze podataka te poznavanjerada s programom MS Access. ProgramMS Access takoappleer nudi niz alata za automatizacijurada i brz pristup Ëesto koriπtenim dijelovimabaze bez poznavanja pojedinih komponenti injihovih meappleusobnih odnosa. KoristeÊi te alatekreirana je posebna aplikacija za lakπi pregled,aæuriranje i ispis podataka iz baze relejne zaπtite smoguÊnoπÊu aktiviranja niza pripremljenih upita,ekranskih obrazaca i izvjeπÊa. Aplikacija u svomradu koristi i ostale komponente baze podatakakao makronaredbe i programske rutine napisaneu programskom jeziku Microsoft VBA (Visual Basicfor Applications) kako bi se u potpunosti iskoristilasnaga Accessa. Osnovna namjena aplikacije5 APPLICATION FORINSPECTING, UPDATING ANDPRINTING-OUT DATAThe MS Access 2000 database management system,in addition to various options in the constructionof tables and data entry, also offers a seriesof very powerful tools for searching the database,posing various queries, creating reports and adaptingthem for hard copies. For the successful use ofthe database and all the advantages that it offers, acertain amount of knowledge of database techniqueand the use of the MS Access program is necessary.The MS Access program also offers a seriesof tools for automating work and rapidly accessingfrequently used parts of the base, which due notrequire familiarity with the individual componentsand their mutual relationships. Using these tools,a special application has been created to facilitatethe searching, updating and printing-out of datafrom the relay protection database, with the optionof activating a series of prepared queries, screenforms and reports. The application also uses othercomponents from the database such as macro instructionsand program routines written in the pro-SutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633626

je omoguÊiti korisniku πto lakπe koriπtenje svihpripremljenih komponenti konkretne baze podatakarelejne zaπtite uz najmanje truda korisnika iminimum potrebnog znanja o tehnici baza podatakai samom MS Accessu. Koriπtenjem aplikacije,korisnik ne treba znati puno niti o samom modelupodataka relejne zaπtite. Aplikacija je slagana takoda u radu nastoji ponuditi korisniku baπ ono πtomu odreappleenom trenu moæe zatrebati. OpÊenitoaplikacija omoguÊava:∑ voappleenje korisnika kroz razliËite opcije, aktiviranjepojedinih komponenti baze i logiËnokretanje kroz upisane podatke (vertikalno i horizontalno)koristeÊi niz izbornika,∑ koriπtenje niza ekranskih formi (obrazaca) zalakπi pregled, upis i aæuriranje podataka u tablicamas viπe ugraappleenih filtara za pregled irazvrstavanje podataka. Unos podataka putemobrazaca je daleko intuitivniji od direktnogunosa u tablice uz bolji estetski dojam πto radËini ugodnijim i manje zamornim. Uporabomposebno kreiranih dodatnih komandnih tipki uobrascu za npr. trenutaËni pregled neke drugetablice, prijelaz na drugi obrazac, pregled razliËitihuputa za unos itd., rad postaje sigurnijii mnogo bræi. Koriπtenjem sloæenih obrazacaomoguÊen je istodobni rad nad viπe relacijskipovezanih tablica (slika 2),∑ koriπtenje pripremljenih parametarskih upita isloæenih upita npr. sumarni pregled udeπenjazaπtite u æeljenom objektu. Parametarski upitisluæe za lociranje specifiËnih slogova veÊkod poziva upita. Sloæeni viπetabliËni upiti snizom kriterija uz uporabu matematiËkih i logiËkihoperatora su takoappleer vrlo efikasan naËinpretraæivanja baze,∑ poziv razliËitih unificiranih obrazaca za ispispodataka iz baze, npr. izvjeπÊe o udeπenjuzaπtite u vodnim poljima nekog objekta,izvjeπÊe o udeπenju zaπtite u nekom polju,sumarno izvjeπÊe o udeπenju zaπtite u odabranomelektroenergetskom objektu (slika 3) itd.Informacije u izvjeπÊima su grupirane na naËinprikladan za tiskanje na viπe stranica. OblikizvjeπÊa kreiran je tako da izvjeπÊe iz bazeizgleda jednako kao dokumentacija koja se dosada koristila za prikaz podataka ugraappleenihureappleaja relejne zaπtite u postrojenjima (slika4),∑ pregled popratne dokumentacije, npr. naËinoznaËavanja (πifriranja) elemenata nekog polja,opis svake tablice itd. Uz ugraappleeni sustavpomoÊi koji pruæa sam program MS Access,npr. ispis opisa svakog polja u dnu monitorapri kretanju kroz tablicu i sl., unutar aplikacijena viπe mjesta mogu se pozvati posebno kreiranidokumenti s popratnim objaπnjenjima.Postoje sljedeÊi takvi dokumenti:gramming language Microsoft VBA (Visual Basic forApplications) in order to utilize the power of Accessfully. The basic purpose of the application is to enablethe user to employ all the prepared componentsof the actual relay protection database as easily aspossible, with the minimum of user effort and theminimum necessary knowledge of database techniqueand MS Access. When using the application,the user also does not have to know a lot about therelay protection data model. The application is constructedin such a manner that it attempts to offerthe user precisely that which he or she would needat a particular moment. Generally, the applicationmakes the following possible:∑ guiding the user through various options, activatingindividual base components and movinglogically through the entered data (verticallyand horizontally) using a series of menus,∑ using a series of screen forms to facilitate thesearching, entry and updating of data in thetables with several installed filters for the searchingand classification of data. Entry of datavia forms is far more intuitive than direct entryinto tables and creates a better esthetic impression,so that work becomes more pleasant andless tiring. By using specially created additionalcommand keys in the form for, e.g. the instantaneousview of some other table, switching toanother form, reading various instructions, entryetc., operation becomes more secure and muchfaster. By using complex forms, it is possible towork on several relationally connected tables atthe same time (Figure 2),∑ using prepared parameter queries and crosstabqueries, for example a summary review of theprotective settings in a desired object. Parameterqueries serve for locating specific recordswith query calls. Complex multi-relational querieswith a series of criteria using mathematicaland logical operators are also very effective meansfor searching the base,∑ calling various standardized forms for the printoutof data from the base, e.g. reports on protectionsettings in the transmission line baysof some facility, reports on protection settingsin some bay, a summarized report on the protectionsettings in a selected electrical powerfacility (Figure 3) etc. Information in the reportsis grouped in a manner that is suitable for printingon several pages. The form of the reportsis created so that the reports from the databaselook the same as documents that have beenused until now for presenting the data on theinstalled relay protection equipment in facilities(Figure 4),∑ inspection of accompanying documentation,e.g. the manner of coding the elements of a bay,description of each table etc. In addition to the627SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

· opis svih relacija u bazi podataka relejnezaπtite, s opisom svih atributa iz relacijskesheme te relacijskim vezama meappleutablicama,· opis πifarskog sustava koji se koristi pri definiranjui upisu primarnog kljuËa za svakurelaciju,· tekstualni opis rada aplikacije za pregled,aæuriranje i ispis podataka s opisom svihizbornika, formi, izvjeπÊa itd., odnosno detaljneupute za koriπtenje ove aplikacije,· blok dijagram toka aplikacije za pregled,aæuriranje i ispis podataka koji sluæi zabrzo snalaæenje unutar hijerarhijske strukturekreiranih izbornika.Sve opcije koje nudi ova aplikacija mogu se obavitii bez njenog aktiviranja (ako korisnik ima ovlasti dato obavi), ali tada treba dobro poznavati strukturupodataka i tehnike dizajniranja komponenti bazepodataka ili pak nazive ranije kreiranih obrazaca,upita i izvjeπÊa koja se pozivaju u aplikaciji. Akcijenad bazom podataka koje nisu predviappleene uaplikaciji mogu se obaviti izvan aplikacije. Dizajnaplikacije moæe mijenjati samo administrator bazedok kreiranje novih izvjeπÊa, upita i sl. mogu raditisvi korisnici. Ukoliko se ukaæe potreba za novimsadræajima u aplikaciji ili npr. netko od korisnikaiz grupe obiËnih korisnika kreira upit koji se Ëestokoristi, administrator baze ga moæe ukomponiratiu aplikaciju.installed help system that the MS Access programprovides, e.g. a print-out of a descriptionof each bay on the bottom of the monitor whenmoving through a table etc., within applicationsin several places it is possible to call speciallycreated documents with accompanying explanations.There are the following such documents:· description of all the relationships in therelay protection database, with a descriptionof all the attributes from the relationalschema and the relational links among thetables,· description of the code system that is usedin defining and entering the primary key foreach table,· the textual description of the operation ofthe application for the searching, updatingand print-out of data with a description of allthe menus, forms, reports etc., i.e. detailedinstructions for using these applications,· a block diagram of the application flow forsearching, updating and printing data thatprovides rapid orientation within the hierarchicalstructure of the created menus.All the options offered by this application can alsobe performed without activating it (if the user haspermission to do so), in which case it is necessaryto be well acquainted with the structure of the dataand the technique of designing database componentsor the names of previously created forms,queries and reports that are called in the application.Actions on the database that are not anticipatedin the application can be performed outsidethe application. The application design can only bechanged by the database administrator althoughthe creation of new reports, queries etc. can beperformed by all users. If the need arises for newcontents in the application or, for example, one ofthe users from the group of ordinary users creates aquery that is frequently used, the database administratorcan incorporate it in the application.SutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633628

Slika 2Sloæena ekranska formaFigure 2Complex screen formSlika 3Sumarno izvjeπÊe oudeπenju zaπtite uelektroenergetskomobjektu TS MuÊFigure 3Summary report on theprotection settings in theMuÊ Substation629SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

Slika 4IzvjeπÊe o udeπenjuzaπtite u vodnompolju H1 utransformatorskoj staniciMetkoviÊ1- OraπinaFigure 4Report on the protectionsettings at the H1power line bay in theMetkoviÊ1- OraπinaSubstationSutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633630

6 TESTIRANJE BAZEPODATAKA I OBUKAKORISNIKAPrije uvoappleenja baze podataka relejne zaπtite u radizvrπena su temeljita testiranja svih njenih dijelovai obuka korisnika.Prva testiranja i ocjena performansi raappleena su ufazi logiËkog modeliranja na relacijskom modelupodataka. Dobar relacijski model s minimalnomlogiËkom redundancijom podataka osnova je svakedobre baze podataka koja Êe dugo vremena moÊiudovoljiti postavljenim zahtjevima. Vrednovanjerelacijskog modela radilo se tako πto su simuliranapretraæivanja i grupiranja podataka na naËin kakoÊe to vjerojatno raditi buduÊi korisnici baze relejnezaπtite. Operacijama relacijske algebre (projekcije,restrikcije, prirodno spajanje itd.) nad definiranimrelacijama iz relacijskog modela kreirani surazliËiti pogledi u podatke (izvedene relacije) radiizdvajanja informacija koje Êe zanimati korisnike.Takoappleer je provjereno da su sve relacijske shememodela podataka bar u 3. normalnoj formi, kakotraæi teorija relacijskih modela podataka, Ëime seizbjegavaju odreappleene anomalije u strukturi bazepodataka.Nakon πto je relacijski model podataka zadovoljiopostavljene uvjete implementiran je na raËunaloi ponovno testiran sada kao fiziËki model. Kakobi provjerili cjelokupan model podataka i njegovoponaπanje u realnim uvjetima uneseni su podaci oelementima relejne zaπtite jedne kompletne transformatorskestanice (TS 35/10 kV MuÊ). Provjerenisu odnosi atributa u relacijama, veze meappleurelacijama te formati zapisa pojedinih atributa.Kad su otklonjeni svi uoËeni nedostatci na modelupodataka realizirana je aplikacija za unos, pregledi aæuriranje podataka. Rad kompletne aplikacijeprovjeren je na naËin da su podaci elemenata relejnezaπtite drugog objekta (TS 35/10 MetkoviÊ1∑ Oraπina) uneseni koriπtenjem aplikacije. Takoappleersu na podacima ove dvije transformatorske stanicetestirane i doraappleene ekranske forme za pregled podataka,razliËiti upiti te tiskana izvjeπÊa iz baze.U zadnjoj fazi pripreme baze za rad, buduÊi korisnicisu najprije upoznati sa svim opcijama, a potomsu oni vrednovali moguÊnosti baze podataka.Iako je cijeli projekt razvijan u bliskoj suradnji skorisnicima i u ovoj fazi uvaæeno je viπe njihovihsugestija i prijedloga. Kraj procesa testiranja jezakljuËen unosom podataka o elementima relejnezaπtite joπ jedne transformatorske stanice (TS35/10 kV Trogir) od strane korisnika.6 DATABASE TESTING ANDUSER TRAININGPrior to placing the relay protection database intooperation, thorough testing of all its parts was performedand the users were trained.The first testing and performance evaluationswere conducted in the logical modeling phase onthe relational data model. A good relational modelwith minimal logical data redundancy is the basisof every good database that will be able to meetthe set requirements over a long period of time.Evaluation of the relational model was performed insuch a manner that searches and grouping of datawere simulated in the manner that future users ofthe relay protection database will probably employ.Through operations of relational algebra (projections,restrictions, natural join etc.) on defined relationshipsfrom the relational model, various viewsof the data are created (derived) in order to selectinformation that will interest users. It has also beenconfirmed that all the relational data models are atleast in the third normal form, as required by thetheory of relational data models, thereby avoidingcertain anomalies in the database structure.After the relational data model satisfied the establishedprerequisites, it was implemented on thecomputer and retested as a physical model. In orderto verify the entire data model and its behaviorunder real conditions, data were entered on elementsof the relay protection of a complete substation(MuÊ 35/10 kV Substation). The connectionsamong the attributes in the relations, the relationshipsamong the relations and the formats of therecords of individual attributes were evaluated.When all the noted shortcomings of the data modelwere eliminated, the application for entering, searchingand updating data was implemented. The operation ofthe complete application was verified in a manner thatthe data of the elements of relay protection at a secondfacility (MetkoviÊ1 ∑ Oraπina 35/10 kV Substation)were entered by using the application. Furthermore,the screen forms for searching data, various queriesand printed reports from the database were testedand revised using data from these two substations.In the final phase of preparing the database for operation,future users were acquainted with all thepossibilities in advance. They then evaluated thepossibilities of the database. Although the entireproject was developed in close collaboration withthe users, many of their suggestions and proposalswere taken into account in this phase as well. Thetesting process was concluded with the entry of dataon the relay protection elements for one more substation(Trogir 35/10 kV Substation) by the users.631SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

7 ZAKLJU»AKRazvoj i odræavanje informacijskog sustava uuvjetima intenzivnog tehnoloπkog napretka jevrlo opseæan i sloæen posao. Nuæno je imati dugoroËnuviziju razvoja koja Êe biti kompatibilnas postojeÊim te fleksibilna u prihvaÊanju novihtehnologija. Izgradnja informacijskog sustava krozdijelove koji se mogu samostalno realizirati, a potompovezati u cjelinu jer poπtuju sva pravila prikreiranju modela podataka i izgradnje baze podatakaje dobar pristup.U radu je opisana koncepcija baze podatakazaπtitnih ureappleaja za potrebe odjela relejne zaπtite.Prikazan je i opisan razvoj modela podatakazaπtitnih ureappleaja koji poπtuje uobiËajene standardei principe izgradnje. Nad modelom podataka razvijenaje aplikacija za pregledavanje, izvjeπtavanjei aæuriranje podataka u bazi koja je takoappleer opisana.Ovakva baza podataka moæe funkcioniratikao samostalna cjelina, a takoappleer se moæe integriratiu svoju okolinu. Jasno da se ovakva bazapodataka moæe prilagoditi potrebama konkretnihodjela relejne zaπtite dodavanjem novih relacija urelacijskom modelu, dodavanjem novih pregleda ipreoblikovanjem izvjeπÊa.7 CONCLUSIONThe development and maintenance of an informationsystem under conditions of intensive technologicaladvancement is a very extensive andcomplex task. It is necessary to have a long-termvision of development that will be compatible withexisting technologies and flexible in the acceptanceof new ones. The construction of the informationsystem using parts that can be independently developedand then combined into a whole is a goodapproach because all the rules are respected in thecreation of the data model and the construction ofthe database.The article describes the concept of a protectiveequipment database for the needs of a relay protectiondepartment. A description is also presented ofthe development of the data model for protectiveequipment that follows the customary standardsand principles of construction. Based upon thedata model, an application has been developed forthe searching, reporting and updating of data in thebase, which is also described. Such a database canfunction as an independent entity and can also beintegrated into its environment. Clearly, such a databasecan be adapted to the needs of actual relayprotection departments by adding new relations inthe relational model, adding new views and restructuringreportsSutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633632

LITERATURA / REFERENCES[1] MCCLAIN, J., CHAN, S.M., CHOE, D., Relay database design, IEEE Computer Applications in Power,Vol. 8, Issue 3, July 1995[2] SIMPSON, R.H., Power system data base management, IEEE Transactions on Industry Applications,Vol. 37, Issue 1, 2001[3] CAUTHEN, R.H., MCCANNON, W.P., The CAPE system: Computer-Aided Protection Engineering,IEEE Computer Applications in Power, Vol. 1, Issue 2, April 1988[4] RAMASWAMI, R., MCGUIRE, P.F., Navigating a protection-engineering database [for power systems],IEEE Computer Applications in Power, Vol. 2, Issue 2, April 1989[5] PEICHAO Z., WEIYONG Y., CHEN C., Building relay protection management system by tool CLIPS,IEEE International Conference on Intelligent Processing Systems, 1997[6] VARGA, M., Baze podataka, Konceptualno, logiËko i fiziËko modeliranje podataka, Druπtvo za razvojinformatiËke pismenosti (DRIP), Zagreb, 1994.[7] SUTLOVIΔ, E., Baza podataka za projektiranje elektroenergetskih postrojenja, Energija, god.43(1994), Zagreb, 1994.[8] EPRI Control Center Application Program Interface, Common Information Model Specification, DraftRevision 004, 1996[9] WORKING GROUP ON PROTECTIVE RELAYING PERFORMANCE CRITERIA OF THE POWER SY-STEM RELAYING COMMITTEE, Protective relaying performance reporting, IEEE Transactions onPower Delivery, Vol. 7, Issue 4, October 1992[10] JOYCE, C. , DUDLE, Y.N., AUNE, L., Brzi teËaj za Microsoft Access 2000, Prijevod dijela: QuickCourse in Microsoft Access 2000, Zagreb, Algoritam, 2000.[11] CASSEL, P., EDDY, C., PRICE, J., NauËite Microsoft Access 2002 za 21 dan, Prijevod dijela: Samsteach yourself Microsoft Access 2002 in 21 days, Zagreb, Miπ, 2002.Uredniπtvo primilo rukopis:2007-09-30PrihvaÊeno:2007-10-22Manuscript received on:2007-09-30Accepted on:2007-10-22633SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

UPUTSTVO ZA RUKOPISUPUTEAUTORIMA1. »asopis Energija objavljuje Ëlanke koji do sada nisu objavljeni u nekom drugom Ëasopisu.2. Radovi se piπu na hrvatskom ili engleskom jeziku, u treÊem licu, na jednoj stranici papira, poËinju suvodom i zavrπavaju sa zakljuËkom, u dvostrukom proredu i s dostatnim marginama. Stranicese oznaËavaju uzastopnim brojevima.3. Radovi u pravilu ne mogu biti dulji od 14 stranica Ëasopisa Energija (oko 9000 rijeËi).4. Ime i prezime autora, znanstvena ili struËna titula, naziv i adresa tvrtke u kojoj autor radi i e-mailadresa navode se odvojeno.5. Iznad teksta samoga rada treba biti saæetak od najviπe 250 rijeËi. Saæetak treba biti zaokruæena cjelinarazumljiva prosjeËnom Ëitatelju izvan konteksta samoga rada. Nakon saæetka navode se kljuËne rijeËi.6. »lanci se piπu u Word-u sa slikama u tekstu ili u posebnim file-ovima u tiff formatu, 1:1, rezolucijenamanje 300 dpi.7. »lanci se piπu bez biljeπki na dnu stranice.8. MatematiËki izrazi, grËka slova i drugi znakovi trebaju biti jasno napisani s dostatnim razmacima.9. Literatura koja se koristi u tekstu navodi se u uglatoj zagradi pod brojem pod kojim je navedena nakraju Ëlanka. Koriπtena literatura navodi se na kraju Ëlanka redom kojim je spomenuta u Ëlanku. Akorad na koji se upuÊuje ima tri ili viπe autora, navodi se prvi autor i potom et al. Nazivi Ëasopisa senavode u neskraÊenom obliku.»asopis[1] FRAZIER, L., FODOR, J. D., The sausage machine: A new two-stage parsing model. Cognition,6 (1978), 291∑ 325Knjiga[5] NAGAO, M., Knowledge and Inference. Academic Press, Boston, 1988Referat[7] WATROUS, R. L., SHASTRI, L., Learning phonetic features using connectionist networks:An experiment in speech recognition. Presented at the Proceedings of the IEEE InternationalConference on Neural Networks, (1987) San Diego, CANeobjavljeno izvjeπÊe/teze[10] ROZENBLIT, J. W., A conceptual basis for model-based system design. PhD Thesis, WayneState University, Detroit, Michigan, 198510. »lanak je prihvaÊen za objavljivanje ako ga pozitivno ocijene dva struËna recenzenta. U postupkurecenzije Ëlanci se kategoriziraju na sljedeÊi naËin:∑ izvorni znanstveni Ëlanci ∑ radovi koji sadræe do sada joπ neobjavljene rezultate izvornih istraæivanja upotpunom obliku,∑ prethodna priopÊenja ∑ radovi koji sadræe do sada joπ neobjavljene rezultate izvornih istraæivanja upreliminarnom obliku,∑ pregledni Ëlanci ∑ radovi koji sadræe izvoran, saæet i kritiËki prikaz jednog podruËja ili njegova dijelau kojem autor i sam aktivno sudjeluje ∑ mora biti naglaπena uloga autorovog izvornog doprinosa u tompodruËju u odnosu na veÊ objavljene radove, kao i pregled tih radova,∑ struËni Ëlanci ∑ radovi koji sadræe korisne priloge iz struke i za struku, a ne moraju predstavljatiizvorna istraæivanja.11. »lanci se lektoriraju i provodi se metroloπka recenzija.12. »lanci se dostavljaju u elektroniËkom obliku i 1 primjerak u tiskanom obliku na adresu:HEP d.d. - EnergijaN/r tajnika UreappleivaËkog odbora ∑ mr. sc. Slavica Barta-KoπtrunUlica grada Vukovara 37, 10000 Zagreb, HrvatskaTel.: +385 (1) 632 2641Faks: +385 (1) 617 0438e-mail: slavica.barta@hep.hrKOREKTURA I AUTORSKI PRIMJERCI1. Autori su duæni izvrπiti korekturu svoga rada prije objavljivanja. VeÊe promjene teksta u toj fazi neÊese prihvatiti.2. Autori dobivaju besplatno 5 primjeraka Ëasopisa u kojemu je obljavljen njihov Ëlanak. Naknada zaobjavljeni Ëlanak obraËunava se prema Odluci o visini autorskih honorara Ëasopisa Energija.AUTORSKO PRAVO1. Autorsko pravo na sve obljavljene materijale ima Ëasopis Energija.2. Autori moraju telefaksom dostaviti popunjeni obrazac o autorskom pravu nakon prihvaÊanja Ëlanka.3. Autori koji æele koristiti materijale koji su prethodno objavljeni u Ëasopisu Energija trebaju seobratiti izdavaËu.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583634

MANUSCRIPTS1. Energija journal publishes articles never before published in another periodical.2. Articles are written in Croatian or English, in the third person, on one paper side, beginning withan introduction and ending with a conclusion, with double line spacing and adequate margins. Pagesare numbered consecutively.3. As a rule articles cannot exceed 14 pages of the Energija journal (about 9000 words).4. The name of the author and his/her academic title, the name and address of thecompany of the author’s employment, and e-mail address, are noted separately.5. The text of the article is preceded by a summary of max. 250 words. The summary is a rounded offwhole comprehensible to an average reader apart from the context of the article. The summary isfollowed by the listing of the key words.6. Articles are written in MS Word with pictures embedded or as separate TIFF fi les, 1:1, min. 300 dpi.7. Articles are written without bottom-of-page footnotes.8. Mathematical expressions, Greek letters and other symbols must be clearly written with suffi cientspacing.9. The sources mentioned in the text of the article are only to be referenced by the number under whichit is listed at the end of the article. References are listed at the end of the article in the order in whichthey are mentioned in the text of the article. If a work referenced has three or more authors, the fi rstauthor is mentioned followed by the indication et al. Names of journals are given in full.INSTRU-CTIONS TOAUTHORSJournal[1] FRAZIER, L., FODOR, J. D., The sausage machine: A new two-stage parsing model.Cognition, 6 (1978), 291∑325Book[5] NAGAO, M., Knowledge and Inference. Academic Press, Boston, 1988Conference paper[7] WATROUS, R. L., SHASTRI, L., Learning phonetic features using connectionist networks:An experiment in speech recognition. Presented at the Proceedings of the IEEE International Conference on Neural Networks, (1987) San Diego, CAUnpublished report/theses[10] ROZENBLIT, J. W., A conceptual basis for model-based system design. PhD Thesis, WayneState University, Detroit, Michigan, 198510. An article will be accepted for publication if it is positively evaluated by two professional reviewers. Inthe review, articles are categorised as follows:∑ original scientifi c articles ∑ works containing hitherto unpublished full results of original research,∑ preliminary information ∑ works containing hitherto unpublished preliminary results of originalresearch,∑ review articles ∑ works containing the original, summarized and critical review from the fi eld orfrom a part of the fi eld in which the author of the article is himself/herself involved ∑ the role of theauthor’s original contribution to the fi eld must be noted with regard to already published works,and an overview of such works provided,∑ professional articles ∑ works containing useful contributions from the profession and for theprofession, not necessarily derived from original research.11. Articles will undergo language editing and metrological reviews.12. Articles are to be submitted in a machine-readable form plus one printout to the following address:HEP d.d. - EnergijaN/r tajnika UreappleivaËkog odbora ∑ mr. sc. Slavica Barta-KoπtrunUlica grada Vukovara 37, 10000 Zagreb, CroatiaTel.: +385 (1) 632 2641Fax: +385 (1) 617 0438e-mail: slavica.barta@hep.hrCORRECTIONS AND FREE COPIES FOR AUTHORS1. Authors are required to make the corrections in their works prior to publication. Major alterationsof the text at the stage of publication will not be accepted.2. Authors will receive free of charge 5 copies of the Journal in which their respective articlesappear. The fee for an article published will be calculated in accordance with the Decision on theFees for the Authors of the Energija journal.COPYRIGHT1. The copyright on all the materials published belongs to the Energija journal.2. Authors must fax in a fi lled out copyright form when their articles have been accepted.3. Authors wishing to use the materials published in the Energija journal need to contact thepublisher.635Štritof,635I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

DIJAGNOSTI»KI PREGLEDRASPADA ELEKTROENERGETSKOGSUSTAVA NA OTOKU RODOSUDIAGNOSTIC REVIEW OF ABLACKOUT IN RHODESProf Papazoglou, Th. M., PhD, Prof Papazoglou, M. T., PhD,The Technological Education Institute of Crete,P.P. Box 1939, Iraklio, Crete, GreeceProf Thalassinakis, E. J., PhD, Prof Tsichlakis, Ch., PhD, ProfHatziargyriou, N. D., PhD, The Greek Power Public Corporation,The testing Research and Standard Center ∑ DEH S.A.,32 Halkokondili Street, 10432 Athens, GreceU radu se daje tehniËka analiza jednog incidenta koji se dogodio 21. oæujka 2007. godine u00:50 sati u noÊi i doveo do dvosatnog potpunog raspada elektroenergetskog sustava na otokuRodosu. Analiza dogaappleanja temelji se na registriranim operativnim podacima kao i nalazima naterenu. Izvrπena je tehniËka analiza smetnji kako bi se utvrdili vjerojatni uzroci i Ëimbenici kojisu pridonijeli pojavi smetnji. S obzirom da se radi o izoliranom sustavu koji je osobito je osjetljivna poremeÊaje, ispitane su uloge zaπtite sustava kao i kolebanja proizvodnje vjetroelektranatijekom incidenta. IzvuËeni su zakljuËci od praktiËnog znaËenja i dane su preporuke korektivnihmjera koje valja provesti kako bi se u buduÊnosti sprijeËile takve smetnje.A technical review of an incident on March 21, 2007 that began at 00:50 a.m. and led to atwo-hour blackout of the island of Rhodes electric power system is presented with the completesequence, including all the relevant registered operational data as well as the on-site field findings.A technical analysis of the disturbance was performed to determine the probable causesand factors that contributed to the duration of the disturbance. Since the system is an isolatedone, it is particularly vulnerable to perturbations. The roles of system protection and wind powergeneration during the incident are examined. Conclusions of practical importance are drawn,including recommendations for corrective measures to be implemented for preventing disturbancesof this kind from reoccurring in the future.KljuËne rijeËi: izolirani elektroenergetski sustav, nestanak strujeKey words: blackout, isolated electric power systemPapazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617608

1 UVODIzolirani otoËni elektroenergetski sustavi zanimljivisu s tehniËkog stajaliπta jer pokazuju neke izraziteznaËajke. Ako je u takvim sustavima prisutani visok stupanj proizvodnje vjetroelektrana, javljase u odreappleenim okolnostima veÊa osjetljivost napogonske poremeÊaje.Elektroenergetski sustav grËkog otoka Rodosaizolirani je sustav s ukupno 234 MW instaliranogkapaciteta termoelektrana (5 dizelskih, 2 parnei 4 plinske turbine) te 15 MW instalirane snageu vjetroelektranama. Meappleutim, zbog nekih tehniËkihproblema i karakteristika termoelektrana,stvarna snaga termoelektrana iznosi tek pribliæno192 MW. Godine 2006. proizvodnja u satu vrπnogoptereÊenja iznosila je 192,6 MWh. To znaËi dasustav nije uvijek imao na raspolaganju rezervnusnagu.U ovom se Ëlanku istraæuje incident poremeÊajasustava 21. oæujka 2007. godine koji je zapoËeou 00:50 sati u noÊi i doveo do dvosatnog raspadaelektroenergetskog sustava na otoku Rodosu.U vrijeme neposredno prije incidenta u pogonusu bili dva parna bloka (ATM 1 i ATM 2), svakioptereÊen s 10 MW (rotirajuÊa rezerva svakogagregata 2 MW), dva dizelska bloka (D1 i D3): soptereÊenjem 6 MW (rotirajuÊa rezerva 5 MW),ostala proizvodnja s 12 MW (rotirajuÊa rezerva 5MW) te 12 MW vjetroelektrana. Vremenski uvjetibili su loπi i jamaËno su odigrali odreappleenu uloguna poËetku incidenta. Na slici 1 dana je jednopolnashema sustava.Smetnje u sustavu zapoËele su asimetriËnim trofaznimkratkim spojem bez zemljospoja. Taj je kvaruspjeπno uklonjen. Meappleutim, zbog nestabilnostiuzrokovane zaπtitnim mehanizmima sustav se nijeoporavio veÊ je postupno gubio proizvodnju i izazivaoznaËajnu redukciju optereÊenja πto je, nakon2 minute i 45 sekundi od uklanjanja prvog kvara,konaËno dovelo do potpunog raspada elektroenergetskogsustava.1 INTRODUCTIONIsolated island power systems are of interest fromthe technical point of view because they exhibit notablecharacteristics. For example, when there is ahigh penetration of wind generation, there is greatervulnerability to operation perturbations under certainconditions.The electric power system of the Greek island ofRhodes is an isolated system with 234 MW installedcapacity of thermal plants (5 diesel, 2 steamand 4 gas turbines) plus 15 MW wind generation.However, due to some technical problems and thecharacteristics of the thermal generating plant, theactual thermal generation capacity is only about192 MW. In the year 2006, the mean average hourlygeneration peaked at 192,6 MWh. This meansthat the system did not have appreciable reservepower at all times.This article examines the system disturbance incidentof March 21, 2007 that began at 00:50 a.m.and led to a two-hour blackout of the Rhodes IslandElectrical Power System.At the time just before the incident, the system wasoperating with 2 steam units (ATM 1, and ATM 2)with 10 MW production each (a spinning reserve of2 MW each) and 2 diesel units (D1, and D3): oneproducing 6 MW (with a 5 MW spinning reserve)and the other generating 12 MW (with a 5 MWspinning reserve). At the same time, wind generationwas 12 MW. A one-line diagram of the systemis shown in Figure 1. The weather conditions weresevere and played a definite role at the start of theincident.The system disturbance began with an asymmetricalthree-phase fault, not involving ground. Thisfault was successfully cleared. However, due to instabilitiestriggered by the protective mechanisms,the system never really recovered, gradually losinggeneration and causing significant load shedding,which finally led to a complete blackout lasting 2minutes and 45 seconds after the initial fault hadbeen cleared.Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617610

Slika 1Jednopolna shemasustava na poËetkusmetnjeFigure 1One-line diagram ofthe system at thestart of the faultKvar se dogodio na trafostanici Rhodini na distribucijskomvodu napajanom putem prekidaËaP-320 od 15 kV sabirnice, kako je prikazano naslici 1. Nakon gubljenja struje iz voda aktiviranaje zaπtita i otpuπteni su prekidaËi P-320, P-255i P-225. Zbog kvara je izgorio drveni stup distribucijskogvoda te se kasnije morao zamijeniti.Vrijeme je bilo vrlo loπe u trenutku kvara, pri Ëemuje jak vjetar rasprπivao kapljice morske vode poizolatorima vodova, πto je intenziviralo povrπinskopraænjenje. Naknadnom analizom pronaappleen jesrednji fazni vodiË (u vodoravnom rasporedu od3 faza) prekinut na jednom drvenom stupu. Istose dogodilo s drugim stupom istog voda gdje su,osim prekinutog srednjeg vodiËa, takoappleer bilirazbijeni porculanski izolatori, najvjerojatnije kaoposljedica struje zemljospoja. Taj je poËetni kvarkonaËno uklonjen oko 13 sekundi nakon πto sedogodio. Meappleutim, 19 sekundi nakon uklanjanjakvara ispao je parni blok #1 a potom, 2 minute i45 sekundi nakon uklanjanja kvara, i parni blok#2, πto je rezultiralo raspadom elektroenergetskogsustava.The fault occurred at the Rhodini substationon the distribution line fed through the breakerP-320 from the 15 kV bus, as shown in Figure 1.Following the fault, protection was activated andtripped the breakers P-320, P-255 and P-225. Asa result of the fault, a wooden pole of the distributionline burned and had to be replaced later.The weather was severe at the time of the fault,with strong wind spraying sea water droplets overthe line insulators, thereby increasing the likelihoodof a flashover. Post-mortem examination found thejumper wire for the middle phase conductor (ina horizontal arrangement of the 3 phases) cut atanother wooden pole of the same distribution line.The same thing also happened to another pole ofthe same line where, in addition to a broken middlejumper wire, its porcelain insulators were also broken.This would most likely imply that these werethe results of the fault current. This initial fault wasfinally cleared at about 13 sec after it happened.However, 19 sec after the fault clearance, SteamUnit #1 was lost, and 2 min and 45 sec after thefault clearance Steam Unit #2 was lost, resulting inthe blackout.611Papazoglou,Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617

2 ANALIZA INCIDENTAKako sustavu SCADA u kontrolnom centru nedostajuneke vaæne funkcije bilo je moguÊe tek samobiljeæenje pogonskih podataka u realnom vremenu,dok se u mnogim sluËajevima dogaappleaju znaËajnazakaπnjenja u biljeæenju podataka. Iz ispitivanjazabiljeæenih dogaappleaja i podataka moguÊe je zakljuËitikako je smetnja zapoËela asimetriËnimtrofaznim kratkim spojem bez zemljospoja. OvajzakljuËak temelji se na vremenskim krivuljamaizmjeniËne struje zabiljeæenih digitalnim relejimaprekidaËa P-225 i P-255 (slika 2), koji su pokazivalinepostojanje struje zemljospoja. Moglo setakoappleer zamijetiti da impendancije kvara varirajus vremenom, upuÊujuÊi na elektriËno iskrenje kaouzrok. Oscilogrami 1 i 2 (slike 3 i 4) prikazujunapone na sabirnicama 66 kV na trafostanici Rhodini,odnosno struje na prekidaËu 66 kV P-110onako kako su se i razvijali. Naknadni vremenskioscilogrami 3 i 4 (slike 5 i 6) tu oscilaciju (frekvencije100 Hz) jasnije prikazuju. Oscilacija seodræava do kraja (kao πto je razvidno iz oscilograma5 (slika 7). To moæe znaËiti i da je automatskimregulatorima napona (AVR) potrebno podeπavanje.Iz oscilograma napona moguÊe je izraËunati veliËinunapona kao funkciju vremena, i to od nastankakvara do potpunog pada napona, kako je prikazanona slici 8.Tijekom smetnje zabiljeæene su promjene frekvencijeπirokog raspona. Relevantni podaci prikazanisu na slici 9 na kojoj je vidljiva minimalna frekvencijaod 47,7 Hz (2 s nakon poËetka smetnje)i maksimalna frekvencija od 54 Hz (16 s nakonpoËetka smetnje).2 INCIDENT ANALYSISAt the outset, one should note that the SCADA atthe Control Center leaves important functionalitiesto be desired. As a result, real-time registration ofoperation is only partially possible, while in manycases significant time delays occur in data registration.From examination of the registered eventsand data, one is able to see the following. The faultbegan as an asymmetrical three-phase fault, not involvingthe ground. This was evident from the timealternating current curves registered by the digitalrelays of the P-225 andP-255 (Figure 2) breakers, which showed zero earthcurrent. It could also be observed that the faultimpedances varied randomly with time, suggestingthat the electric-arcing of varying spans was thecause. Oscillograms 1 and 2 (Figures 3 and 4) showthe voltages at the 66 kV buses at Rhodini and thecurrents at the 66 kV breaker P-110, respectively.These oscillograms show oscillation developing astime progresses. Subsequent time Oscillograms 3and 4 (Figures 5 and 6) show this (100 Hz frequency)oscillation more clearly. This oscillationis sustained to the end (as seen in Oscillogram 5(Figure 7). This could indicate that the automaticvoltage regulators (AVR) need adjustments.From the voltage oscillogram, one can calculate thevoltage magnitude as a function of time, from theoccurrence of the fault up to the voltage collapse,as shown in Figure 8.In the course of the disturbance, wide frequencyswings were registered. The respective data areshown in Figure 9. In this figure, one can see theminimum frequency of 47,7 Hz (2 s after the startof the disturbance), and the maximum frequency of54 Hz (16 s after the start of the disturbance).Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617612

2.7951.3980-1.398-2.7952.7951.3980Slika 2Vremenske krivuljeizmjeniËnihstruja faza a, b,c i uzemljenja naprekidaËu P-255Figure 2Time curves of thealternating currentsof Phases a, b,c and ground atbreaker P-255-1.398-2.7950.6160.3080-0.308-0.616-1750 -1500 -1250 -1000 -750 -500 -250 0 250 500Tijekom smetnje tri su se dodatna Ëimbenika pokazalakljuËnima. Podeπenja podnaponske zaπtite zapark vjetroelektrana kao i za pojedinaËne vjetrogeneratoreimala su za posljedicu ispade generatorai gubitak proizvodnje iz vjetroelektrana (24 % ukupneproizvodnje). Podeπenja zaπtite poduzbudnihlimitera dizelskih elektrana imala su za posljedicunjihov ispad. Ispadanje 40 MW optereÊenja, zbograda automatske podfrekvencijske zaπtite, rezultiraloje u preostaloj snazi od 10 MW napajanoj izparnog bloka #2 u zadnjim trenucima neposrednoprije potpunog ispada.In the course of events, three additional factorswere shown to be crucial. The under-voltageprotection settings for the wind park and for theindividual wind generators resulted in the loss ofwind generation (24 % of the total generation). Theunder-excitation limiters protection settings of thediesel units resulted in the loss of those units. Theshedding of 40 MW of load, due to the operation ofthe automatic under-frequency protection, resultedin a remaining load of 10 MW which was fed fromSteam Unit #2 in the final moments just before thecollapse.Slika 3Oscilogram 1 ∑ Naponina sabirnici 66 kV natrafostanici Rhodini(poËetak gubljenja strujeiz voda)Figure 3Oscillogram 1 ∑ Voltagesat the 66 kV bus atRhodini (the fault begins)Zygos 1 fase AZygos 1 fase BZygos 1 fase C613Papazoglou,Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617

Slika 4Oscilogram 2 ∑Struje zabiljeæenena prekidaËu 66 kVP-110 na trafostaniciRhodiniFigure 4Oscillogram 2 ∑Currents registered at66 kV Breaker P-110at RhodiniZygos 1 fase AZygos 1 fase BZygos 1 fase CSlika 5Oscilogram 3 ∑ Naponina sabirnici 66 kV natrafostanici RhodiniFigure 5Oscillogram 3 ∑Voltages at 66 kV busat RhodiniZygos 1 fase AZygos 1 fase BZygos 1 fase CSlika 6Oscilogram 4 ∑ Naponina sabirnici 66 kV natrafostanici RhodiniFigure 6Oscillogram 4 ∑Voltages at 66 kV busat RhodiniZygos 1 fase AZygos 1 fase BZygos 1 fase CPapazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617614

Slika 7Oscilogram 5 ∑ Naponna sabirnici 66 kV natrafostanici Rhodini(nestanak struje vidljivna kraju)Figure 7Oscillogram 5 ∑ Voltageat 66 kV bus at Rhodini(blackout seen at theend)Zygos 1 fase AZygos 1 fase BZygos 1 fase CNapon / Voltage (%)120100806040Slika 8Varijacija napona nasabirnici 66 kV (u %)tijekom smetnjeFigure 866 kV bus voltagevariation (in %) duringthe disturbance2000 30 60 90 120 150 180Vrijeme / Time (s)Frekvencija / Frequency(Hz)54.553.552.551.550.549.548.5Slika 9Trend varijacijefrekvencije zabiljeæentijekom smetnjeFigure 9Frequency variationtrend registered duringthe disturbance47.50 2 4 6 8 10 12 14 16 18 20 22 24 26 28Vrijeme / Time (s)615Papazoglou,Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617

3 ZAKLJU»CIElektroenergetski sustav otoka Rodosa, kao jedanizoliran sustav, osjetljiv je na smetnje. Distribucijskisustav srednjenaponskih nadzemnih vodova ublizini obale takoappleer je osjetljiv na uËinke morskesoli koja negativno utjeËe na pouzdanost izolacije.Osjetljivost proizvodnje vjetroelektrana na kolebanjau naponu mreæe kao i ukupna zaπtita sustavaodigrale su kljuËnu ulogu u razvijanju poremeÊajakoji je doveo do raspada elektroenergetskogsustava.TrenutaËno se razmatra nadogradnja prijenosnogsustava na otoku Rodosu sa sadaπnjih 66 kV na150 kV πto bi se trebalo realizirati u naredne dvijedo tri godine. Osim izgradnje prijenosne mreæe,potrebno je nadograditi i sustav SCADA te sustavezaπtite.3 CONCLUSIONSAs an isolated system, the Rhodes Island system isvulnerable to disturbances. The MV overhead linedistribution system in the vicinity of the coast isalso vulnerable to the effects of sea salts that adverselyaffect the reliability of insulation.The sensitivity of wind generation to voltage swingsas well as the overall system protection played acritical role in the development of the perturbationwhich led to the blackout.In view of the fact that the transmission system onRhodes Island is currently being considered for anupgrade from the present 66 kV to 150 kV, scheduledfor the next two-to-three years, it is importantthat the SCADA system is upgraded as well. Theprotection scheme should also be upgraded.Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617616

LITERATURA / REFERENCES[1] Internal Incident-Report DEH, Blackout of the Rhodes EPS on 21.03.2007 (Interno izvjeπÊe o incidentu,Kolaps elektroenergetskog sustava Rodosa 21.03.2007)[2] Marconato, R., Electric Power Systems, Volume 2 (Second Edition), CEI ∑ Italian ElectrotechnicalCommittee, Milano, 2004Uredniπtvo primilo rukopis:2007-07-25PrihvaÊeno:2007-09-27Manuscript received on:2007-07-25Accepted on:2007-09-27617Papazoglou,Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617

NUMERI»KI PRORA»UNNISKOFREKVENCIJSKIH ELEKTRO-MAGNETSKIH PRIJELAZNIH POJAVA UENERGETSKIM TRANSFORMATORIMATHE NUMERICAL CALCULATIONOF LOW FREQUENCY ELECTRO-MAGNETIC TRANSIENT PHENOMENAIN POWER TRANSFORMERSDoc. dr. sc. Amir TokiÊ, Univerzitet u Tuzli, Fakultet elektrotehnike,FranjevaËka 2, 75000 Tuzla, Bosna i HercegovinaProf. dr. sc. Ivo UgleπiÊ, SveuËiliπte u Zagrebu,Fakultet Elektrotehnike i raËunarstva, Unska 3, 10000 Zagreb, HrvatskaU radu je predstavljen model transformatora primjenjiv u niskofrekvencijskim elektromagnetskimprijelaznim pojavama, frekvencija reda oko 1 kHz. Analiziran je primjer uklapanja neoptereÊenogenergetskog transformatora. Prvo je pokazan pojednostavljeni analitiËki pristup, a zatim, zbognjegova ograniËenja, u analizu je uveden numeriËki pristup rjeπavanja krutih diferencijalnihjednadæbi koje opisuju prijelaznu pojavu. U oba sluËaja je realiziran algoritam za generiranje valnihoblika varijabli stanja. Rezultati oba algoritma su usporeappleeni s rezultatima MATLAB/Simulink/Power System Blockset, namjenskog programa za analizu elektromagnetskih prijelaznih pojava uelektroenergetskom sustavu. Razvijeni algoritam se moæe uspjeπno koristiti u ostalim niskofrekvencijskimprijelaznim pojavama gdje je glavni predmet analize nelinearni karakter transformatora:ferorezonancija, ispad tereta, kvarovi kod transformatora itd.In this article, a transformer model is presented that is applicable to low frequency electromagnetictransient phenomena of up to 1 kHz. An example of the energization of a no-load transformeris analyzed. A simplified analytical approach is presented first. Due to the limitations of this approach,a numerical approach is introduced for the solution of the stiff differential equations thatdescribe the transient phenomena. In both cases, algorithms have been developed for generatingthe waveforms of the state variables. The results of both algorithms are compared to the resultsof the MATLAB/Simulink/Power System Blockset for the analysis of electromagnetic transientphenomena in electrical energy systems. Developed algorithm with the introduced numericalapproach can be used successfully in other low frequency transient phenomena where the mainsubject of analysis is the nonlinear character of the transformer: ferroresonance, load switch-off,transformer faults etc.KljuËne rijeËi: implicitno trapezno pravilo, krivulja magnetiziranja, krute diferencijalne jednadæbe,uklapanje transformatoraKey words: implicit trapezoidal rule, magnetization curve, stiff differential equations, transformerenergizationTokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607584

1 UVODU niskofrekvencijske prijelazne pojave u transformatorimase obiËno ubrajaju uklapanjeneoptereÊenih transformatora i ferorezonancija. Uspomenutim prijelaznim pojavama parametar, kojidominantno utjeËe na rezultate prijelaznih pojava,je nelinearni induktivitet æeljezne jezgre transformatora.Kao posljedica nelinearnosti jezgre moæedoÊi do jakih strujnih udara prilikom uklapanjaneoptereÊenih transformatora. Osnovne karakteristikestruja uklopa transformatora su relativnovelika amplituda, koja dostiæe ekstremno i do 10I naz kao i relativno velika duljina trajanja do postizanjastacionarnog stanja [1]. Ovakve struje Ëestomogu uzrokovati nepotrebno djelovanje zaπtitnihureappleaja buduÊi da mogu dostiÊi vrijednosti strujakratkog spoja transformatora. S tim u vezi, danassu razvijene razliËite metode za razlikovanje strujeuklapanja od struje kratkog spoja transformatora.NajËeπÊe upotrebljavane tehnike razlikovanja su:harmonijska analiza struje (praÊenje drugog harmonikastruje) [2], energetske metode [3], metodemagnetskih karakteristika transformatora [4], tesuvremene tehnike koje se baziraju na upotrebiwavelet transformacije i neuronskih mreæa [5], suvremenihkorelacijskih algoritama [6], itd.Posljedica struja uklapanja neoptereÊenih transformatoramogu biti privremeni, niskofrekvencijski,nesinusoidalni prenaponi [7], koji mogu znaËajnoenergetski preopteretiti metal-oksidne odvodnikeprenapona koji su instalirani uz transformatore [8].Zagrijavanje odvodnika bitno zavisi od promatranekonfiguracije mreæe i od parametara sustava kaoi odgovarajuÊih poËetnih uvjeta (trenutak uklopatransformatora, remanentni magnetizam transformatoraitd.). Amplituda i duljina trajanja ovakvihprivremenih napona, a samim time i zagrijavanjeodvodnika prenapona, su znatno izraæeniji u uvjetimaslabih elektroenergetskih sustava.Dodatno, uklapanje, odnosno isklapanje transformatorau elektriËnim krugovima koje sadræe kapacitivnostimoæe dovesti do dugotrajnih ferorezonantnihprekostruja, odnosno prenapona. TipiËniprimjeri nastanka ferorezonancije nastupaju priserijskoj kompenzaciji [9] ili pri isklapanju naponskihmjernih transformatora [10], te pri neregularnimsklopnim operacijama trofaznih prekidaËa(prijevremeni uklop/isklop jedne faze u mreæamasa izoliranom neutralnom toËkom) [11].S obzirom na iznesene praktiËne strane problemapri niskofrekvencijskim prijelaznim pojavamatransformatora, potrebno je naroËitu pozornostusmjeriti na pravilno modeliranje transformatora,odnosno simuliranje spomenutih pojava.1 INTRODUCTIONLow frequency transient phenomena in transformersusually include the inrush currents of no-loadtransformers and ferroresonance. In these transients,the parameter with the dominant impact onthe results is the nonlinear inductance of the ironcore. As a consequence of the nonlinearity of thecore, high inrush currents can occur when energizingno-load transformers. The basic characteristicsof transformer inrush currents are relatively highamplitude, which in extreme cases can reach up to10 I rated as well as the relatively long period of timeuntil a steady state is reached [1]. Such currentsfrequently can cause unnecessary tripping to occurbecause they can reach the short-circuit currentvalues of the transformers. In connection with this,various methods have been developed today fordifferentiating between transformer inrush currentand short-circuit current. The most frequently useddifferentiation techniques are as follows: harmonicanalysis of the current (second harmonic component)[2], power differential methods [3], methodsbased on transformer magnetizing characteristics[4], modern techniques that are based on the useof wavelet transform and neural networks [5], moderncorrelation algorithms [6] etc.Consequences of no-load transformer inrush currentscan be temporary, low frequency and nonsinusoidalovervoltages [7], which can significantlyoverload the metal oxide surge arresters that areinstalled next to the transformers [8]. The thermalstress on surge arresters depends significantly onthe network configuration and the system parametersas well as the initial conditions (the instantof energization, remnant magnetism etc.). Theamplitude and duration of such transient voltages,together with the thermal stress on surge arresters,are significantly more marked under the conditionsof weak powersystems.Additionally, energizing and de-energizing transformersin electrical networks with capacitancecan lead to long term overcurrents or overvoltagesdue to ferroresonance. Typical examples of ferroresonanceoccur in series compensation [9], whenswitching off voltage measuring transformers [10]and due to the abnormal switching operations ofthree-phase switches (the premature energizing/deenergizingof a transformer phase in networks withan isolated neutral point) [11].Taking into account the above-described practicalaspect of the problem with the low frequencytransient phenomena of transformers, particularattention should be devoted to the correct modelingof transformers, i.e. the simulation of thesephenomena.TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607586

Kao πto je veÊ spomenuto, osnovna poteπkoÊa umodeliranju energetskih transformatora je nelinearnikarakter induktiviteta æeljezne jezgre transformatora.Ostali parametri transformatora: otpor irasipni induktiviteti primarnog i sekundarnog namotakao i otpor koji reprezentira gubitke u æeljezuuzimaju se konstantnim [12]. Osnovna krivuljamagnetiziranja transformatora dana je na slici 1a.Ova krivulja se moæe kvalitativno aproksimirati sdva pravca, slika 1b, koji predstavljaju tangente unezasiÊenom i zasiÊenom podruËju. Krivulja magnetiziranjaenergetskih transformatora ima jakooπtar prijelaz iz nezasiÊenog u zasiÊeno podruËje.Ovo je posljedica konstruktivne izvedbe visokonaponskihenergetskih transformatora. Naime, sporastom naponske razine, odnosno nazivne snagetransformatora struja praznog hoda se smanjuje iiznosi [13] oko 5 % do10 % nazivne struje transformatoraza transformatore snaga reda 100 kVAi opada sve do vrijednosti oko 0,47 % do 0,59% nazivne struje transformatora za transformatoresnage reda 500 MVA.Pregled standardnih vrijednosti struje magnetiziranjaza energetske transformatore razliËitih nazivnihsnaga dan je tablicom 1. Struja prijelaza u zasiÊenopodruËje i z jednaka je nazivnoj struji pomnoæenojs faktorom ulaska u zasiÊenje k: i z = k·i 0naz ,gdje je za energetske transformatore obiËno1,05 k 1,3. Dakle, koljeno krivulje magnetiziranjaza energetske transformatore velikih snagaje razmjeπteno u veoma uskom podruËju nazivnestruje transformatora (reda 0,5 % do 1 % i naz ).Povrπina, koja je omeappleena realnom krivuljom magnetiziranjai njenom aproksimacijom preko dvapravca, ovdje je reda svega oko 0,001 % ako uzmemoda je 100 % povrπina ispod cijele krivuljemagnetiziranja u p.u. sistemu. LogiËna je posljedicaovako malih nazivnih struja praznog hoda dapredstavljanje krivulje magnetiziranja preko svegadva pravca Ëini gotovo zanemarive pogreπke u usporedbis realnim predstavljanjem krivulje [14].As previously mentioned, the basic difficulty in modelingpower transformers is the nonlinear characterof the inductance of the iron transformer core. Theother transformer parameters, the resistance andleakage inductance of the primary and secondarywindings as well as the resistance that representslosses in iron are assumed to be constant [12]. Thebasic transformer magnetizing curve is presented inFigure 1a. This curve can be qualitatively approximatedwith two straight lines, Figure 1b, that representtangents in the unsaturated and saturatedregions. The power transformer magnetizing curvehas a very sharp transition from the unsaturatedto the saturated regions. This is a consequence ofthe design of high voltage power transformers. Withan increase in the voltage level or rated power ofthe transformer, no-load current is decreased andamounts to approximately 5 % to 10 % of thetransformer rated current [13] for transformers withpower ratings of 100 kVA and decreases to a valueof approximately 0,47 % to 0,59 % of transformerrated current for transformers with power ratingsof 500 MVA.A review of the standard values of power transformermagnetizing currents for various rated powers ispresented in Table 1. The transition current to thesaturated region i z is equal to the rated current multipliedby the saturation factor k: i z = ki 0rated , whereusually for power transformers 1,05 k 1,3.Thus, the bend in the magnetizing curve for ahigh power transformer is in a very narrow regionof the transformer rated current (an order of 0,5 %to 1% i rated ). The surface, which is bounded by thereal magnetizing curve and its approximation bytwo straight lines is of an order here of only approximately0,001 % if it is taken into accountthat 100 % of the surface below the magnetizingcurve is in a p.u. system. A logical consequenceof such low rated no-load currents is that it is possibleto approximate the magnetizing curve usingtwo straight lines with nearly negligible error incomparison to the real curve [14].Tablica 1 − TipiËne vrijednosti struje praznog hoda kao postotak nazivne struje za energetske transformatoreTable 1 − Typical values of no-load current as a percentage of rated current for power transformersS TR (MVA) 0,1 1,0 10 20 40 60i 0 (% i naz/rated ) 5,0 − 8,0 1,75 − 2,32 0,35 − 1,1 0,8 − 1,2 0,65 − 0,94 0,58 − 0,84S TR (MVA) 80 100 150 200 300 500i 0 (% i naz/rated ) 0,54 − 0,77 0,51 − 0,73 0,47 − 0,67 0,51 − 0,64 0,49 − 0,61 0,47 − 0,59587TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

Slika 1Krivulja magnetiziranjatransformatora a) i njenaaproksimacija preko dvapravca b)Figure 1Magnetizing curve oftransformer a) and itsapproximation via twostraight lines b)a)Nazivna struja / Rated currentStruja magnetiziranja / Magnetizing currentb)Magnetski tok / Magnetic fluxStruja magnetiziranja / Magnetizing currentPosljedica nelinearnog karaktera æeljezne jezgretransformatora je nesinusoidalna struja magnetiziranjatransformatora pri sinusoidalnom naponunapajanja, tj. sinusoidalnom magnetskom toku,πto je jasno ilustrirano na slici 2. Na istoj slici suprikazana dva oblika struje magnetiziranja za dvijerazliËite tjemene vrijednosti magnetskog toka. Tijekomprijelazne pojave uklapanja transformatorakada magnetski tok moæe poprimi vrijednosti iveÊe od svoje dvostruke nazivne vrijednosti [15],dolazi do jakih strujnih udara transformatora, πtoje pokazano na slici 3.A consequence of the nonlinear character of theiron transformer core is the nonsinusoidal transformermagnetizing current at the sinusoidal supplyvoltage, i.e. sinusoidal magnetic flux, which isclearly illustrated in Figure 2. In the same figure,two forms of magnetizing current are presentedfor two different peak values of the magnetic flux.During the transient phenomena of transformerenergization, when the magnetic flux can acquirevalues greater than twice its rated value [15], highinrush current occurs, as presented in Figure 3.TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607588

Slika 2Nesinusoidalnastruja magnetiziranjatransformatoraFigure 2Nonsinusoidaltransformermagnetizing currentStruja transformatora / Transformer current(A)1 000800600400200Slika 3TipiËan valni oblikstruje uklapanjatransformatoraFigure 3Typical waveformof transformerinrush current00 0,2 0,4 0,6 0,8 1Vrijeme / Time (s)589TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

2 MATEMATI»KI MODELPRI UKLAPANJUNEOPTEREΔENOGENERGETSKOGTRANSFORMATORAU ovom poglavlju Êe se analizirati matematiËki modelpri uklapanju neoptereÊenog energetskog transformatora,slika 4a i b. Izmeappleu transformatora itoËke prikljuËka na mreæu postoji kapacitet C, kojimse ekvivalentira prilaz kabelskim ili nadzemnimvodom, kapacitet kondenzatorskih baterija i sl.2 MATHEMATICAL MODEL OFTHE ENERGIZATION OF A NO-LOAD POWER TRANSFORMERThis chapter presents an analysis of a mathematicalmodel of the energization of a no-load power transformer,Figures 4a and b. Between the transformerand the connection point to the network, there is acapacity C, which is equivalent to the capacity of acable or overhead approach line, the capacitance ofthe capacitors etc.Slika 4UklapanjeneoptereÊenogenergetskogtransformatoraFigure 4The energizationof a no-load powertransformera) Shema uklapanja transformatora na mreæu / Simplified electrical circuit of transformer energizationb) OdgovarajuÊa zamjenska shema slike a) / Equivalent electrical circuit of Figure a)Parametri mreæe se dobivaju iz podataka o snazitropolnog kratkog spoja u toËki prikljuËka:The network parameters are obtained from data onthe three-phase short-circuit power at the point ofconnection:(1)Pretpostavlja se da je odnos X / R za danu mreæupoznat, na osnovi kojega se odreappleuje otpor R.Na osnovi poznate nazivne snage transformatoraS TR , te napona kratkog spoja moguÊe je odreditirasipni induktivitet tansformatora:It is assumed that the ratio of X / R for the givennetwork is known, on the basis of which we determineresistance R.On the basis of the known transformer rated powerS TR and the short-circuit voltage, it is possible to determinethe leakage inductance of the transformer:(2)Ostali podaci, djelatni otpor primarnog namotatransformatora R 1 , djelatni otpor izazvan gubicimau æeljezu R m , te nelinearni induktivitet æeljezneOther data, the effective resistance of the primarytransformer winding R 1 , the effective resistance dueto iron core losses R m , and the nonlinear inductanceTokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607590

jezgre transformatora L m , inaËe definirana krivuljommagnetiziranja -i m ( je glavni ulanËenimagnetski tok, i m je struja magnetiziranja transformatora),lako se mogu odrediti mjerenjem ili suveÊ dani od strane proizvoappleaËa. Ovaj nelinearniinduktivitet aproksimiran je s dva pravca u -i mkoordinatnom sustavu, slika 2, πto je za energetsketransformatore u praksi uglavnom prihvatljivo.ToËka (i z , z ) predstavlja kritiËnu toËku pri prelaskuiz nezasiÊenog u zasiÊeno podruËje æeljezne jezgre.Koeficijenti pravaca ustvari predstavljaju induktiviteteu nezasiÊenom (L m1 , const 1 ) i zasiÊenompodruËju (L m2 , const 2 ). Na ovaj naËin dobivamofunkcionalnu ovisnost struje magnetiziranja o magnetskomtoku kao (funkcijom sign osiguravamopozicioniranje u odgovarajuÊem kvadrantu):of the transformer iron core L m , otherwise definedby the magnetizing curve -i m ( is the main linkagemagnetic flux, i m is the transformer magnetizingcurrent), can easily be determined through measurementor are already provided by the manufacturer.This nonlinear inductance is approximated with twostraight lines in the -i m coordinate system, Figure 2,which is generally acceptable in practice for powertransformers. Point (i z , z ) represents the criticalpoint at the transition from the unsaturated regionto the saturated region of the iron core. The straightlines coefficients actually represent inductances inthe unsaturated region L m1 , const 1 and saturated regionL m2 , const 2 . In this manner, we obtain the functionaldependence of the magnetizing current on themagnetic flux (we define the position in the correspondingquadrant with the sign function) as follows:(3)(4)3 ANALITI»KI PRISTUPRadi jednostavnosti zanemarit Êe se sve aktivneelemente sa slike 4b. Dakle, pri prijelaznoj pojaviuklapanja transformatora ako trenutaËna vrijednostmagnetskog toka, po apsolutnoj vrijednostipremaπi kritiËnu vrijednost z , induktivnost transformatorase mijenja sa L m1 na L m2 . To ustvariznaËi da se trenutak kada magnetski tok dostignevrijednost z moæe uzeti kao vrijeme t=T>T uk isklapanjainduktiviteta L m1 odnosno uklapanja induktivitetaL m2 . Ekvivalentna shema bi u tom sluËajuizgledala kao na slici 5. SliËno, pri smanjenjumagnetskog toka ispod vrijednosti z iskljuËuje seinduktivitet L m2 i ukljuËuje induktivitet L m1 .3 ANALYTICAL APPROACHFor the purpose of simplicity we shall ignore allthe active elements from Figure 4b. In the transientphenomena during transformer energization,if the instantaneous value of the magnetic flux interms of absolute value exceeds the critical valueof z , the transformer inductance changes from L m1to L m2 . This actually means that the moment whenthe magnetic flux reaches the value of z can betaken as the time t=T>T uk of switching off the inductanceL m1 , respectively the time of switchingon the inductance L m2 . In this case, an equivalentdiagram would look like the one presented in Figure5. Similarly, when the magnetic flux is decreasedbelow the value of z , inductance L m2 is switchedoff and inductance L m1 is switched on.591TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

Slika 5Uklapanjetransformatora ∑pojednostavljeni modelFigure 5Transformer energization∑ simplified modelDakle, promjena trenutaËne vrijednosti magnetskogtoka pri prelaznoj pojavi uvjetuje prelaskes jednog na drugi pravac πto u diferencijalnimjednadæbama koje opisuju ponaπanje elektriËnihkrugova ustvari znaËi promjenu koeficijenata. ProcespoËinje s induktivitetom L m1 . Uz oznake kao naslici 5 dobiju se diferencijalne jednadæbe koje opisujuponaπanje elektriËnog kruga u proizvoljnomtrenutku tT uk , gdje je t=T uk trenutak uklapanjaprekidaËa :Therefore, in transient phenomena transition from onestraight line to another is conditional upon change inthe instantaneous value of the magnetic flux, whichin differential equations that describe the behavior ofelectric circuits actually signifies coefficient changes.The process begins with the inductance L m1 . Usingthe same symbols as in Figure 5, differential equationsare obtained that describe the behavior of theelectric circuit at the arbitrary moment tT uk , wheret=T uk is the moment that the switch is turned on:(5)(6)Rjeπava se prvo diferencijalna jednadæba (5). Uzizraz za prirodnu kruænu frekvenciju kruga:Differential equation (5) is solved first. When thenatural circular frequency of the circuit is as follows:(7)dobiva se opÊe rjeπenje diferencijalne jednadæbe (5):the general solution to equation (5) is obtained:(8)Konstante a, b i c odreappleuju se iz poËetnih uvjeta:Constants a, b and c are determined from the initialconditions:TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607592

(9)(10)(11)Napon U 0 i struja I C0 se odreappleuju iz stanja prijeuklapanja prekidaËa:Voltage U 0 and current I C0 are determined from thestate prior to turning on the switch:(12)(13)Koeficijenti a, b i c se dobivaju iz matriËnejednadæbe koja se formira na osnovi jednadæbi (9)do (13):Coefficients a, b and c are obtained from the matrixequation formed on the basis of equations (9) to(13):(14)gdje su matrice M, K i N redom:where matrices M, K and N are as follows:(14a)(14b)(14c)593TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

Kada se odrede konstante a, b i c tada se za vremenskioblik magnetskog toka (t), napona u(t) natransformatoru i struje kondenzatora i C (t) dobiva:When constants a, b and c are determined, themagnetic flux (t), transformer voltage u(t) andcondenser current i C (t) waveforms as a function oftime are then as follows:(15)(16)(17)U jednadæbi (8) konstanta a predstavlja istosmjernukomponentu magnetskog toka, b, c i 01 konstantekojima je definiran vlastiti odziv, a B i konstantekojima je definiran prinudni odziv u rjeπenjuza magnetski tok. Posljednje tri jednadæbe vrijedesve dok je zadovoljeno z . U protivnom,kada bude z tada ponaπanje elektriËnogkruga opisuje diferencijalna jednadæba (6) opisujestanje ravnoteæe s parametrom L m2 umjesto L m1 .PoËetni uvjeti za novu diferencijalnu jednadæbu(6) su posljednje trenutaËne vrijednosti rjeπenjaprvobitne jednadæbe (5). Rjeπenja diferencijalnejednadæbe (6) se dobivaju istim postupkom kaorjeπenja jednadæbe (5). Analogno se razmiπlja priponovnom smanjenju magnetskog toka ispod vrijednosti z sa odgovarajuÊim poËetnim uvjetimakoji su odreappleeni posljednjim trenutaËnim vrijednostimastare diferencijalne jednadæbe.Struja magnetiziranja transformatora i m odreappleujese na osnovi relacija (3) i (4).Generalno se moæe organizirati algoritam kojibi prateÊi vrijednost trenutaËnog magnetskogtoka rjeπavao diferencijalne jednadæbe (5) i (6)s odgovarajuÊim poËetnim uvjetima. UvodeÊiteæinske koeficijente k 1 i k 2 koji bi uzimali vrijednosti0 ili 1 moguÊe je naËiniti petlju koja bistalno raËunala vrijednost magnetskog toka uzasiÊenom ili nezasiÊenom podruËju vodeÊi raËunao odgovarajuÊim poËetnim uvjetima.Remanentni magnetizam transformatora remmoguÊe je uvaæiti ako se u proraËun krene s tomvrijednoπÊu, (T uk ) = rem . Histerezna petlja je zanemarena,πto je u praktiËkim primjerima za energetsketransformatore sasvim prihvatljivo [16].In equation (8), constant a represents the DC componentof the magnetic flux, b, c and 01 are theconstants by which the self response is defined,and B and are the constants by which the forcedresponse is defined in the solution for the magneticflux. The last three equations are valid untilthe condition of z is met. Otherwise, when z , differential equation (6) describes thebehavior of the electric circuit with the parameterL m2 instead of L m1 . The initial conditions for a newdifferential equation (6) are the last instantaneousvalues from the solution of equation (5). The solutionto differential equation (6) is obtained accordingto the same procedure as the solution toequation (5). An analogous procedure is used whenthe magnetic flux is again reduced below the valueof z with the corresponding initial conditions thatare determined using the instantaneous values ofthe previous differential equation.The transformer magnetizing current i m is determinedon the basis of equations (3) and (4).It is generally possible to develop an algorithm thatwould solve differential equations (5) and (6) byfollowing the value of the instantaneous magneticflux with the corresponding initial conditions. Byintroducing weighting coefficients k 1 and k 2 thatwould assume the value of 0 or 1, it is possible tomake a loop that that would constantly calculatethe value of the magnetic flux in the saturated andunsaturated regions, taking the corresponding initialconditions into account.Transformer remnant magnetism, rem can be takeninto account if this value is entered into the calculation(T uk ) = rem . The hysteresis loop is ignored,which is completely acceptable in practical applicationsfor power transformers [16].TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607594

Pojednostavljeni algoritam raËunanja varijablistanja (magnetskog toka, napona i struje) dan jena slici 6. OteæavajuÊa Ëinjenica pri realizacijiprograma je da se poËetni uvjeti pri svakom prijelazuiz jednog u drugo podruËje stalno morajupreraËunavati.A simplified algorithm for the calculation of statevariables (magnetic flux, voltage and current) ispresented in Figure 6. A complicating factor in theimplementation of the program is that the initialconditions at every transition from one region to anothermust constantly be recalculated.PoËetakUËitavanjeparametara sustavaStartLoading systemparametersSlika 6Razvijeni algoritam,pojednostavljenimodelFigure 6Developed algorithm,simplified modelRaËunanje poËetnih uvjeta 01 , U 01 , I 01i koeficijenata a, b i cCalculation of initial conditions 01 , U 01 , I 01and coefficients a, b i cTeæinski koeficijenti:i=1, j=0, k 1 =1, k 2 =0Weighting coefficients:i=1, j=0, k 1 =1, k 2 =0t=T ukt=T ukt=t+ht=t+hRaËunanje magnetskog toka = k 1 (L m1 , 01 , U 01 , I 01 ) + k 2 (L m1 , L m2 , 02 , U 02 , I 02 )Magnetic flux calculation = k 1 (L m1 , 01 , U 01 , I 01 ) + k 2 (L m1 , L m2 , 02 , U 02 , I 02 )NENO||≤ z||≤ zDAYESi=i+1, j=0i=0, j=j+1i=i+1, j=0i=0, j=j+1NEi=1 j=1NENOi=1 j=1NODADAYESYESPreuzimanje novihpoËetnih uvjeta 01 , U 01 , I 01 ikoeficijenata a, b i cPreuzimanje novihpoËetnih uvjeta 02 , U 02 , I 02 ikoeficijenata a, b i cAcceptance of newinitial conditions 01 , U 01 , I 01 andcoefficients a, b i cAcceptance of newinitial conditions 02 , U 02 , I 02 andcoefficients a, b i cNEt≤T promNOt≤T considDAYESPrintanje rezultata:(t), u(t), i c (t), i m (t)Print-out of the results:(t), u(t), i c (t), i m (t)KrajEnd595TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

4 NUMERI»KI PRISTUPSada Êe se analizirati sluËaj uklapanja transformatorasa svim elementima prema slici 7. Dok setransformator joπ uvijek nalazi u nezasiÊenom podruËju,gdje Êe se radi jednostavnosti induktivitetæeljezne jezgre oznaËiti s L m , vrijede jednadæbe:4 NUMERICAL APPROACHA case will now be analyzed of the energization ofa transformer with all the elements according toFigure 7. While the transformer is still in the unsaturatedregion, where for purposes of simplicitythe inductance of the iron core will be designatedby L m , the following equations apply:(18)(19)(20)(21)Slika 7Uklapanje transformatora∑ potpuni modelFigure 7Transformer energization∑ complete modelTransformacijom posljednje Ëetiri jednadæbe dolazimodo diferencijalne jednadæbe Ëetvrtog redaoblika:Through the transformation of the last fourequations, we arrive at fourth-order differentialequations:(22)TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607596

gdje su konstante a i, i = 0, 1, 2, 3, 4 dane sa:where the constants a i, i = 0, 1, 2, 3, 4 are asfollows:(22a)(22b)(22c)(22d)(22e)Uz realne podatke [8]:∑ E m = 172 kV,∑ R = 8,82 ,∑ L = 0,281 H,∑ C = 4,218 F,∑ R 1 = 0,529 ,∑ L 1 = 0,126 H,∑ z = 657,88 W,∑ L m1 = 185,24 H,∑ L m2 = 0,253 H,∑ R m = 0,576 ·10 6 ,primjenjujuÊi Bairstow numeriËku metodu, za korjenekarakteristiËne jednadæbe bi dobili rjeπenja:with real data [8]:∑ E m = 172 kV,∑ R = 8,82 ,∑ L = 0,281 H,∑ C = 4,218 F,∑ R 1 = 0,529 ,∑ L 1 = 0,126 H,∑ z = 657,88 W,∑ L m1 = 185,24 H,∑ L m2 = 0,253 H,∑ R m = 0,576 ·10 6 ,and by applying the Bairstow numerical method,the roots of the characteristic equation are obtainedas follows:(23)(24)(25)597TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

Tada je opÊe rjeπenje jednadæbe (22):Then the general solution of the equation (22) is:(26)OËita je jaka rasutost korijena p 1 i p 2 . Kada bi poanalogiji na razmatranje kao u poglavlju 3 formiralimatrice M, K i N, lako bismo zakljuËili da matricaK predstavlja singularnu matricu, jer u prvomstupcu sadræi umnoπke broja ep 1 T uk. Svi ti brojevisu za raËunalo praktiËki jednaki nuli zbog golemevrijednosti p 1 . Dakle, klasiËan analitiËki pristup uopÊem se sluËaju ne bi mogao provesti zbog singularnostimatrice K. U daljem dijelu razmatrat Êese numeriËki pristup rjeπavanja ovog problema.Meappleutim, i pri numeriËkom pristupu veoma jevaæno obratiti pozornost na izbor odgovarajuÊegnumeriËkog postupka zbog istaknute Ëinjenice dasu korijeni karakteristiËne jednadæbe jako rasuti ulijevom dijelu kompleksne ravnine. Jaka disperzijakorijena karakteristiËne jednadæbe definirazasebnu klasu diferencijalnih jednadæbi poznatihpod imenom krute diferencijalne jednadæbe (stiffdifferential equations). Naime, diskutabilna jeapsolutna stabilnost numeriËkih postupaka primijenjenihna ovu vrstu jednadæbi [17]. Nijedanod klasiËnih numeriËkih postupaka u eksplicitnojformi, bio jednokoraËni ili viπekoraËni tipa Eulera,Runge-Kuta, Adams-Moulton itd. pri standardnimkoracima integracije, ne osigurava apsolutnustabilnost postupka, πto dovodi do divergiranjarjeπenja u numeriËkom smislu (pogreπka k u k-tojiteraciji izaziva u k+1-oj iteraciji pogreπku k+1 > k ).Apsolutnu stabilnost osiguravaju jedino implicitninumeriËki postupci [17] i [18], mada i pri njihovojupotrebi treba biti jako oprezan. U konkretnomprimjeru upotrijebljeno je apsolutno stabilno implicitnotrapezno pravilo.Jednadæbe (18) do (22) Êe se napisati u prostorustanja uzimajuÊi da je vektor varijabli stanja:High dispersion of the roots p 1 and p 2 is evident.If matrices M, K and N are formed, analogically tothe discussion in Chapter 3, it could be easily concludedthat matrix K represents a singular matrixbecause it contains multiples of the number e p 1 T ukin the first column. All these numbers are practicallyequal to zero for a computer due to the enormousvalue of p 1 . Therefore, the classical analytical approachin a general case could not be implementeddue to the singularity of matrix K. The numericalapproach to the solution of this problem will bediscussed subsequently. However, with the numericalapproach it is very important to pay attentionto the selection of the suitable numerical approachprocedure due to the significant fact that the rootsof the characteristic equation are highly dispersedin the left part of the complex plain. The high rootdispersion of the characteristic equation defines aseparate class of differential equations known asstiff differential equations. The absolute stabilityof the numerical approaches applied in this typeof equation is disputable [17]. None of the classicalnumerical approaches in explicit form, whetherof the single-step or multistep Euler, Runge-Kutta,Adams-Moulton type etc. using standard integrationsteps, assures the absolute stability of the procedure,which leads to divergence of the solutions inthe numerical sense (error k in the k-th iterationcauses error k+1 > k in the k+1 iteration). Only implicitnumerical procedures guarantee absolute stability[17] and [18], although it is necessary to usethem very cautiously. In a concrete example, the absolutelystable implicit trapezoidal rule is applied.Equations (18) to (22) can be written in the statespace form where the state variable vector is:(27)Za nezasiÊeno podruËje gdje inaËe vrijedi:For the unsaturated region where the following otherwiseapplies:za / for(28)TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607598

dobiva se jednadæba u prostoru stanja:the following state space equation is obtained:(29)gdje su:Where:(29a)(29b)U zasiÊenom podruËju gdje inaËe vrijedi relacija:In the saturated region where the following relationotherwise applies:za / for(30)dobiva se:the following is obtained:(31)599TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

gdje su:where:(31a)(31b)Implicitno trapezno pravilo primijenjeno na sustavẋ = A i x + bi, i = 1, 2 daje iteracijsku vezu:The implicit trapezoidal rule applied to the system ẋ= A i x + bi, i = 1, 2 yields the iteration expression:(32)U posljednjoj relaciji sa h oznaËen je korak integracijei on je veoma problematiËan za eksplicitnemetode. Naime, da bi se osigurala stabilnost ovihpostupaka korak se mora odræati dovoljno malimda bi testovi stabilnosti bili zadovoljeni. Za Eulerovopravilo je potrebno da korak integracije budeIn the previous expression, h is designated as theintegration step and it is highly problematic forexplicit methods. In order to assure the stabilityof these procedures, the step should be kept sufficientlysmall in order to satisfy the stability tests.For Euler’s rule, it is necessary for the integrationstep to be:(33)gdje su sa i oznaËene sve svojstvene vrijednostimatrice A i . Za ovaj bi primjer veÊ za nezasiÊenopodruËje korak bio:where i denotes all the characteristic values ofmatrix A i . For this example, the step for the unsaturatedregion would be:(34)Pri upotrebi implicitnog trapeznog pravila nije potrebnovoditi raËuna o veliËini koraka h.Dakle, moguÊe je naËiniti algoritam, slika 8, kojiÊe prema (32) numeriËki rjeπavati sustav diferencijalnihjednadæbi (29) za z i (31) za > z .When applying the implicit trapezoidal rule, it is notnecessary to take the size of step h into account.Therefore, it is possible to develop an algorithm,Figure 8 , which according to (32) will numericallysolve the system of differential equations (29) for z and (31) for > z .TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607600

PoËetakUËitavanjeparametara sustavaStartLoading systemparametersSlika 8Razvijeni algoritam,potpuni modelFigure 8Developed algorithm,complete modelRaËunanje poËetnih uvjetax=[I 0 U C0 I 10 0 ] TCalculation of initial conditionsx=[I 0 U C0 I 10 0 ] TRaËunanje matricaU i =[E− h/2 A i ] −1 , i=1, 2Matrix calculationU i =[E− h/2 A i ] −1 , i=1, 2i=T uki=T ukt=i+ht=i+hRaËunanje magnetskog toka = k 1 f 1 (L m1 , x, U 1 ) + k 2 f 2 (σ, L m1 , L m2 , x, U 2 )Magnetic flux calculation = k 1 f 1 (L m1 , x, U 1 ) + k 2 f 2 (σ, L m1 , L m2 , x, U 2 )NENO|| ≤ z|| ≤ zDAYESK 1 =1, K 2 =0 K 1 =0, K 2 =1K 1 =1, K 2 =0 K 1 =0, K 2 =1NEt≤T promNOt≤T considDAYESPrintanje rezultata:(t), u c (t), i(t), i 1 (t)Print-out of the results:(t), u c (t), i(t), i 1 (t)KrajEnd601TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

5 TEST PRIMJERProgrami dobiveni prema algoritmima sa slika 6 i8 testirani su na MATLAB/Simulink/Power SystemBlockset (PSB), dio MATLAB-a za elektromagnetsketranzijente [19]. Parametri modela preuzeti suiz [8]. Rezultati simulacija dani su na slikama 9i 10.5 TEST EXAMPLEThe programs obtained according to the algorithmsfrom Figures 6 and 8 have been tested using theMATLAB/Simulink/Power System Blockset (PSB), apart of MATLAB for electromagnetic transients [19].The model parameters were taken from [8]. The simulationresults are presented in Figures 9 and 10.Slika 9Pojednostavljeni model,T uk = 5 ms, rem = 0Figure 9Simplified model,T uk = 5 ms, rem = 0Struja transformatora / Transformer current(A)3000-300-600-900-1 200-1 5000 0,02 0,04 0,06 0,08 0,1Vrijeme / Time (s)400(A)Magnetski tok / Magnetic flux0-400-800-1 2000 0,02 0,04 0,06 0,08 0,1Vrijeme / Time (s)Slika 9 pokazuje rezultate razvijenog algoritmakoji uzima u obzir pojednostavljeni model uklapanjatransformatora, bez priguπnih elemenata,poglavlje 3.Slika 10 pokazuje rezultate razvijenog algoritmakoji uzima u obzir potpuni model uklapanjatransformatora, sa svim elementima, poglavlje 4.Na slici 10 je uvaæen i remanentni magnetizamtransformatora.Moæe se zakljuËiti da se rezultati realiziranihprograma u potpunosti podudaraju s programomPSB.Figure 9 presents the results of the developed algorithmthat takes the simplified model of transformerenergization into account, without the damping elements,Chapter 3.Figure 10 presents the results of the developed algorithmthat takes the complete model of transformerenergization into account, with all the elements,Chapter 4. In Figure 10, the transformer remnantmagnetism has also been taken into account.It can be concluded that the results of the realizedprograms are in complete agreement with the PSBprogram.TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607602

Struja transformatora / Transformer current(A)1 6001 2008004000Slika 10Potpuni model,T uk = 15 ms, rem = 0,8 nomFigure 10Complete model,T uk = 15 ms, rem = 0,8 nom-4000 0,02 0,04 0,06 0,08 0,1Vrijeme / Time (s)1 200(Vs)Magnetski tok / Magnetic flux80040000 0,02 0,04 0,06 0,08 0,1Vrijeme / Time (s)6 KOMPARACIJA SMJERENJIMARazvijeni program se moæe dalje generalizirati namodeliranje trofaznih transformatora, gdje su krivuljemagnetiziranja predstavljene preko konaËnogbroja pravaca. Tada se vrijednosti struja magnetiziranja,po fazama, raËunaju iz formule [20]:6 COMPARISON WITHMEASUREMENTSA developed program can be further generalized forthe modeling of three-phase transformers, wherethe magnetizing curves are represented by a finitenumber of straight lines. The values of the magnetizingcurrent, according to phases, are then calculatedfrom the following formula [20]:(35)U posljednjoj relaciji su krivulje magnetiziranja,po fazama, dane s vektorima:In the previous expression, the magnetizing curves,according to phases, are represented by vectors:603TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

(36)(37)gdje su:j = 1, 2, 3 oznake faza,N = ukupni broj pravaca krivulje magnetiziranja.Razvijeni algoritam je verificiran kompariranjemizmjerenih i simuliranih struja uklapanjaneoptereÊenog trofaznog transformatora. Parametritrofaznog, trostupnog 2,4 kVA, 0,38/0,5 kV, Y-Ytransformatora su:∑ napon kratkog spoja u k% = 3 %,∑ djelatni otpor namota po fazi R tr = 1,5 Ω,∑ rasipni induktivitet L tr = 1 mH,∑ gubici u jezgri transformatora R m = 4 626 Ω.Nelinearna krivulja magnetiziranja je predstavljenapreko 13 pravaca, [20]. Pri modeliranju trostupnogtransformatora uvaæena je i nulta reaktancijaL 0 = 15 mH [20].Model transformatora [20], s pridodanom nultomreaktancijom prikazan je na slici 11.where:jN= 1, 2, 3 are phase designations,= the total number of straight lines of the magnetizingcurve.The developed algorithm is verified by compairsonbetween the measured and simulated inrush currentsof the no-load three-phase transformer. Theparameters of the three-phase three-legged 2,4kVA, 0,38/0,5 kV, Y-Y transformer are as follows:∑ short-circuit voltage u k% = 3 %,∑ effective resistance per winding phase R tr = 1,5 Ω,∑ leakage inductance L tr = 1 mH,∑ iron core losses R m = 4 626 Ω.A nonlinear magnetizing curve is presented via13 straight lines [20]. In the modeling of a threeleggedtransformer, zero reactance L 0 = 15 mH istaken into account [20].A transformer model [20] with added zero reactanceis presented in Figure 11.Slika 11Model trofaznog,trostupnogtransformatora spridodanom nultomreaktancijomFigure 11Model of a three-phase,three-legged transformerwith added zeroreactanceIzvor je modeliran s vektorom elektromotorne silepo fazama:The source is modeled with a vector of the electromotiveforce for each phase:TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607604

(38)Rezultati mjerenja i simulacija dani su na slici12.The measurement and simulation results are presentedin Figure 12.a) Mjerenje / MeasurementSlika 12Struje uklapanjatrofaznog transformatora:mjerenje i simulacijaFigure 12Inrush current of athree-phase transformer:measurement andsimulationb) Simulacija / Simulation40(A)Struja transformatora / Transformer current3020100-10-20-30-400 0,02 0,04 0,06 0,08 0,1 0,12Vrijeme / Time (s)Analizom rezultata mjerenja i simulacija dolazi sedo zakljuËka da maksimalna relativna pogreπka,raËunata po tjemenim vrijednostima struje uklapanjatijekom svakog perioda, iznosi 3,56 %.Through analysis of the measurement and simulationresults, the conclusion is reached that themaximum relative error calculated according tothe peak inrush current values during each periodamounts to 3,56 %.605TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

7 ZAKLJU»AKU radu je opisan model transformatora primjenjivu prijelaznim pojavama relativno niskih frekvencija.Za energetske transformatore velikihsnaga pokazano je da se krivulja magnetiziranjakvalitativno moæe predstaviti preko dva pravca.Pokazane su granice upotrebe analitiËkih metodaproraËuna prijelaznih pojava u transformatorima.Za numeriËko rjeπavanje sustava krutih diferencijalnihjednadæbi iskoriπteno je implicitno trapeznopravilo. Razvijeni algoritam je moguÊe apliciratiu niskofrekvencijskim prijelaznim pojavama kaoπto su: uklapanje transformatora, ferorezonancija,ispad tereta, kvarovi transformatora itd. Na krajuje pokazan primjer upotrebe realiziranog algoritmana proraËun prijelazne pojave uklapanja trofaznogtrostupnog transformatora. Kompariranjemmjerenih i simuliranih struja uklapanja trofaznogtransformatora ustanovljeno je da se pogreπke nalazeu zadovoljavajuÊim granicama (maksimalno3,56 %).7 CONCLUSIONA transformer model applicable to relatively lowfrequency transient phenomena is described in thearticle. For power transformers with high power ratings,it was demonstrated that the magnetizing curvecan be adequately presented with two straight lines.The limits for the use of analytical methods for thecalculation of transient phenomena in transformersare presented. The implicit trapezoidal rule wasused for the numerical solution of a system of stiffdifferential equations. The developed algorithm canbe applied to low frequency transient phenomenasuch as transformer energization, ferroresonance,load switch-off, transformer faults etc. An exampleof the application of the developed algorithmwas presented for the calculation of the transientsthat occur during the energization of a three-phase,three-legged transformer. Through comparison ofthe measured and simulated inrush currents of thethree-phase transformer, it was established that theerrors were within acceptable limits (a maximum of3,56 %).TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607606

LITERATURA / REFERENCES[1] CIPCIGAN, L., XU, W., DINAVAHI, V., A New Technique to Mitigate Inrush Current Caused by TransformerEnergization, IEEE PES, Summer Meeting, July 2002, Vol. 1[2] LIN, C. E., CHENG, C. L., HUANG, C. L., YEH, J. C., Investigation of Magnetizing Inrush Current inTransformers: Part II ∑ Harmonic Analysis, IEEE Transaction on Power Delivery, Vol. 8, No. 1, January1993[3] YABE, K., Power Differential Method for Discrimination Between Fault and Magnetizing Inrush Currentin Transformers, IEEE Transaction on Power Delivery, Vol. 12, No. 3, July 1997[4] KITAYAMA, M., NAKABAYASHI, M., A New Approach to Fast Inrush Current Discrimination Based onTransformer Magnetizing Characteristics, 14 th PSCC Conference, Sevilla, June 2003[5] MAO, P. L., AGGARWAL, R. K., A Novel Approach to the Classification of the Transient Phenomenain Power Transformers Using Combined Wavelet Transform and Neural Network, IEEE Transaction onPower Delivery, Vol. 16, No. 4, October 2001[6] LIN, X., LIU, P., MALIK, O. P., Studies for Identification of the Inrush Based on Improved CorrelationAlgorithm, IEEE Transaction on Power Delivery, Vol. 17, No. 4, October 2002[7] RIOUAL, M., SICRE, C., DRISS, K. B., Special Methods for the Calculation of Temporary OvervoltagesDue to Transformer Saturation, IEEE PES, Winter Meeting, January 2001, Vol. 2[8] SCHEI, A., EKSTROM, A., Stresses on Metal Oxide Surge Arresters in HVAC Systems by Temporaryand Transient Overvoltages and Related Tests, International Conference on Large HV Electrical Systems,Paris, 1986[9] BAR, R. A., PLATT, D., Modelling and Mapping Ferroresonant States in Series Compensated Distributionand Subtransmission Lines, IEEE Transactions on Power Delivery, Vol. 11, No. 2, April 1996[10] EMIN, Z., AL ZAHAWI, B. A. T., TONG, Y. K., Voltage Transformer Ferroresonance in 275 kV Substation,International Symposium on High Voltage Engineering, Vol. 1, August 1999[11] Working Group, Modeling and Analysis Guidelines for Slow Transients ∑ Part III: The Study of Ferroresonance,IEEE Transaction on Power Delivery, Vol. 15, No. 1, January 2000[12] ONG, C. M., Dynamic Simulation of Electric Machinery using MATLAB ® /SIMULINK, Prentice HallPTR, New Jersey, 1998[13] GREENWOOD, A., Electrical Transients in Power Systems, John Wiley & Sons, New York, 1991[14] MIRI, A. M., MÜLLER, C., SIHLER, C., Modelling of Inrush Currents in Power Transformers by aDetalied Magnetic Equivalent Circuit, International Conference on Power Systems Transients IPST,Rio de Janeiro, August 2001[15] BRUNKE, J. H., FRÖHLICH, K. J., Elimination of Transformer Inrush Currents by Controlled Switching∑ Part I: Theoretical Considerations, IEEE Transaction on Power Delivery, Vol. 16, No. 2, April2001[16] SEMLYEN, A., DE LEON, F., A Simple Represetation of Dynamic Hysteresis Losses in Power Transformers,IEEE Transactions on Power Delivery, 1, 1995[17] PRESSS, W. H., VETTERLING, W. T., TEUKOLSKY, S. A., FLANNERY, B. P., Numerical Recipes in C,The Art of Scientific Computing, Cambridge University Press, New York, 1994[18] SHAMPINE, L. F., REICHELT, M. W., The MATLAB ODE site, Matlab/ toolbox/ ode, 1999[19] Power System Blockset, User’s Gude, The MathWorks, Hydro-Quebec, TEQSIM International, 1999[20] TOKIΔ, A., NumeriËki proraËun niskofrekvencijskih elektromagnetskih prelaznih pojava u transformatorima,Doktorska disertacija, Fakultet Elektrotehnike i RaËunarstva SveuËiliπta u Zagrebu, Zagreb,listopad, 2004.Uredniπtvo primilo rukopis:2007-07-10PrihvaÊeno:2007-07-29Manuscript received on:2007-07-10Accepted on:2007-07-29607TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

REGULATORNA POLITIKA I NJENUTJECAJ NA PLANOVE RAZVOJAI IZGRADNJE ENERGETSKIHSUBJEKATA KOJI OBAVLJAJUREGULIRANE DJELATNOSTIREGULATORY POLICY AND ITSIMPACT ON THE DEVELOPMENT ANDCONSTRUCTION PLANS OF ENTITIESPERFORMING REGULATED ACTIVITIESMr. sc. Ivona ©tritof, Hrvatska energetska regulatorna agencija,Koturaπka cesta 51, 10000 Zagreb, HrvatskaFranjo KleËina, dipl.ing., Energetski institut Hrvoje Poæar,Savska cesta 163, 10000 Zagreb, HrvatskaHrvatska energetska regulatorna agencija u prosincu 2006. godine donijela je tarifne sustavebez visine tarifnih stavki za djelatnosti proizvodnje, prijenosa, distribucije i opskrbe elektriËnomenergijom. Tarifnim sustavima utvrappleena je metoda regulacije koja Êe se primjenjivati prilikomutvrappleivanja iznosa tarifnih stavki za pojedinu djelatnost. Jedan od preduvjeta za donoπenje iznosatarifnih stavki od strane Vlade Republike Hrvatske je donoπenje planova razvoja i izgradnje prijenosnei distribucijske mreæe od strane energetskih subjekata koji obavljaju regulirane djelatnostina koje Hrvatska energetska regulatorna agencija daje suglasnost.In December 2006, the Croatian Energy Regulatory Agency ∑ CERA (Hrvatska energetska regulatornaagencija ∑ HERA) adopted tariff systems without stipulating the amounts of the tariff itemsfor the activities of the generation, transmission, distribution and supply of electrical energy. Aregulatory method was established through the tariff systems that will be applied in the determinationof the amounts of the tariff items for individual activities. One of the prerequisites forthe adoption of the amounts of tariff items by the Government of the Republic of Croatia is theadoption of the development and construction plans of the transmission and distribution networksto which the CERA issues approval.KljuËne rijeËi: planovi razvoja, regulatorna politika, regulatorno tijelo, regulirani energetskisubjekt, tarifni sustaviKey words: development plans, entity performing regulated activity, regulatory body, regulatorypolicy, tariff systemsŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583554

1 UVODU prosincu 2006. godine Hrvatska energetskaregulatorna agencija (HERA) donijela je tarifne sustave,bez visine tarifnih stavki za Ëetiri djelatnostiËija se cijena utvrappleuje na regulirani naËin [1]:∑ proizvodnju elektriËne energije s iznimkompovlaπtenih kupaca,∑ prijenos elektriËne energije,∑ distribuciju elektriËne energije,∑ opskrbu elektriËnom energijom s iznimkompovlaπtenih kupaca.U navedenim tarifnim sustavima definirana je iregulatorna politika, odnosno metoda ekonomskeregulacije, a to je metoda priznatih troπkova poslovanja[2] do [5]. U teoretskim razmatranjimaregulacije energetskih djelatnosti ova metoda svrstanaje u klasiËni pristup regulaciji poznat i podnazivom regulacija stopom povrata [6]. Tu metoduregulatorna tijela u dræavama Ëlanicama Europskeunije (EU) sve viπe napuπtaju i zamjenjujumetodama poticajne regulacije u kombinaciji sregulacijom kvalitete opskrbe [7], buduÊi da sepokazalo da primjena regulacije stopom povratapotiËe podizanje troπkova ulaganja iznad onih kojebi subjekti koji obavljaju reguliranu djelatnostsnosili da ulaæu po kriteriju minimalnih troπkova.Pokazalo se da u naËelu regulacija stopom povratapostiæe suprotan uËinak od onog kojeg bi trebalaosigurati ekonomska regulacija kroz nezavisnoregulatorno tijelo. Ciljevi ekonomske regulacijeprvenstveno su [7]:∑∑∑poticanje uËinkovitosti i poveÊanje produktivnosti,osiguranje primjerene financijske sposobnostisektora,sprjeËavanje diskriminacije kupaca i energetskihsubjekata.Regulatorna politika prema ulaganjima subjekatakoji obavljaju regulirane djelatnosti jedan je odkljuËnih segmenata u provoappleenju ekonomske regulacije.Nova ulaganja, ako su prihvaÊena kao dozvoljenitroπak, ukljuËena su u regulatornu osnovicusredstava, kroz amortizaciju i iznos dozvoljenogpovrata sredstava. Regulatorno tijelo moæe imatiznaËajnu ulogu u utvrappleivanju opravdane razineulaganja, a time i u postupku utvrappleivanja cijenereguliranih djelatnosti. Tim viπe, ako se uzmeu obzir Ëinjenica da mnoga zakonska rjeπenjapredviappleaju da regulatorno tijelo daje suglasnostili donosi planove razvoja subjekata koji obavljajuregulirane djelatnosti.1 INTRODUCTIONIn December 2006, the Croatian Energy RegulatoryAgency (CERA) adopted tariff systems withoutstipulating the amounts of the tariff items for fouractivities for which the prices are determined in aregulated manner [1]:∑ the generation of electrical energy, with theexception of eligible customers,∑ the transmission of electrical energy,∑ the distribution of electrical energy,∑ the supply of electrical energy, with the exceptionof eligible customers.In these tariff systems, the regulatory policy, i.e.the method of economic regulation, was defined[2] to [5]. In theoretical studies of the regulationof energy activities, this method is classified in theclassical approach to regulation that is known asthe rate of return (RoR) method [6]. This methodis being increasingly abandoned by the regulatorybodies in the member countries of the EuropeanUnion (EU) in favor of incentive regulation methodsin combination with regulation of the quality of supply[7], since it has become evident that applicationof the regulation of the rate of return raisesinvestment costs above those that entities performingregulated activities would otherwise have topay if they invested according to the criterion ofminimal costs. Furthermore, it has become evidentthat in principle the regulation of the rate of returnachieves the opposite effect to that which shouldbe assured by economic regulation through an independentregulatory body. The goals of economicregulation are primarily as follows [7]:∑∑∑promoting efficiency and increasingproductivity,assuring the appropriate financial viability ofthe sector,preventing discrimination against customersand energy entities.The regulatory policy toward the investments by entitiesperforming regulated activities is one of thekey segments in the implementation of economicregulation. New investments, if accepted as allowedexpenditures, are included in the regulatory assetbase (RAB) through depreciation and the amount ofthe allowed return on assets. The regulatory body,therefore, can have a significant role in determiningthe justified level of investment, and thereby inthe procedure for the determination of the pricesfor regulated activities. This is even more the casewhen the fact is taken into account that many legalsolutions anticipate that the regulatory body will issueapproval or adopt the development plans of theentities performing regulated activities.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583556

Hrvatska je na poËetku uvoappleenja ekonomske regulacijeu energetskim djelatnostima, stoga se uovom trenutku joπ ne mogu analizirati uËinci regulatornepolitike u cijelosti kao niti pojedinih regulatornihodluka. Iako su tarifni sustavi, bez visinetarifnih stavki, doneseni u prosincu 2006. godine,koliko je poznato autorima (u vrijeme predaje ovogËlanka uredniπtvu) procedura donoπenja iznosa tarifnihstavki nije joπ zapoËela. Za donoπenje iznosatarifnih stavki potrebno je prije svega da energetskisubjekti HEP Operator prijenosnog sustava d.o.o.(HEP OPS) i HEP Operator distribucijskog sustavad.o.o. (HEP ODS) dostave HERA-i na suglasnostprijedlog trogodiπnjih planova razvoja i izgradnje,a sve temeljem Zakona o træiπtu elektriËne energije[8].Kod razmatranja planova razvoja i izgradnje prijenosnei distribucijske mreæe, nameÊe se pitanjekoje se odnosi na dubinu nadleænosti regulatornogtijela, pa tako i HERA-e, odnosno na njegovu pozicijuu odnosu na davanje suglasnosti na pojedinakoncepcijska rjeπenja, odnosno na pojedina tehniËkapitanja. Naime, temeljem Zakona o træiπtuelektriËne energije [8] HEP OPS i HEP ODS donoseplanove razvoja i izgradnje mreæa za razdobljeod tri godine tek po ishoappleenoj prethodnoj suglasnostiHERA-e na svoje prijedloge planova. Doneseniplanovi ujedno su i ishodiπte za utvrappleivanjeiznosa tarifa. Samim zakonskim odredbama nijerazvidno definirana dubina uloge HERA-e u smislunjenih ovlasti prilikom davanja tih suglasnosti.BuduÊi da su iskustva u Hrvatskoj u smislu utjecajaregulatornog tijela na planove razvoja i izgradnjetek u zaËetku, zanimljivo je analizirati ulogu drugihregulatornih tijela u donoπenju planova poslovanja,tj. razvoja i izgradnje subjekata koji obavljajuregulirane djelatnosti. Iskustva regulatornih tijelaËlanica udruæenja energetskih regulatornih tijela izEurope (Energy Regulators Regional Association ∑ERRA) [9], u kojima je regulacija i konkurentnotræiπte elektriËne energije relativno novi koncept,vrlo su razliËita u smislu uloge regulatornog tijela udavanju suglasnosti na planove razvoja i izgradnje.U veÊini sluËajeva regulatorna tijela ne utvrappleujukriterije planiranja razvoja prijenosne i distribucijskemreæe, niti utjeËu na koncepcijska i tehniËkarjeπenja koja vrlo Ëesto proizlaze iz odluka upravetvrtki, veÊ se njihova uloga svodi na odobravanjeposlovnih planova Operatora prijenosnih sustava(OPS) i Operatora distribucijskih sustava (ODS).Paralelno odobravanju poslovnih planova, regulatornatijela postupno uvode i razvidne kriterijekvalitete opskrbe kako bi se izbjeglo smanjenjekvalitete opskrbe zbog smanjivanja troπkova krozprimjenu regulatorne metode te da bi se ujednopostiglo planiranje razvoja mreæe koje za cilj imaThe Republic of Croatia is in the initial phase ofintroducing economic regulation into energy activities.Therefore, at this moment it is still not possibleto analyze the effects of the regulatory policyin their entirety or individual regulatory decisions.For the adoption of the amounts of tariff items, itwill be necessary for the HEP Transmission SystemOperator ∑ HEP TSO (HEP Operator prijesnog sustavad.o.o. ∑ HEP OPS) and the HEP DistributionSystem Operator ∑ HEP DSO (HEP Operator distribucijskogsustava ∑ HEP ODS) as energy entitiesto submit their proposed three-year developmentand construction plans to the CERA for approval, allpursuant to the Electricity Market Act [8].When considering the development and constructionplans of transmission and distribution networks,a question arises in reference to the degreeof the authority of the regulatory body, and thusof the CERA, i.e. its position in relation to issuingapproval for individual conceptual solutionsor individual technical questions. Pursuant to theElectricity Market Act [8], the transmission systemoperator and the distribution system operator onlyadopt plans for the development and constructionof networks for a period of three years after obtainingprior approval from the CERA for their proposedplans. The adopted plans are also the basis for thedetermination of the amounts of tariffs. The legalprovisions themselves have not transparently definedthe range of the CERA's role in the sense ofits authority when issuing these approvals.Since experiences in the Republic of Croatia regardingthe influence of the regulatory body on developmentand construction plans are only in the initialphase, it is interesting to analyze the role of otherregulatory bodies in the adoption of business plans,i.e. development and construction by entities performingregulated activities. The experiences of themember regulatory bodies of the Energy RegulatorsRegional Association (ERRA) [9], in which regulationand a competitive electrical energy market are relativelynew concepts, vary considerably in the sense ofthe role of the regulatory body in issuing approval fordevelopment and construction plans. In the majorityof cases, the regulatory bodies neither determine thecriteria for planning the development of transmissionand distribution networks, nor do they influence theconceptual and technical solutions that very oftenensue from the decisions of company management,but instead their role is limited to approving thebusiness plans of the transmission system operatorand the distribution system operator. Together withthe approval of business plans, regulatory bodiesare gradually introducing transparent criteria for thequality of supply in order to avoid lowering the qualityof the supply due to reduced expenditures throughthe application of regulatory methods in order to557Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

poveÊanje uËinkovitosti, odnosno poveÊanje kvaliteteopskrbe.Odabirom metode regulacije priznatih troπkovai regulatornog razdoblja od godinu dana unutarkojeg je moguÊe inicirati izmjene visine tarifnihstavki, HERA nije dala naglasak na poveÊanjeuËinkovitosti subjekata koji obavljaju reguliranedjelatnosti koji je jedan od glavnih ciljeva ekonomskeregulacije. ImajuÊi u vidu iskustva drugihregulatornih tijela iz EU, nuæno Êe u skoraπnjevrijeme uslijediti izmjena regulatorne metode, atime Êe i HERA intenzivnije pristupiti analizi ovisnostiregulatornog pristupa i razine faktora uËinkovitostiprimjenjujuÊi neku od metoda poticajneregulacije. U Ëlanku se analiziraju dva regulatornapristupa u primjeni faktora uËinkovitosti i uloziregulatornog tijela u odobravanju investicijskihplanova subjekata koji obavljaju regulirane djelatnostipoznatih pod nazivom regulatorni pristupslaganja blokova (engl. Building Blocks Appraoch)i regulatorni pristup ukupnog troπka (engl. TotalExpenditures Approach ∑ TOTEX Approach). Oodabranom regulatornom pristupu ovisi i naËinna koji regulatorno tijelo ocjenjuje uËinkovitostpojedinih ulaganja i razmatra opravdanost razinepredviappleenih ulaganja.achieve the planned development of the networkwith the goal of improving efficiency, i.e. improvingthe quality of the supply.Through the selection of the rate of return (RoR)method and a regulatory period of one year withinwhich it is possible to initiate changes in theamounts of the tariff items, the CERA did not placeemphasis on increasing the efficiency of the entitiesperforming regulated activities, which is oneof the main goals of economic regulation. Bearingin mind the experiences of other regulatory bodiesfrom the EU, changes in the regulatory method willhave to follow soon, and the CERA will have to intensifyits analysis of the dependence of the regulatoryapproach and the level of the efficiency factor,applying some incentive regulation method. In thisarticle, two regulatory approaches are analyzed inthe application of the efficiency factor and the rolesof the regulatory body in the approval of the investmentplans of entities performing regulated activities,known as the building block approach, and theregulatory approach known as the total expenditureapproach or the TOTEX approach. The choice of theregulatory approach will also determine the mannerin which the regulatory body will assess the performanceof individual investments and analyze thejustification for the level of individual investments.2 PRAKSA U »LANICAMAENERGY REGULATORSREGIONAL ASSOCIATIONZemljopisno gledano ERRA je udruæenje regulatornihtijela iz Europe (pojedine dræave ujednosu i Ëlanice EU) i bivπih dræava Sovjetskog savezaosnovano 2000. godine. TrenutaËno su uudruæenju punopravno uËlanjena 22 regulatornatijela ukljuËujuÊi i HERA-u. Na sastancima odboraERRA-e raspravlja se i razmjenjuju se iskustva onadleænostima regulatornih tijela, problemima iizazovima s kojima se susreÊu regulatorna tijela.Jedna od nadleænosti veÊine regulatornih tijela jei sudjelovanje u postupku donoπenja razvojnih/investicijskih planova energetskih subjekata kojise bave prijenosom i distribucijom elektriËneenergije u vidu tehniËkih, financijskih ili poslovnihplanova. Planovi se donose kao preduvjet zautvrappleivanje metodologija za izraËun cijena uslugaili donoπenje samih iznosa cijena usluga. Pitanjakoja se nameÊu prilikom rasprave o ulozi regulatornihtijela u donoπenju predmetnih planova su:∑koliko duboko i detaljno regulatorno tijelo trebabiti ukljuËeno u izradu i donoπenje razvojnih/investicijskih planova, posebice kada se radi ostrateπkim dilemama ili tehniËkim rjeπenjima,2 PRACTICES AMONG THEMEMBERS OF THE ENERGYREGULATORS REGIONALASSOCIATION (ERRA)Viewed geographically, the ERRA is an associationof the energy regulatory bodies from Europe (someof the countries are also members of the EU) andthe former the Soviet Union, which was establishedin the year 2000. Currently, there are twenty-tworegulatory bodies that are full members, includingthe CERA. At the meetings of the ERRA committees,experiences are discussed regarding the authoritiesof the regulatory bodies, together with the problemsand challenges encountered by the regulatory bodies.One of the authorities of the majority of theregulatory bodies is participation in the procedure forthe adoption of the development/investment plans ofthe energy entities engaged in the transmission anddistribution of electrical energy, regarding technical,financial or business plans. Plans are adopted as aprerequisite for the determination of the methodologiesfor the calculation of the prices for services orthe adoption of the amounts of the prices of the services.Questions posed during the discussions on therole of the regulatory bodies in the adoption of theseplans are as follows:Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583558

∑ treba li regulatorno tijelo biti ta instanca kojaÊe utvrditi jediniËni troπak pojedine opreme,∑ koje sastavne dijelove mora sadræavati svakirazvojni/investicijski plan.Na ova pitanja i dileme ERRA-in Odbor za tarife icijene pokuπao je u 2005. godini odgovoriti krozanalizu iskustava dræava Ëlanica [9]. Meappleutim,provedena analiza je pokazala da se uloga regulatornogtijela u donoπenju razvojnih/investicijskihplanova znaËajno razlikuje ovisno o zakonskimrjeπenjima, nadleænostima regulatornih tijela testruËnoj, tehniËkoj i financijskoj osposobljenostiregulatornih tijela.Upitnik koji je tom prilikom pripremljen, analizirani prezentiran sadræi 33 pitanja. Svoje odgovorena pitanja iz Upitnika dala su regulatorna tijelaiz 12 dræava (Armenija, Bosna i Hercegovina,Bugarska, Hrvatska, Estonija, Gruzija, Latvija, Litva,Makedonija, Poljska, Rumunjska i Ukrajina).U dræavama koje su odgovorile na Upitnik brojOPS-ova uglavnom je jedan, dok se broj ODS-ovakreÊe izmeappleu 1 i viπe od 200 (Poljska). U veÊinidræava regulatorno tijelo daje suglasnost na razvojne/investicijskeplanove OPS-a i ODS-a (slika 1).Meappleutim, postoje i rjeπenja u kojima regulatornotijelo nije ukljuËeno u proces donoπenja planova,veÊ je to npr. u potpunosti u nadleænosti energetskihsubjekata. Razdoblje na koje se donose planovikreÊe se od jedne do deset godina, kako zaOPS tako i za ODS.∑ how deep and thorough should a regulatorybody’s involvement be in the preparation andadoption of development/investment plans, especiallyregarding strategic dilemmas or technicalsolutions?∑ should the regulatory body be the one to definethe unit costs of individual types of equipment?∑ what are the integral parts that every development/investmentplan should have?In 2005, the ERRA Tariff/Pricing Committee attemptedto answer these questions and dilemmas throughanalysis of the experiences of the member countries[9]. However, the analysis performed demonstratedthat the roles of the regulatory bodies in the adoptionof development/investment plans vary significantly,depending upon the legal solutions, the authorities ofthe regulatory bodies and the professional, technicaland financial abilities of the regulatory bodies.The questionnaire that was prepared, analyzed andpresented on this occasion has thirty-three questions.The regulatory bodies from twelve countries (Armenia,Bosnia and Herzegovina, Bulgaria, Croatia, Estonia,Georgia, Latvia, Lithuania, Macedonia, Poland,Rumania and the Ukraine) answered the questionson the questionnaire. In the countries that respondedto the questionnaire, the number of TSO (transmissionsystem operators) is generally one, while thenumber of DSO (distribution system operators) rangesbetween one and over two hundred (Poland). Inthe majority of the countries, the regulatory body issuesapproval for the development/investment plansof the transmission system operators and distributionsystem operators (Figure 1). However, there are alsosolutions in which the regulatory body is not includedin the process of the adoption of plans but instead,for example, the energy entities have full authorizationfor this. The periods for which plans are adoptedrange from one to ten years, for both transmissionsystem operators and distribution system operators.Regulatorno tijelo /Regulatory bodyResorno ministarstvo /Responsible ministryEnergetski subjekt / Energy entityRegulatorno tijelo i energetskisubjekt / Regulatory body andenergy entityRegulatorno tijelo i vlada/ Regulatory body and thegovernmentRegulatorno tijelo i resornoministarstvo / Regulatory bodyand responsible ministryRegulatorno tijelo, resornoministarstvo, energetski subjekt/ Regulatory body, responsibleministry and energy entity25 %ODS (Operator distribucijskog sustava) /DSO (Distribution System Operator)8 %0 % 0 % 8 %8 %51 %8 %17 %OPS (Operator prijenosnog sustava) /TSO (Transmission System Operator)8 %8 % 0 %17 %42 %Slika 1Raspodjela nadleænostidavanja suglasnostina planove razvoja/investicija ODS-a iOPS-a u ËlanicamaERRA-e (analiza jeprovedena za 12 dræava)Figure 1Distribution of authorityfor issuing approvalfor the development/investment plans ofdistribution systemoperators andtransmission systemoperators among themembers of ERRA.(Analysis was performedfor twelve countries)559Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

Pitanja koja su zanimljiva za ulogu regulatornogtijela u donoπenju planova posebice se odnose nadubinu regulatornog utjecaja u podruËju:Questions of interest regarding the role of the regulatorybody in the adoption of plans particularly refer tothe extent of regulatory influence in the following areas:∑ tehniËkih rjeπenja, npr. zamjena elektro-mehaniËkihdigitalnim mjernim ureappleajima,∑ koncepcijskih dilema u razvoju visokonaponske(VN) i srednjonaponske (SN) mreæe, kaoπto je npr. interpolacija SN/SN trafostanica,∑ troπka graappleevinskih radova,∑ utvrappleivanja jediniËnih troπkova opreme.∑∑∑∑technical solutions, e.g. the replacement of electromechanicalmetering devices with digital ones,conceptual dilemmas in the development of highvoltage and medium voltage networks, such as, forexample, the interpolation of MV/MV substations,costs of construction work, andthe determination of the unit costs of equipment.Prva dva podruËja u naËelu su u veÊini dræava unadleænosti energetskih subjekata i stvar su odlukeOPS-a, odnosno ODS-a. Utvrappleivanje troπkovaza druga dva navedena podruËja proizlazi iz javnihnabava. Isto tako, kada se analizira tko jenadleæan za utvrappleivanje kriterija za planiranje prijenosnei distribucijske mreæe, proizlazi da su toprvenstveno energetski subjekti, a ne regulatornatijela (slika 2).Postavlja se pitanje koja je onda stvarna ulogaregulatornih tijela u donoπenju planova razvoja/investicija OPS-a/ODS-a, odnosno kakav utjecajmoæe imati regulatorno tijelo na dinamiku i visinuinvesticija, kao i na koncepcijska rjeπenja.BuduÊi da je veÊina analiziranih regulatornih tijelau naËelu tek u poËetku primjene regulatorneprakse te uspostavljanja kompetentnog i struËnoosposobljenog regulatornog tijela, u veÊini sluËajevaregulatorna uloga se svodi na analizu i nadzorfinancijskih i raËunovodstvenih izvijeπÊa, a ne nautvrappleivanje kriterija za tehniËka rjeπenja i odobravanjeopravdane visine pojedinih investicija. Kaoilustrativni primjer financijskog, odnosno poslovnog,nadzora moæe se navesti praksa u pojedinimdræavama Ëlanicama ERRA-e koje su odgovorile napitanje iz upitnika koje se odnosi na financijske iposlovne kriterije utvrappleene za regulatorni nadzorenergetskih subjekata.In the majority of the countries, the first two areas arein principle under the authority of the energy entitiesand matters for decision by the transmission systemoperator or the distribution system operator. The definitionof costs for the other two areas mentioned comesfrom public procurements. Similarly, it is primarily theenergy entities and not the regulatory bodies whichare authorized to define the criteria for the planningof transmission and distribution networks (Figure 2).Therefore, the question is posed concerning the actualroles of the regulatory bodies in the adoption of thedevelopment/investment plans of transmission systemoperators and distribution system operators, i.e. what influencecan a regulatory body have on the dynamics andamount of investment, as well as on the conceptual solution.Since the majority of the analyzed regulatory bodiesin principle are only beginning to apply regulatory practicesin the establishment of competent and professionallyqualified bodies, in the majority of cases the regulatoryrole is limited to the analysis and audit of financialand accounting reports, and not the determination of thecriteria for the technical solutions and the approval ofthe justified amounts of individual investments. An illustrativeexample of financial or operational supervisionis the practice in some member countries of the ERRAwhich responded to the questions on the questionnairethat refer to the financial and operational criteria establishedfor the regulatory supervision of energy entities.Slika 2Raspodjela nadleænostiza utvrappleivanje kriterijaza planiranje prijenosnei distribucijske mreæeu Ëlanicama ERRA-e(analiza je provedena za12 dræava)Figure 2The distribution ofauthority for thedetermination ofcriteria for the planningof transmission anddistribution networksamong membercountries of theERRA (analysis of 12countries)Energetski subjekt /Energy entityRegulatorno tijelo /Regulatory bodyResorno ministarstvo /Responsible ministryRegulatorno tijelo i energetskisubjekt / Regulatory bodyand energy entityEnergetski subjekt i regulatornotijelo / Energy entity andregulatory body17 %8 %8 %ODS / DSO8 %59 %17 %8 %17 %8 %OPS / TSO50 %Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583560

U Bugarskoj se financijski nadzor provodi na temeljuodabranih financijskih pokazatelja koji suutvrappleeni kao pokazatelji od vaænosti za regulatorninadzor. Analiza ovih pokazatelja trebala bi odgovoritina pitanje primjenjuju li energetski subjektimjere utvrappleene od strane regulatornog tijela kojeza cilj imaju poveÊanje ekonomske uËinkovitostiproizaπle iz primjene poticajne regulacije. U Latvijitarifna metodologija utvrappleuje naËin na kojise dostavlja prijedlog tarifa, odnosno utvrappleujeset potrebnih podataka koje je potrebno dostavitiregulatornom tijelu. U Ukrajini nadzor poslovnihplanova provodi se kroz raËunovodstveni nadzori izvjeπÊa za potrebe regulatornog tijela. Poslovni,odnosno investicijski planovi izmeappleu ostalogmoraju sadræavati iznos godiπnjeg budæeta, izvorfinanciranja te detaljnu elaboraciju troπkova. Zaukrajinsko regulatorno tijelo potrebno je naglasitida veÊ dugi niz godina primjenjuje razne vrste metodaravnanja prema mjerilu (engl. benchmarking)za koje je podatak o troπkovima za pojedinaËneinvesticije viπe nego dobrodoπao.Odgovori na Upitnik pokazali su da u veÊinidræava regulatorno tijelo provodi nadzor nad realizacijompredviappleenih investicija tijekom postupkautvrappleivanja tarifa za novo regulatorno razdoblje.Ono πto je bitno kod utvrappleivanja cijena usluga iukljuËivanja pojedinih troπkova u razinu prihodaenergetskog subjekta odobrenog od strane regulatornogtijela je realizacija investicija iz investicijskogciklusa. Naime, ukoliko je pojedina investicijaodobrena i ukljuËena u investicijske planove, te suza istu alocirana potrebna sredstva u regulatornomrazdoblju, tu istu investiciju ne moæe se ukljuËiti uregulirani troπak u novom regulatornom razdoblju.Proizlazi da je nadzor regulatornog tijela vrlo bitanu segmentu nadzora nad realizacijom investicijskihplanova subjekata koji obavljaju reguliranedjelatnosti.Ukoliko energetski subjekt ne realizira predviappleeniinvesticijski ciklus, u pojedinim dræavama (Armenija,Latvija, Litva, Poljska, Ukrajina), u sljedeÊemregulatornom razdoblju dolazi do smanjenja iznosareguliranih tarifnih stavki. No, moguÊa su i drastiËnijarjeπenja, kao npr. u Armeniji, gdje regulatornotijelo osim smanjenja iznosa tarifnih stavkimoæe izreÊi upozorenje ili oduzeti dozvolu za obavljanjeenergetske djelatnosti. Meappleutim, ukoliko seradi o OPS-u, postavlja se pitanje tko Êe obavljatidjelatnost ukoliko se oduzme dozvola. Nadalje,kao sankcija za neispunjavanje investicijskog ciklusa,moguÊe su i novËane kazne, npr. u Ukrajinido 16 000 ameriËkih dolara. I u hrvatskom zakonu[8] predviappleena je novËana kazna za energetski subjektu iznosu do 50 000 kuna ukoliko ne izraappleujeplanove razvoja i izgradnje, odnosno ukoliko ih neIn Bulgaria, financial supervision is performed onthe basis of selected financial indices that are determinedas indices of importance for regulatory supervision.Analysis of these indices should answerthe question of whether energy entities apply themeasures determined by the regulatory body withthe goal of achieving increased economic performancethrough the application of incentive regulations.In Latvia, the tariff methodology determinesthe manner in which a proposed tariff should besubmitted, i.e. determines the set of necessary datathat must be submitted to the regulatory body. Inthe Ukraine, supervision of business plans is performedthrough accounting supervision and reportsfor the purposes of the regulatory body. Business orinvestment plans, among other things, must containthe amount of the annual budget, the sourceof financing and a detailed elaboration of costs. Forthe Ukrainian regulatory body, it is necessary to emphasizethat various types of methods based uponbenchmarking have been applied for many years,for which data on the costs for individual investmentsare more than welcome.Responses to the questionnaire showed that in themajority of the countries, the regulatory body supervisesthe implementation of planned investmentthrough the procedure of determining the tariffsfor the new regulatory period. What is important inthe determination of the prices for services and theinclusion of individual costs in the level of the revenuesof the energy entity approved by the regulatorybody is the implementation of investment from theinvestment cycle. Insofar as an individual investmentis approved and included in investment plans,and the necessary assets are allocated for it in theregulatory period, this same investment cannot beincluded in the regulated expenditures in the newregulatory period. Therefore, it follows that supervisionby the regulatory body is very important in thesegment of supervising the implementation of theinvestment plans of a entities performing regulatedactivities.If an energy entity does not implement a planned investmentcycle, in some countries (Armenia, Latvia,Lithuania, Poland and the Ukraine) there is a reductionin the amounts of the regulated tariff items in thesubsequent regulatory period. However, even moredrastic solutions are possible, such as, for example,in Armenia where the regulatory body, in addition toreducing the amounts of the tariff items, can alsoissue a warning or revoke the license for performingenergy operations. However, when this concerns atransmission system operator, the question is askedwho will perform the activity if the license is revoked.Furthermore, monetary fines can be imposed as penaltiesfor not fulfilling an investment cycle such as,for example, in the Ukraine of up to USD 16 000.561Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

izraappleuje temeljem Strategije energetskog razvitka iPrograma provedbe Strategije.Radi lakπe provedbe postupka davanja suglasnostina planove od strane regulatornog tijela i kasnijegnadzora nad provedbom planova u pojedinimdræavama (Bugarska i Ukrajina) struktura sadræajaplanova je predefinirana. U Litvi razvojni/investicijskiplanovi moraju zadovoljiti nuæan minimumsadræaja planova, a to je:∑ obrazac potpisan od strane odgovorne osobesa svim potrebnim podacima djelatnika (imena,telefon, e-mail adresa) koji su sudjelovali uizradi planova,∑ popis planiranih investicija koje moraju bitiu skladu sa strategijom razvoja i dugoroËnimplanovima razvoja mreæa, ukljuËujuÊi iznospotrebnih financijskih sredstava, izvore financiranja,terminski plan i sliËno,∑ pisano obrazloæenje u vidu investicijskog planaza razdoblje od tri godine iz kojeg je vidljivuËinak pojedine investicije, kako u tehniËkomtako i ekonomskom, socijalnom i ekoloπkompogledu. Isto tako potrebno je navesti utjecajpojedine investicije na cijenu, kvalitetu uslugei sl. U odgovoru na pitanje iz Upitnika nije navedenodo koje naponske razine ili koje visineinvesticije je potrebno pisati ovako detaljnapojaπnjenja razloga za pojedinu investiciju,∑ energetski subjekt treba osigurati i druge podatkeili dokumente ukoliko regulatorno tijeloustanovi da su potrebni za mjerodavan stavregulatornog tijela.U dijelu Upitnika koji se odnosi na povezanostplanova i regulatornih parametara, kao πto je tostopa povrata na kapital, veÊina regulatornih tijelaodgovorila je da institucija koja odobrava planovene treba predefinirati pojedine regulatorne parametrekojima bi se sluæili u analizi planova. Izuzetakje Bugarska u kojoj regulatorno tijelo moæedati instrukcije, u smislu davanja informacije oaproksimativnom iznosu pojedinih regulatornihparametara, kao πto je npr. stopa povrata na kapitalkojom se energetski subjekt moæe koristitiprilikom izrade planova razvoja/investicija.Under Croatian law [8], a monetary fine for an energyentity in the amount of up to 50 000 kunas is stipulatedif development and construction plans are notprepared, i.e. if they are not prepared according tothe Energy Development Strategy and the Programfor the Implementation of the Strategy.To facilitate implementation, the procedures for issuingapproval for plans by the regulatory body andsubsequent supervision of the implementation ofplans in some countries (Bulgaria and the Ukraine),the structure of the content of the plans are predefined.In Lithuania, development/investment plansmust include the necessary minimum contents ofthe plans, as follows:∑ a form should be signed by the responsible persons,with all the necessary data on the employees(names, telephone numbers and e-mail addresses)who participated in the preparation of the plans,∑ there should be a list of the planned investments,which must be pursuant to the developmentstrategy and long-range plans for the developmentof the network, including the amountof the necessary financial assets, the sources offinancing, schedule etc.,∑ there should be a written explanation regardingthe investment plan for the period of three years,from which the impact of individual investmentsis visible, in the economic, social andecological aspects. Furthermore, it is necessaryto state the impact of individual investments onprice, quality of service etc. The responses to aquestion from the questionnaire do not indicatethe voltage level or the level of investment thatrequire a detailed written explanation of the reasonsfor an individual investment,∑ the energy entity should also provide other dataor documents if the regulatory body deems thatthey are necessary in order for it to determineits position.In the part of the questionnaire that refers to theconnection between plans and regulatory parameters,such as the rate of return on capital, themajority of the regulatory bodies answered that theinstitution that approves plans does not have topredefine the individual regulatory parameters thatit would use in the analysis of the plans, with theexception of Bulgaria in which the regulatory bodycan provide instructions in the sense of furnishinginformation on the approximate amounts of regulatoryparameters, such as, for example, the rate ofreturn on capital that an energy entity can use inpreparing development/investment plans.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583562

ZakljuËak koji se moæe izvuÊi iz odgovora na pitanjaiz Upitnika je da regulatorna tijela ukoliko imajuu nadleænosti davanje suglasnosti na planoverazvoja/investicija OPS-a i ODS-a, u naËelu suglasnostdaju na moguÊnost realizacije predviappleenihinvesticija u financijskom pogledu te na rezultatekoji se postiæu predviappleenim investicijama. Podrezultatima smatra se poveÊanje uËinkovitostisubjekata koji obavljaju regulirane djelatnosti ilipoveÊanje razine kvalitete opskrbe. Ono πto jepotrebno naglasiti kao zakljuËak razmatranja odgovorana Upitnik je da se analizirana regulatornatijela ne mijeπaju u koncepcijska tehniËka rjeπenjau planovima razvoja i izgradnje mreæa.Da bi se moglo govoriti o poveÊanju uËinkovitostikoja je rezultat primjene poticajne regulacije i outjecaju razine odobrenih investicija na razinu dozvoljenogprihoda reguliranog subjekta, potrebnoje dati prikaz, odnosno analizu, moguÊih regulatornihpolitika u primjeni poticajne regulacije. Pritome vaænu ulogu ima osnovica na koju se primjenjujefaktor uËinkovitosti te dinamika realizacijepredviappleenih investicija i amortizacijska politika.3 UTJECAJ REGULATORNEPOLITIKE NA DOZVOLJENIPRIHODDo sada je bilo rijeËi o nadleænosti regulatornogtijela u donoπenju planova razvoja/investicija, a dase pri tome nije analizirala regulatorna politika ukojoj vaænu ulogu ima cilj koji se æeli postiÊi pojediniminvesticijskim ciklusom te razina odobrenihinvesticija koje se ukljuËuju u regulirane troπkove.Kontekst regulatorne politike koji se razmatra uovom Ëlanku prvenstveno se odnosi na poticajnuregulaciju Ëije su znaËajke u detalje razmatraneu literaturi pod [6], a za koju je, ukoliko se radi ometodi regulacije maksimalnog prihoda, karakteristiËnasljedeÊa formula:The conclusion that can be drawn from the responsesto the questions on the questionnaire is that the regulatorybodies, insofar as they have the authority to approvethe development/investment plans of the transmissionsystem operator and the distribution systemoperator, in principle issue approval based upon thefeasibility of the implementation of the planned investmentsin the financial aspect and based upon theresults to be achieved by the planned investments.Results include the increased efficiency of the entitiesperforming regulated activities or improved quality ofthe supply. It is necessary to emphasize that a conclusiondrawn from a review of the responses to thequestionnaire is that the analyzed regulatory bodiesdo not interfere in the conceptual technical solutionsof the network development and investment plans.In order to speak about the increased efficiency resultingfrom the application of incentive regulationsand the impact of the level of approved investmentson the level of the allowed revenue of entities performingregulated activities, it is necessary to providea presentation, i.e. an analysis, of the potentialregulatory policies in the application of incentiveregulations. Important roles are played by the baseupon which the efficiency factor is applied, thedynamics of the implementation of planned investmentsand the depreciation policy.3 THE IMPACT OF REGULATORYPOLICIES ON ALLOWEDREVENUEThus far, the authority of the regulatory body in theadoption of development/investment plans has beendiscussed without analyzing the regulatory policies, inwhich the desired goal to be achieved by an individualinvestment cycle and the level of approved investmentsincluded under regulated expenditures have importantroles. The context of the regulatory policies that arediscussed in this article primarily refers to incentiveregulation, the characteristics of which are discussedin detail in the literature [6], and for which, insofar asthey concern methods for the regulation of maximumrevenue, are characterized by the following formula:(1)gdje je:P max t ∑ gornja granica dozvoljenog prihoda ugodini t,where:R max t ∑ the upper limit of revenue, i.e. revenuecap,in year t,563Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

P max (t - 1) ∑ gornja granica dozvoljenog prihoda ugodini t -1,CPI t ∑ indeks potroπaËkih cijena u godini t,X t ∑ faktor uËinkovitosti u godini t,KP t ∑ faktor korekcije u godini t.Mehanizam poticajne regulacije prije svega nastojikroz poticaje (X-faktor) poveÊati uËinkovitost energetskihsubjekta. Pri tome vrijedi pretpostavka daje energetski subjekt u stanju kontrolirati razinusvojih troπkova. Za troπkove za koje se smatra daih energetski subjekt ne moæe kontrolirati, odnosnoda su izvan kontrole subjekta, kao πto su tonpr. porezi, naknada za regulaciju, troπkovi kojeje prouzroËila viπa sila i sl., ne moæe se oËekivatipoveÊanje uËinkovitosti subjekta na raËun njihovogsmanjenja. Stoga se poticaji primjenjuju narazinu kontroliranih troπkova, dok se nekontroliranitroπkovi smatraju prolaznim i u cjelokupnomiznosu se prebacuju na kupca. Detaljna elaboracijagranice izmeappleu kontroliranih i nekontroliranihtroπkova zahtijeva dublje analize od straneregulatornog tijela. Kao primjer troπkova koji semogu svesti u sferu kontroliranih i nekontroliranihtroπkova su troπkovi tehniËkih gubitaka u mreæi.Ukoliko regulatorno tijelo smatra da su gubici upotpunosti nekontrolirani troπak, prihvaÊa njihovurazinu, odnosno njihov troπak, u iznosu koji prijavljujeenergetski subjekt. U tom sluËaju energetskisubjekt neÊe imati nikakav poticaj da ih smanji,bilo u vidu troπka bilo u vidu fiziËkih gubitakaizraæenih u kWh. Meappleutim, ukoliko ih regulatornotijelo smatra kontroliranim troπkom, nastojat Êe ihkroz regulatornu politiku svesti u granice koje sesa stajaliπta regulatornog tijela Ëine opravdanima.Kada se radi o kontroliranim troπkovima, regulatornapolitika razlikuje dvije grupe troπkova:∑∑operativne troπkove (engl. Operating Expanditures∑ OPEX), troπkovi koje je moguÊe kontroliratiu kratkoroËnom razdoblju ikapitalne troπkove (engl. Capital Expanditures∑ CAPEX), troπkove koje je moguÊe kontroliratiu dugoroËnom razdoblju.U OPEX se ubrajaju troπkovi osoblja, materijalnitroπkovi, troπkovi odræavanja, ostali troπkovi poslovanjai sl. Troπkovi koje je moguÊe prilagoappleavati urelativno kratkom roku. S druge pak strane, CA-PEX se u kratkoroËnom razdoblju moæe promatratikao fiksni troπak buduÊi da se i prvenstveno radio troπkovima koji se veæu uz investicije u razvojmreæa i poboljπanje kvalitete opskrbe. CAPEX jemoguÊe podijeliti u dvije grupe ∑ amortizaciju ipovrat sredstava koji se definira kao godiπnja stopapovrata primijenjena na neamortizirani dio ulaganja.Povrat sredstava u naËelu utvrappleuje regulator-R max (t -1) ∑ the upper limit of revenue, i.e. revenuecap,in year t -1,CPI t ∑ the consumer price index in year t,X t ∑ the efficiency factor in year t,KP t ∑ the correction factor in year t.The mechanism of incentive regulation primarily attemptsto increase the efficiency of energy entitiesthrough incentives (the X-factor). It is presumed thatan energy entity is in a position to control the levelof its expenditures. For expenditures presumed tobe non-controllable by an energy entity, i.e. that areout of the control of the entity, such as, for example,taxes, regulation charges, expenditures due to forcemajeure etc., it is not possible to expect that theentity will achieve increased efficiency by reducingthem. Therefore, incentives are applied at the levelof controllable costs, while non-controllable costsare considered to be transitory and are transferredin their entirety to the customers. A detailed elaborationof the boundary between controllable and noncontrollableexpenditures requires in-depth analysisby the regulatory body. An example of expendituresthat can be classified within the spheres of both controllableand non-controllable expenditures are thecosts of technical losses in the network. Insofar asthe regulatory body considers the losses to be entirelynon-controllable expenditures, it accepts their level,i.e. their cost, in the amount that the energy entityreports. In this case, the energy entity will not haveany incentive to reduce them, whether in the aspectof expenditures or the aspect of physical losses expressedin kWh. However, insofar as the regulatorybody considers them to be controllable expenditures,it will attempt to lower them through regulatory policyto within the limits considered justified from thestandpoint of the regulatory body.Concerning controllable expenditures, regulatorypolicy differentiates between two groups ofexpenditures:∑∑Operating expenditure ∑ OPEX, expenditure thatcan be controlled within a short-term periodCapital expenditure ∑ CAPEX, expenditure thatcan be controlled within a long-term period.Under OPEX are included personnel costs, materialcosts, maintenance costs, other operating costs etc.These are expenditures that can be adjusted withina relatively short period. On the other hand, CAPEXcan be considered as fixed expenditures within ashort-term period, primarily concerning expendituresin connection with investment in networkdevelopment and improvement in the quality of thesupply. CAPEX can be divided into two groups ∑depreciation and return on assets, defined as theannual rate of return applied to the non-depreciatedportion of investment. In principle, the returnŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583564

no tijelo na osnovi troπka kapitala subjekata kojiobavljaju regulirane djelatnosti [7].ImajuÊi u vidu da regulatorno tijelo u naËelu moæeregulirati dvije kategorije troπkova, moguÊe jedefinirati dva pristupa u regulaciji. Prvo, regulatornotijelo moæe primjenjujuÊi pojedinu metodupoticajne regulacije zasebno razmatrati OPEXi CAPEX. Ovakav pristup poznat je pod nazivomregulatorni pristup slaganja blokova, buduÊi da sesastoji od dvije komponente, odnosno bloka, zakoje regulatorno tijelo pojedinaËno utvrappleuje opravdanurazinu.Drugi pristup se odnosi na regulatornu politikuu kojoj regulatorno tijelo OPEX i CAPEX razmatrakao integrirani troπak na koji se sumarno primjenjujeodabrana metoda poticajne regulacije.Ovakav pristup poznat je pod nazivom regulatornipristup ukupnog troπka. TOTEX oznaËava sumuOPEX-a i CAPEX-a. U nastavku razmatra se svakiod pristupa pojedinaËno.3.1 Regulatorni pristup slaganja blokovaU regulatornom pristupu slaganja blokova regulatornotijelo mora odvojeno analizirati uËinkovitu,odnosno opravdanu razinu, OPEX-a i CAPEX -a.Pri ocjenjivanju razine uËinkovitosti i opravdanostiOPEX-a Ëest je sluËaj da regulatorna tijelakoriste razne metode ravnanja prema mjerilu [7].Meappleutim, utvrappleivanje faktora uËinkovitosti X uformuli za poticajnu regulaciju (1) zahtijeva punosloæeniji postupak, ukljuËujuÊi i diskrecijske odlukeregulatornih tijela, od direktnog uvrπtavanjarezultata dobivenih primjenom neke od poznatihmetoda ravnanja prema mjerilu.Dozvoljena razina CAPEX-a utvrappleuje se na osnoviinvesticijskih planova energetskih subjekatapredviappleenih za sljedeÊe regulatorno razdoblje. Naosnovi predloæenih investicija, regulatorno tijeloprocjenjuje koje investicije ukljuËiti u regulatornuosnovicu sredstava. Investicije koje su ukljuËene uregulatornu osnovicu sredstava bit Êe u potpunostiukljuËene u troπak amortizacije te Êe se na neamortiziranidio primijeniti stopa povrata na uloæenikapital.»est je sluËaj da se predviappleena razina investicijapromatra kao troπak koji se prihvaÊa na razini prijedlogaenergetskih subjekata. Ukoliko regulatornotijelo u potpunosti prizna predloæene investicije,kod energetskog subjekta se stvara poticaj daprikazuje πto veÊu razinu buduÊih investicija nevodeÊi se opravdanim razlozima kao πto su smanjenjegubitaka u mreæi ili postizanje optimalne,odnosno propisane razine kvalitete opskrbe. Pritome energetski subjekt ima u vidu da Êe se veÊaon assets is determined by the regulatory body onthe basis of the capital expenditures of the entitiesperforming regulated activities [7].Bearing in mind that the regulatory body can inprinciple regulate the two categories of expenditures,it is possible to define two approaches toregulation. First, when the regulatory body appliesan individual incentive regulation method, it canconsider OPEX and CAPEX separately. Such an approachis known as the building block approach,since it consists of two components, i.e. blocks, forwhich the regulatory body determines the justifiablelevels individually.The second approach refers to the regulatory policyin which the regulatory body considers OPEX andCAPEX as an integrated expenditure, to which theselected incentive regulation method is summarilyapplied. Such an approach is known as the totalexpenditure, TOTEX, regulatory approach. TOTEXrepresents the sum of OPEX and CAPEX. Each approachwill be discussed separately.3.1 The building block regulatory approachIn the building block regulatory approach, the regulatorybody must analyze the efficiency or justifiedlevel of OPEX and CAPEX separately. In assessingthe efficiency and justified level of OPEX, a regulatorybody frequently employs various benchmarkingmethods [7]. However, the determination of the efficiencyfactor X in the formula for incentive regulation(1) requires a far more complex procedure,including discretional decisions by the regulatorybodies, such as the direct classification of the resultsobtained from the application of some of thewell-known benchmarking methods.The allowed level of CAPEX is determined onthe basis of the investment plans of energy entitiesfor the subsequent regulatory period. On thebasis of the proposed investments, the regulatorybody assesses which investments to include in theregulatory asset base (RAB). Investments that areincluded in the regulatory asset base will be fullyincluded in the depreciation cost, and the returnrate on invested capital will be applied to the nondepreciatedpart.It is frequently the case that the investment levelis considered as an expenditure which is acceptedat the level of the proposals by the energy entities.Insofar as the regulatory body recognizes theproposed investments in full, incentive is createdfor the energy entity to show the highest possiblelevel of future investments, whether or not theyare based upon justified reasons such as reducinglosses in the network or achieving the optimal, i.e.565Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

azina investicija ukljuËiti u regulatornu osnovicusredstava, a time Êe biti i veÊi povrat sredstava,πto Êe se u konaËnici odraziti i na profite. Energetskomsubjektu bit Êe u interesu prikazati πto veÊeinvesticije u buduÊem regulatornom razdoblju.PovodeÊi se tim naËelom postoji i moguÊnost dapojedine OPEX troπkove energetski subjekt prikaæekao CAPEX. Na taj naËin pojedini OPEX troπkovinisu ukljuËeni u poticajni mehanizam poveÊanjauËinkovitosti na razini OPEX troπkova. Time Êe sepostiÊi privid manjih OPEX troπkova, odnosno postizanjeveÊe uËinkovitosti energetskog subjekta usferi OPEX troπkova. Strateπka alokacija OPEX-apod CAPEX, odnosno poveÊanje regulatorne osnovicesredstava na taj naËin, uoËena je veÊ u nekimsluËajevima regulatornog nadzora posebice u VelikojBritaniji [10].Postavlja se pitanje na koji naËin regulatorno tijelomoæe reagirati ukoliko se tijekom regulatornograzdoblja ne realiziraju sve predviappleene investicijeodobrene od strane regulatornog tijela. Ukolikose pokaæe da nisu realizirane sve predviappleene investicije,regulatorno tijelo moæe u sljedeÊem regulatornomrazdoblju utvrditi niæe cijene usluga,odnosno moæe ne dozvoliti ponovno ukljuËivanjenerealiziranih investicija u regulatornu osnovicusredstava. Meappleutim, da bi regulatorni pristup biodosljedan i razvidan za obje strane, regulatornotijelo i energetski subjekt, regulatorno tijelo moæeutvrditi donju i gornju granicu za realizaciju investicijaiz plana poslovanja i razvoja. Prekomjerneinvesticije neÊe biti uopÊe ukljuËene u regulatornuosnovicu sredstava ili Êe biti ukljuËene samo djelomiËno.Ono πto predstavlja problem u takvom regulatornompristupu je da energetski subjekt nemapoticaja za poveÊanje uËinkovitosti u segmentuCAPEX -a. Naime, ukoliko se ostvari manji CAPEXod predviappleenog, regulatorno tijelo Êe u naËelu ubuduÊem regulatornom razdoblju kao osnovicu zaizraËun imati manji CAPEX, bez obzira da li se radio uπtedama na raËun podinvestiranosti (manjegrazmjera investicija od odobrenih) ili o poveÊanjuproduktivnosti energetskog subjekta. Energetskisubjekt ne ostvaruje nikakve financijske koristi odpoveÊanja uËinkovitosti u segmentu CAPEX -a.the stipulated, level of supply quality. The energyentity must bear in mind that a higher level of investmentwill be included in the regulatory assetbase and, therefore, there will be a greater returnon assets, which will ultimately reflect upon profits.Consequently, it is in the interest of the energy entityto show the maximum investments in the futureregulatory period. Consequently, there is also thepossibility that an individual OPEX by an energyentity is shown as a CAPEX. In this manner, individualoperating expenditures are not included inthe incentive mechanism for increasing efficiencyat the level of OPEX. In this manner, apparentlylower operating expenditures will be achieved, i.e.greater efficiency of the energy entity in the sphereof OPEX. The strategic allocation of operating expendituresunder capital expenditures, i.e. increasingthe regulatory asset base in this manner, hasalready been noted in some cases of regulatory supervision,especially in Great Britain [10].The question is posed regarding how a regulatorybody can react if all the planned investments that ithas approved have not been made during a regulatoryperiod. Insofar as all the planned investmentshave not been implemented, during the subsequentregulatory period the regulatory body can set lowerprices for services or can prohibit non-implementedinvestments from being included in the regulatoryasset base again. However, in order for the regulatoryprocedure to be consistent and transparentfor both sides, the regulatory body and the energyentity, the regulatory body can set lower and upperlimits for the implementation of investment fromthe business and development plans. Excessiveinvestment will not be included in the regulatoryasset base or will be included only in part. Whatrepresents a problem in such a regulatory approachis that an energy entity does not have any incentiveto increase efficiency in the CAPEX segment.If there is lower CAPEX than anticipated, in principlethe regulatory body will have lower CAPEX asa base for calculation in the subsequent regulatoryperiod, regardless of whether this concerns savingsat the expense of under investment (lower investmentthan approved) or increased productivity bythe energy entity. Therefore, the energy entity doesnot derive any financial benefits from increasing efficiencyin the CAPEX segment.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583566

Tablica 1 ∑ Pojednostavljen primjer izraËuna dozvoljenog prihoda primjenom regulatornog pristupa slaganja blokovaTable 1 ∑ Simplified example of the calculation of the allowed revenue through the application of the building block regulatory approachRegulatorni parametri / Regulatory parametersOPEX ∑ faktor uËinkovitosti / OPEX ∑ efficiency factor 90 %Godiπnje smanjenje OPEX-a / Annual reduction in OPEX 2,60 %Razdoblje amortizacije (godina) / Depreciation period (years) 20Stopa povrata / Rate of return 7 %Godine / Year0. 1. 2. 3. 4.(10 6 HRK) (10 6 HRK) (10 6 HRK) (10 6 HRK) (10 6 HRK)Odobrene investicije / Authorized investments 1 000,00 1 200,00 1 000,00 1 400,00Odobrena amortizacija / Authorized depreciation− od prethodnih investicija / from previous investments 700,00 700,00 700,00 700,00− od investicija iz 1. godine / from investments from the 1 st year 50,00 50,00 50,00 50,00− od investicija iz 2. godine / from investments from the 2 nd year 60,00 60,00 60,00− od investicija iz 3. godine / from investments from the 3 rd year 50,00 50,00− od investicija iz 4. godine / from investments from the 4 th year 70,00− Ukupno odobrena amortizacija / Total authorized depreciation 750,00 810,00 860,00 930,00IzraËun regulatorne osnovice (ROS) / Calculation of the regulatory asset base (RBA)− poËetni ROS / initial RBA 3 000,00 3 250,00 3 640,00 3 780,00− plus: nove investicije / plus: new investments 1 000,00 1 200,00 1 000,00 1 400,00− minus: amortizacija / minus: depreciation 750,00 810,00 860,00 930,00− konaËni ROS / final RBA 3 000,00 3 250,00 3 640,00 3 780,00 4 250,00− prosjeËni ROS / mean RBA 3 125,00 3 445,00 3 710,00 4 015,00IzraËun ukupnog dopuπtenog prihoda / Calculation of total authorized revenue− OPEX / OPEX 2 400,00 2 337,60 2 276,82 2 217,63 2 159,97− amortizacija / depreciation 700,00 750,00 810,00 860,00 930,00− povrat sredstava (stopa povrata *ROS) / return on assets (return rate *RBA) 210,00 218,75 241,15 259,70 281,05− dozvoljeni prihod / allowed revenue 3 310,00 3 306,35 3 327,97 3 337,33 3 371,02Nadalje, problem koji se javlja prilikom uspostaveciljane razine investicija je da ta razina moraodraæavati uËinkovitu razinu svake pojedine investicijekoja se ukljuËuje u regulatornu osnovicusredstava. Da bi ovakav pristup bio moguÊ, regulatornotijelo mora imati dovoljnu koliËinu informacijakao i dovoljan broj struËno osposobljenihljudi, πto se u praksi Ëesto pokazalo neostvarivim.Problem se dodatno komplicira buduÊi da je primjenaneke od metoda ravnanja prema mjeriluna CAPEX -a popriliËno sloæen i teæak postupakza primjenu, stoga ga regulatorna tijela izbjegavaju.Polaziπte za definiranje investicijskog planaFurthermore, a problem that arises when establishinga target level of investment is that it must reflect thelevel of the performance of each individual investmentthat is included in the regulatory asset base.In order for this approach to work, the regulatorybody must have a sufficient amount of informationas well as a sufficient number of qualified personnel,which in practice is often unfeasible. The problem isadditionally complicated because the application ofsome benchmarks to CAPEX is a fairly complex anddifficult procedure and, therefore, regulatory bodiesavoid it. The starting point for the definition of aninvestment plan is growth in consumption and the567Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

je porast potroπnje te zamjena postojeÊe opreme.Ti Ëimbenici se razlikuju kada je rijeË o razliËitimenergetskim subjektima te mogu znaËajnoutjecati na rezultate primjene metode ravnanjaprema mjerilu. Nadalje, iako se radi o istovrsniminvesticijama i istoj razini investicija, na rezultatemetoda ravnanja prema mjerilu moæe utjecatii razliËito vrijeme zapoËinjanja investicije i dinamikarealizacije investicije, kao i utvrappleena razinakvalitete opskrbe. Kvaliteta opskrbe kao funkcijaregulacije do sada se Ëesto promatrala kao zasebnafunkcija od funkcije regulacije cijena usluga,iako iskustva pokazuju da regulatorna tijela sveviπe nastoje razviti integrirane modele regulacijekojima bi se izbjegli svi dosadaπnji rizici primjenepojedine metode regulacije [9]. Tablica 1 prikazujepojednostavljeni primjer izraËuna dozvoljenog,odnosno od strane regulatornog tijela odobrenogprihoda regulatornim pristupom slaganja blokova.Vrijednosti za dozvoljene investicije (na godiπnjojrazini od 1 000 milijuna kuna), poËetni OPEX(2 400 milijuna kuna) i amortizaciju od prethodnihinvesticija (700 milijuna kuna) koje su pritome koriπtene na razini su vrijednosti HEP ODS-a[12]. Od vrijednosti prikazanih u literaturi pod[12] oduzeti su troπkovi koji po procjeni autora otpadajuna prikljuËke. Od regulatornih parametarautvrappleeni su:∑ regulatorno razdoblje od 4 godine,∑ faktor uËinkovitosti za OPEX u vrijednosti90 %, πto godiπnje iznosi smanjenje OPEX-a2,6 %,∑ linearna amortizacija na razdoblje od 20godina,∑ stopa povrata od 7 %.Iz tablice 1 vidljivo je da, ukoliko se svi parametridefiniraju kako je prethodno reËeno, dozvoljeniprihod subjekata koji obavljaju regulirane djelatnostikroz 4 godine regulatornog razdoblja ostajena skoro istoj razini. Regulatorna politika, odnosnoocjena potrebne razine poveÊanja uËinkovitosti,moæe imati znaËajan utjecaj na regulirani prihodenergetskog subjekta.3.2 Regulatorni pristup ukupnih troπkovaU regulatornom pristupu ukupnih troπkova regulatornotijelo kada utvrappleuje razinu opravdane uËinkovitostine razlikuje izmeappleu OPEX-a i CAPEX -a,stoga faktor uËinkovitosti X primjenjuje na sumuOPEX-a i CAPEX-a, odnosno na ukupan troπak(TOTEX) (tablica 2). U ovom sluËaju regulatornotijelo ne mora utvrappleivati odvojeno opravdanu razinuinvesticija za sljedeÊe regulatorno razdoblje,veÊ analizu provodi za ukupne troπkove. U ovompristupu regulatorno tijelo utvrappleuje X-faktor naosnovi razine uËinkovitosti iz prethodnih regulatorreplacementof existing equipment. These factorsdiffer among various energy entities and can significantlyinfluence the results of the benchmarkingmethod applied. Moreover, although this concernsthe same types of investments and the same level ofinvestment, the results of the benchmarking methodcan be affected by differing times for the beginningof investments and the dynamics of the implementationof the investments, as well as the determinedlevel of the quality of the supply. Up to now, thequality of the supply as a function of regulationhas been frequently viewed as a function that isseparate from the function of the regulation of theprices for services, although experience shows thatthe regulatory bodies are increasingly attempting todevelop integrated models of regulation that avoidall the risks inherent in the individual regulatorymethods that have been applied [9]. Table 1 showsa simplified example of the calculation of allowedrevenue, i.e. revenue authorized by the regulatorybody, using the building block approach. The valuesfor allowed investments (at an annual level of1 000 million kunas), the initial OPEX (2 400 millionkunas) and depreciation from previous investments(700 million kunas) were previously used atthe level of the HEP Distribution System Operator(HEP ODS d,o.o.) [12]. From the values presentedin the literature under [12], expenditures have beendeducted that the authors consider to be connectioncosts. The following regulatory parameters havebeen established:∑ a regulatory period of 4 years,∑ a efficiency factor for OPEX with a value of90 %, which amounts to an annual reduction inOPEX of 2,6 %,∑ linear depreciation during a period of 20 years,∑ a rate of return of 7 %.From Table 1, it is evident that, when all the parametersare defined as above, the allowed revenueof a entities performing regulated activities during a4-year regulatory period remains at nearly the samelevel. Thus, regulatory policy, i.e. the assessmentof the necessary level of increasing efficiency, canhave a significant impact on the regulated revenueof an energy entity.3.2 The regulatory approach of total expenditureIn the regulatory approach of total expenditure,when the regulatory body determines the level ofjustified efficiency it does not differentiate betweenOPEX and CAPEX, and therefore the efficiency factorX is applied to the sum of OPEX and CAPEX,i.e. to the total expenditure (TOTEX) (Table 2).Therefore, in this case the regulatory body does notneed to determine the justified levels of investmentseparately for the subsequent regulatory period butŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583568

nih razdoblja. Ukoliko je energetski subjekt uspiou prethodnim razdobljima podiÊi razinu uËinkovitosti,koju Êe zadræati i u buduÊem razdoblju, X-faktor Êe biti niæi. Naime, ovo je znaËajna razlika uregulatornom pristupu u odnosu na pristup slaganjablokova u kojem se prije svega ocjenjuje opravdanostrazine predviappleenih investicija u buduÊemrazdoblju, ali ne i uËinkovita razina CAPEX -a.analyzes the total expenditure instead. In this approach,the regulatory body determines the X-factoron the basis of the level of efficiency from the previousregulatory periods. If the energy entity has successfullyachieved the specified level of efficiencyduring the previous periods, which will also bemaintained during the future period, the X-factorwill be lower. This is a significant difference in theregulatory approach in comparison to the buildingblock approach, in which the justification of thelevel of the anticipated investments in the futureperiod is assessed but not the efficiency level at theCAPEX level.Tablica 2 ∑ Pojednostavljen primjer izraËuna dozvoljenog prihoda primjenom regulatornog pristupa ukupnog troπkaTable 2 ∑ A simplified example of the calculation of the allowed revenue through the application of the total expenditure regulatory approachRegulatorni parametri / Regulatory parametersUkupni faktor uËinkovitosti / Total efficiency factor 88 %Godiπnja stopa porasta uËinkovitosti / Annual rate of efficiency growth 4 %Godina / Year0. 1. 2. 3.(10 6 HRK) (10 6 HRK) (10 6 HRK) (10 6 HRK)OPEX / OPEX 2 400,00 2 304,00 2 212,00 2 123,00Amortizacija / Depreciation 700,00 672,00 645,00 619,00Povrat sredstava / Return on assets 300,00 288,00 276,00 265,00Dozvoljeni prihod / Allowed revenue 3 400,00 3 264,00 3 133,00 3 008,00U ovom pristupu problem ocjenjivanja opravdanostirazine investicija je na svojevrstan naËinizbjegnut. Nadalje, buduÊi da ovaj pristup ne razlikujeOPEX i CAPEX, moguÊe je da energetskisubjekt postigne odgovarajuÊu razinu uËinkovitostibalansirajuÊi izmeappleu OPEX-a i CAPEX -a, odnosnoizmeappleu, u klasiËnom smislu teorije produktivnosti,rada i kapitala. Kod regulatornog pristupa ukupnihtroπkova, regulatorno tijelo ne mora razvijatikriterije za ocjenjivanje prijedloga investicija, veÊanalizira TOTEX, koji ukljuËuje i investicije, teutvrappleuje X-faktor na osnovi analize TOTEX-a.In this approach, the problem of assessing the justificationof the level of investment is avoided inits own way. Furthermore, since this approach doesnot differentiate between OPEX and CAPEX, it ispossible for an energy entity to achieve the suitablelevel of efficiency by balancing OPEX and CAPEXor labor and capital, in the classical sense of thetheory of productivity. Therefore, in the regulatoryapproach of total expenditure, the regulatory bodydoes not have to develop criteria for the assessmentof an investment proposal but instead analyzesTOTEX, which also includes investment, and determinesthe X-factor on the basis of analysis of theTOTEX.569Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

Tablica 3 ∑ Pojednostavljen primjer utjecaja razliËite dinamike investiranja i amortizacijske politike na godiπnji troπak amortizacijeTable 3 ∑ A simplified example of the influence of various dynamics of investment and depreciation policies on the annual depreciation costEnergetski subjekt A1, amortizacija kroz 4 godine / Energy Entity A1, depreciation during 4 yearsGodina / YearInvesticije /Investments(10 6 HRK)Godiπnji troπak amortizacije po investicijama / Annualdepreciation cost according to investments(10 6 HRK)Troπkovi amortizacije /Depreciation costs(10 6 HRK)1. 2. 3.1. 100 25 252. 200 25 50 753. 400 25 50 100 1754. 25 50 100 1755. 50 100 1506. 100 100Ukupno / Total 700 100 200 400 700Energetski subjekt A2, amortizacija kroz 2 godine / Energy Entity A2, depreciation during 2 years1. 100 50 502. 200 50 100 1503. 400 100 200 3004. 200 2005. 06. 0Ukupno / Total 700 100 200 400 700Energetski subjekt B1, amortizacija kroz 4 godine / Energy Entity B1, depreciation during 4 years1. 500 125 1252. 100 125 25 1503. 100 125 25 25 1754. 125 25 25 1755. 25 25 506. 25 25Ukupno / Total 700 100 200 400 700Energetski subjekt B2, amortizacija kroz 2 godine / Energy Entity B2, depreciation during 2 years1. 500 250 2502. 100 250 50 3003. 100 50 50 1004. 50 505. 06. 0Ukupno / Total 700 500 100 100 700Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583570

Problem koji se javlja u regulatornom pristupuukupnih troπkova je vezan uz roËnost investicija.Naime, CAPEX se, ukljuËujuÊi amortizaciju i povratsredstava, proteæe kroz niz godina. Stoga biprilikom primjene metoda ravnanja prema mjeriluanaliza trebala u obzir uzeti razdoblje od nekolikogodina, a ne da se provodi na troπkovimapredviappleenim samo za jednu godinu. Kao ilustrativniprimjer dan je prikaz u kojem na CAPEX znaËajnoutjeËe dinamika realizacije investicije, pri tomeje prikazan samo troπak amortizacije, ali ne i povratsredstava (tablica 3). Ukoliko bi se u analizipromatrala samo jedna godina, npr. druga godinarealizacije investicije, energetski subjekt A1 bio biuËinkovitiji od energetskog subjekta B1, buduÊida su troπkovi (75 milijuna kuna) energetskog subjektaA1 znatno niæi od troπkova (150 milijunakuna) energetskog subjekta B1. Obrnuti sluËaj bise dogodio ukoliko bi se analiza provela u kasnijimgodinama. Taj pojednostavljeni primjer naglaπavavaænost ukljuËivanja duæeg razdoblja u analizuTOTEX-a metodom ravnanja prema mjerilu, πto spraktiËne strane komplicira analizu buduÊi da semora analizirati veÊi skup podataka. Analiza se dodatnokomplicira ukoliko se u obzir uzme razliËitaraËunovodstvena praksa, πto prikazuje tablica 3.Naime, energetski subjekti A1 i A2, odnosno B1i B2, imaju istu dinamiku investiranja, meappleutimkoriste razliËita amortizacijska razdoblja, stogase njihov troπak amortizacije u pojedinoj godiniznaËajno razlikuje (slika 3).A problem that arises in the total expenditureregulatory approach is connected with investmentmaturity. CAPEX, including depreciation and returnon assets, occurs over a series of years. Therefore,when applying the benchmarking method, analysisshould take a period of several years into accountand should not be performed for expenditures anticipatedfor only one year. An illustrative exampleis presented in which CAPEX significantly influencesthe dynamics of the investment, in which onlythe deprecation cost is shown and not the return onassets (Table 3). If only one year were considered inthe analysis, for example the second year of the investment,Energy Entity A1 would be more efficientthan Energy Entity B1, since the expenditures (75million kunas) of Energy Entity A1 are significantlylower than the expenditures (150 million kunas) ofEnergy Entity B1. The reverse situation would occurif the analysis were performed in later years. Thissimplified example emphasizes the importance ofincluding a longer period of analysis in the TOTEXbenchmarking method, which from the practicalaspect complicates analysis since it necessitatesthe analysis of a larger group of data. Analysis isfurther complicated insofar as various accountingpractices are taken into account, as shown in Table3. Energy Entities A1 and A2, i.e. B1 and B2, havethe same dynamics of investment. However, theyuse different depreciation periods and, therefore,their depreciation costs in an individual year differsignificantly (Figure 3).Godišnji trošak amortizacije / Annual cost of depreciation(10 6 HRK)3503002502001501005001. 2. 3. 4. 5. 6.Energetski subjekt A1, amortizacija kroz 4 godine /Energy entity A1, depreciation during 4 yearsEnergetski subjekt A2, amortizacija kroz 2 godine /Energy entity A2, depreciation during 2 yearsEnergetski subjekt B1, amortizacija kroz 4 godine /Energy entity B1, depreciation during 4 yearsEnergetski subjekt B2, amortizacija kroz 2 godine /Energy entity B2, depreciation during 2 yearsSlika 3Prikaz godiπnjegtroπka amortizacije zaenergetske subjekte Ëijaje razina investiranjakumulativno jednaka,no godiπnji troπakamortizacije se razlikujeFigure 3Annual depreciationcosts for energyentities whose levelsof investment arecumulatively equalbut whose annualdepreciation costs differGodina / YearIako su prilikom razmatranja dva razliËita regulatornapristupa koriπteni popriliËno jednostavni primjerikroz koje su predoËene razliËitosti u pristupima,primjeri odraæavaju da se ulaganja trebajurazmatrati kroz duæi vremenski rok. Na taj naËinmoæe se provesti dosljedna regulatorna politika, nesamo u smislu utvrappleivanja opravdane razine uËinkovitosti,veÊ i u smislu postizanja kontinuiranihAlthough two fairly simple examples were used inanalyzing the two different regulatory approaches,through which the differences in the approacheswere presented, the examples demonstrate that investmentsmust be analyzed over a long period oftime. In this manner, it is possible to implement aconsistent regulatory policy, not only in the sense ofdetermining the justified level of efficiency but also571Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

eguliranih cijena. Stabilna razina reguliranih cijenabez veÊih fluktuacija ne moæe se postiÊi ukolikosu moguÊe Ëeste promjene cijena usluga kao πtoje to sluËaj s hrvatskim regulatornim okvirom, kojirazmatra troπkove subjekata koji obavljaju reguliranedjelatnosti godinu za godinu. Naime, iakoenergetski subjekti nastoje, dugoroËno gledajuÊi,odræavati istu razinu investicija na godiπnjoj razini,njihovi troπkovi su razliËiti od godine do godine,a time i razina dozvoljenog prihoda. Pitanje je nakoji naËin Êe se HERA postaviti prema ovakvomproblemu s kojim se susreÊu regulatorna tijela.in the sense of achieving continuously regulatedprices. A stable level of regulated prices withoutwide fluctuations cannot be achieved if it is possibleto change the prices for services frequently, asis the case with the Croatian regulatory framework,which considers the expenditures of the entitiesperforming regulated activities from year to year.Although the energy entities attempt to maintainthe same level of investment on the annual level,viewed over the long-term, their costs differ fromyear to year and therefore the level of allowed revenuealso differs. It is a question how the CERA willaddress this problem.4 ULOGA HRVATSKEENERGETSKE REGULATORNEAGENCIJE U DONO©ENJUPLANOVA RAZVOJA IIZGRADNJE4.1 Zakonodavno rjeπenjeHrvatski zakonodavac propisao je Zakonom o træiπtuelektriËne energije [8] da HEP OPS i HEP ODSdonose planove razvoja i izgradnje za razdoblje odtri godine uz prethodnu suglasnost HERA-e na prijedlogplanova. Meappleutim, zakonodavac ne prepoznajenadleænost HERA-e u davanju suglasnosti zaplanove razvoja i izgradnje djelatnosti proizvodnjei opskrbe elektriËnom energijom za tarifne kupce.PrimjenjujuÊi ovakvo zakonsko rjeπenje postavljase pitanje na koji naËin Êe HERA razmatrati investicijskeplanove subjekata za proizvodnju i opskrbuelektriËne energije i ukljuËiti opravdana ulaganjau regulatornu osnovicu sredstava, buduÊi dana njih temeljem Zakona [8] ne daje suglasnost, aprimjenjuje istu metodu regulacije kao kod monopolnihdjelatnosti ∑ metoda priznatog troπka. Onoπto je potrebno napomenuti je da su tarifni sustavi,koje je donijela HERA, a ne zakonodavac, uloguHERA-e u davanju suglasnosti na planove razvojai izgradnje definirali kao identiËnu za sve djelatnosti,iako to nije u skladu sa zakonskim odredbama.Nadalje, u tekstu svih tarifnih sustava navodi seda HERA daje suglasnost i na planove poslovanjasvih djelatnosti iako pojam plan poslovanja Zakon[8] isto tako ne prepoznaje.Takva razlika nadleænosti izmeappleu zakonskih odredabakoje je utvrdio Hrvatski sabor i odredaba kojeproizlaze iz podzakonskih akata koje je donijelosamo tijelo za sebe, u ovom sluËaju HERA, potenciraËinjenicu da se prije donoπenja drugog setaenergetskih zakona nije detaljno analizirala uloga ipozicija HERA-e kao regulatornog tijela u energetskomsektoru RH kao niti regulacija energetskihdjelatnosti kao disciplina sa svojim znaËajkama.4 THE ROLE OF THE CROATIANENERGY REGULATORYAGENCY IN THE ADOPTIONOF DEVELOPMENT ANDCONSTRUCTION PLANS4.1 Legislative solutionCroatian legislation stipulates that pursuant to theElectricity Market Act [8], the transmission systemoperator and the distribution system operator shalladopt development and construction plans for periodsof three years, pending prior approval of theproposed plans by the CERA. However, the legislationdoes not recognize the authority of the CERAin issuing approval for the development and constructionplans for the activities of the productionand supply of electrical energy for tariff customers.Applying such a legal solution, the question arisesconcerning how the CERA will analyze the investmentplans of the entities for the generation andsupply of electrical energy and include the justifiedinvestment in the regulatory asset base, since accordingto the Law [8] it does not issue approvaland applies the same method of regulation as formonopoly activities ∑ the regulation of the rate ofreturn. It should be mentioned that in the tariffsystems which the CERA has adopted, and not thelegislator, the roles of the CERA in issuing approvalfor development and construction plans are definedas identical for all activities, although this is notpursuant to the legal provisions. Furthermore, inthe text of all the tariff systems, it is stated that theCERA also issues approval for the business plans ofall activities, although the Law does not recognizethe concept of a business plan [8].Such differences in the specified authority betweenthe legal provisions established by the CroatianParliament and the provisions ensuing from thebylaws that the agency has issued for itself, in thiscase the CERA, emphasize the fact that the roleŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583572

Naime, bitno je napomenuti da je HERA osnovanaod strane RH kao javna ustanova πto znaËi da jojje temeljem Zakona o ustanovama moguÊe dodijelitijavne ovlasti, odnosno prenijeti (delegirati)nadleænosti s dræavnog tijela [13]. Podjeljivanjejavnih ovlasti uvijek otvara sloæeno pitanje smanjujeli se takvim ponaπanjem opseg autoritativnogistupa dræave ili se pak ukupnost autoritativnog postupanja,a to znaËi i moguÊnost uporabe prisile,proπiruje. Bez obzira kojoj se konstataciji priklonili,mora se respektirati Ëinjenica da je Zakon oustanovama propisao da se zakonom ili na temeljuzakona donesenom posebnom odlukom moæe javnojustanovi povjeriti da u sklopu djelatnosti radikoje je osnovana opÊim aktima ureappleuje odreappleeneodnose, da rjeπava u pojedinim upravnim stvarimao pravima, obvezama i odgovornosti fiziËkih i pravnihosoba te da obavlja druge javne ovlasti.KarakteristiËno je, takoappleer, da je Zakon o sustavudræavne uprave, uz svoj temeljni pristup da poslovedræavne uprave obavljaju tijela dræavne uprave,propisao da se posebnim zakonom mogu odreappleeniposlovi dræavne uprave prenijeti i pravnim osobamakoje na temelju zakona imaju javne ovlasti[13]. Na temelju ovlasti iz posebnog zakona javneustanove mogu obavljati najrazliËitije poslove iznadleænosti dræavnih tijela (posebno tijela dræavneuprave). Kad se razmotre odredbe Zakona o ustanovama,onda je vidljivo da je Zakon u sloæenomproblemu podjeljivanja javnih ovlasti definiraodvoje:∑ pravnu osnovu (izvor) javnih ovlasti ∑ to suzakon, odnosno na temelju zakona donesenaodluka predstavniËkog tijela jedinica lokalne,podruËne samouprave,∑ sadræaj javnih ovlasti ∑ to je pravo da se opÊimaktima ureappleuju odreappleeni odnosi, da se rjeπavau pojedinaËnim upravnim stvarima o pravima,obvezama i odgovornosti odreappleenih subjekatakao i eventualno pravo na obavljanje drugihjavnih ovlasti.Povjeravanje javnih ovlasti javnoj ustanovi znaËi zanju i odreappleene duænosti. U djelovanju javne ustanoveostvarivanje njezine posebne uloge (posebnogstatusa) realizira se koriπtenjem javnih ovlastii izvrπavanjem duænosti koje su joj u svezi s timenametnute. Javna ustanova mora obavljati javneovlasti samo pod uvjetima, na naËin i u postupkukoji je odreappleen zakonom. Dakle, nemoguÊe joj jepodzakonskim aktima dodjeljivati nadleænosti kojejoj zakonski nisu pripisane kao πto je to sluËaj spojedinim podzakonskim aktima proizaπlim izenergetskih zakona.and position of the CERA as a regulatory body withinthe energy sector of the Republic of Croatia andthe regulation of energy activities as a disciplinewith specific characteristics had not been analyzedin detail prior to the adoption of the second setof energy acts. It is important to mention that theCERA was established by the Republic of Croatiaas a public institution, which means that pursuantto the Institution Act it can be assigned public authority,i.e. delegated authority from the state entity[13]. The assignment of public authority alwaysraises the complex question of whether the authorityof the state is thereby diminished or whether thetotal authority, which means the option of the useof force, is expanded. In any case, it is necessary torespect the fact that the Institute Act stipulates thataccording to the law or pursuant to a law adoptedby a special decision, a public institution may beentrusted, within the framework of the activitiesfor which it has been established by enactments,to determine specific relationships; to resolve individualadministrative issues about the rights,obligations and responsibilities of natural and legalpersons; and to exercise other public authority.It is also characteristic that the State AdministrativeSystem Act, in addition to the fundamental approachthat the duties of state administration are tobe performed by state administrative bodies, stipulatesthat pursuant to special legislation it is possiblefor specific duties of the state administrationto be transferred to legal persons who have publicauthority pursuant to the law [13]. Therefore, basedupon authorization from special legislation, publicinstitutions are allowed to perform the most variedactivities from the areas of the authority of the statebodies (especially state administrative bodies).When the provisions of the Institution Act are examined,it is evident that the Act has defined twoissues within the complex problem of the assignmentof public authority:∑ the legal basis (source) of public authority ∑i.e. a ruling adopted pursuant to the law by therepresentative agency of the units of local andregional self-management,∑ the content of public authority ∑ i.e. the rightto use enactments to determine relationships,to resolve issues concerning the rights, obligationsand responsibilities of specific entitiesin individual administrative matters, as wellas the eventual right to exercise other publicauthority.The entrusting of public authority to a public institutionmeans that specific duties are entrusted to it. Inthe operations of a public institution, it exercises itsspecific role (special status) through the exercise ofpublic authority and the performance of duties that573Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

4.2 Kriteriji za davanje suglasnosti na planove razvojai izgradnje reguliranih energetskih subjekataEnergetski subjekti na koje se doneseni tarifnisustavi odnose nisu joπ dostavili HERA-i planoveposlovanja, razvoja i izgradnje (koliko je poznatoautorima) radi davanja suglasnosti. Rok za dostavuplanova je 30. studenoga πto proizlazi iz odredbitarifnih sustava. Stoga se u ovom trenutku nemoæe razmatrati HERA-in odnos prema davanjusuglasnosti na planove razvoja i izgradnje te kolikoduboko je HERA spremna analizirati kriterije zaodabir pojedinih investicija kao i da li Êe uÊi uanalizu tehniËkih rjeπenja ili Êe se povesti samoza odlukama energetskih subjekata kao instancimeritornih za definiranje kriterija od HERA-e.Isto tako ne moæe se razmatrati na koji naËin ÊeHERA pristupiti utvrappleivanju opravdanih, moæe sereÊi i uËinkovitih, razina pojedinih troπkova, tekoje investicije Êe priznati u regulatornoj osnovicisredstava.are thereby assigned to it. A public institution mustexercise public authority only under the conditions,in such a manner and according to the procedurestipulated for it according to law. Therefore, it isnot possible for enactments to assign authorizationnot stipulated by law, such as in the case of individualenactments resulting from energy legislation.4.2 Criteria for issuing approval for the developmentand construction plans of entities performingregulated activitiesThe energy subjects to which the adopted tariffsystems refer have still not submitted their plansfor operations, development and construction (tothe best of the authors’ knowledge) to the CERAfor approval. The deadline for the submission of theplans is November 30, according to the provisionsof the tariff systems. Therefore, at this moment it isnot possible to discuss the CERA’s attitude towardissuing approval for development and constructionplans and how deeply the CERA is prepared to analyzethe criteria for choosing individual investments,as well as whether it will enter into analysis of thetechnical solutions itself or rely solely upon thedecisions of the energy entities as sufficiently authoritativefor defining its criteria. Similarly, it is notpossible to discuss how the CERA will approach thedetermination of justified, it can be said effective,levels of individual expenditures, and which investmentsit will recognize in the regulatory asset base.Slika 4Vremenski tijekdonoπenja propisakoji su vezani uzulogu regulatornogtijela (VRED/HERA) udavanju suglasnostina planove razvoja iizgradnje prijenosne idistribucijske mreæeFigure 4Time line of regulationsadopted in connectionwith the role oh theregulatory body (CERC/CERA) in approvingthe development andconstruction plans ofthe transmission anddistribution networksožujak 2002.osnovan VREDMarch 2002Founding of theCroatian EnergyRegulatory Council(CERC)listopad 2003.HEP Prijenos d.o.o. i HEPDistribucija d.o.o. dostavljajuPlanove razvoja i izgradnjeza razdoblje 2003. − 2005.VRED-u radi davanjasuglasnostiOctober 2003HEP Transmission andHEP Distribution submittedDevelopment andConstruction Plans for theperiod of 2003 ∑ 2005 to theCroatian Energy RegulatoryCouncil for approval.listopad 2003.VRED donosi ZakljuËak o planovimarazvoja i izgradnje te pokreÊeizradu studije Kriteriji i metodologijaplaniranja razvoja i izgradnje tezamjena i rekonstrukcija prijenosne idistribucijske mrežeOctober 2003The Croatian Energy RegulatoryCouncil adopted the Conclusions onthe Development and ConstructionPlans and began preparation of thestudy Criteria and Methodology forthe Planning of the Development,Construction, Replacement andReconstruction of the Transmissionand Distribution Networkssrpanj 2005.Osnovana HERAJuly 2005The Croatian EnergyRegulatory Agency(CERA) was founded2001. 2002. 2003. 2004. 2005. 2006.2007.srpanj 2007.Donesene izmjene idopune drugog paketaenergetskih zakonaJuly 2007The second package ofenergy legislation wasamended.Godina / Yearsrpanj 2001.Donesen prvi paketenergetskih zakonaJuly 2001Adoption of the firstpackage of energylegislationlipanj 2003.VRED donosi Pravilniko naËinu i kriterijima zautvrappleivanje iznosa naknadeza korištenje prijenosne idistribucijske mrežeJune 2003The Croatian EnergyRegulatory Council adoptedthe Regulations on theManner and Criteria forDetermining the Charges forUsing the Transmission andDistribution Networkslistopad 2003.VRED donosi Odluku o iznosu naknadaza korištenje prijenosne i distribucijskemreže bez davanja prethodnesuglasnosti na planove razvoja iizgradnje prijenosne i distribucijskemrežeOctober 2003The Croatian Energy Regulatory Counciladopted the Ruling on the Amount ofCharges for Using the Transmission andDistribution Networks, without issuingprior approval of the Development andConstruction Plans of the Transmissionand Distribution Networksprosinac 2004.Donesen drugi paketenergetskih zakonaDecember 2004The second package ofenergy legislation wasadoptedprosinac 2006.HERA donosi tarifne sustaveza proizvodnju, prijenos,distribuciju i opskrbuelektriËnom energijom bezvisine tarifnih stavkiDecember 2006The Croatian EnergyRegulatory Agency adoptedtariff systems for thegeneration, transmission,distribution and supply ofelectrical energy, withoutstipulating the amounts ofthe tariff items.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583574

4.2.1 Iskustva VijeÊa za regulaciju energetskihdjelatnostiZakon o træiπtu elektriËne energije iz 2001. godinetakoappleer je definirao da tadaπnje regulatorno tijelo,VijeÊe za regulaciju energetskih djelatnosti (VRED)[14], daje prethodnu suglasnost na plan razvojai izgradnje prijenosne i distribucijske mreæe. Hrvatskinezavisni operator sustava i træiπta d.o.o.(HNOSIT d.o.o.) i HEP Prijenos d.o.o. u 2003.godini proslijedili su Plan razvoja i izgradnje prijenosnemreæe za razdoblje od 2003. do 2005.godine, odnosno HEP Distribucija d.o.o. Plan razvojai izgradnje distribucijske mreæe za razdobljeod 2003. do 2005. godine, VRED-u radi davanjaprethodne suglasnosti. BuduÊi da prije toga VREDnije zauzeo stav prema naËinu na koji Êe pristupitidavanju prethodne suglasnosti na planove,VRED je pokrenuo izradu Kriterija i metodologijaplaniranja razvoja i izgradnje te zamjena i rekonstrukcijaprijenosne i distribucijske mreæe kojimase nastojalo na razvidan, jasan i dosljedan naËinutvrditi polazno stajaliπte regulatornog tijela visá-visstrategije razvoja prijenosne i distribucijskemreæe kao i kriterija za rekonstrukciju postojeÊihobjekata. ImajuÊi u vidu da rad regulatornog tijelatreba poËivati na naËelima razvidnosti, dosljednostii struËnosti, VRED je zauzeo stajaliπte da jeenergetskom subjektu potrebno jasno definirati πtose od njega oËekuje tako da i buduÊa stajaliπta,odnosno odluke regulatornog tijela budu na svojevrstannaËin predvidljive. Tim viπe ukoliko se radio kapitalno intenzivnim djelatnostima za Ëija ulaganjasu potrebne dugoroËnije analize kao i srednjoroËan,odnosno dugoroËan povrat investicijskihsredstava, koji se ujedno odraæava i u iznosu tarifnihstavki.Ilustrativni primjer VRED-ovog ZakljuËka iz 2003.godine koje je bilo ishodiπte za izradu Kriterija imetodologija planiranja razvoja i izgradnje te zamjenai rekonstrukcija prijenosne mreæe, odnosnopokretanje dorade dostavljenog Plana razvoja iizgradnje prijenosne mreæe za razdoblje od 2003.do 2005. godine, je sljedeÊi [15]:I. Plan je potrebno donijeti u skladu sa Strategijomenergetskog razvitka i Programomprovedbe Strategije energetskog razvitka,II. Da bi se provela procedura ocjene Plana idavanja suglasnosti na prijedlog Plana propisaneËlankom 12. stavak 1. Zakona o træiπtuelektriËne energije [14] potrebno je ispunitisljedeÊe uvjete:1) definirati kriterije i metodologiju planiranjarazvoja prijenosne mreæe kao i metodologijuplana zamjene i rekonstrukcije koje ÊeukljuËivati i ekonomske kriterije planiranja,4.2.1 Experience of the Croatian Energy RegulatoryCouncilThe Electricity Market Act of 2001 also stipulatedthat the regulatory body at the time, the CroatianEnergy Regulatory Council ∑ CERC (VijeÊe za regulacijuenergetskih djelatnosti ∑ VRED) [14], would issueprior approval for the development and constructionplans of the transmission and distribution networks.In the year 2003, the Croatian Independent Systemand Market Operator ∑ CISMO (Hrvatski nezavisnioperator sustava i træiπta d.o.o. ∑ HNOSIT d.o.o.)and HEP Transmission (HEP Prijenos d.o.o.) forwardedthe Development and Construction Plan forthe Transmission Network for the Period of 2003 to2005, and HEP Distribution (HEP Distribucija d.o.o.)forwarded the Development and Construction Planfor the Distribution Network for the Period of 2003to 2005 to the Croatian Energy Regulatory Council∑ CERC in order to obtain prior approval. Since theCERC had not previously taken a position regardingthe manner in which it would approach the issue ofprior approval for plans, it started work on the Criteriaand Methodology for Planning the Development,Construction, Replacement and Reconstruction ofTransmission and Distribution Networks, by which itattempted to determine the starting position of theregulatory body vis-à-vis the strategic developmentof the transmission and distribution networks as wellas the criteria for the reconstruction of the existingfacilities in a transparent, clear and consistentmanner. Bearing in mind that the work of the regulatorybody should be based upon the principles oftransparency, consistency and expertise, the CERCassumed the position that it is necessary to provide aclear definition to the energy entity concerning whatis expected of it so that the future positions, i.e. decisions,of the regulatory body would be predictable.This is even more important regarding investmentsin capital intensive activities, which would requirelong-term as well as medium-term analysis, i.e. thelong-term return of invested assets, as also reflectedin the amount of the tariff items.An illustrative example of the CERC's conclusionfrom the year 2003, which was the starting point fordevising the Criteria and Methodologies for Planningthe Development, Construction, Replacement andReconstruction of the Transmission Network, aswell as preparing the final modifications of the submittedDevelopment and Construction Plan for theTransmission Network for the Period from 2003 to2005, is as follows [15]:I. The plan must be adopted, pursuant to theStrategy for Energy Development and the Programfor the Implementation of the Strategy forEnergy Development,575Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

πto je u skladu s prijedlogom Mreænih pravilahrvatskog elektroenergetskog sustava(koja u trenutku donoπenja ZakljuËka nisubila usvojena), a u kojima se takav kriterijjednoznaËno ne definira,2) planirati izgradnju objekata te zamjenui rekonstrukcije objekata na naËin dapredviappleeni objekti zadovoljavaju definiranekriterije,3) iskazati troπkove HNOSIT-a d.o.o. odvojenood planova HEP Prijenos d.o.o. te ihprocijeniti u skladu s ulogom koju HNOSITd.o.o. preuzima prema Zakonu o træiπtuelektriËne energije,III. U daljnjim koracima potrebno je zapoËeti sasljedeÊim radnjama:1) definirati zahtjeve koji se postavljaju naprijenosnu mreæu prvenstveno u smislukvalitete elektriËne energije isporuËeneizravnim i distributivnim kupcima (frekvencija,napon, raspoloæivost mreæe),te s obzirom na strateπka pitanja razvojamreæe (samodostatnost, tretman susjednihmreæa u planiranju, tranziti i uloga mreæeu træiπtu elektriËne energije, izgradnja novihinterkonekcija, modernizacija sustava,kriteriji izgradnje GIS postrojenja i dr.),2) formirati jedinstvenu bazu podataka nuænuza planiranje razvoja mreæe te definiratineke osnovne ulazne podatke bitne kodplaniranja poput jediniËnih troπkova neisporuËeneelektriËne energije, jediniËnihcijena visokonaponske opreme, diskontnestope za potrebe planiranja i dr.,3) za svaki objekt predviappleen za izgradnju ilizamjenu i rekonstrukciju izraditi tehnoekonomskielaborat iz kojeg bi proizaπlo dali razmatrani objekt zadovoljava kriterijeplaniranja definirane Mreænim pravilima iostalim pripadnim dokumentima.ZakljuËak sliËnog karaktera VRED je donio i prilikomocjene Plana razvoja i izgradnje distribucijskemreæe za razdoblje od 2003. do 2005. godine. Naistoj sjednici VRED-a na kojoj je VRED donio navedeneZakljuËke, VRED je donio Odluku o iznosunaknada za koriπtenje prijenosne i distribucijskemreæe [16] temeljem Zakona o træiπtu elektriËneenergije iz 2001. godine [14]. Ta Odluka joπ uvijekje na snazi buduÊi da je tarifni sustavi kojeje donijela HERA nisu stavili van snage. Slika 4prikazuje tijek donoπenja relevantnih propisa i odlukakoji se odnose na ulogu hrvatskog regulatornogtijela HERA-e, odnosno VRED-a, u donoπenjuplanova razvoja i izgradnje prijenosne i distribucijskemreæe.II. In order to implement the procedures for theevaluation of the Plan and the issue of approvalfor the proposed Plan stipulated in Article 12,Paragraph 1 of the Electricity Market Act [14],the following prerequisites must be met:1) to define the criteria and methodology forthe planning of the development of the transmissionnetwork as well as the methodologyfor the replacement and reconstructionplan, which will include the economic criteriafor planning, pursuant to the proposedGrid Code of the Croatian Electrical EnergySystem (which at the time of the adoption ofthe conclusion had still not been adopted),and in which such criteria are not definedunambiguously,2) to plan the construction of facilities and thereplacement and reconstruction of facilitiesin such a manner that the facilities meetthe defined criteria,3) to present the expenditures of the CroatianIndependent System and Market Operator ∑CISMO (HNOSIT d.o.o.) separately from theplans of HEP Transmission (HEP ∑ Prijenosd.o.o.) and to evaluate them according tothe role that the CISMO assumes accordingto the Electricity Market Act,III. In subsequent steps, it is necessary to beginthe following activities:1) to define the requirements that are establishedfor the transmission network, primarilyin the sense of the quality of theelectrical energy to direct customers andcustomers connected to the distributionnetwork (frequency, voltage and networkavailability), and regarding the strategicquestion of network development (selfsufficiency,the treatment of neighboringnetworks in planning; transit and the roleof networks in the electrical energy market,the construction of new interconnections,the modernization of the system, the criteriafor the construction of GeographicalInformation System [GIS] facilities etc.),2) to establish a unified database necessaryfor the planning of network developmentand to define some basic input data requiredfor planning, such as the unit prices ofundelivered electrical energy, unit prices ofhigh-voltage equipment, discount rates forthe necessary planning etc.,3) for each facility planned for construction,replacement or reconstruction, to preparea technical/economic study which wouldshow whether said facility meets the planningcriteria defined by the Grid Code andother relevant documents.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583576

4.2.2 Iskustva Hrvatske energetske regulatorneagencijeHERA za sada nije pristupila izradi sliËnih kriterijaili stajaliπta o planovima razvoja i izgradnjeHEP OPS-a i HEP ODS-a, niti je utvrdila svoj stavprema dubini analize (prema javno dostupnim informacijama).Nepostojanje unaprijed definiranihkriterija za davanje suglasnosti na planove moglobi dodatno odgoditi donoπenje iznosa tarifnih stavkiza pojedine djelatnosti, buduÊi da je davanjesuglasnosti na planove preduvjet je za davanjemiπljenja na prijedlog iznosa tarifnih stavki kojeenergetski subjekt dostavlja Ministarstvu gospodarstva,rada i poduzetniπtva (MINGORP), a MIN-GORP prosljeappleuje HERA-i na miπljenje.4.3 Stavovi Hrvatske energetske regulatorne agencijeu rjeπavanju preduvjeta za primjenu metodepriznatih troπkovaIz prethodno iznesene rasprave vezano uz regulatornipristup gradnje blokova i regulatorni pristupukupnih troπkova vidljivo je da je vrlo znaËajnauloga regulatornoga tijela u utvrappleivanju opravdanerazine pojedinih regulatornih parametara. Utvrappleenametoda priznatih troπkova u donesenim tarifnimsustavima prepoznaje regulatorne parametre koji suranije analizirani kao πto su to ∑ regulatorna osnovicasredstava, amortizacija i stopa povrata u viduponderiranog prosjeËnog troπka kapitala. Tarifni sustavidefiniraju da miπljenje o priznatim troπkovimaposlovanja (OPEX) i stopi povrata kapitala dajeHERA, dok se kapitalni troπkovi (CAPEX) ∑ reguliranaosnovica sredstava, tj. prinos od reguliraneimovine i amortizacija utvrappleuju na osnovi planovarazvoja i izgradnje na koje HERA daje suglasnost.Utvrappleena metoda regulacije ne poznaje faktor uËinkovitostikao regulatorni parametar metode.Osim stava o dubini uplitanja u elemente planovaposlovanja, razvoja i izgradnje, HERA bi trebalapo miπljenju autora prilikom postupka davanjamiπljenja na prijedlog iznosa tarifnih stavki podjelatnostima, izmeappleu ostalog, svoj stav zauzeti io sljedeÊem:∑∑∑∑∑je li obavljen razvidan i dosljedan nadzor nadrazdvajanjem djelatnosti kako u tehniËkom itako i financijskom pogledu,opravdanoj razini stope povrata za svaku pojedinudjelatnost,koje investicije ukljuËiti u regulatornu osnovicusredstava, πto ukljuËuje i tumaËenje pojedinihpojmova iz tarifnih sustava, kao πto jenpr. pojam nove investicije koje su sufinancirane,a ukljuËene su u regulatornu osnovicusredstava,opravdanoj razini troπkova poslovanja (OPEX),i sliËno.The CERC also adopted a conclusion of a similarcharacter in the evaluation of the Development andConstruction Plan for the Distribution Network forthe Period from 2003 to 2005. At the same CERCsession, at which the CERC adopted the previouslymentioned conclusions, it also adopted the Decisionon Fees for Using the Transmission and DistributionNetworks [16], pursuant to the Electricity Market Actof 2001 [14]. This Decision is still in force, since thetariff systems that the CERA adopted are still in force.Figure 4 shows the course of the adoption of the relevantregulations and decisions that refer to the roleof the Croatian Energy Regulatory Agency ∑ CERA orthe Croatian Energy Regulatory Council ∑ CERC, inthe adoption of development and construction plansfor the transmission and distribution networks.4.2.2 Experience of the Croatian Energy RegulatoryAgencyFor the present, the CERA has not started to developsimilar criteria or positions on the developmentand construction plans of the transmission systemoperator and the distribution system operator, andhas not defined its position toward in-depth analysis.The lack of previously defined criteria for issuingapproval for plans could additionally postponethe adoption of the amounts of the tariff items forindividual activities, since the issuing of approvalfor the plans is a prerequisite for issuing an opinionon the proposed amounts of the tariff items whichan energy entity submits to the Ministry of theEconomy, Labor and Entrepreneurship, and whichthe Ministry forwards to the CERA for an opinion.4.3 Positions of the Croatian Energy RegulatoryAgency in resolving the prerequisites for the applicationof the rate of return (RoR) methodFrom the previous discussion of the building blockregulatory approach and the total expenditure regulatoryapproach, it is evident that the regulatorybody has a highly significant role in the determinationof the justified levels of individual regulatoryparameters. The rate of return method in theadopted tariff systems recognizes the regulatory parametersthat were analyzed previously, such as theregulatory asset base (RAB), depreciation and therate of return regarding the weighted average costof capital (WACC). The tariff systems stipulate thatan opinion on the recognized operating expenditure(OPEX) and the rate of return on capital shall beissued by the CERA, while the capital expenditure(CAPEX) ∑ the regulatory asset base, i.e. the revenuefrom regulated assets and depreciation shallbe determined on the basis of the development andconstruction plans which shall be approved by theCERA. The established method of regulation doesnot recognize the efficiency factor as a regulatoryparameter.577Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

Jedan od bitnih preduvjeta za moguÊnost uvoappleenjametode regulacije kao πto je to metoda priznatihtroπkova je provoappleenje razvidnog i dosljednog razdvajanjadjelatnosti u punom smislu ∑ od razdvajanjaimovine, osoblja do pridjeljivanja potraæivanjapo kreditima i sl. Jedan od problema je na kojinaËin Êe HERA pristupiti davanju miπljenja naiznos tarifnih stavki za opskrbu elektriËnom energijomukoliko se zna da se nisu razdvojile djelatnostidistribucije i opskrbe elektriËnom energijom te daHEP Operator distribucijskog sustava d.o.o. obavljauz djelatnost distribucije i opskrbu elektriËnomenergijom, iako je zakonski rok za razdvajanje istihistekao (1. srpnja 2007. godine) [8].Isti problem preslikava se i na utvrappleivanje opravdanerazine OPEX-a koji bi se trebao utvrditina razini koja odraæava uËinkovitost poslovanjaili barem bi se ta razina tijekom godina trebalapribliæiti uËinkovitoj razini koja bi vrijedila da sedjelatnost izloæi træiπnom natjecanju i rizicima.Izmeappleu ostalog, postavlja se pitanje πto predstavljaOPEX u sluËaju HEP Opskrbe d.o.o. koja obavljadjelatnost opskrbe samo za povlaπtene kupce.ZnaËi, taj troπak tarifni kupci uopÊe ne bi trebalisnositi. Sa stajaliπta regulatornog tijela koje, uzzaπtitu odræivog poslovanja energetskog subjektai omoguÊavanje nenaruπenog træiπnog natjecanja,ima zadatak zaπtite kupaca, bilo bi neopravdanopriznati taj troπak kroz primjenu metode priznatihtroπkova i davanja pozitivnog miπljenja na prijedlogiznosa tarifnih stavki koji ukljuËuju trenutaËnitroπak alociran unutar HEP Grupe na HEP Opskrbud.o.o.Nadalje, provedba razvidnog razdvajanja ima utjecajai na CAPEX u svim djelatnostima. Naime, zasvaku djelatnost HERA bi trebala utvrditi opravdanurazinu poËetne regulatorne osnovice sredstava,zatim amortizacijsku politiku i sredstva koja setijekom regulatornog razdoblja dodjeljuju regulatornojosnovi sredstva na koju se primjenjuje stopapovrata na kapital. Stopu koja se primjenjuje nasrednju vrijednost regulatorne osnovice sredstavautvrappleuje HERA na prijedlog energetskog subjekta.Problem koji se ovdje javlja je i utvrappleivanjeopravdane stope povrata, buduÊi da se radi odjelatnostima koje su po svom karakteru razliËite∑ monopolne i træiπne, iz Ëega proizlaze razliËitistupnjevi rizika u poslovanju kao i razliËiti uvjetifinanciranja. Naime, iz opisa metode navedene utarifnim sustavima nije razvidno koja Êe se stopaprimijeniti i hoÊe li se ona razlikovati po djelatnostima,iako se radi o istom vertikalno organiziranompoduzeÊu HEP Grupi. Utvrappleivanje stopepovrata zahtijeva provoappleenje detaljnih analiza kojeHERA joπ nije provela. Da bi HERA-in rad dobiona vjerodostojnosti i struËnosti potrebno je daHERA pravodobno, prije donoπenje odluka i pod-In addition to the position on the depth of involvementin the elements of the business, developmentand construction plans, it is the authors’ opinionthat the CERA should take a position on the followingmatters when issuing opinions on the proposedtariff amounts according to activities:∑ whether transparent and consistent supervisionhas been performed over the unbundling of thetechnical and financial activities,∑ the justified level of the rate of return for eachindividual activity,∑ which investments should be included in theregulatory asset base, together with the interpretationof individual concepts from the tariffsystems, such as, for example the concept ofnew investments that are co-financed and includedin the regulatory asset base,∑ the justified level of operating expenditures(OPEX),∑ etc.One of the essential prerequisites for the possibleintroduction of regulatory methods such as the rateof return method is the transparent and consistentunbundling of activities in the full sense ∑ includingthe unbundling of assets, personnel, claims onloans etc. One of the problems is how the CERAwill approach the issuing of opinions on the amountof tariff items for the supply of electrical energyif it knows that the activities of the distributionand supply of electrical energy have still not beenunbundled and that the HEP Distribution SystemOperator performs the activity of the supply of electricalenergy in addition to the activity of the distributionof electrical energy.The same problem is also reflected in the determinationof the justified level of OPEX, which shouldbe determined at a level that reflects the efficiencyof operations or at least this level during the yearshould approach a efficiency level that would bevalid if the activity were subject to market competitionand risks. Thus, among other things, the questionis posed what OPEX represents in the case ofHEP Supply (HEP Opskrba d.o.o.), which only performsthe activity of supply for eligible customers.This means that tariff customers should not have tocover this expenditure. From the standpoint of theregulatory body which, in addition to safeguardingthe sustainable operations of the energy entity andfacilitating inviolable market competition, also hasthe task of protecting the customers, it would beunjustified to recognize this expenditure throughthe application of the rate of return method andissue a positive opinion on the proposed amounts oftariff items, which include the current expenditureallocated within the HEP Group for HEP Supply.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583578

zakonskih akata, provede sve nuæne analize kojeu sluËaju utvrappleivanja metoda za izraËun cijenausluga ponekad (po iskustvima drugih regulatornihtijela) traju i po 18 mjeseci [6].Osim stope povrata, kod CAPEX -a, dilemu predstavljatumaËenje i drugih pojmova koje prepoznajetarifni sustav, a isti nisu u dovoljnoj mjeripojaπnjeni, npr. vrijednost novih investicija koje susufinancirane. Pretpostavlja se da ih sufinancirakupac. Troπak investicije koji je financirao kupacne bi trebao uÊi u regulatornu osnovicu sredstavaniti biti priznat kroz troπak amortizacije energetskogsubjekta, buduÊi da bi na taj naËin kupacplaÊao investiciju dva puta ∑ kroz troπak investicijei kroz tarifu. Upitno je na koji naËin Êe HERApristupiti rjeπavanju problema investicija koje sufinancirakupac.Navedeni primjeri pitanja na koje HERA moraodgovoriti prilikom davanja miπljenja na prijedlogiznosa tarifa i provoappleenja regulatorne politikesamo su ilustrativni. Primjena ekonomske regulacijeseæe puno dublje i kompleksnija je od navedenihprimjera te zahtijeva detaljne elaboracijei analize. No, i argumentirani stavovi koje HERAtreba zauzeti prilikom rjeπavanja navedenih dilemaiz opisanog primjera mogu znaËajno utjecatina razinu tarifnih stavki pojedinih djelatnosti te naraspodjelu troπkova i prihoda izmeappleu djelatnosti.Furthermore, transparent division also has an impacton CAPEX in all activities. For each activity, theCERA would have to determine the justified levelof the initial regulatory asset base, the depreciationpolicy and the assets that would be allocated to theregulatory asset base during the regulatory period,to which the rate of return on capital would be applied.The rate that is applied to the mean value ofthe regulatory asset base is determined by the CERAat the proposal of the energy entity. A problem thatoccurs here is the determination of the justified rateof return, since this concerns activities that differ innature ∑ monopolistic and market, from which thereare different degrees of risks in operations as well asdifferent conditions of financing. From the descriptionof the methods stated in the tariff systems, it isnot clear which rate will be applied and whether therates will differ according to activities, although theyconcern the same vertically organized enterprise inthe HEP Group. Determination of the rate of returnrequires detailed analysis. In order for the CERA’swork to obtain credibility and professionalism, priorto adopting decisions and regulations the CERAmust first perform all the necessary analyses in atimely manner, which in the case of the determinationof the methods for the calculation of the pricesfor services sometimes (according to the experiencesof other regulatory bodies) requires as long as 18months [6].In addition to the rate of return, regarding CAPEXthere is a dilemma posed by the interpretation ofother concepts that the tariff system recognizes,which are not explained to a sufficient extent,such as the value of new investments that are cofinanced.It is assumed that they are co-financedby the customer. An investment expenditure that acustomer has financed should not enter the regulatoryasset base or be recognized as a depreciationexpenditure of the energy entity. Otherwise, the customerwould have to pay for the investment twice∑ through the investment expenditure and throughthe tariff. Therefore, it is a question how the CERAwill approach the solution of the problem of investmentsthat are co-financed by the customer.The cited examples of questions to which the CERAmust respond when issuing an opinion on the proposedamounts of tariffs and the implementation ofregulatory policies are merely illustrative. The applicationof economic regulations ranges far deeper, ismuch more complex than the examples presentedand requires more detailed elaboration and analysis.However, the argued positions that the CERAshould assume when resolving the cited dilemmasfrom the example described could significantly affectthe level of the tariff items for individual activitiesand the allocation of expenditures and revenuesamong the activities.579Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

5 ZAKLJU»AKU utvrappleivanju reguliranih cijena primjenjuju serazliËite metode ekonomske regulacije i to prvenstvenou djelatnostima koje su po svom karakterumonopolne, znaËi prijenosu i distribuciji elektriËneenergije, a ne u djelatnostima proizvodnje iopskrbe koje su po svom karakteru træiπne djelatnosti.Sukladno tome, regulatorno tijelo u veÊinianaliziranih dræava donosi ili daje suglasnost naplanove razvoja i izgradnje monopolnih djelatnostikao preduvjet za utvrappleivanje cijena reguliranihusluga. Zakonska nadleænost regulatornog tijelada donosi ili daje suglasnost na planove razvoja iizgradnje energetskih subjekata u naËelu ne dajeodgovor koliko duboko je pravo regulatornog tijelada zadire u planove razvoja i izgradnje energetskihsubjekata. Stoga se vrlo Ëesto u poËetku uvoappleenjaregulatorne prakse postavlja pitanje koliko meritornomoæe biti regulatorno tijelo prilikom ulaskau rasprave o pojedinim koncepcijskim rjeπenjima,odnosno o pojedinim tehniËkim pitanjima. Praksau regulatornim tijelima u EU, odnosno ËlanicamaERRA-e, s duæom regulatornom praksom odHERA-e pokazala je da su koncepcijska rjeπenjai kriteriji za izgradnju objekata u naËelu odlukaenergetskog subjekta, dok regulatorno tijelo odobravaposlovne planove ukljuËujuÊi financijsko pokrivanjeinvesticijskog plana. Paralelno odobravanjuposlovnih planova, regulatorna tijela utvrappleujuopravdanu razinu uËinkovitosti te razinu kvaliteteopskrbe kako se smanjenjem troπkova ne bi smanjilai kvaliteta opskrbe.Regulatorna politika moæe imati znaËajan utjecajna buduÊi prihod energetskog subjekta krozutvrappleivanje regulatorne osnovice sredstava u kojuulaze odobrena ulaganja te kroz utvrappleeni faktoruËinkovitosti. Odobrena razina ulaganja ima znaËajanodraz na visinu regulirane cijene koja proizlaziiz primijenjene regulatorne metode. Isto tako,ukoliko se jednom investicija prizna u CAPEX-u,a ne realizira se tijekom regulatornog razdobljaza koje je odobrena, nije opravdano opet ukljuËitije u CAPEX u sljedeÊem regulatornom razdoblju.Ako se radi o kratkom regulatornom razdoblju,kao πto je to npr. jedna godina kako je predviappleenotarifnim sustavima koje je donijela HERA, postavljase pitanje na koji naËin Êe regulatorno tijelopratiti realizaciju investicije i njeno ukljuËivanje uCAPEX. Naime, regulatorni pristupi analizirani uovom Ëlanku pokazali su da je prilikom utvrappleivanjaCAPEX-a, odnosno razmatranja uËinkovitosti pojedinogenergetskog subjekta potrebno analiziratitroπkove kroz duæe vremensko razdoblje. Takvomanalizom, odnosno primjenom metoda ravnanja pomjerilu na sloæenijem skupu podataka, osiguralabi se vjerodostojnost i razvidnost postupanja regu-5 CONCLUSIONIn the determination of regulated prices, variousmethods of economic regulation are applied,primarily to activities that are by their nature monopolistic,i.e. the transmission and distribution ofelectrical energy, and not to the activities of generationand supply, which are by their nature marketactivities. Consequently, the regulatory bodies inthe majority of the countries analyzed adopt or issueapproval for the development and constructionplans of monopolistic activities as a prerequisite forthe determination of the prices for regulated services.The legal authority of a regulatory body to adoptor issue approval for the development and constructionplans of energy entities in principle does notprovide an answer to how much of a right the regulatorybody has to interfere in the development andconstruction plans of energy entities. Therefore, thequestion is very often posed at the beginning of theintroduction of regulatory practices concerning howcompetent a regulatory body can be when enteringinto a discussion on individual conceptual solutions,i.e. individual technical questions. The practice ofthe regulatory bodies in the EU or the members ofthe ERRA, with longer regulatory experience thanthe CERA, has shown that conceptual solutionsand criteria for the construction of facilities are inprinciple the decision of the energy entity, whilethe regulatory body approves business plans includingthe financial coverage of the investment plan.Parallel to approving business plans, the regulatorybody determines the justified level of efficiency andthe level of the quality of supply, so that a reductionin expenditures does not lead to a reduction in thequality of the supply.Regulatory policy can have a significant impact onthe future revenue of an energy entity through thedetermination of the regulatory asset base in whichapproved investments are made and through thedetermination of the efficiency factor. The approvedlevel of investment is significantly reflected in theamounts of the regulated prices determined fromthe application of a regulatory method. Similarly,if an investment is recognized in CAPEX and is notimplemented during the regulatory period for whichit has been approved, it is not justified to includeit in CAPEX again for the subsequent regulatoryperiod. If the regulatory period is short, such as,for example, one year, the question is posed howthe regulatory body will monitor the implementationof the investment and its inclusion in CAPEX. Theregulatory approaches analyzed in this article havedemonstrated that when determining CAPEX, i.e.considering the efficiency of an individual energyentity, it is necessary to analyze expenditures over along period of time. With such analysis, i.e. the applicationof the benchmarking method to a complexŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583580

latornog tijela tijekom procesa utvrappleivanja cijenareguliranih usluga.HERA, prilikom donoπenja tarifnih sustava i opredjeljenjaza metodu regulacije priznatih troπkova,nije razmatrala posljedice koje regulatorni pristupmoæe imati na dozvoljeni prihod reguliranih energetskihsubjekata. Ujedno nije zauzela jasan i nedvosmislenstav prema nizu pitanja i dilema koje semogu javiti tijekom postupka davanja suglasnostina planove razvoja i izgradnje prijenosne i distribucijskemreæe kao i tijekom davanja miπljenja naprijedlog energetskih subjekata o iznosu tarifnihstavki. Stoga je postupanje hrvatskog regulatornogtijela u postupku donoπenja reguliranih cijena natemelju neke od poznatih metoda ekonomske regulacijejoπ uvijek nedefinirano te nema dosadaπnjeprakse koja bi se mogla analizirati. Isto tako nepoznataje praksa HERA-e u smislu davanja suglasnostina planove razvoja i izgradnje HEP OPS-ai HEP ODS-a.ImajuÊi u vidu dosadaπnji tijek uvoappleenja ekonomskeregulacije u Hrvatskoj te argumentacijuiz Ëlanka kao i iskustva drugih regulatornih tijelazakljuËak je autora da se zakonsko rjeπenje nuænomora mijenjati u viπe segmenata.Prvo, da se prilikom definiranja nadleænosti HE-RA-e definiraju sve njene nadleænosti kroz zakonskeodredbe, a ne da se naknadno iste utvrappleujukroz podzakonske akte koje donosi MINGORP iliHERA, kao πto je to npr. sluËaj s davanjem suglasnostina planove poslovanja ili planove razvojai izgradnje energetskog subjekta za proizvodnju iopskrbu elektriËnom energijom.Drugo, da se uloga HERA-e i primjena neke odpoznatih metoda ekonomske regulacije ograniËisamo na monopolne djelatnosti za koje su iste irazvijane. Naime, regulacija cijena u klasiËnomsmislu rijeËi gubi vaænost u djelatnostima koje supo svom karakteru træiπne (u kojima tarifa znaËajnoovisi o parametrima na koje energetski subjektne moæe utjecati i koje regulatorno tijelo ne moæenadzirat, kao πto je to npr. cijena goriva) i u kojimaregulatorno tijelo ne daje suglasnost na planove,kao πto je to sluËaj s proizvodnjom i opskrbomelektriËnom energijom.TreÊe, zakonsko rjeπenje sa samo poloviËno definiranimrokovima pokazalo se kao nedostatno. Naime,predviappleen je rok za donoπenje tarifnih sustavabez visine tarifnih stavki, a da nije predviappleen rokza donoπenje iznosa tarifnih stavki.Posljedica ovakvog slijeda zakonskih rjeπenja jeda su tarifni sustavi doneseni u prosincu 2006.godine, a da nisu prije toga napravljene simulacijegroup of data, the credibility and transparency ofthe behavior of the regulatory body during the processof the determination of the prices for regulatedservices would be assured.When adopting tariff systems and deciding uponthe method for the regulation of the rate of return,the CERA did not consider the consequences thata regulatory approach can have on the allowed revenueof entities performing regulated activities. Italso did not assume a clear and unambiguous positiontoward a series of questions and dilemmasthat can arise during the procedure for the issuingof approval for the development and constructionplans of the transmission and distribution networksas well as when issuing an opinion on proposalsby energy entities on the amounts of tariff items.Therefore, the procedure by the Croatian EnergyRegulatory Agency in the adoption of regulated priceson the basis of some of the recognized methodsof economic regulation has still not been definedand there is no practical experience to date thatcould be analyzed. Similarly, the CERA’s practicesin the sense of issuing approval for developmentand construction plans for the transmission systemoperator and the distribution system operator arealso unknown.Bearing in mind the progress thus far in the introductionof economic regulation in the Republic ofCroatia and the argumentation from the article, aswell as the experiences of other regulatory bodies,it is the authors’ conclusion that several segmentsof the legislative solution in the Republic of Croatiamust be changed.First, all of the CERA’s authorities should be definedthrough legal provisions instead of determiningthem retrospectively through regulationsissued by the Ministry of the Economy, Labor andEntrepreneurship or the CERA, such as, for example,the case of issuing approval for the businessplans or the development and construction plansof an energy entity for the generation and supply ofelectrical energy.Second, the role of the CERA and the application ofsome of the recognized methods of economic regulationshould be limited to the monopolistic activitiesfor which they were developed. Price regulationin the classical sense has diminished significancein activities with a market character (in which thetariff significantly depends upon parameters whichthe energy entity cannot influence and which theregulatory body cannot supervise, such as, for example,the price of fuel) and for which the regulatorybody does not issue approval for plans, such asin the case of the generation and supply of electricalenergy.581Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

prihvaÊene metode priznatih troπkova s ulaznimpodacima od HERA-e odobrenih planova razvojai izgradnje reguliranih energetskih subjekata. Takvasimulacija iznosa tarifnih stavki bi na razvidannaËin prikazala HERA-in stav prema priznavanjurazine OPEX-a i CAPEX-a.Third, a legal solution with only partially defineddeadlines has proven to be insufficient. The deadlinehas been set for the adoption of tariff systemswithout the stipulation of the amounts of the tariffitems, and the deadline for the adoption of the tariffitems has not been set.As a consequence of such a sequence of legislativesolutions, the tariff systems were adopted inDecember 2006 without prior simulations basedupon the accepted rate of return method and the inputdata came from development and constructionplans of the entities performing regulated activitieswhich the CERA had not previously approved.Such simulations of the amounts of the tariff itemswould present the CERA’s position toward the recognizedlevels of OPEX and CAPEX in a transparentmanner.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583582

LITERATURA / REFERENCES[1] Zakon o energiji, Narodne novine, 68/2001, 177/2004, 76/2007[2] Tarifni sustav za distribuciju elektriËne energije, bez visine tarifnih stavki, Narodne novine,143/2006[3] Tarifni sustav za prijenos elektriËne energije, bez visine tarifnih stavki, Narodne novine, 143/2006)[4] Tarifni sustav za proizvodnju elektriËne energije, s iznimkom za povlaπtene kupce, bez visine tarifnihstavki, Narodne novine, 143/2006[5] Tarifni sustav za opskrbu elektriËnom energijom, s iznimkom za povlaπtene kupce, bez visine tarifnihstavki, Narodne novine, 143/2006[6] ©TRITOF, I., GELO, T., ZnaËajke regulacije maksimalnih veliËina, Zbornik radova grupe C5 ∑ TræiπteelektriËnom energijom i regulacija sa 7. savjetovanja HO CIGRÉ, Cavtat, 2005.[7] ©TRITOF, I., Preduvjeti za uvoappleenje modela poticajne regulacije u prijenosu elektriËne energije uRepublici Hrvatskoj, Magistarski rad, Fakultet elektrotehnike i raËunarstva SveuËiliπta u Zagrebu,Zagreb, 2005.[8] Zakon o træiπtu elektriËne energije, Narodne novine, 177/2004, 76/2007[9] ©TRITOF, I., Presentation: Disccusion Paper ∑ Development Plans (Financial, Technical and Business),Energy Regulatory Regional Association, Tariff/Pricing Committee, Vilnius, 2005[10] BURNS, P., DAVIES, J., Regulatory incentives and capital efficiency in UK electricity distributionbusiness, CRI Technical paper No.12, 1998[11] AJODHIA, V. et al, Optimal Investment Appraisal under Price ∑ Cap Regulation, Presented at 4 thInternational Conference on Applied Infrastructure Research, Berlin, 2005[12] HEP Operator distribucijskog sustava d.o.o., Godiπnje izvjeπÊe 2005, Zagreb, 2006.[13] BORKOVIΔ, I., Upravno pravo, Narodne novine, Zagreb, 2002.[14] Zakon o træiπtu elektriËne energije, Narodne novine, 68/2001[15] ZakljuËak o prijedlogu Plana razvoja i izgradnje prijenosne mreæe za razdoblje od 3 godine, 21. sjednicaVijeÊa za regulaciju energetskih djelatnosti, Zagreb, 2003.[16] Odluka o iznosu naknada za koriπtenje prijenosne i distribucijske mreæe, 21. sjednica VijeÊa za regulacijuenergtskih djelatnosti, Zagreb, 2003.Uredniπtvo primilo rukopis:2007-08-14PrihvaÊeno:2007-09-14Manuscript received on:2007∑08∑14Accepted on:2007∑09∑14583Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

ULOGA REGULATORNOG TIJELA UDONO©ENJU TARIFNIH SUSTAVA:OKRUGLI STOL ∑ PRIKAZ I ZAKLJU»CITHE ROLE OF THE REGULATORYAGENCY IN THE ADOPTION OF TARIFFSYSTEMS: ROUND TABLE DISCUSSION∑ REPORT AND CONCLUSIONDr. sc. MiÊo Klepo, Hrvatska energetska regulatorna agencija,Koturaπka cesta 51, 10000 Zagreb, HrvatskaKrajem 2006. godine Hrvatska energetska regulatorna agencija donijela je metodologije za izraËuntarifa za djelatnosti proizvodnje, prijenosa, distribucije i opskrbe elektriËnom energijom, koje sudo sada bile komponente jedinstvene tarife za integrirani sustav djelatnosti proizvodnje, prijenosa,distribucije i opskrbe elektriËnom energijom. Sukladno zakonskoj obvezi razdvajanja navedenihdjelatnosti, izraæenih i kroz pristup spomenutim metodologijama tarifnih sustava, u tijeku su poslovivezani uz izraËun i donoπenje tarifnih stavki za navedene energetske djelatnosti.Primjenom spomenutih metodologija, odnosno donoπenjem i stupanjem na snagu novih tarifnihstavki elektroenergetski sektor i elektroenergetsko gospodarstvo Republike Hrvatske uÊi Êe u probnoregulatorno razdoblje. Stoga je i za regulatorno tijelo, za predstavnike reguliranih djelatnosti,jednako tako i za struËnu javnost od velike vaænosti i pomoÊi bilo raspraviti neka pitanja i dileme izpredmetne problematike, i to upravo na skupu s predstavnicima raznih zainteresiranih strana.In late 2006, the Croatian Energy Regulatory Agency adopted methodologies for the calculationof tariffs for the activities of the generation, transmission, distribution and supply of electricity,which until now have been components of a single tariff for an integrated system of the activitiesof the generation, transmission, distribution and supply of electricity. Pursuant to the legalobligations to separate these activities, as also expressed through the approach of the citedmethodologies of the tariff systems, activities are in progress in reference to the calculation andadoption of tariff items for the aforementioned fundamental energy activities.With the application of the cited methodologies, i.e. the adoption and coming into force of thenew tariff systems of the electricity sector and the electricity sector of the Republic of Croatia, anew trial regulatory period will be entered. Therefore, for the regulatory agency, representativesof the regulated entities, and professional public, discussion of several questions and dilemmasfrom this area at a meeting among representatives of various interested parties was consideredto be of great importance and benefit.KljuËne rijeËi: energetsko regulatorno tijelo, ekonomska regulacija, metoda priznatih troπkova,metodologija tarifnog sustava, regulacija stopom povrataKey words: economic regulation, energy regulatory agency, method of recognized costs, regulationof the rate of return, tariff system methodologyKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553526

1 UVODNa inicijativu SO C5 ∑ Træiπte elektriËnom energijomi regulacija, IO HRO CIGRÉ, u Zagrebu je 15.svibnja 2007. godine odræan Okrugli stol ∑ Ulogaregulatornog tijela u donoπenju tarifnih sustava.Okrugli stol organiziran je sa svrhom i ciljem dapredstavnici regulatornih tijela i predstavnici reguliranihsubjekata uz prisutnost struËne javnostiizloæe svoja iskustva i poglede, odnosno raspraveproblem uloge i postupanja regulatornog tijela tesadræaja ekonomske regulacije kada su u pitanjutarifni sustavi za proizvodnju, prijenos, distribucijui opskrbu elektriËnom energijom. Naravno, postojibitna razlika izmeappleu, s jedne strane proizvodnjei opskrbe elektriËnom energijom kao primarnotræiπnih djelatnosti, dakle djelatnosti izloæenihkonkurenciji, i s druge strane infrastrukturnihprirodnih monopolnih djelatnosti prijenosa i distribucijeelektriËne energije, koji su u pravilu reguliranedjelatnosti. Zakonodavni i regulatorni okvir ukojem postoji jasno izraæena obveza javne uslugeopskrbe tarifnih kupaca taj kontekst moæe djelomiËnoizmijeniti na naËin da energetske djelatnostiproizvodnje i opskrbe elektriËnom energijom inadalje ostaju predmetom ekonomske regulacije inadzora energetskog regulatornog tijela. Tako su uovom sluËaju sve Ëetiri navedene usluge stavljeneu kontekst opÊeg ekonomskog (gospodarskog)interesa i povjerena jednom poduzeÊu, da bi seosigurala sigurna, redovita i kvalitetna opskrbaenergijom po razumnim cijenama, vodeÊi raËunao zaπtiti okoliπa. U svakom sluËaju, problematikaodabira pristupa i utvrappleivanja metodologijeekonomske regulacije i donoπenja odgovarajuÊihtarifnih sustava za svaku od navedenih energetskihdjelatnosti, koje su ranije bile ukljuËene uintegrirani tarifni sustav, i na koje se sada trebajuprimijeniti zasebni tarifni sustavi, stvara jedanpotpuno novi problem koji je uz to praÊen problemomefikasnog odvajanja energetskih djelatnosti.Dakako, sustavi i regulatorna tijela drugih zemaljabili su suoËeni i suoËavaju se sa sliËnim pitanjimai problemima. Stoga je bilo vaæno raspravitineka pitanja i dileme iz predmetne problematikes predstavnicima raznih zainteresiranih strana, apoglavito je bilo vaæno Ëuti iskustva i stavove relevantniheksperata iz europskih regulatornih tijela izemalja s viπegodiπnjim iskustvom u ekonomskojregulaciji, bilo da se radi o dugogodiπnjim ËlanicamaEU, ili zemljama koje su tek nedavno postaleËlanice EU.1 INTRODUCTIONAt the initiative of SC C5 ∑ Electricity Markets andRegulation, the Croatian National Committee ofCIGRÉ, the Round Table Discussion on the Roleof the Regulatory Agency in the Adoption of TariffSystems was held in Zagreb on May 15, 2007.The Round Table Discussion was organized withthe purpose and goal of providing the opportunityfor representatives of the regulatory bodies andthe regulated entities to present their experiencesand views in the presence of the professional public,i.e. discuss the problem of the role and approachof the regulatory agency and the contentof economic regulation regarding the question ofthe tariff systems for the generation, transmission,distribution and supply of electricity. Naturally,there are significant differences between the generationand supply of electricity as primary marketactivities, i.e. activities subject to competition onthe one hand, and on the other hand the infrastructuralnatural monopolistic activities of thetransmission and distribution of electricity, whichas a rule are regulated activities. The legislativeand regulatory framework in which there areclearly expressed public service obligation supplyingtariff customers can partially alter this contextin that the energy activities of the generation andsupply of electricity continue to remain subject toeconomic regulation and supervision by the energyregulatory agency. All four of the stated servicesare considered to be of general economic interestand entrusted to a single enterprise in order to assurea reliable, regular and quality energy supplyat reasonable prices, while taking environmentalprotection into account. In any case, the problemsof selecting an approach, determining a methodologyfor economic regulation and adopting thesuitable tariff systems for each of the cited energyactivities that were previously included within anintegrated tariff system, for which it is now necessaryto apply separate tariff systems, create acompletely new problem which is accompanied bythe problem of the effective separation of energyactivities. Certainly, the systems and regulatoryagencies of other countries have been confrontedwith similar questions and problems. Therefore,it was important to discuss certain questions anddilemmas regarding this topic with representativesof various interested parties and it was especiallyimportant to hear about the experiences and positionsof relevant experts from the European regulatoryagencies and countries with many years ofexperience in economic regulation, whether longstandingmembers of the European Union or countriesthat have only recently become members ofthe EU.Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553528

U radu Okruglog stola po pozivu su uz prezentacijei predavanja, te kroz diskusije razliËitih ulogai nadleænosti regulatornih tijela, ali i praktiËnihpristupa regulaciji i problemu donoπenja tarifnihsustava, sudjelovali predstavnici regulatornih tijelaFrancuske, Austrije, Slovenije, Maapplearske iHrvatske, te predstavnici Hrvatske elektroprivreded.d., odnosno predstavnici energetskih subjekta uRepublici Hrvatskoj za koje se donose i primjenjujuodgovarajuÊi tarifni sustavi. Okrugli stol pobudioje veliki interes struËne javnosti i intenzivnudiskusiju problema i sadræaja uloge regulatornogtijela kada su u pitanju regulatorni pristupi i metodeekonomske regulacije energetskih djelatnosti,dakako onih energetskih djelatnosti koji imajumonopolne pozicije ili kojima su pridijeljene obvezejavnih usluga. Interes za teme metodologijatarifnih sustava, strukture, utjecajnih parametara,podloga i dokaza za utvrappleivanje razine tarifnihstavki i inaËe pobuappleuju veliki interes, πto se oËitovaloi na ovom Okruglom stolu.2 OSNOVNI ZAKONODAVNIOKVIR EU ZA USPOSTAVUTRÆI©TA ELEKTRI»NEENERGIJE I SADRÆAJREGULACIJEKljuËni akti Europske komisije koji definiraju opÊiokvir osnivanja i rada energetskih regulatornih tijela,odnosno utvrappleuju opÊe smjernice i standardeorganizacije energetskog træiπta i nadleænosti tihtijela u svezi elektriËne energije su:∑ Direktiva 2003/54/EZ Europskog parlamentai VijeÊa ministara o opÊim pravilima zaunutraπnje træiπte elektriËne energije i prestankuvaæenja Direktive 96/02/EZ, koja utvrappleujeopÊa pravila za proizvodnju, prijenos, distribucijui opskrbu elektriËnom energijom, tedefinira pravila o organizaciji i funkcioniranjuelektroenergetskog sektora, pristupa træiπtu,kriterije i postupke koji se primjenjuju za objavunadmetanja i davanje odobrenja i upravljanjesustavima,∑ Direktiva 2003/55/EZ Europskog parlamentai VijeÊa o zajedniËkim pravilima unutarnjegtræiπta prirodnog plina i ukidanju Direktive98/30/EZ, koja utvrappleuje zajedniËka pravila zaprijenos, distribuciju, opskrbu i skladiπtenjeprirodnog plina, LNG-a i druge tipove plinovakoji se mogu tehniËki i sigurno ubacivati itransportirati kroz sustav za prirodni plin, tedefinira pravila o organizaciji i funkcioniranjusektora, pristupa træiπtu, kriterije i postupkeIn the Round Table Discussion, in addition to invitedpresentations, lectures and the discussion of thevarious roles and authorities of regulatory agencies,as well as practical approaches to regulation andthe adoption of tariff systems, representatives ofthe regulatory agencies of France, Austria, Slovenia,Hungary and Croatia as well as representatives ofHrvatska elektroprivreda d.d., i.e. representatives ofthe energy entities in the Republic of Croatia whoadopt and apply the corresponding tariff systems,also participated. The Round Table Discussionaroused great interest among the professional publicand provoked intense discussion on the problemand content of the role of the regulatory agency regardingregulatory approaches and methods for theeconomic regulation of energy activities, i.e. thoseenergy activities that have a monopoly position orto whom the public service obligation has been assigned.The topics of the methodologies of the tariffsystems, the structure, influential parameters, basisand evidence for the determination of various tariffitems attract great interest generally, which wasalso apparent at this Round Table Discussion.2 THE BASIC LEGISLATIVEFRAMEWORK OF THEEUROPEAN UNION FOR THEESTABLISHMENT OF ANELECTRICITY MARKET AND THECONTENT OF REGULATIONThe key acts of the European Commission thatdefine the general framework for the establishmentand activity of energy regulatory agencies,i.e. determine the general guidelines and standardsfor the organization of the energy market and theauthorities of these bodies in connection with electricity,are as follows:∑ Directive 2003/54/EC of the European Parliamentand of the Council of Ministers on CommonRules for the Internal Market in Electricityand Repealing Directive 96/02/EC, that determinesthe general rules for the generation, transmission,distribution and supply of electricityand defines the rules on the organization andfunction of the electricity sector, market approach,the criteria and processes that are appliedfor announcing tendering procedures, issuingauthorizations and managing systems,∑ Directive 2003/55/EC of the European Parliamentand of the Council Concerning CommonRules for the Internal Market in Natural Gas andRepealing Directive 98/30/EC, which determinesthe common rules for the transmission, distribution,supply and storage of natural gas, liquefied529Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

koji se primjenjuju na davanje odobrenja i radsustava,∑ Uredba 1228/2003/EZ Europskog parlamentai VijeÊa o uvjetima pristupa mreæi za prekograniËnurazmjenu elektriËne energije, te∑ Uredba 1775/2005/EZ o uvjetima pristupatransportnim mreæama za prirodni plin.Unutar tog opÊeg zakonodavnog okvira regulatornomtijelu mogu se dodijeliti razliËite nadleænostii odgovornosti, odnosno poslovi. Na Okruglomstolu prezentacijama i raspravom primarno su bileobuhvaÊene nadleænosti i uloga regulatornog tijelau pogledu donoπenja metodologija tarifnih sustavai/ili odreappleivanja tarifa/naknada za energetske usluge,odnosno krajnje kupce. Neposredno u svezi stim prezentirani su i raspravljeni i moguÊi pristupireguliranju monopola ili javnih usluga (cijenakoriπtenja mreæe, uvjeta pristupa mreæama, pravilaza voappleenje sustava, uvjeta osiguranja stabilnostii pouzdanosti sustava, pravila i uvjeta osiguranjapomoÊnih usluga sustava). ©irom raspravom bilesu obuhvaÊene i ostale nadleænosti i poslovi kojise u pravilu dodjeljuju regulatornom tijelu, kao πtosu nadzor standarda kvalitete i izvedbe, kreiranjei provoappleenje opÊih uvjeta, propisa i standarda,reguliranje ulaska energetskih subjekata u sektor(dozvole, povlaπteni statusi, prikljuËenja, novaizgradnja) i nadzor nad træiπtem, izvjeπtavanje, savjetovanjevlade, ministarstava, javnosti, rjeπavanjeæalbi na rad operatora sustava i rjeπavanje æalbi isporova kupaca.Na Okruglom stolu jasno je pokazano da je unutartog jednog opÊeg zakonodavnog okvira svaka zemljaËlanica EU razvila i uspostavila vlastiti zakonodavnii regulatorni okvir za træiπte elektriËne energije i radnacionalnog regulatornog tijela, temeljeÊi rjeπenjai praksu na vaæeÊem osnovnom nacionalnompravnom i zakonodavnom sustavu. OpÊe je pravilo,a isto je viπe puta i u svim sluËajevima ponovljenona gotovo istovjetan naËin od strane predstavnikaregulatornih tijela Francuske, Austrije, Slovenije,Maapplearske i Hrvatske, sudionika Okruglog stola, daje cilj svake zemlje uspostaviti neovisno i efikasnonacionalno regulatorno tijelo koje Êe stvoritiuvjete i nadzirati razvoj i uspostavu razvidnog,efikasnog i nepristranog træiπta elektriËneenergije i plina na dobrobit svih sudionika tihtræiπta i krajnjih korisnika. Preduvjeti razvidnog,efikasnog i nepristranog træiπta elektriËne energijei plina su osiguranje i provedba razvidnogi nediskriminirajuÊeg pristupa energetskimmreæama po unaprijed poznatim, reguliranimuvjetima, neovisan i nepristran rad operatoraenergetskih sustava, razvidno i nepristranorjeπavanje sporova i prigovora na pristupe mreæamai rad operatora mreænih sustava, efikasna provedbai garancije raËunovodstvenog i upravljaËkognatural gas (LNG) and other types of gases thatcan technically and safely be injected into andtransported through the natural gas system, anddefines the rules on the organization and functionof the sector, market access, criteria andprocedures that are applicable to the granting ofauthorizations and the operation of the system,∑ Regulation 1228/2003/EC of the EuropeanParliament and of the Council on Conditions forAccess to the Network for Cross-Border Exchangesin Electricity, and∑ Regulation 1775/2005/EC of the European Parliamentand of the Council on Conditions for Accessto the Natural Gas Transmission Networks.Within this general legislative framework, variousauthorizations and responsibilities, i.e. tasks canbe assigned to a regulatory agency. At the RoundTable, the presentations and discussions were primarilyabout the authorities and roles of the regulatoryagency regarding the adoption of methodologies fortariff systems and/or determining tariffs/charges forenergy services, i.e. the final customers. In connectionwith this, potential approaches to the regulationof monopolies or public services were presentedand discussed (the cost of network use, conditionsfor network access, rules for system management,conditions for assuring the stability and reliabilityof a system, and rules and conditions for securingauxiliary system services). Broader discussions includedother authorities and tasks that as a rule areassigned to the regulatory body, such as the supervisionof the standards for quality and implementation,the creation and implementation of generalconditions, regulations and standards; regulation ofthe entry of energy entities into the sector (permits,privileged status, connections and new construction)and supervision over the market, reporting; advisingthe government, ministries and public; the settlingof complaints regarding the work of the system operator,and customer complaints and disputes.At the Round Table Discussion, it was clearly demonstratedthat within this general legislative framework,each Member Country of the EU has developed andestablished its own legislative and regulatory frameworkfor the electricity market and the work of thenational regulatory agency, based upon the solutionsand practice of the prevailing basic national legaland legislative system. As a general rule, which wasrepeated in all cases in a nearly identical manner inthe presentations by the representatives of the regulatoryagencies of France, Austria, Slovenia, Hungaryand Croatia, i.e. the Round Table participants, thegoal of every country is to establish an independentand efficient national regulatory agency that will createthe conditions, supervise the development andestablish transparent, efficient and nondiscriminatoryelectricity and gas markets for the benefit of all theKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553530

azdvajanja energetskih djelatnosti, sprjeËavanjemeappleusobnih subvencioniranja reguliranih inereguliranih djelatnosti unutar vertikalno ilihorizontalno integriranih sustava, efikasan sustavprekograniËnih razmjena, razvoj i uspostavaefikasnih træiπnih mehanizama i slobodna træiπnautakmica itd.S druge strane, Ëinjenice i pojavnost su da regulatornatijela u razliËitim zemljama imaju razliËitepozicije u odnosu na dræavna tijela i institucije,prvenstveno odgovarajuÊe vlade i ministarstva, terazliËite uloge i nadleænosti. U nekim zemljamaregulatorna tijela su organizacijska jedinica ilidio ministarstva ili pod nadzorom ministarstvaili vlade. U drugim zemljama su ili znaËajno iliu potpunosti neovisna tijela. U nekim zemljamaregulatorna tijela imaju nadleænost i obvezu nadzoraprovedbe podzakonskih akata, donoπenja metodologijatarifnih sustava, davanja odobrenja naplanove razvoja i planove investiranja reguliranihsubjekata, nadzora provedbe ili primjene tarifnihsustava i tarifa, nadzora financijskog poslovanja,nadzora provedbe raËunovodstvenog i upravljaËkograzdvajanja, nadzora kvalitete energetskih usluga,davanja odgovarajuÊih miπljenja i savjetovanjaministarstava i vlada o cijenama, tarifama, pitanjimauspostave energetskog træiπta i sl. U drugimzemljama nacionalna regulatorna tijela imajujaËu ulogu i nadleænosti, koje ukljuËuju donoπenjeodgovarajuÊih podzakonskih akata, ali i poduzimanjeodgovarajuÊih mjera, utvrappleivanje tarifai uvjeta pristupa mreæama, rjeπavanje sporova usvezi s pristupom mreæama i uvjetima koriπtenjamreæa, rjeπavanje prigovora i æalbi na rad operatoramreænih sustava, rjeπavanje prigovora i æalbikrajnjih kupaca i sliËno. Nisu zanemarivi i sustavimjera i sankcija koje nekim regulatornim tijelimastoje na raspolaganju da bi osnaæili svoje djelovanjei odluke.Kada su u pitanju nadleænosti za definiranje idonoπenje metodologija ekonomske regulacije,odnosno izbor, definiranje i donoπenje osnovnogregulacijskog pristupa, metodologije tarifnog sustavai samih tarifa, uloge regulatornih tijela se razlikuju.Opet, u nekim zemljama regulatorna tijelaimaju kljuËnu ulogu u svim segmentima procesaod definiranja metode regulacije i metodologijetarifnog sustava, nadzora poslovanja i revizije financijskihpokazatelja i izvjeπÊa energetskih subjekata,dubinske revizije i odobravanja troπkova,definiranja i odobravanja kljuËnih regulacijskih imakroekonomskih parametara, primjene mehanizamajavnog prezentiranja i oËitovanja javnosti,odnosno korisnika i kupaca o iznosima tarifnihstavki itd. U drugim zemljama regulatornim tijelimadane su u nadleænost i obveze samo nekaod navedenih prava, poslova i obveza. NajËeπÊiparticipants of these markets and the final customers.The prerequisites for transparent, efficient andnondiscriminatory electricity and gas markets are theassurance and implementation of transparent andnondiscriminatory access to the energy networks accordingto previously specified regulatory conditions,the independent and nondiscriminatory work of theenergy system operators, the transparent and nondiscriminatoryresolution of disputes and complaintsregarding network access and the work of the networksystem operators, the efficient implementationand guarantee of the accounting and managerial unbundlingof energy activities, the prevention of crosssubsidies among regulated and unregulated activitieswithin vertically or horizontally integrated systems,an effective system for cross-border exchanges, thedevelopment and establishment of efficient marketmechanisms and free market competition etc.Otherwise, the regulatory agencies in various countrieshave differing positions in relation to the stateagencies and institutions, primarily the correspondinggovernments and ministries, and various rolesand authorities. In some countries, the regulatoryagencies are organizational units, parts of a ministryor under the supervision of a ministry or the government.In other countries, they are either considerablyor entirely independent bodies. In some countries,the regulatory bodies have the authority andresponsibility of supervising the implementation ofbylaws, the adoption of the methodologies of the tariffsystems, granting approval for the developmentand investment plans of the regulated entities, supervisionover the implementation or application oftariff systems and tariffs, supervision over financialoperations, supervision over the implementation ofaccounting and managerial unbundling, supervisionover the quality of energy services, issuing suitableopinions and advising ministries and the governmentregarding prices, tariffs, questions regarding the establishmentof the energy market etc. In other countries,the national regulatory agency has a strong roleand powerful authority, including the adoption ofsuitable bylaws but also the undertaking of suitablemeasures for the determination of tariffs and conditionsfor network access, the settlement of disputesin connection with network access and conditions fornetwork use, the settlement of complaints regardingthe work of the network system operator, the settlementof complaints from the final customers etc. Thesystem of measures and penalties that some regulatoryagencies have at their disposal to enforce theiractivity and decisions is not insignificant.When authorities are in question for the definitionand adoption of methodologies for economic regulation,i.e. the selection, definition and adoption ofthe basic regulatory approach, methodologies of thetariff system and tariffs themselves, the roles of the531Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

je sluËaj da regulatorno tijelo ima obvezu i odgovornostza donoπenje odgovarajuÊe metodologijetarifnih sustava, te nadzora poslovanja i troπkovareguliranih subjekata. Regulatorna tijela u nekimzemljama daju miπljenja odgovarajuÊim ministarstvimai vladama u pogledu visine tarifnih stavki,u drugim zemljama imaju nadleænost utvrappleivanja,odnosno reguliranja tarifnih stavki, πto je u pravilui cilj njihova osnivanja.KonaËno, nuæno je ukazati i na treÊi aspekt ili razinumoguÊih nadleænosti i odgovornosti regulatornihtijela. Tu treÊu razinu Ëine pristupi pojedinimsegmentima ili problemima ekonomske regulacijekao πto su problemi kriterija za pridjeljivanje i priznavanjerazine operativnih troπkova poslovanja,odobravanja i priznavanja investicija u nove objekte,postrojenja i instalacije, troπkova kapitala,odnosno amortizacije i povrata na uloæena sredstva,utvrappleivanja odgovarajuÊe regulatorne baze istope povrata na reguliranu imovinu, priznavanjaodgovarajuÊih inflatornih utjecaja na troπkove i tarife,utvrappleivanja i priznavanja i drugih korektivnihfaktora na troπkove i tarife, te konaËno i postupanjau sluËaju viπkova i manjkova prihoda na karajuregulacijskog perioda. Posebno je pitanje odnosa ipostupanja prema kategorijama prihoda koji imajuobiljeæja profita. Naravno, za ovaj treÊi regulacijskiaspekt vezana su i pitanja, odnosno problemikoliko dug regulacijski period ustanoviti, kada primijenitijednostavne, a kada poËeti primjenjivatisloæene metode ekonomske regulacije.»esto je prisutna i dilema kada uvesti poticajnuregulaciju, kako sloæene regulacijske pristupe imehanizme uËiniti razumljivim, razvidnim i prihvatljivimsvim sudionicima, naroËito energetskimsubjektima koji iste trebaju primijeniti i korisnikeili kupce na koje se isti odnose, i konËano, kakoosigurati da ti mehanizmi u sukcesivnom slijedurezultiraju stabilnom i efikasnom strukturom tarifai sl. Za mreæne infrastrukturne sustave i prirodnemonopolne energetske djelatnosti uz navedenetreba dodati i pitanja odgovornosti i naËina osiguravanjapomoÊnih usluga sustava, pokriÊe troπkovagubitaka, odgovornosti za pravovremen i dostatanrazvoj i izgradnju sustava, te izgradnju dostatnihprekograniËnih kapaciteta. Dodatno, operatori prijenosnogi distributivnog sustava imaju i odgovornostiu pogledu ukljuËivanja i osiguravanja uvjetaza rad postrojenja koja koriste obnovljive izvoreenergije.regulatory agencies differ. In some countries, theregulatory bodies have a crucial role in all the segmentsof the process, including the definition of themethod for regulation and the methodology of thetariff system, supervision over operations and theauditing of financial indices and reports of energyentities, in-depth auditing and approval of expenditures,the definition and approval of crucial regulatoryand macroeconomic parameters, the applicationof mechanisms for presentations and statementsto the public, i.e. users and customers, about theamounts of tariff items etc. In other countries, theregulatory agencies are granted the authority andresponsibility for only some of the stated rights, activitiesand responsibilities. The most frequent caseis that a regulatory agency has the obligation andresponsibility for the adoption of a suitable tariffsystem methodology, together with the supervisionof the operations and expenditures of the regulatedentities. The regulatory bodies in some countries issuean opinion to the corresponding ministries andgovernments regarding the amounts of tariff items,and in other countries they have the authority todetermine or regulate the tariff items, which as arule is the purpose for their establishment.Finally, it is necessary to draw attention to the thirdaspect or level of the potential authorities and responsibilitiesof regulatory bodies. This third level consistsof approaches to individual segments or problems ofeconomic regulation, such as the problems of thecriteria for the allocation and recognition of the levelof operational costs, approval and recognition of investmentsin new facilities, plants and installations;capital costs, i.e. depreciation and investment return,determination of the suitable regulatory basis andrate of return on regulated property, recognition ofthe impact of inflation on costs and tariffs; the determinationand recognition of other corrective factorson costs and tariffs, and finally the procedure in theevent of revenue surpluses and deficits at the end ofthe regulatory period. A particular question refers tothe attitude and procedure toward the categories ofrevenue that have recorded profits. Naturally, questionsare connected with this third regulatory aspect,i.e. problems regarding how long a regulatory periodshould be established, when simple methods shouldbe applied and when it is necessary to begin to applycomplex methods of economic regulation.There is often the issue of when to introduce incentiveregulation, how to make complex regulatoryapproaches and mechanisms understandable,transparent and acceptable to all the participants,especially energy entities who must apply them andthe users or customers to which they refer, how toassure that these mechanisms successively result ina stable and efficient tariff structure etc. For networkinfrastructure systems and naturally monopolisticKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553532

3 RESTRUKTURIRANJEELEKTROENERGETSKOGSEKTORA, REGULACIJA ITARIFNI SUSTAVI U REPUBLICIHRVATSKOJU uvodnom dijelu Okruglog stola detaljno jeizloæen kontekst energetskog zakonodavnog okvirai procesa restrukturiranja elektroenergetskog sektora,odnosno otvaranja træiπta elektriËne energijei razvoja i uspostavljanja novog regulatornog okvirau Republici Hrvatskoj [1], [2] i [3]. U tom kontekstui okruæju donesene su i objavljene metodologijetarifnih sustava, a tek treba utvrditi odgovarajuÊestavke za prijenos i distribuciju elektriËne energijete proizvodnju i opskrbu elektriËnom energijom sizuzetkom za povlaπtene kupce.Naime, temeljem vrijedeÊih zakona Hrvatska energetskaregulatorna agencija (u daljnjem tekstu:Agencija) ima obvezu i odgovornost, nakon pribavljenogmiπljenja energetskih subjekata za obavljanjeËijih djelatnosti se primjenjuje tarifni sustavi Ministarstva gospodarstva, rada i poduzetniπtva(u daljnjem tekstu: Ministarstvo), u sektoru elektriËneenergije donijeti metodologije tarifnih sustava,odnosno tarifne sustave bez visine tarifnihstavki, i to za: 1) proizvodnju elektriËne energije,s iznimkom za povlaπtene kupce, 2) opskrbuelektriËnom energijom, s iznimkom povlaπtenihkupaca, 3) prijenos elektriËne energije, 4) distribucijuelektriËne energije, 5) utvrappleivanje naknadeza prikljuËak na prijenosnu i distribucijsku mreæu,te poveÊanje prikljuËne snage, 6) pruæanje uslugauravnoteæenja elektriËne energije u elektroenergetskomsustavu.Prethodno navedene metodologije morajuomoguÊavati ulaganja potrebna za razvoj mreæe iostale zahtjeve sukladno postojeÊim zakonima.Temeljem vrijedeÊih zakona energetski subjekt zaobavljanje Ëijih djelatnosti se primjenjuje tarifnisustav podnosi prijedlog visine tarifnih stavki Ministarstvu,koje nakon pribavljenog miπljenja Agencijepredlaæe iznose tarifnih stavki Vladi RepublikeHrvatske. Vlada Republike Hrvatske utvrappleuje visinutarifnih stavki. Agencija provodi nadzor primjenetarifnih stavki i svih ostalih naknada.Na Okruglom stolu detaljno je izloæen kontekstutvrappleivanja i sadræaja metodologija tarifnih sustavaza proizvodnju elektriËne energije, s iznimkomza povlaπtene kupce, opskrbu elektriËnom energijom,s iznimkom povlaπtenih kupaca, prijenoselektriËne energije i distribuciju elektriËne energije.U nastavku slijedi prikaz do sada vrijedeÊegenergy activities, is also necessary to add questionsof responsibility and the manner of assuring auxiliaryservices for the system, covering losses, responsibilityfor the timely and suitable development andconstruction of the system, and the construction ofadequate cross-border capacities. Additionally, thetransmission and distribution system operators haveresponsibilities in respect to the inclusion and assuranceof the conditions for the operation of the plantsthat use renewable energy sources.3 RESTRUCTURING OFTHE ELECTRICITY SECTOR,REGULATION AND TARIFFSYSTEMS IN THE REPUBLIC OFCROATIAIn the introductory part of the Round Table Discussion,the context of the legislative framework for energyand the process of the restructuring of the electricitysector, i.e. opening the electricity markets and thedevelopment and establishment of a new regulatoryframework in the Republic of Croatia, were presentedin detail [1], [2] and [3]. In this context and environment,methodologies for tariff systems were adoptedand published, and it is necessary to determine thecorresponding tariffs for the transmission and distributionof electricity and production and supply ofelectricity with exceptions for eligible customers.Based upon the prevailing legislation, the CroatianEnergy Regulatory Agency (henceforth: the Agency)has the obligation and responsibility, after obtainingthe opinions of the energy to entities to whose activitiesthe tariff system is applied, and the Ministryof the Economy, Labor and Entrepreneurship(henceforth: the Ministry), to adopt methodologiesfor the tariff systems in the sector of electricity, i.e.the tariff systems without the amounts of the tariffitems, and this for 1) the generation of electricity,with the exception of eligible customers, 2) thesupply of electricity, with the exception of eligiblecustomers, 3) the transmission of electricity, 4) thedistribution of electricity, 5) the determination ofconnection fee to the transmission and distributionnetworks, and increasing the installed capacity, andvi) providing the services of balancing electricitywithin the electricity system.The previously cited methodologies must facilitatethe investment necessary for the development ofthe network and other requirements, pursuant tothe existing legislation.Based upon the prevailing legislation, the energyentities to whose activities the tariff system is ap-533Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

integralnog tarifnog sustava koji je bio na snaziviπe godina, razloga za njegovu promjenu, te opÊihznaËajki pristupa i kontekst regulatornih mehanizamatarifnih sustava u Republici Hrvatskoj koji sudoneseni i stupili na snagu u prosincu 2006. godine[4], [5], [6] i [7]. Naravno, kroz sve te sadræajeodraæava se i specifiËna pozicija i uloga hrvatskogenergetskog regulatornog tijela ∑ Agencije.Meappleutim, ogleda se i teæina problema konteksta,odnosno opsega i sadræaja regulacije energetskihdjelatnosti u sektoru elektriËne energije.Naime, nije naodmet ponoviti i Ëinjenicu da sepotreba za organizacijom Okruglog stola pojavila umomentu kada su u Republici Hrvatskoj donesenai stupila na snagu Ëetiri nova tarifna sustava, bezvisine tarifnih stavki, tj. metodologije za izraËunzasebnih tarifnih stavki za djelatnosti proizvodnje,prijenosa, distribucije i opskrbe elektriËnomenergijom. Iste su do sada bile komponente jedinstvenetarife za integrirani sustav djelatnostiproizvodnje, prijenosa, distribucije i opskrbe elektriËnomenergijom, odnosno svih usluga povezanihs opskrbom elektriËnom energijom krajnjih kupaca.Sukladno jasnoj zakonskoj obvezi razdvajanjanavedenih djelatnosti, izraæenih i kroz pristup spomenutimmetodologijama tarifnih sustava, u tijekusu poslovi vezani uz izraËun i donoπenje tarifnihstavki za navedene temeljne energetske djelatnosti.Primjenom spomenutih metodologija, odnosnodonoπenjem i stupanjem na snagu novih tarifnihstavki elektroenergetski sektor i elektroenergetskogospodarstvo Republike Hrvatske uÊi Êe u prvo regulatornorazdoblje.Stoga je i za regulatorno tijelo, za predstavnikereguliranih djelatnosti, jednako tako i za struËnujavnost od velike vaænosti i pomoÊi bilo raspravitineka pitanja i dileme iz predmetne problematike,i to upravo na skupu s predstavnicima raznih zainteresiranihstrana. Poglavito je bilo vaæno Ëutiiskustva i stavove relevantnih eksperata iz europskihregulatornih tijela i zemalja s viπegodiπnjimiskustvom u ekonomskoj regulaciji, bilo da se radio dugogodiπnjim Ëlanicama EU, ili zemljama kojesu tek nedavno postale Ëlanice EU. U uvodnomdijelu predstavnici Agencije i reguliranih subjekatau Republici Hrvatskoj detaljno su predstaviliulogu Agencije kao regulatornog tijela, odabranei primijenjene regulacijske pristupe i mehanizme,odnosno sadræaje i elemente metodologije tarifnihsustava koji su u Republici Hrvatskoj doneseniu prosincu 2006. godine za energetske djelatnostiprijenosa i distribucije elektriËne energijete proizvodnje i opskrbe elektriËnom energijoms iznimkom za povlaπtene kupce [8], [9] i [10].Okrugli stol pruæio je izvrsnu prigodu za usporedbui diskusiju hrvatskog zakonodavnog i regulatornogokruæja, odnosno regulacijskog pristupa i mehapliedsubmit a proposal for the amounts of the tariffitems to the Ministry, which after obtaining theopinion of the Agency proposes the amounts of thetariff items to the Government of the Republic ofCroatia. The Government of the Republic of Croatiadetermines the amounts of the tariff items. TheAgency supervises the application of the tariff itemsand all other compensation.At the Round Table Discussion, the context for thedetermination and content of the methodology ofthe tariff systems for the generation of electricitywas presented in detail, with an exception for favoredcustomers, as well as the supply of electricity,with an exception for favored customers, thetransmission of electricity and the distribution ofelectricity. A presentation follows of the valid integratedtariff system that was in force for manyyears, the reasons for changing it, and the generalcharacteristics of the approach and context of theregulatory mechanisms of the tariff system in theRepublic of Croatia that were adopted in December2006 and have gone into effect [4], [5], [6] and[7]. Naturally, the specific position and role of theCroatian Energy Regulatory Agency is reflected inall of this. However, the difficulty with the contextof the problem, i.e. the range and content of theregulations of the energy activities in the electricitysector, are also reflected.It is necessary to reiterate the fact that the needfor the organization of the Round Table Discussioncame at the moment when the Republic of Croatiahad adopted and placed into force four new tariffsystems, without specifying the amounts of thetariff items, i.e. the methodology for the calculationof the separate tariff items for the activitiesof the generation, transmission, distribution andsupply of electricity. Until now, they were componentsof a single tariff for the integrated systemof the activities of the generation, transmission,distribution and supply of electricity, i.e. all theservices connected with the supply of electricityto final customers. Pursuant to the clear legal obligationfor the separation of these activities, alsoexpressed through the approach of the previouslymentioned methodologies of the tariff system, workis in progress in connection with the calculationand adoption of the tariff items for these basic energyactivities. Through the application of the previouslymentioned methodologies, i.e. the adoptionand going into force of the new tariff items of theelectricity sector and the economy of the Republicof Croatia, a trial regulatory period will be entered.Therefore, for the regulatory agency, the representativesof the regulated entities, and the professionalpublic, it would be of great importance and benefitto discuss several questions and dilemmas regard-Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553534

nizma, ukljuËujuÊi i sadræaje i elemente metodologijetarifnih sustava, s odgovarajuÊim okruæjima,ulogama regulatornih tijela, odnosno pristupima,sadræajima i elementima regulacije i tarifnih sustavau Francuskoj, Austriji, Sloveniji i Maapplearskoji Hrvatske [11], [12], [13] i [14].Na slici 1 prikazan je tijek procesa restrukturiranjaelektroenergetskog sektora i træiπta elektriËneenergije, iz njegove vertikalno integrirane struktureu strukturu koja u svezi s træiπnim djelatnostimaproizvodnje elektriËne energije i opskrbe elektriËnomenergijom primarno podrazumijeva konkurentnookruæje i træiπnu utakmicu, a glede monopolnihmreænih infrastrukturnih sustava reguliranookruæje po principu reguliranog pristupa treÊe strane,dakle po tarifama i ostalim uvjetima pristupakoji su unaprijed utvrappleeni, razvidni i nepristrani.SpecifiËna struktura regulacije i tarifnih sustavauvjetovana je zakonom utvrappleenom obvezom javneusluge opskrbe elektriËnom energijom tarifnihkupaca. OËito je da Êe tu specifiËnu strukturu ubuduÊnosti znaËajno uvjetovati dinamika otvaranjatræiπta elektriËne energije, tj. brzina kojom Êe sesegment opskrbe i obveza prema tarifnim kupcimasmanjivati, a segment povlaπtenih kupaca rasti.ing these problems at a meeting with the representativesof various interested parties. It wouldbe especially important to hear about the experiencesand positions of the relevant experts fromthe European regulatory bodies and countries withmany years of experience in economic regulation,whether these countries that have been members ofthe EU for many years or have only recently becomemembers of the EU. In the introductory section,representatives of the Agency and the regulatedentities in the Republic of Croatia presented therole of the Agency in detail as a regulatory body,the chosen and applied regulatory approaches andmechanisms, i.e. the contents and elements of themethodologies of the tariff systems that were adoptedin the Republic of Croatia in December 2006 forthe energy activities of the generation of electricity,with an exception for favored customers, the supplyof electricity, with the exception of favored customers,the transmission of electricity and the distributionof electricity [8], [9] and [10]. The Round TableDiscussion provided an excellent opportunity for thecomparison and discussion of Croatian legislationand the regulatory environment, i.e. the regulatoryapproach and mechanisms, including the contentsand elements of the methodology of the tariff systems,with the corresponding environments, roles ofthe regulatory bodies, i.e. the approaches, contentsand elements of the regulations and tariff systemsin France, Austria, Slovenia, Hungary and Croatia[11], [12], [13] and [14].In Figure 1, the process of the reconstruction of theelectricity sector and the electricity market is presented,from its vertically integrated structure in astructure that in connection with the market activitiesof the generation of electricity and the supplyof electricity is primarily understood to mean thecompetitive environment and market competition,and regarding the monopolistic network infrastructuresystems, the regulated environment accordingto the principle of the third party acces accordingto tariffs and other conditions of access that havebeen determined in advance, and are transparentand nondiscriminatory. The specific structure of theregulatory and tariff systems was conditioned by thelegally established public service obligation of thesupply of electricity to tariff customers. It is evidentthat this specific structure will significantly affectthe dynamics of the opening of the electricity marketin the future, i.e. the speed at which the supplysegment and the obligation toward tariff customerswill be reduced and the segment of privileged customerswill grow.535Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

Slika 1Restrukturiranjeelektroenergetskogsektora i tarifni sustaviu HrvatskojFigure 1Restructuring of theelectrical energy sectorand the tariff systemsin CroatiaVertikalnointegrirani EES /Verticallyintegrated EESProizvodnja /GenerationPrijenos /TransmissionReguliranedjelatnosti /RegulatedactivitiesProizvodnja /GenerationPrijenos /TransmissionProizvodnja /GenerationTržišne djelatnosti / Market activitiesTrgovanje, posredovanje,zastupanje / Marketing,brokerage, representationProizvodnja /GenerationProizvodnja /GenerationDistribucija /DistributionOpskrba /SupplyDistribucija /DistributionOpskrba /SupplyTrgovanje, posredovanje,zastupanje / Marketing,brokerage, representationOpskrba /SupplyOpskrba /SupplyOpskrba /SupplyKupci /CustomersTarifni kupci /Tariff customers Povlašteni kupci /Privileged customersS druge strane izloæena struktura ukazuje na toda je realno oËekivati brze promjene konteksta,ali i sadræaja regulacije. Nije beznaËajno ukazatii na dvojnost, bolje reËeno sloæenost regulatornogsadræaja koji s jedne strane proizlazi iz potrebe dase definiraju sadræaji i razraappleuju specifiËni elementiekonomske regulacije za segment tzv. prirodnihmonopolnih djelatnosti prijenosa i distribucijeelektriËne energije, koje su u pravilu svugdjeujedno i regulirane djelatnosti, a s druge strane izpotrebe da se, premda ipak privremeno i do potpunogotvaranja træiπta elektriËne energije, razvijui uvedu regulacijski mehanizmi za træiπne djelatnostiproizvodnje i opskrbe elektriËnom energijom.Træiπne djelatnosti opÊenito i opÊeprihvaÊeno trebajubiti izloæene konkurenciji. To samo svjedoËio teæini zadatka i izazova s kojima se suoËavaregulatorno tijelo, ali i regulirani subjekti, kada jeproizvodnju i opskrbu potrebno prevesti iz stanjamonopola u stanje konkurencije.Na slici 2 prikazana je osnovna struktura, odnosnosadræaji novih tarifnih sustava kako ih definira novizakonodavni okvir u Republici Hrvatskoj.On the other hand, the presented structure indicatesthat it is realistic to anticipate rapid changesin the context as well as the contents of regulation.It is necessary to mention the duality, better to saythe complexity, of the regulatory content that fromthe one side issues from the need to define thecontents and work out the specific elements of theeconomic regulation of this segment, the so-callednaturally monopolistic activities of the transmissionand distribution of electricity, which as a rule arealso regulated activities everywhere; and from theother side the need for, albeit temporarily and untilthe complete opening of the electricity market,the development and introduction of the regulatorymechanisms for the market activities of the generationand supply of electricity. Market activitiesshould generally be exposed to competition. Thisonly testifies to the difficulty of the task and thechallenges confronting the regulatory agency, butalso the regulated entities, when generation andsupply must be changed from a state of monopolyto a state of competition.In Figure 2, the basic structure, i.e. content, ofthe new tariff systems is presented as defined bythe new legislative framework in the Republic ofCroatia.Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553536

Tarifni sustav /Tariff systemSlika 2Osnovna struktura isadræaj novih tarifnihsustavaFigure 2The basic structureand content of the newtariff systemsOdreappleivanje metode regulacije /Determination of the regulatory methodOdreappleivanje tarifnih stavki /Determination of tariff itemsUtvrappleivanje i kontrola troškova /Determination and control of costsPridjeljivanje troškova kupcima /Allocation of costs to customersKljuËni moment ili sadræaj regulacijskog procesa ukojem se definira pristup novom tarifnom sustavuje izbor osnovnog pristupa metodi regulacije (slika3).The crucial moment or content of the regulatoryprocess in which the access to the new tariff systemis defined is the selection of the basic approach tothe method of regulation (Figure 3).Troškovi poslovanja(operativni troškovi) /Operational costsUTP = T pos + T kapUkupni troškovi poslovanja /Total operational costsT kap = A + PR imTroškovi kapitala /Capital expendituresSlika 3Izbor, sadræaj imehanizam regulacijeu novim tarifnimsustavimaFigure 3The selection, contentand mechanism ofregulation in the newtariff systemsAmortizacija regulirane imovine /Depreciation of regulated assetsPovrat od regulirane imovine /Return on regulated assetsPR im = RI x PRTKRegulirana imovina ∑ dugotrajnamaterijalna i nematerijalnaimovina te trajna obrtna sredstva /Regulated assets ∑ fixed tangibleand intangible assets andlong-term current assetsPonderirani prosjeËni troškovikapitala (%) / Weighted averagecost of capital (%)OcjenjujuÊi realnim i razumnim da se na poËetkuprvog regulatornog razdoblja, dakle kada se poprvi put izlazi iz dugogodiπnje integrirane tarifnestrukture i jedinstvenih tarifnih stavki za sve energetskedjelatnosti u sektoru elektriËne energijei prelazi na odvojene pristupe i zasebne tarifnestavke za svaku od tih djelatnosti, odabere πtojednostavniji, lakπe primjenjiv i provedivi pristupi mehanizam, odabrana je opÊe poznata metodapriznatih troπkova poslovanja, pri Ëemu se regulacijazapravo temelji i veæe za kriterij stope povratauloæenog kapitala (eng. Cost Plus ili Rate-of ReturnRegulation). Dakle, slijedilo se odgovarajuÊeiskustvo i praksu viπe europskih zemalja i njihovihregulatornih tijela, koja su u poËetku procesauvodila jednostavne regulacijske mehanizme, aAt the beginning of the first regulatory period, i.e.when for the first time the integrated tariff structureand single tariff items for all the energy activities inthe power system will be replaced in transition toseparate approaches and separate tariff items foreach of these activities, it is realistic and reasonableto choose the simplest possible, easily applicableand feasible approach and mechanism. The generallyknown method of recognized costs of operations hasbeen chosen, so that the regulation is actually basedupon and connected with the criterion of the rate ofreturn on investments. Furthermore, the correspondingexperience and practice have been followed ofseveral European countries and their regulatoryagencies, which introduced simple regulatory mechanismsat the beginning of the process and then,537Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

zatim s vremenom, kako su svi sudionici procesastjecali odgovarajuÊa znanja i iskustva, uvodili svesloæenije mehanizme, da bi danas primjenjivalisloæene mehanizme poticajne regulacije, ali i vrlosloæene i zahtjevne procedure nadzora i kontrolesvakog segmenta tih mehanizama. Tako npr. Ëestosu u regulacijske mehanizme ukljuËeni nekiod makroekonomskih gospodarskih parametarai pokazatelja, koji traæe vrijeme za sloæenu i dugotrajnuanalizu i elaboraciju. U pravilu se pokazujeda nije niti jednostavno niti opravdano bezograde koristiti istovrsne pokazatelje primijenjeneu drugim zemljama, pa Ëak niti prenositi i koristitiistovrsne pokazatelje primijenjene u drugimgospodarskim sektorima iste zemlje. Pogotovo jeoprez nuæan kada su u pitanju razina i struktura,odnosno naËin utvrappleivanja odgovarajuÊih pokazateljatræiπnih rizika u svezi s ulaganjima, vlastitimkapitalom, dugovanjima i sliËno.Zakon utvrappleuje da se tarifni sustavi temelje naopravdanim troπkovima poslovanja, odræavanja,zamjene, izgradnje ili rekonstrukcije objekata izaπtite okoliπa, ukljuËujuÊi razuman rok povratasredstava od investicija u energetske objekte,ureappleaja i mreæa, odnosno sustava, te moraju bitinepristrani i razvidni. Ujedno, tarifni sustavi trebajupoticati mehanizme za poboljπanje energetskeuËinkovitosti i upravljanje potroπnjom, ukljuËujuÊii poveÊano koriπtenje obnovljivih izvora energije.Dakle, kod odabira temeljnog pristupa regulacijebilo je nuæno voditi raËuna da prihod ostvarenprimjenom novih tarifnih stavki treba pokriti svepriznate ukupne troπkove poslovanja, dakle priznateoperativne troπkove i troπkove kapitala, od kojihtroπkove kapitala Ëine amortizacija regulirane imovinei povrat od regulirane imovine.U hrvatskoj literaturi Ëesto se mijeπaju dva razliËitapojma:∑∑kapitalni troπkovi (CAPEX, Capital Expenditures),troπak kapitala (CC, Cost of Capital, odnosnoWACC, Weighted Average CC).Reguliranom energetskom subjektu u opÊemsluËaju treba omoguÊiti nadoknadu svih (priznatih)operativnih troπkova, amortizacije, te troπkovakoje potraæuju vlasnici financijskog kapitala, a tosu:∑ kamate i prinosi emitiranih korporacijskihobveznica,∑ oportunitetni troπak vlasnika dioniËarskogkapitala.with time, when all the participants in the processhad acquired the appropriate knowledge and experience,introduced progressively complex mechanismsin order to apply more complex mechanisms and incentiveregulation today, but also highly complex anddemanding procedures for the supervision and controlof each segment of these mechanisms. Thus, forexample, regulatory mechanisms frequently includedsome of the macroeconomic parameters and indices,which require time for complex and lengthy analysisand elaboration. As a rule, it has been shown thatit is neither simple nor justifiable to use the sametypes of indices applied in other countries withoutlimitation, or even to transfer and use the same typesof indices applied in the other economic sectors ofthe same country. Caution is particularly necessarywhen the level and structure are in question, i.e. themanner of determining the corresponding indices ofmarket risks in connection with investments, equitycapital, debts etc.The law establishes that the tariff systems are basedupon the justified costs of the operations, maintenance,replacement, construction or reconstructionof facilities and environmental protection, includinga reasonable period for the return of investmentsin energy facilities, equipment and networks, i.e.the systems, and must be nondiscriminatory andtransparent. At the same time, tariff systems mustpromote mechanisms for the improvement of energyefficiency and the management of consumption,including the increased use of renewable energysources. Therefore, in the selection of the basic approachto regulation, it was necessary to take intoaccount that the income generated through the applicationof the new tariff items should cover all theknown overall operational costs, i.e. the recognizedoperational costs and capital expenditures, whichconsist of the depreciation of the regulated propertyand the return from the regulated property.In the Croatian literature, two different conceptsare often confused:∑∑capital expenditures (CAPEX),cost of capital (CC, Cost of Capital, or WACC,Weighted Average CC).Through the regulation of an energy entity in thegeneral case, it is necessary to facilitate compensationfor all (recognized) operative costs, depreciationand expenditures claimed by the owners ofcapital, as follows:∑∑interest and the income from corporate bondsissued,opportunity costs for stockholders.Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553538

Stopa povrata koja omoguÊuje naknadu troπkovaiz navedene dvije kategorije zove se ponderiraniprosjeËni troπak kapitala (WACC).Po odabranom pristupu i metodi regulacije,odreappleivanje visine tarifnih stavki za buduÊu regulacijskugodinu zasniva se na sljedeÊim troπkovima:a) priznatim ostvarenim troπkovima poslovanja izprethodne regulacijske godine,b) ostvarenim i procijenjenim troπkovima poslovanjaza sadaπnju regulacijsku godinu, tec) prihvaÊenim planskim vrijednostima troπkova zarazmatranu buduÊu regulacijsku godinu.U reguliranu imovinu, temeljem koje se primjenomodgovarajuÊe priznate stope ponderiranogprosjeËnog troπka kapitala raËuna povrat ili prinosod regulirane imovine, Ëine dugotrajna materijalnai nematerijalna imovina te trajna obrtna sredstva.Izloæena osnovna struktura ili pristup primjenjujese na sve djelatnosti: proizvodnju, prijenos, distribucijui opskrbu elektriËnom energijom.SpecifiËna temeljna struktura i osnovne stavketroπkova poslovanja u svezi s proizvodnjom elektriËneenergije prikazana je na slici 4, u svezis prijenosom elektriËne energije na slici 5, sodgovarajuÊom posebnom razradom potrebnihpodataka koja je prikazana na slici 6, u svezi s distribucijomelektriËne energije na slici 7, te u svezis opskrbom elektriËnom energijom na slici 8.The rate of return that makes compensation for costsfrom the two cited categories possible is known asthe weighted average cost of capital (WACC).According to the selected approach and method ofregulation, the determination of the level of the tariffitems for the subsequent regulated year is basedupon the following expenditures:a) the recognized realized costs of operations duringthe previous regulated year,b) the realized and estimated costs of operations forthe current regulated year, andc) the accepted planned values of expenditures forthe analyzed subsequent regulated year.For regulated property, according to which the correspondingrecognized rate of the weighted averagecost of capital is applied, the return or revenue iscalculated and consists of fixed tangible assets, intangibleassets and permanent current assets. Thebasic structure or approach presented is applied toall activities: the generation, transmission, distributionand supply of electricity.The specific fundamental structure and basic itemsof operational costs in connection with the generationof electricity are presented in Figure 4, inconnection with the transmission of electricity inFigure 5, with the corresponding separate processingof the necessary data presented in Figure 6, thedistribution of electricity in Figure 7 and in connectionwith the supply of electricity in Figure 8.Stalni troškovi /Fixed expenditures − ST posa) održavanje elektrana /power plant maintenanceb) razgradnja elektrana /dismantling of power plantsc) bruto plaÊe /gross salariesd) ostali troškovi osoblja /other personnel expenditurese) zajedniËke funkcije /joint functionsf) ostali troškovi /other expendituresTroškovi poslovanja /Operational costs − TP posa) Energetsko gorivo /Energy fuel− ugljen / coal− loživo ulje / heating oil− plin / gas− ostala goriva, materijalprerade i skladištenje /other fuels, materialprocessing and storagePromjenljivi troškovi /Variable expenditures− PT posb) Nabava elektriËne energije /Procurement of electricalenergy− TE Plomin d.o.o./ PlominTPP d.o.o.− NE Krško / Krško NPP− izvori temeljem ulaganjaizvan Hrvatske / sourcesbased upon investmentoutside Croatia− ostali uvoz / other imports− ostali domaÊi izvori / otherdomestic sourcesc) Naknade, koncesije iostali troškovi odreappleenizakonom /Charges, concessionsand other expendituresstipulated by lawSlika 4Tarifni sustav zaproizvodnju elektriËneenergije (strukturatroπkova)Figure 4The tariff systemfor the productionof electrical energy(the structure ofexpenditures)539Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

Slika 5Tarifni sustav zaprijenos elektriËneenergije (strukturatroπkova)Figure 5The tariff systemfor the transmissionof electrical energy(the structure ofexpenditures)Troškovi poslovanja /Operational costs − TP pos− primarna regulacija / primary regulationa) održavanje mreže / network maintenance− sekundarna regulacija / secondary regulationb) pokriÊe gubitaka / coverage of losses− tercijarna regulacija / tertiary regulationc) nabava pomoÊnih usluga /− proizvodnja jalove energije / generation of reactive powerprocurement of auxiliary services− beznaponski (crni) start / black startd) pokrivanje dopuštenih odstupanja− sposobnost otoËnog rada / possibility of island operationod rasporeda / coverage of permitted− rad elektrane na vlastiti pogon /discrepancies from the scheduleindependent power plant operatione) bruto plaÊe / gross salariesf) ostali troškovi osoblja / other personnel expendituresg) ostali troškovi poslovanja / other operational costs• promjene u realizaciji plana /changes in the implementation of the plan− proizvodnje / generation− potrošnje / consumption− prekograniËne razmjene / cross-border exchangesSlika 6Tarifni sustav zaprijenos elektriËneenergije (strukturapotrebnih podataka)Figure 6The tariff systemfor the transmissionof electrical energy(the structure of therequired data)Troškovi pokriÊagubitaka / Expendituresto cover losses• Iznos / Amount• KoliËina /Quantity• Cijena / PriceTroškovi održavanjamreže / Networkmaintenance costs• Održavanje mreže visokog napona /Maintenance of high voltage network• Održavanje mreže srednjeg napona /Maintenance of medium voltage network• Održavanje mreže niskog napona /Maintenance of low voltage networkTroškovi poslovanja /Operational costsTroškovi brutoplaÊa / Gross salaryexpenditures• Bruto plaÊe / Gross salaries• Doprinosi na bruto plaÊe /Contributions to gross salariesOstali troškoviosoblja / Other personnelexpenditures• Materijalna prava / Substantive rights• Troškovi prijevoza na rad /Costs for transportation to work• Naknade ostalih troškova /Compensation for other expendituresOstali troškoviposlovanja / Otheroperational costs• Vrijednosno usklaappleenje kratkoroËne imovine/ Value coordination of current assets• Troškovi obraËuna i naknade za korištenjemreže / Accounting costs and charges fornetwork use• Troškovi zajedniËkih funkcija / Expendituresfor joint functions• Ostali troškovi poslovanja / Otheroperational costs• Izvanredni rashodi / ContingencyexpendituresSlika 7Tarifni sustav zadistribuciju elektriËneenergije (strukturatroπkova)Figure 7The tariff system for thedistribution of electricalenergy (the structure ofexpenditures)Troškovi poslovanja /Operational costs − TP posa) održavanje mreže / network maintenanceb) pokriÊe gubitaka / coverage of lossc) nabava pomoÊih usluga / procurement of auxiliary servicesd) bruto plaÊe / gross salariese) ostali troškovi osoblja / other personnel expendituresf) ostali troškovi poslovanja / other operational costsKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553540

Troškovi poslovanja /Operational costs − TP posa) bruto plaÊe / gross salariesb) ostali troškovi osoblja / other personnel expendituresc) obraËun i naplata / accounting and billingd) bankarski troškovi i platni promet /banking costs and monetary transactionse) ostali troškovi poslovanja / other operational costsf) troškovi zajedniËkih funkcija HEP d.d. i HEP ODS d.o.o. /expenditures of the joint functions of HEP d.d.and the HEP System Distribution Operator d.o.o.Slika 8Tarifni sustav za opskrbuelektriËnom energijom(struktura troπkova)Figure 8The tariff system forthe supply of electricalenergy (the structure ofexpenditures)Glede prijenosa elektriËne energije, bolje reËenoHEP Operatora prijenosnog sustava problematikupristupa regulaciji, odnosno tarifnom sustavu joπsloæenijima Ëine i sljedeÊa pitanja, odnosno probleminovog okruæja, kao πto su:∑ poslovanje HEP Operatora prijenosnog sustavana otvorenom træiπtu,∑ naËin utvrappleivanja i tretmana troπkova nastalihzbog prekograniËnih tranzita elektriËneenergije,∑ potreba da se u kratkom vremenu razraditrogodiπnji plan razvoja i izgradnje u novomokruæju i po novoj metodologiji (problem okvirai temeljnih odrednica za donoπenje planau znatno restrukturiranom okruæju u koji seuvode træiπni odnosi, stvaraju pretpostavkeza regulirani pristup treÊih strana mreæama iuslugama sustava, ulaze novi sudionici, stvaranovo poticajno okruæje za veÊe koriπtenjeobnovljivih izvora energije, jednom rijeËju mijenjajudosadaπnji tradicionalni odnosi i strukturaodgovornosti),∑ kako napraviti djelotvornu analizu osjetljivosticijene za koriπtenje prijenosne mreæe, kojasada postaje zasebna stavka,∑ kako osigurati pomoÊne usluge sustava i narazvidan i pravedan naËin pridijeliti ih korisnicimai naplatiti,∑ kako obuhvatiti i na djelotvoran naËin analiziratiutjecaj vjetroelektrana i drugih postrojenjakoja koriste obnovljive izvore energije napogonske parametre mreæe, ali i na troπkovekoriπtenja prijenosne mreæe,∑ kako ustanoviti djelotvoran mehanizam proraËunatroπkova upravljanja zaguπenjimamreæe,∑ da li ustanoviti odvojeno raËunovodstvo i kako,itd.Glede distribucije elektriËne energije, bolje reËenoHEP Operatora distribucijskog sustava problematikupristupa regulaciji i tarifnom sustavu dodatnoprati problematika nestandardnih usluga: njihovaRegarding the transmission of electricity, better to saythe HEP Transmission System Operator, the problemof the approach to regulation, i.e. the tariff system,is further complicated by questions and problems ofthe new environment, including the following:∑ the operations of the HEP Transmission SystemOperator on the open market,∑ the manner of the determination and treatmentof costs occurring due to the cross-border transitof electricity,∑ the necessity of preparing a three-year developmentand construction plan in a short time withinthe new environment and according to newmethodology (the problem of the frameworkand fundamental determinants for the adoptionof the plan in the significantly restructuredenvironment into which market relations arebeing introduced, creating the prerequisitesfor the regulated access of third parties to thesystem networks and services, the entry of newparticipants, the creation of a new incentive environmentfor the increased use of renewableenergy sources, i.e. the traditional relationshipsand structure of responsibilities are changing),∑ how to prepare an effective analysis of price sensitivityfor the use of the transmission network,which presently represents a separate item,∑ how to secure auxiliary system services, allocatethem to users and charge for them in a transparentand fair manner,∑ how to include and efficiently analyze theimpact of wind power plants and other facilitiesthat use renewable energy sources on thenetwork operating parameters, but also on thecosts of using the transmission network,∑ how to establish an efficient mechanism forcalculating the costs of the management ofnetwork congestion,∑ whether and how to establish separate accountingetc.Regarding the distribution of electricity, better to saythe HEP Distribution System Operator, the problem of541Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

knjigovodstvenog praÊenja po izdvojenim kontimai njihova odvajanja od standardnih usluga kodpraÊenja troπkova. Problem je i rasporeda troπkovaprema njihovoj vrsti te utvrappleivanja elemenata zaproraËun povrata na reguliranu imovinu.Tijek procesa utvrappleivanja i predlaganja visine tarifnihstavki prikazan je na slici 9.Prethodna godina je godina koja prethodi godiniza koju se donose tarifne stavke za odgovarajuÊuenergetsku djelatnost, a za koju su revidirani iobjavljeni financijski podaci, poznat ukupni prihodprimjenom vrijedeÊih tarifnih stavki i poznatiostvareni ukupni troπkovi poslovanja. Sadaπnja regulacijskagodina je tekuÊa godina u kojoj se podnosiprijedlog promjene visine tarifnih stavki zabuduÊu regulacijsku godinu. Prijedlog promjenevisine tarifnih stavki za odgovarajuÊu energetskudjelatnost podnosi energetski subjekt na koji sete tarifne stavke odnose. Energetski subjekt duæanje uz prijedlog za promjenu visine tarifnih stavkidostaviti sve podatke potrebne za utvrappleivanjetroπkova poslovanja, posebno financijsko izvjeπÊeza prethodnu regulacijsku godinu potvrappleeno odovlaπtenog neovisnog revizora te plan poslovanjai plan razvoja i izgradnje (za sadaπnju i buduÊuregulacijsku godinu). Navedeni dokumenti morajubiti potpisani od ovlaπtene osobe energetskogsubjekta i ovjereni peËatom tvrtke. Na zahtjev Ministarstvaili Agencije energetski subjekt duæan jedostaviti i druge podatke potrebne za utvrappleivanjepromjene visine tarifnih stavki te omoguÊiti uvid upripadnu dokumentaciju. Prijedlog promjene visinetarifnih stavki za buduÊu regulacijsku godinuenergetski subjekt duæan je dostaviti u sadaπnjojregulacijskoj godini, a nakon πto za nju budu potheapproach to the regulation and tariff system is additionallyaccompanied by the problem of nonstandardservices; bookkeeping records according to separateaccounts and their separation from “standard”services in monitoring expenditures. There is also theproblem of the distribution of expenditures accordingto their type and the determination of the elementsfor the calculation of returns on regulated property.The process for the determination and proposal of theamounts of the tariff items is presented in Figure 9.Slika 9Novi tarifni sustavi(proces predlaganjavisine tarifnih stavki)Figure 9New tariff systems (theprocess of proposing theamounts of tariff items)Prethodna regulacijskagodina / Previousregulated yearSadašnja regulacijskagodina / Currentregulated yearBuduÊa regulacijskagodina / Futureregulated yearUP (o) − UTP (o) = ΔTP pretUP (p) ≤ UTP (p) − ΔTP pretOstvareni prihod primjenomtarifnih stavki / Revenue fromthe application of tariff itemsPriznati ostvareni ukupnitroškovi poslovanja /Recognized totaloperational costsPlanirani prihod primjenombuduÊih tarifnih stavki /Planned revenues from theapplication of future tariff itemsPlanirani ukupni troškoviposlovanja / Plannedtotal operational costsThe previous year is the year that precedes the yearfor which tariff items are adopted for the correspondingenergy activity, and for which the financial dataare revised and published: the known total revenuethrough the application of the valid tariff items andthe known realized total operational costs. The currentregulatory year is the current year in which a proposalis submitted for changing the amount of tariffitems for the subsequent regulatory year. A proposalfor a change in the amount of tariff items for the correspondingenergy activity is submitted by an energyentity to which the tariff items apply. Together withthe proposal for the change in the amount of tariffitems, the energy entity is required to submit all datanecessary for the determination of the operationalcosts, especially the financial report for the previousregulatory year audited by an authorized independentauditor, a plan of operations, and a plan of developmentand construction (for the current and futureregulatory years). These documents must be signedby the authorized person of the energy entity andstamped with the company seal. At the request ofthe Ministry or Agency, the energy entity is requiredto submit other data necessary for determining thechanges in the amounts of tariff items and facilitatethe inspection of the corresponding documentation.A proposal for changes in the amount of tariff itemsfor the subsequent regulatory year must be submit-Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553542

znati polugodiπnji ukupni troπkovi poslovanja. IkonaËno, energetski subjekt duæan je predloæitipromjenu visine tarifnih stavki uz uvjet da oËekivaniprihod u buduÊoj regulacijskoj godini, izraËunatprema odgovarajuÊem tarifnog sustava, ne prelaziprihvaÊene planirane ukupne troπkove poslovanja,korigirane za eventualna opravdana ili odobrenaodstupanja.Pored prethodnog bitno je istaÊi da su utvrappleene isljedeÊe obveze energetskih subjekata:∑ rok za usklaappleivanje poslovanja s odredbamatarifnog sustava je πest mjeseci,∑ obveza dostavljanja podataka, posebno planaposlovanja te plan razvoja i izgradnje, odnosnotrogodiπnjeg plana razvoja i izgradnje, kojegsubjekt donosi uz suglasnost Agencije, i to:· do 31. 5. sadaπnje regulacijske godine ∑financijska izvjeπÊa za prethodnu regulacijskugodinu potvrappleena od ovlaπtenogneovisnog revizora,· do 30.11. sadaπnje regulacijske godine -planovi poslovanja.4 ZAKLJU»CI OKRUGLOGSTOLA O ULOZIREGULATORNOG TIJELAU DONO©ENJU TARIFNIHSUSTAVANakon svih prezentacija i rasprava u kojima susudjelovali predstavnici regulatornih tijela iz Francuske,Austrije, Slovenije, Maapplearske i Hrvatske,te predstavnici Hrvatske elektroprivrede d.d.,odnosno predstavnici energetskih subjekta u RepubliciHrvatskoj za koje se donose i primjenjujuodgovarajuÊi tarifni sustavi, utvrappleeni su zakljuËciOkruglog stola. Ti zakljuËci su bili kako slijedi:1) Okrugli stol uspjeπno je organiziran i provedeni u potpunosti je opravdao razloge organiziranja,ponudivπi niz odgovora na vaæna pitanja i dilemeglede pristupa, sadræaja i forme regulacije,provedbenih procedura i metodologija regulacije,metodologija tarifnih sustava i strukture samihtarifnih stavki. Naravno, sudionici nisu propustilinaglasiti i pojasniti niz provedbenih ili proceduralnih,dakle pojavnih i praktiËnih problema s kojimase susreÊu regulatorna tijela i regulirani energetskisubjekti, naroËito oni koji su nositelji monopolnihdjelatnosti i obveza javnih usluga.2) PredavaËi su sudionike Okruglog stola uveliu predmetnu problematiku i ukazali im na opÊuprisutnost sliËnih pitanja i dilema u svim zemljatedby an energy entity during the current regulatoryyear, and after it knows the total operational costs forthe first half of the year. Finally, the energy entity isrequired to propose a change in the amount of tariffitems under the condition that the anticipated revenuein the subsequent regulatory year, calculatedaccording to the corresponding tariff system, doesnot exceed the accepted planned total operationalcosts, corrected for eventual justified or authorizeddiscrepancies.In addition to the above, it is essential to emphasizethat the following obligations of energy entitieshave also been determined:∑∑the deadline for the coordination of operations withthe provisions of the tariff system is six months,the obligation for the submission of data, especiallya plan of operations and a plan for developmentand construction, i.e. a three-year plan fordevelopment and construction, that the subjectadopts with the approval of the Agency, as follows:· by May 31 of the current regulatory year ∑financial reports for the previous regulatoryyear that have been audited by an authorizedindependent auditor, and· by November 30 of the current regulatoryyear ∑ operational plans.4 CONCLUSIONS OF THE ROUNDTABLE DISCUSSION ON THEROLE OF THE REGULATORYBODY IN THE ADOPTION OFNEW TARIFF SYSTEMSFollowing all the presentations and discussions in whichthe participants were the representatives of the regulatoryagencies of France, Austria, Slovenia, Hungaryand Croatia; representatives of Hrvatska elektroprivredad.d., and representatives of the energy entities inthe Republic of Croatia for whom the correspondingtariff systems are being adopted and applied, conclusionswere reached by the Round Table, as follows:1) The Round Table was organized and conductedsuccessfully. It fully justified the reasons for which itwas held, providing a range of answers to importantissues and dilemmas related to the approach, regulatorycontents and form, implemented procedures,regulatory methodology, tariff system methodologyand the structure of the tariff items themselves. Theparticipants emphasized and explained a range ofimplementational or procedural issues, i.e. actualand practical issues that the regulatory agencies andregulated entities encounter, especially those withmonopolies and public service obligations.543Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

ma, kod svih regulatornih tijela i svih reguliranihenergetskih subjekata. Naravno, u zemljama u kojimasu odgovarajuÊa energetska regulatorna tijelaosnovana tek nedavno, u kojima odreappleeni procesirestrukturiranja i novog organiziranja elektroenergetskogsektora nisu u potpunosti dovrπeni, ukojima je proces otvaranja træiπta elektriËne energijei uvoappleenje konkurencije tek u poËetnoj fazi, ikonaËno u kojima odgovarajuÊe makroekonomskepokazatelje i utjecajne regulatorne parametre nijenimalo lako i jednostavno utvrditi, puno je veÊibroj i pitanja i dilema. Oblik prenoπenja znanja isteËenih iskustava, kakav je uostalom ponudio iovaj Okrugli stol, ukazuje na nuænost i potrebu organizacijeistih ili sliËnih formi i sadræaja rada nanacionalnoj, regionalnoj, pa i πiroj meappleunarodnojrazini, bilo da se radi o okruglim stolovima, radionicama,seminarima ili konferencijama.3) Okrugli stol naglasio je da je bez obzira na razliËitaiskustva i dinamiku procesa, i bez obzirana opÊi zakonodavni i gospodarski sustav iz kojegdolazi, odgovarajuÊi vrijedeÊi zakonodavni okvir usvakoj dræavi mora osigurati uvjete za nezavisan,nepristran i razvidan rad energetskog regulatornogtijela. Unutar toga zakonodavnog okvira nadleænodræavno tijelo i regulatorno tijelo imaju obvezu iduænost izgraditi i primijeniti utemeljene, realne,razvidne i lako provedive mehanizme i metodologijeregulacije, odnosno metodologije tarifnih sustava.O raznim oblicima ili sadræajima, politiËkimi gospodarskim utjecajima nuæno je voditi raËunautoliko πto su oni stalno prisutni, πto su izrazi raznihnacionalnih strategija ili interesa, dakle predstavljanjuvaæan element realnog okruæja u kojemse odvija æivot i rad regulatornog tijela i reguliranihenergetskih subjekata, i u kojem se uspostavljatræiπte elektriËne energije.4) Okrugli stol naglasio je suπtinsku uvjetovanostproblema regulacije reguliranih energetskih djelatnosti,naroËito monopolnih mreænih sustavai javnih usluga dinamikom otvaranja i naËinomureappleenja træiπta elektriËne energije. Pravo pristupamreæama i pomoÊnim uslugama sustava prvo je unizu problema s kojima se treba susresti. Nemadvojbe da se pravo pristupa treba i mora ureditiunaprijed kroz odgovarajuÊa mreæna pravila itehniËke uvjete, ali da bi se moglo ostvarivati unepristranom, razvidno i nediskriminirajuÊemokruæju, nuæno je unaprijed utvrditi i objaviti itehniËke i ekonomske uvjete prikljuËka i naknadeza koriπtenja prijenosne i distribucijske mreæe, teuvjete i naknade za koriπtenje pomoÊnih uslugasustava, naravno u sluËaju da su iste obuhvaÊeneodgovarajuÊim regulatornim okvirom.5) Okrugli stol jasno je pokazao prednost u iskustvui rjeπenjima regulatornih tijela, odnosno2) The lecturers introduced the issues to the RoundTable Discussion participants and called attentionto the general presence of similar questions and dilemmasin all the countries, regulatory agencies andregulated electrical power entities. Naturally, thereare many more questions and dilemmas in countrieswhere the energy regulatory agencies have only beenrecently established and certain processes of the restructuringand reorganizing of the electricity sectorhave not been fully completed, where the processesof opening the electricity market and the introducingof competition are in the initial phases and, finally,where the corresponding macro-economic indicesand influential regulatory parameters are not easyto determine. The form of the transfer of knowledgeand acquired experience, as provided at this RoundTable Discussion, indicates the necessity for organizingsimilar events at the national, regional and eveninternational levels, in the form of round table discussions,workshops, seminars or conferences.3) The Round Table Discussion emphasized that,regardless of differences in experiences and processdynamics, and regardless of the general legal andeconomic system, the appropriate valid and transparentlegal framework in each country must provideconditions for the independent, nondiscriminatoryand transparent operation of the energy regulatoryagency. Within this legal framework, the authorizedgovernment agency and regulatory agency have theobligation and duty to build and implement wellfounded,realistic, transparent and feasible regulatorymechanisms and tariff system methodologies. It isnecessary to take the various forms and contents ofthe prevailing political and economic influences intoaccount, which are expressions of various nationalstrategies or interests, i.e. they represent an importantelement of the actual environment in which theregulatory agency and the regulated electrical powerentities function, and in which the electricity marketis established.4) The Round Table Discussion highlighted an essentialcorrelation among the issues of the regulationof regulated activities, especially monopolistic networksystems and public services, in the dynamics ofthe opening of electricity markets and the manner oftheir organization. The right to access the networksand auxiliary services of the system is the first in aseries of issues that must be addressed. There isno doubt that the right to access must be definedin advance through appropriate network rules andtechnical conditions. In order for this right to beexercised in an nondiscriminatory, transparent andnon-discriminatory environment, it is necessary topredetermine and publish the technical and economicprerequisites for electricity connections, chargesfor using the transmission and distribution networks,and the conditions and charges for the use of theKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553544

dræava i njihovih odgovarajuÊih energetskih sektorai gospodarskih subjekata, koji su u spomenuteprocese i problematiku uπli ranije. S druge strane,prednost zemalja, njihovih energetskih sustava igospodarstava, dakako i njihovih regulatornih tijela,koji su procese otvaranja træiπta elektriËne energijei uvoappleenja novih oblika regulacije zapoËeli teknedavno, da mogu koristiti odgovarajuÊa iskustvazemalja u kojima su træiπta elektriËne energije uspostavljenai razvijena ranije, i kojima je regulacijauπla u viπe faze i razdoblja primjene, pri tom neponavljajuÊi njihove zablude i kriva rjeπenja.6) U pogledu regulacije energetskih djelatnostiprednost je dræava i ekonomija, ukljuËujuÊii energetski sektor, koji imaju dobro praÊenje iizvjeπtavanje o adekvatnim makroekonomskimgospodarskim parametrima, kao πto su interesne,odnosno kamatne stope na vlastiti kapitali zaduæenja, stope inflacije, premije na træiπnerizike, prinose od riziËnih i neriziËnih ulaganja,pokazatelje u svezi s prinosom dionica, premijeza træiπni rizik vlastitog kapitala itd. JednoznaËniprijenos i primjena navedenih parametara iz jednognacionalnog u drugi nacionalni energetskigospodarski sustav ili regulatorni okvir vrlo je dvojbeni prati ga niz pitanja i dvojbi. Tim viπe πtone samo da nema jednoznaËnih kriterija, nego sui vrlo razliËiti pristupi utvrappleivanju osnovica, npr.vrijednosti imovine i regulatorne osnovice, na kojese navedeni parametri primjenjuju. U tom kontekstui ciljani financijski pokazatelji, kao πto jeto npr. stopa povrata na imovinu ili pak garantiranivremenski rok povrata uloæenih sredstava, uposljednje vrijeme sve ËeπÊe postaju predmetompreispitivanja, nerijetko Ëak i vaæno politiËko pitanjena nacionalnoj razini. Naime, s navedenimpitanjima usko su povezani problemi novih investicijai ulaganja u elektroenergetske sustave, alii pitanja profita iz energetskih djelatnosti. Svakiod navedenih ekonomskih veliËina i parametaradakako ima svoj odraz u odgovarajuÊem utjecajuna ekonomiËnost poslovanja energetskog subjektai njegovu sposobnost da se dalje razvija.U okviru diskusije konstatirano je da bi bilo dobroi pragmatiËno da prve razvojne faze ekonomske regulacijeprate i relativno jednostavne regulacijskesheme tipa cost plus ili povrata sredstava, da binakon stjecanja odreappleenih iskustava i znanja uslijediorazvoj puno sloæenijih shema koje ukljuËujukombinacije tehniËkih i ekonomskih inicijativakoje kroz dugoroËni period trebaju osigurati sigurnoi stabilno financiranje rada i adekvatni razvojreguliranih energetskih subjekta, naroËito velikihmreænih infrastrukturnih sustava za prijenos i distribucijuelektriËne energije. OpÊi konaËni cilj jedakako sigurna opskrba elektriËnom energijom porealnoj, odnosno opravdanoj cijeni.auxiliary system services in the event that these arecovered by the corresponding regulatory framework.5) The Round Table Discussion clearly demonstratedthe superiority of the experience and solutions of theregulatory bodies, countries, energy sectors and economicentities which had addressed these processesand problems earlier. On the other hand, the countries,energy systems, economies and certainly regulatoryagencies that have only begun the processesof opening the electricity markets and introducingnew forms of regulations have the advantage of beingable to utilize the experiences and avoid repeatingthe past errors and inadequate solutions of the countriesin which the electricity markets have alreadybeen established and developed, and in which regulationshave entered advanced phases and periods ofapplication.6) In the regulation of energy activities, the governmentsand economies, including the energy sectors,that have good tracking and reporting of macroeconomicparameters such as interest rates on equityand debt, inflation rates, market risk premiums,yields from high-risk and low-risk investments, indicesin connection with stock market yields, equityriskpremiums etc. are at an advantage. The directtransfer and application of these parameters fromone national power system or regulatory frameworkto another is not practicable because a numberof issues and dilemmas are involved. This is evenmore the case because there are no uniform criteria.Instead, there are highly varied approaches for thedetermination of the bases, for example the assetvaluebase and regulatory base to which the givenparameters are applied.In this context, the target financial indices such asthe rate of return on assets or the guaranteed periodof return on investment have lately become subjectedto increasing scrutiny and are frequently animportant political issue at the national level. Closelyrelated to these issues are the problems of new investmentsin power systems, as well as the questionof profit from electricity activities. Each of theseeconomic measurements and parameters certainlyinfluence the cost-effectiveness of the operations ofentities and their ability to continue to develop.Within the framework of the discussion, it was concludedthat it would be good and pragmatic for thefirst development phases of economic regulationto accompany relatively simple regulation schemesof the “cost plus” or “return on assets” type. Afterexperience and knowledge are acquired, this shouldbe followed by the development of more complexschemes that include a combination of technical andeconomic initiatives, which over the long run shouldassure the secure and stable financing of operations545Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

7) Regulatorna tijela imaju vaænu ulogu u procesuodobravanja i nadzora provedbe razvojnih planovareguliranih subjekata, tj. prijenosne i distribucijskemreæe i sustava, odnosno nadzornu ulogu upogledu kvalitete i sigurnosti usluga i funkcijakoje obavljaju ti energetski subjekti, ali i opskrbekrajnjih kupaca i korisnika u cjelini. Pristupi ipraksa u razliËitim zemljama razlikuju se.Ima primjera duboke ukljuËenosti i odgovornostiregulatornog tijela u svim fazama i elementimaplaniranja (odobravanje i nadzor provedbe planova),osiguranja sredstava kroz naknade i poticajneelemente tih naknada (kapitalni troπkovi, povratina kapital), te opÊeg procesa nadzora rada reguliranogenergetskog subjekta. S druge strane, ulogenekih regulatornih tijela u poËetku nisu podrazumijevalaobiljeæja duboke ukljuËenosti. Nadomjestakdubljem regulatornom nadzoru bili su opÊipristupi po kojim su npr. planirane investicije izrazvojnih planova i planova izgradnje bile odobravanedo odreappleene razine i kao takve ukljuËene unaknade za koriπtenje mreæe. Ima primjera i manjeinvolviranosti regulatornog tijela u poËetnimfazama uvoappleenja regulacije ili tijekom poËetnihregulatornih perioda. Meappleutim, odmakom procesai sve veÊom involviranosti regulatornog tijela uviπe sluËajeva dovelo je do smanjenja naknada zakoriπtenje mreæa.8) Navedeni tijek gotovo u potpunosti poklapa ses tijekom uvoappleenja sloæenih regulatornih pristupa imetodologija ekonomske regulacije, odnosno metodapoticajne regulacije energetskih djelatnosti.Iz svega prethodnog izveden je zakljuËak da se upoËetku trebaju πto bolje i preciznije definirati odgovornostiregulatornog tijela i reguliranih subjekata.Nadalje, u novonastalim i træiπnim okolnostimatrebaju se dobro obuhvatiti i obrazloæiti svi vaæniparametri, utjecajne veliËine i okolnosti træiπnogokruæja koje se uvodi, Posebno je vaæno krenuti sjednostavnijim regulatornim pristupima i metodama,i to u pravilu s kraÊim regulatornim periodima.Svaka od moguÊih nesigurnosti ili skrivenih manau regulatornom pristupu, krivo procijenjenog utjecajnogparametra ili ciljanog ekonomskog indeksa,nepredviappleene loπe posljedice procesa restrukturiranjau dinamiËnom træiπnom okruæju, ali na krajui posljedice moguÊe krive odluke regulatornogtijela, vodi ili vrlo visokim ili nedopustivo niskimiznosima naknada za koriπtenje mreæa. Visokiiznosi naknada za koriπtenje mreæa znaËe ne samovisoke troπkove za korisnike mreæa, nego, pogotovoza one izvan dosadaπnjih integriranih nacionalnihelektroenergetskih sustava, i znaËajnu prepreku zaulazak na træiπte elektriËne energije, a time i njegovomrazvoju. Iskazani neopravdano visoki iznosiprofita u monopolnim djelatnostima imaju i daljnjenegativne politiËke i socijalne posljedice, Ëak,and the adequate development of the regulated energyentities, especially the large network infrastructuresystems for the transmission and distribution ofelectricity. The general goal is, of course, a securesupply of electricity at a realistic, i.e. justified, cost.7) The regulatory agencies have an important role inthe process of the authorization and supervision ofthe implementation of the plans for the developmentof the regulated entities, i.e. the transmission anddistribution networks and systems, and a supervisoryrole over the quality and security of the services andfunctions performed by these energy entities, as wellas supply to the end users and users in general. Theapproaches and practices in various countries differ.There are regulatory agencies that are deeply involvedin and responsible for all the phases and elements ofplanning (the authorization and supervision of planimplementation), obtaining funds through chargesand the incentive elements of these charges (capitalexpenditures, return on equity) and the generalsupervisory process of the operations of a regulatedentity. On the other hand, initially the roles of someof the regulatory agencies were not characterizedby deep involvement. Instead of in-depth regulatorysupervision, there were general approaches accordingto which, for example, planned investments fromdevelopment and construction plans were approvedup to a specified level and as such included in thecharges for network use. There are examples of lessinvolvement by a regulatory agency during the initialphases of the introduction of regulation or during theinitial regulatory periods. However, as the processesprogressed and the regulatory agencies became increasinglyinvolved in an increasing number of cases,in many cases the charges for network use dropped.8) This nearly completely corresponds with the introductionof more complex regulatory approaches andmethodologies of economic regulation, i.e. methodsof the incentive regulation of activities. From theaforementioned, it was concluded that at the beginningit is necessary to define the responsibilitiesof the regulatory agency and the regulated entitiesas precisely as possible. Furthermore, under thenewly arisen market circumstances, it is necessaryto include and explain all the important parameters,influential values and market environment circumstancesthat are being introduced. It is especiallyimportant to start with simple regulatory approachesand methods and, as a rule, with short regulatoryperiods. Any of the potential uncertainties or hiddenflaws in a regulatory approach, an incorrectlyestimated influential parameter or a target economicindex, the unforeseen negative consequences of therestructuring process in a dynamic market environment,or the ultimate consequences of any wrongdecisions by the regulatory agency may lead eitherKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553546

ili naroËito u sluËajevima kada su dræavna tijela teprofite oduzela energetskim subjektima. S drugestrane, niski ili nedovoljno visoki iznosi naknadaza koriπtenje mreæa direktno ugroæavaju poslovanjeenergetskih subjekata, kvalitetu usluga i funkcijakoje ti subjekti pruæaju, a ako takvo stanje trajeduæe, onda i tehniËko-tehnoloπke osobine samemreæe i sustava.KonaËan zakljuËak u pogledu prethodnog bioje da bez obzira na uzroke, svaki problem i svakaposljedica prenosi se na korisnika ili krajnjegkupca i postaju njegov problem, a obvezaje i energetskog subjekta i regulatornog tijelada u reguliranom okruæju te probleme i posljediceotklone. Najefikasnijim opÊim pristupomotklanjanja svih negativnih posljedica ocjenjujese pragmatiËni pristup i postupanje, a ako jemoguÊe i suradnja sve tri zainteresirane strane.9) Poseban problem i izazov predstavlja regulacijamreænih infrastrukturnih monopola, prijenosa i distribucije,te u svezi s tim usko povezani problemgdje i pod kojim uvjetima se osiguravaju pomoÊneusluge sustava. NaroËito se u segmentu pomoÊnihusluga sustava mogu pojaviti dominantne pozicijei zlouporabe u joπ uvijek znaËajno integriranim sustavima,kada se poduzeÊima iz sustava ili grupeosiguravaju povoljniji uvjeti pristupa i koriπtenjapomoÊnih usluga ili njihova plaÊanja. U sprjeËavanjutakvih situacija, πtoviπe njihova sankcioniranja,presudna je uloga regulatornih tijela.Problem pomoÊnih usluga i odgovornosti za njihovoosiguranje i pruæanje usko je vezan s postojeÊimzakonodavnim i regulatornim okvirom, ili opÊenitopitanjem da li se na taj segment primjenjuje reguliraniili træiπni kontekst. U svakom sluËaju, u svezis tim segmentom najviπe je pitanja i dilema. Pitanjeje i kojoj djelatnosti iz dosadaπnje integriranestrukture i jedinstvene tarife koja je ukljuËivalasve djelatnosti i usluge pridijeliti odgovornost zaosiguranje pomoÊnih usluga, i kako te usluge naplatiti,kao dio odgovarajuÊih naknada ili zasebno.Neke zemlje taj problem razrijeπile su pridjeljujuÊiobveze i funkcije osiguranja pomoÊnih uslugaoperatorima prijenosnih i distribucijskih sustava,odnosno uvodeÊi ugovorne odnose po kojimatræiπni sudionici i te usluge slobodno ugovaraju,osiguravaju i na kraju plaÊaju. No, istaknuto je,da su takva rjeπenja i mehanizmi bili moguÊe teknakon πto je uspostavljena cjelovita funkcionalnai provedbena shema osiguravanja, tj. izvora i pridjeljivanjasvake pojedinaËne pomoÊne usluge ilinjene komponente, ali i uvjeta njihova eventualnogprekida i posljedica toga prekida. »injenicaje da su u nekim zemljama, a radi se o zemljamai energetskim gospodarstvima koja su u pravilu uranim fazama procesa restrukturiranja, otvaranjato very high or inadmissibly low charges for networkuse. High charges for network use would not onlymean high costs for network users but would alsopose a significant barrier to entry into the electricitymarket and development by those entities outsidethe current integrated national power systems. Theunreasonably high profits of monopolies have furthernegative political and social consequences, even orespecially in cases when government agencies haveredirected these earnings away from the entities.On the other hand, low or insufficient charges fornetwork use directly jeopardize the operations ofentities, the quality of the services and functionsprovided by these entities and, if such conditionspersist for extended periods, they may also jeopardizethe technical and technological characteristics ofthe network and system.The final conclusion in respect to the above is thatregardless of the cause, each problem and consequenceis shifted to the user or the final customersand becomes their problem. Both the entity andthe regulatory agency should resolve these issueswithin the regulated environment and eliminate theconsequences. The most efficient general approachto eliminating all such negative consequences isthought to be a pragmatic one, together with cooperationamong all three interested parties, if possible.9) A separate problem and challenge is the regulationof the network infrastructure monopolies, transmissionand distribution and, closely connected tothis, the issue of where and under which circumstancesauxiliary system services should be provided.Especially in the segment of auxiliary services of thesystem, dominant positions and abuses may occurin systems that are still significantly integrated whenenterprises from the system or groups are providedwith more favorable conditions for accessing, usingor paying for auxiliary services. In order to preventsuch situations, moreover to penalize them, the roleof the regulatory agencies is crucial.The issue of auxiliary services and the responsibilityfor providing them are closely connected to theexisting legislative and regulatory frameworks or, ingeneral, to the question whether the regulated ormarket context should be applied to this segment.In any case, the most questions and dilemmas areassociated with this segment. It is a question as towhich activities from the current integrated structureand single tariff that included all the activities andservices should be assigned responsibility for securingauxiliary services, and how should these servicesbe charged, as a part of the corresponding chargesor separately. Some countries have resolved thisproblem by assigning the obligations and functionsfor securing auxiliary services to the transmissionand distribution system operators, or by introduc-547Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

træiπta, odnosno razvoja i uspostave odgovarajuÊegregulatornog okruæja, pitanja i problemi uspostavecjelovitog sustava osiguravanja, koriπtenja, pridjeljivanjai plaÊanja pomoÊnih usluga sustavajoπ uvijek samo naznaËeni ili tek u ranim fazamarjeπavanja. U svakom sluËaju nerijeπena pitanja iproblemi u svezi s pomoÊnim uslugama sustavaznatno oteæavaju razvidnost i efikasnost procesaotvaranja træiπta elektriËne energije u svim njegovimkljuËnim sastavnicama, a naroËito u pogleduosiguranja uvjeta za razvidan, nepristrani pravedan pristup mreæama i sustavima. Takvostanje ima daljnje negativne posljedice po razvoji uvoappleenje novih metoda regulacije i metodologijatarifnih sustava, πto posljediËno i regulatornotijelo dovodi u puno teæi poloæaj i ugroæava njegovuvjerodostojnost suoËavajuÊi ga s objektivnoteπkim problemom izbora pristupa i metodologije,ali i reakcijom energetskih subjekata i træiπnihsudionika.U pravilu, stav je da u reguliranom kontekstu osiguranjei pruæanje tih usluga treba biti jedna odfunkcija i obveza operatora prijenosnog i distribucijskogsustava, koja je po unaprijed poznatim uvjetima,na razvidan, nepristran i nediskriminirajuÊinaËin dostupna i pridjeljuje se korisnicima elektroenergetskihmreæa i sustava. ZakljuËak je darazina cijena, odnosno tarifa za pomoÊne uslugesustava treba biti troπkovno utemeljena i razvidnau svim njegovim elementima. Tijekom raspraveistaknuto je da postoji i problem osiguranjaodreappleenih pomoÊnih usluga od strane starih proizvodnihpostrojenja. Kod postavljanja træiπnogmodela o tom se mora voditi raËuna, naroËito kodtræiπnih modela koji podrazumijevaju moguÊnostpristupa pojedinaËnih proizvodnih postrojenjatræiπtu i njihove participacije na træiπtu kao samostalnihtræiπnih sudionika. Regulatorna tijelai operatori sustava o tim pitanjima i problemimamoraju voditi raËuna u svim segmentima procesadefiniranja træiπnog modela, regulatornog okvira imodela, provedbenih procedura, a ako je kontekstpomoÊnih usluga sustava regulirani, onda i metodologijiutvrappleivanja tarifnih stavki i proceduri ugovaranjai osiguravanja pomoÊnih usluga sustava.10) KljuËnim ciljevima regulacije energetskihdjelatnosti, naroËito prijenosa i distribucijeelektriËne energije smatraju se uspostava nepristranogi razvidnog pristupa mreæi, pokriÊeopravdanih troπkova poslovanja, nastojanja dase unaprijedi efikasnost sektora i/ili da se sektoruËini privlaËnim za nove investicije, odnosnoulaganja. OdgovarajuÊi izvori financiranja moguse osigurati bilo neposredno kroz naknade za prikljuËaki koriπtenje mreæa, bilo kroz odgovarajuÊepoticajne uvjete i povrate na investicije, odnosnood i imovinu energetskog subjekta. Postupke iing contractual relations on the basis of which themarket participants freely contract, provide and atthe end pay for these services. However, it has beenpointed out that such solutions and mechanisms areonly possible after the entire functional and implementationscheme is established, i.e. the sourceand assignment of each individual auxiliary serviceor component thereof, as well as the conditions fortheir eventual termination and the consequences ofsuch termination. The fact is that in some countries,mainly countries and electrical energy economieswhich are in the early phases of restructuring, marketopening and developing an appropriate regulatoryenvironment, the issues and problems of theestablishment of the overall system for the provision,use, allocation and payment of auxiliary servicesare still only on paper or in the early phasesof solution. In any case, the unresolved issues andproblems in connection with auxiliary system servicessignificantly diminish the transparency and efficiencyof the opening of electricity markets in allthe key elements, especially regarding the providingof the conditions for the transparent, nondiscriminatoryand fair access to networks and systems. Sucha situation has further negative consequences uponthe development and introduction of new regulatorymethods and methodologies of the tariff systems,which consequently place the regulatory agency in afar more difficult position and threaten its credibility,confronting it with the difficult problem of choosingan approach and methodology, as well as the reactionsof the entities and market participants.In principle, the position is that in the regulated context,providing these services should be one of thefunctions and obligations of the transmission anddistribution system operators, which, under predeterminedconditions should be available and assigned tousers of electricity networks and systems in a transparent,nondiscriminatory and non-discriminatorymanner. The conclusion is that the level of prices, i.e.tariffs for the auxiliary services of a system, should becost-based and transparent in all elements. Duringthe discussion, it was emphasized that there is alsothe problem of securing certain auxiliary servicesfrom the old power-generation facilities. When settingup a market model, this must be taken into account,especially with market models that include the optionof access by individual power-generation facilitiesto the market, and their status as independentmarket participants. The regulatory agencies and systemoperators must take these issues and questionsinto account in all the segments of the process of thedefinition of a market model, regulatory frameworkand model, and implementation procedures. If thecontext of auxiliary system services is regulated, thisalso means taking into account the methodology forestablishing tariff items and procedures for the contractingand providing of auxiliary system services.Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553548

metode regulacije i metodologije tarifnih sustavau tom pogledu nuæno je stalno dograappleivati iunaprjeappleivati. U tom pogledu, regulatorno tijeloima primarni zadatak, ali s obzirom na to daopskrba elektriËnom energijom ostaje i nadaljeaktivnost visokog socijalnog i gospodarskog znaËenja,u rad na predmetnoj problematici trebaju bitiukljuËena poduzeÊa iz energetskog sektora, tijeladræavne uprave i druge dræavne institucije, struËnai ostala javnost, te organizacije za zaπtitu interesapotroπaËa, sindikati i financijske institucije. Sveviπe je dokaza u prilog opÊe vaænosti koje predmetnojproblematici posveÊuju sve navedene stranke.11) Regulatorno tijelo treba imati kontrolu nadsvim segmentima regulacijskog razdoblja. NaroËitose to odnosi na pripremno razdoblje u kojembi regulatorno tijelo trebalo biti aktivno ukljuËeno,uz regulirani subjekt. Odnosi se to na pregledulaznih podataka, podloga i parametara koje sekoriste, njihovu obradu, kao i rokove u kojimase pojedini segment pripremne faze za uvoappleenjemetode regulacije mora provesti. U prilog tomegovore i odgovarajuÊa iskustva nekih zemalja.12) U prethodnom kontekstu, u socijalnom,politiËkom i gospodarskom smislu u svezi sastabilnoπÊu i sigurnoπÊu opskrbe svakako je dobroizbjegavati velike i nagle skokove u promjenamacijena, nepredvidive ili nenajavljene promjenecijena. U pogledu moguÊnosti reguliranih energetskihsubjekata da razumiju, prilagode se i proveduodgovarajuÊi regulatorni pristup i prilagodeposlovanje novom sadræaju koji su iskazani krozpostupke i metode regulacije, svakako je nuænasuradnja regulatornog tijela i reguliranih subjekata.Suradnja je i kljuËni preduvjet potpunograzumijevanja procesa i sadræaja definicije i uspostaveodreappleenog okvira i postupka regulacije, ikroz proces utvrappleivanja i donoπenja odgovarajuÊihtarifnih stavki, a time i njihova prihvaÊanja i dobreprovedbe. UzimajuÊi u obzir i sve druge moguÊeutjecaje, npr. socijalni i/ili politiËki, nije naodmetustvrditi da se nerijetko postupa pragmatiËno,nastojeÊi odvagnuti i nastojeÊi valorizirati doprinossvakog od tih moguÊih utjecaja ili ograniËavajuÊihelemenata.Od regulatornih tijela traæi se kvalitetan i efikasansustav nadzora nad træiπtem elektriËne energije,pogotovo sprjeËavanje ili Ëak sankcioniranje situacijau kojima se u tzv. integriranim sustavima sredstvaprelijevaju iz monopolnih djelatnosti u træiπnedjelatnosti, osiguravajuÊi træiπnim djelatnostimaznatnu neopravdanu i neprihvatljivu prednost uodnosu na druge træiπne sudionike u træiπnoj utakmici,πto je ujedno i direktan oblik zlouporabaneopravdane træiπne pozicije ili snage. Navedenisu i konkretni sluËajevi u kojima su u takvim si-10) The key goals of the regulation of energy activities,especially the transmission and distribution ofelectricity, are to establish nondiscriminatory andtransparent access to the network, cover justified operationalcosts, attempt to improve the efficiency ofthe sector and/or make the sector attractive for newinvestments. Suitable sources of financing can besecured either directly through charges for connectionto the network, network use or through suitableincentive conditions and returns on investments, i.e.from the assets of the entities. Procedures and methodsfor the regulation and methodology of the tariffsystems must be constantly updated and improved.In this regard, the regulatory agency has the primarytask. However, since the supplying of electricitycontinues to remain an activity of great social andeconomic significance, enterprises from the energysector, government administrative agencies, othergovernment institutions, professionals, the generalpublic, organizations for protecting consumer interests,unions and financial institutions should beincluded in working on this issue. There is increasingevidence of the general importance afforded to thisissue by all the aforementioned parties.11) The regulatory agency must have control over allthe segments of the regulatory period. This especiallyrefers to the preparatory period in which the regulatoryagency should be actively involved, togetherwith the regulated entity. It concerns a review andprocessing of the input data, bases and parametersused as well as the periods within which the separatesegments of the preparatory phase for the implementationof a regulatory method must be completed.The corresponding experiences of some countriesunderscore this point.12) In the aforementioned context, in the social,political and economic sense, regarding the stabilityand safety of supply, it is indeed good to avoid largeand sudden price changes and unforeseen or unannouncedprice changes. Regarding the abilities of theregulated energy entities to understand, adapt to andimplement the suitable regulatory approach and adjustoperations to the new content expressed throughthe regulatory procedures and methods, cooperationbetween the regulatory agency and the regulated entitiesis certainly essential. Cooperation is also a keyprerequisite for completely understanding the processand the contents of the definitions and the establishmentof certain frameworks and regulatory procedures,both through the process of the determinationand adoption of certain tariff items, and through theiracceptance and correct implementation. Taking intoaccount any other possible influences, e.g. social and/or political, it is worth mentioning that a pragmaticapproach, in which it is attempted to weigh and evaluatethe contribution of each of these potential influencesor limiting elements, is often employed.549Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

tuacijama regulatorna tijela postupala tako da seumanjila, ili Ëak oduzela odgovarajuÊi dio prihodaod integriranog poduzeÊa, i to od segmenta træiπnihdjelatnosti, i vratila ga u segment monopolnih,odnosno djelatnosti s obvezama javnih usluga izkojeg su i bili neopravdano uzeti. U svakom sluËaju,dok postoje dvije paralelne komponente træiπta,regulirana i liberalizirana, odnosno træiπna, regulatornotijelo ima striktnu obvezu provjeravati razvidnostodvajanja pripadajuÊih raËuna i prihoda,a nerijetko i pravo da odreappleene oblike ponaπanjai prekrπaja i jaËe sankcionira. »est je sluËaj daregulatorno tijelo ima pravo, utemeljeno na zakonu,samo provesti odgovarajuÊi revizorski nadzor,ili taj nadzor zatraæiti od nezavisnih revizora.13) Okrugli stol je raspravio i pitanja strukture naknadaza koriπtenje prijenosne, odnosno distribucijskemreæe. Istaknuta je vaænost primjene principada struktura i razina naknada za koriπtenjemreæa odraæavaju strukturu troπkova za elementeenergije i snage, tj. kapaciteta, prema i za kojese utvrappleuju. Poglavito je element snage i njegovovrednovanje vaæan u strukturi tarifnih stavki, tj.naknada za prikljuËak, za koriπtenje prijenosne idistribucijske mreæe, i naknada za pomoÊne uslugesustava. Vaænost elementa kapaciteta ogledase i u vrednovanju u svezi s mehanizmima pridjeljivanjem,koriπtenjem i plaÊanjem odgovarajuÊihprekograniËnih kapaciteta, ili utvrappleivanjemodgovornosti, odnosno postupcima rjeπavanjazaguπenja u prijenosnoj i distribucijskoj mreæi.14) U nekim zemljama proces uvoappleenja novog regulatornogpristupa i primjene novih metodologijaekonomske regulacije koji u pravilu ukljuËuju parametrevalorizacije i poticanja uËinkovitosti poslovanjareguliranog energetskog subjekta, a nerijetkoi odgovarajuÊe opÊe makroekonomske indekse zavalorizaciju i pokriÊe adekvatnih rizika poslovanjai ulaganja, rezultirao je u smanjenju naknada zakoriπtenje mreæa. Meappleutim, nije realno oËekivatida bi se takav kontekst ponovio u veÊini drugih zemalja,pogotovo ne u zemljama u kojima su cijeneelektriËne energije bile pod jakom socijalnom i politiËkomkontrolom i u pravilu vrlo niske. ©toviπe, utim zemljama izraæena je potreba za novim velikimulaganjima u odræavanje, rekonstrukciju i izgradnjumreæa. Razdvajanje i izdvajanje energetskihdjelatnosti iz dosadaπnjih vertikalno integriranihelektroenergetskih struktura proizvodnje, prijenosa,distribucije i opskrbe elektriËnom energijom,otvaranje træiπta elektriËne energije i pojava novihsudionika na træiπtu elektriËne energije, tu potrebusamo su joπ viπe naglasili. Nije rijedak sluËaj sveËeπÊe iskazanih uvjerenja da bez dobrih i efikasnihinfrastrukturnih prijenosnih i distribucijskih mreæai sustava ne moæe biti govora o razvoju efikasnogtræiπta elektriËne energije.The regulatory agencies are required to providea quality and efficient system of supervising theelectricity market, especially to prevent or penalizesituations in which funds flow from monopoly activitiesinto market activities in the so-called integratedsystems, which affords businesses with marketoperations a significant unfair and unacceptableadvantage over other market participants in marketcompetition, and is a direct form of the abuse of aninequitable market position or power. Specific caseswere mentioned in such situations when the regulatoryagencies acted to reduce or even confiscate thecorresponding portion of the revenues from an integratedcompany from the segment of market activitiesand direct them back to the monopoly segment,i.e. the activities having the public service obligationfrom which they had been unfairly taken. In anycase, as long as there are two parallel componentsof the market, regulated and liberalized, the regulatoryagency has the strict obligation to verify thetransparency of the separation of the correspondinginvoices and revenues, and not infrequently the rightto penalize certain forms of behavior and violationsseverely. The regulatory agency frequently only hasthe right, pursuant to the law, to conduct a suitableaudit or request to have such an audit performed byindependent auditors.13) The Round Table Discussion also included questionsregarding the structure of charges for the useof a transmission or distribution network. The importancewas stressed of applying the principle that thestructure and level of charges for network use shouldreflect the structure of the costs of the elements ofenergy and power, i.e. the capacities according toand for which they are determined. The element ofpower and its valuation are particularly importantfor the structure of the tariff items, i.e. charges forconnection, the use of the transmission and distributionnetworks and auxiliary system services. Theimportance of the capacity elements is reflected inthe evaluation in connection with mechanisms forcapacity allocation, the use and charges for crossbordercapacities, or determination of the responsibilities,i.e. the procedures for managing congestionin the transmission and distribution networks.14) In some countries, the process of introducinga new regulatory approach and the application ofnew methodologies of economic regulation, whichas a rule include the parameters for the evaluationand increased effectiveness of the operations of aregulated power entity and not infrequently the correspondinggeneral macroeconomic indices for theevaluation and coverage of adequate risk operationsand investments, have resulted in lowered chargesfor network use. However, it is not realistic to expectsuch a context to be repeated in the majority of othercountries, especially those where electricity pricesKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553550

Na spomenuti kontekst ulaganja u odræavanje,rekonstrukciju i izgradnju nacionalnih elektroenergetskihmreæa, odnosno izgradnje novih visokonaponskihprijenosnih prekograniËnih poveznicas drugim zemljama i sustavima sve vaænijiutjecaj ima regionalni i πiri multinacionalni konteksttræiπta i razmjena elektriËne energije. OpÊaje pojava da prekograniËna trgovanja i razmjeneenergije vrlo brzo rastu, zbog Ëega su za tranzitei prekograniËne razmjene energije uvedeni i primjenjujuse novi opÊe prihvaÊeni kompenzacijskii alokacijski mehanizmi. Isti se veÊ jednoznaËnoprimjenjuju u kontekstu internog europskog træiπtaelektriËne energije. Nadalje, prihodi ostvareniprekograniËnim razmjenama moraju se tretiratina razvidan i nepristran naËin. Meappleutim, unatoËnastojanju da se razvije i uspostavi efikasan, razvidan,nepristran i pravedan, u konaËnici i lakoprovediv sustav i mehanizam, za neke elektroenergetskesustave i nadalje ostaje problem naËinautvrappleivanja i alokacije troπkova za visoke gubitkeelektriËne energije. Isto vrijedi i u pogledu adekvatnogdijela pomoÊnih usluga sustava. Naime,radi se o onom dijelu dodatnih gubitaka elektriËneenergije u nacionalnoj elektroenergetskoj mreæii dijelu dodatnih pomoÊnih usluga sustava kojinastaju zbog prolaza ili kruænih tokova energije izmeappleunarodnih, tj. prekograniËnih razmjena energije.OpÊi je stav da europsko energetsko zakonodavstvo,tj. odgovarajuÊe direktive i uredbe EU utom pogledu predstavljaju adekvatan zakonodavniokvir za postupanje svih regulatornih tijela.15) Poseban je problem naËina pristupa i dobivanjainformacija i podatak koje s jedne straneregulatorno tijelo moæe traæiti i traæi od reguliranihsubjekata, a koje s druge strane ti reguliranisubjekti mogu i æele dati ili daju regulatornomtijelu. U svakom sluËaju razlike, tj, asimetrijainformacija, u tom pogledu uvijek su prisutne.ZakljuËak je da je u svakom sluËaju, bilo u pogleduzadovoljavajuÊeg rjeπenja, bilo barem dobreravnoteæe izmeappleu regulatornog tijela i reguliranihenergetskih subjekata najbolje i najefikasnijeodabrati pragmatiËna rjeπenja, po moguÊnostizasnovana na dostupnoj najboljoj i najefikasnijojmeappleunarodnoj praksi i benchmarku. Prethodnogotovo u potpunosti vrijedi i u pogledu procesai prakse regulatornog ili revizorskog nadzora.16) Posebno je uoËena i istaknuta moguÊnost ipotreba πire, tj. regionalne elaboracije i raspraveproblema sadræaja i forme regulacije, regulatornihpristupa i politike, strukture i sadræaja tarifnih metodologijai samih tarifa, utjecajnih parametara ipokazatelja, naroËito ekonomskih i politiËkih, usporednih(benchmark) pristupa i analiza, te svakakoveÊe suradnje i transfera znanja i iskustava.have been under rigorous social and political controland, as a rule, very low. Moreover, in these countriesthere is a marked need for major new investmentsin maintenance, reconstruction and network construction.The separation of energy activities fromthe heretofore vertically integrated structures of thegeneration, transmission, distribution and supply ofelectricity, the opening of the electricity markets andthe appearance of new participants on the electricitymarket further underscore this need. Opinions arefrequently voiced that the development of an efficientelectricity market is not feasible without a goodand efficient infrastructure for the transmission anddistribution networks and systems.In this context, investments in the maintenance,reconstruction and construction of national electricalenergy networks or in the construction of newhigh voltage transmission cross-border connectionswith other countries and systems have an increasingimpact upon the regional and broader multinationalcontext of the markets and the exchange of electricity.The cross-border commerce and exchangeof energy is generally growing very rapidly, due towhich new commonly accepted compensation andallocation mechanisms have been introduced andapplied for the transit and cross-border exchange ofenergy. Such mechanisms are already being applieduniformly within the context of the internal Europeanelectricity market. Furthermore, the revenues fromcross-border exchanges must be treated in a transparentand nondiscriminatory manner. However, despiteattempts to develop and establish an efficient,transparent, nondiscriminatory, just and, in the finalanalysis, easily applicable system and mechanism,some energy systems are still confronted with theproblem of how to determine and allocate expendituresfor high losses of electricity. This concernsthe share of the additional electricity losses in thenational electrical energy network and the share ofthe additional auxiliary system services that occurdue to transit or circular flows from international,i.e. cross-border, energy exchanges. The generalposition is that the European energy legislation, i.e.the corresponding directives and regulations of theEU in this respect, represents an adequate legislativeframework for the operations of all the regulatoryagencies.15) There is a specific problem regarding the mannerof accessing and obtaining information and datawhich a regulatory agency can and does requirefrom regulated entities, and which these regulatedentities can and want to provide or do provide to theregulatory agency. In any case, these differences, i.e.information asymmetry, are always present in thisregard. The conclusion is that in order to obtain asatisfactory solution or at least a good balance betweenthe regulatory agency and the regulated en-551Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

5 ZAKLJU»AKOkrugli stol o ulozi regulatornog tijela u donoπenjutarifnih sustava organiziran je kao mjesto susreta irasprave eksperata i direktnih sudionika, odnosnozainteresiranih strana u regulacijskom procesu, odpredstavnika regulatornih tijela, struËne i znanstvenejavnosti, do predstavnika reguliranih subjekata.Okrugli stol bio je vrlo uspjeπan i u potpunostije opravdao razloge organiziranja, ponudivπidobru elaboraciju problematike i sadræaja regulacijeenergetskih djelatnosti, organizacije i nadzoratræiπta elektriËnom energijom, a posebno i ciljanouloge regulatornog tijela u donoπenju tarifnih sustava.KonaËno, Okrugli stol ponudio je i niz odgovora,ali i πto je joπ vaænije, sudionike je ili uveou predmetnu problematiku i ukazao im na opÊuprisutnost sliËnih pitanja i dilema u svim zemljama,od Ëlanica EU do zemalja koje Êe tek postatiËlanice EU, ili im dao odgovore na pitanja i dilemes kojima su doπli na Okrugli stol. Bez obzira na razliËitaiskustva i dinamiku procesa, Okrugli stol jepomogao da se identificira i komentira niz izazovai problema s kojima se suoËavaju sva regulatornatijela, ali i sva regulirana poduzeÊa i energetskisubjekti, bez obzira na sustave iz kojih dolaze ikontekst u kojem su nastala i u kojem su se razvijala.Takoappleer, uoËena je moguÊnost i potrebaza stalnom elaboracijom i raspravom problemasadræaja i forme regulacije, regulatornih pristupa ipolitike, strukture i sadræaja tarifnih metodologijai samih tarifa, utjecajnih parametara i pokazatelja,naroËito ekonomskih i politiËkih, usporednih(benchmark) pristupa i analiza, te svakako veÊesuradnje i transfera znanja i iskustava.Zbog svega prethodnog, cilj i svrha ovog Ëlanakbili su πiru struËnu i znanstvenu javnost izvijestitio rezultatima, odnosno tijeku i zakljuËcimatog Okruglog stola, te eventualno potaÊi struËnui znanstvenu raspravu o izloæenoj problematici,pa Ëak potaÊi organizaciju novih okruglih stolovai rasprava o izloæenim pitanjima, problemima,sadræajima, ali i izazovima regulacije energetskihdjelatnosti.ergy entities, it is best and most efficient to choosepragmatic solutions, if possible based upon the bestavailable and most efficient international practicesand benchmarks. The aforementioned applies in itsentirety to the processes and practices of regulatoryor audit supervision.16) We have especially noted and emphasized thepossibility and necessity for the broader regionalelaboration and discussion of the problems of thecontents and forms of regulations, regulatory approachesand policies, the structures and contents oftariff methodologies and the tariffs themselves, influentialparameters and indices (especially economicand political), benchmark approaches and analysis,together with greater cooperation and the transfer ofknowledge and experiences.5 CONCLUSIONThe Round Table Discussion on the role of the regulatoryagency in the adoption of tariff systems wasorganized as place of meeting and discussion amongexperts and direct participants, i.e. interested partiesin the regulatory process, from representatives of theregulatory agencies, the professional and scientificpublic, to representatives of the regulated entities.The Round Table was highly successful and completelyjustified the reasons for its organization, providinggood elaboration of the issues and contents ofthe regulations on energy operations, the organizationand supervision of the electricity market and, particularly,the planned role for the regulatory agency inthe adoption of the tariff systems. Finally, the RoundTable Discussion provided a series of answers but,more importantly, introduced the participants to theissue under discussion and demonstrated to themthat similar questions and dilemmas are generallypresent in all countries, from the member countriesof the EU to the countries that will become membersof the EU, or provided them with answers tothe questions and dilemmas that they brought withthem to the Round Table. Regardless of the variousexperiences and process dynamics, the Round TableDiscussion helped identify and comment on a seriesof challenges and problems confronted by all regulatoryagencies, as well as all regulated enterprises andenergy entities, regardless of the systems from whichthey come and the context in which they originatedand developed. Furthermore, the possibility andneed were perceived for the ongoing elaboration anddiscussion of the problems of the content and formof regulation, regulatory approaches and policies,the structure and content of tariff methodologies andthe tariffs themselves, the influential parametersand indices (especially economic and political),benchmark approaches and analysis, and certainlyKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553552

greater cooperation and the transfer of knowledgeand experience.Due to all the aforementioned, the goal and purposeof this article were to inform the general professionaland scientific public about the results and conclusionsof this Round Table Discussion, eventuallystimulate expert and scientific discussion about theissues presented, and even stimulate the organizationof new round tables and discussions on thequestions, problems, contents but also the challengesof the regulation of energy operations.LITERATURA / REFERENCES[1] Zakona o energiji, Narodne novine broj 68/2001 i 177/2004[2] Zakon o regulaciji energetskih djelatnosti, Narodne novine broj 177/2004[3] Zakon o træiπtu elektriËne energije, Narodne novine broj 177/2004[4] Tarifni sustav za prijenos elektriËne energije, bez visine tarifnih stavki, Narodne novine broj143/2006[5] Tarifni sustav za distribuciju elektriËne energije, bez visine tarifnih stavki, Narodne novine broj143/2006[6] Tarifni sustav za proizvodnju elektriËne energije, s iznimkom za povlaπtene kupce, bez visine tarifnihstavki, Narodne novine broj 143/2006[7] Tarifni sustav za opskrbu elektriËnom energijom, s iznimkom povlaπtenih kupaca, bez visine tarifnihstavki, Narodne novine broj 143/2006[8] RAJIΔ, Æ., Polazne osnove za donoπenje novih tarifnih sustava, Okrugli stol, Zagreb, 2007.[9] ÆUTOBRADIΔ, S., Tarifni sustavi za regulirane elektroenergetske djelatnosti, bez visine tarifnih stavki/ Tariff Systems for Regulated Electric Power Activities, without the Amounts of the Tariff Items,Okrugli stol, Zagreb, 2007.[10] MRAVAK KNEZIΔ, K., DUGANDÆIΔ, I., Pripreme energetskih subjekata za buduÊi regulacijski period/ Preparation of Energy Entities for the Future Regulatory Period, Okrugli stol, Zagreb, 2007.[11] LAKHOUA, F., Commission de Régulation de l’Energie : Financijska problematika u reguliranim tarifama:francuski sluËaj / Financial Issues in Regulated Tariffs: the French Case, Okrugli stol, Zagreb,2007.[12] KAISER, S., Energie-Control GmbH: Uloga regulatora u utvrappleivanju tarifnih sustava ∑ Austrija / TheRole of the Regulator in Determining Tariff Systems ∑ Austria, Okrugli stol, Zagreb, 2007.[13] LITVAI, P., Magyar Energia Hivatal: Sustav cijena elektriËne energije u Maapplearskoj / The ElectricityPricing System in Hungary, Okrugli stol, Zagreb, 2007.[14] PARIPOVI», M., Javna Agencija Republike Slovenije za energijo: Naknade za koriπtenje mreæa / ElectricityNetwork Charges, Okrugli stol, Zagreb, 2007.Uredniπtvo primilo rukopis:2007-07-30PrihvaÊeno:2007-08-13Manuscript received on:2007-07-30Accepted on:2007-08-13553Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

05/07ENERGIJAIZDAVA»Hrvatska elektroprivreda d.d., ZagrebZA IZDAVA»AMr. sc. Ivan MravakSUIZDAVA»ISveuËilište u Zagrebu, Fakultet elektrotehnike i raËunarstvaMinistarstvo gospodarstva, rada i poduzetništvaPOMOΔ U IZDAVANJUMinistarstvo znanosti, obrazovanja i πportaURE–IVA»KI SAVJETMr. sc. Kaæimir VrankiÊ (predsjednik) - doc. dr. sc. AnteΔurkoviÊ - prof. dr. sc. Igor DekaniÊ Zagreb - prof. dr. sc. DaniloFeretiÊ, Zagreb - mr. sc. Nikica GrubiπiÊ, Zagreb - prof. dr. sc.Slavko Krajcar, Zagreb - doc. dr. sc. Æeljko TomπiÊ, Zagreb - dr.sc. Mladen Zeljko, ZagrebURE–IVA»KI ODBORGlavni urednik ∑ mr. sc. Goran Slipac, ZagrebGlavni tajnik ∑ mr. sc. Slavica Barta-Koπtrun, ZagrebLektor ∑ ©imun »agalj, prof., ZagrebMetroloπka recenzija ∑ Dragan BorojeviÊ, dipl. ing., ZagrebPrijevod ∑ Hrvatsko druπtvo znanstvenih i tehniËkih prevoditelja∑ Prevoditeljski centar, ZagrebUREDNI©TVO I UPRAVAHEP d.d. - Energija, UreappleivaËki odborUlica grada Vukovara 37, 10000 Zagreb, HrvatskaTelefoni: +385 (1) 6171291 i 6322641Telefaks: +385 (1) 6322143e-mail: goran.slipac@hep.hr; slavica.barta@hep.hr;www.hep.hrGodiπnje izlazi 6 brojeva.Godiπnja pretplata bez PDV-a (22 %) iznosi:∑ za pojedince 250 kn∑ za poduzeÊa 400 kn∑ za studente 60 knÆiro raËun kod ZagrebaËke banke broj:2360000-1400129978Godiπnja pretplata za inozemstvo iznosi USD 95.Devizni raËun:ZagrebaËka banka broj: 2000006299GrafiËko ureappleenje omota ∑ mr. sc. Kaæimir VrankiÊ, ZagrebGrafiËko ureappleivanje ∑ Bestias dizajn d.o.o., ZagrebTisak ∑ Intergrafika d.o.o, ZagrebNaklada ∑ 1 500 primjeraka Godiπte 56(2007)Zagreb, 2007 Broj 5., str. 521∑636Oglasi su veliËine jedne stranice. Cijena oglasa je 3 000 knbez PDV (22%).ENERGIJAPUBLISHED BYHrvatska elektroprivreda d.d., ZagrebPUBLISHER’S REPRESENTATIVEIvan Mravak, MScCO-PUBLISHED BYUnivesity of Zagreb, Fakulty of Electrical Engineering and ComputingMinistry of Economy, Labour and EntrepreneurshipSUPPORTED BYMinistry of Science, Education and SportEDITORIAL COUNCILKaæimir VrankiÊ, MSc (Chairman), HEP d.d., Zagreb - AssistantProf Ante ΔurkoviÊ, PhD, Zagreb - Prof Igor DekaniÊ, PhD, Zagreb- Prof Danilo FeretiÊ, PhD, Zagreb - Nikica GrubiπiÊ, MSc, Zagreb- Prof Slavko Krajcar, PhD, Zagreb - Assistant Prof Æeljko TomπiÊ,PhD, Zagreb - Mladen Zeljko, PhD, ZagrebEDITORIAL BOARDEditor-in-Chief ∑ Goran Slipac, MSc, ZagrebSecretary ∑ Slavica Barta-Koπtrun, MSc, ZagrebLanguage Editor ∑ ©imun »agalj, prof., ZagrebMetrology ∑ Dragan BorojeviÊ, dipl. ing., ZagrebTranslation ∑ Croatian Association of Scientific and TechnicalTranslators ∑ Croatian Translation Agency, ZagrebHEAD OFFICE AND MANAGEMENTHEP d.d. - Energija, Editorial BoardUlica grada Vukovara 37, 10000 Zagreb, CroatiaTelephone: +385 (1) 6171291 and 6322641Fax: +385 (1) 6322143e-mail: goran.slipac@hep.hr; slavica.barta@hep.hr;www.hep.hrAppears 6 times a year.Annual subscription fee excl. VAT (22 %):∑ for individual subscribers HRK 250∑ for companies HRK 400∑ for students HRK 60Number of gyro account with ZagrebaËka Banka:2360000-1400129978Annual subscription fee for the overseas: USD 95.Number of foreign currency account with ZagrebaËka Banka:2000006299Cover design ∑ Kaæimir VrankiÊ, MSc, ZagrebGraphic layout ∑ Bestias Dizajn d.o.o., ZagrebPrinted by ∑ Intergrafika d.o.o., ZagrebCirculation ∑ 1,500 copies Volume 56(2007)Zagreb, 2007 No 5., pp. 521∑636Ads are the size of page. The price of an ad is HRK 3 000 excl.VAT (22%).SADRÆAJCONTENTS526-553554-583Klepo, M.ULOGA REGULATORNOG TIJELA U DONO©ENJUTARIFNIH SUSTAVA: OKRUGLI STOL ∑PRIKAZ I ZAKLJU»CI(pregledni Ëlanak)©tritof, I., KleËina, F.REGULATORNA POLITIKA I NJEN UTJECAJ NA PLANOVERAZVOJA I IZGRADNJE ENERGETSKIH SUBJEKATA KOJIOBAVLJAJU REGULIRANE DJELATNOSTI(pregledni Ëlanak)Klepo, M.THE ROLE OF THE REGULATORY AGENCY IN THE ADOPTION OFTARIFF SYSTEMS: ROUND TABLE DISCUSSION ∑ REPORT ANDCONCLUSION(review article)©tritof, I., KleËina, F.REGULATORY POLICY AND ITS IMPACT ON THE DEVELOPMENTAND CONSTRUCTION PLANS OF ENTITIES PERFORMINGREGULATED ACTIVITIES(review article)584-607608-617618-633TokiÊ, A., UgleπiÊ, I.NUMERI»KI PRORA»UN NISKOFREKVENCIJSKIH ELEKTRO-MAGNETSKIH PRIJELAZNIH POJAVA U ENERGETSKIMTRANSFORMATORIMA(izvorni znanstveni Ëlanak)Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J.,Tsichlakis, Ch., Hatziargyriou, N. D.,DIJAGNOSTI»KI PREGLED RASPADA ELEKTROENERGETSKOGSUSTAVA NA OTOKU RODOSU(izvorni znanstveni Ëlanak)SutloviÊ, E., Petric, K.BAZA PODATAKA RELEJNE ZA©TITE(izvorni znanstveni Ëlanak)TokiÊ, A., UgleπiÊ, I.THE NUMERICAL CALCULATION OF LOW FREQUENCYELECTRO-MAGNETIC TRANSIENT PHENOMENA IN POWERTRANSFORMERS(original scientifical article)Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J.,Tsichlakis, Ch., Hatziargyriou, N. D.,DIAGNOSTIC REVIEW OF A BLACKOUT IN RHODES(original scientifical article)SutloviÊ, E., Petric, K.RELAY PROTECTION DATABASE(izvorni znanstveni Ëlanak)522»asopis je ubiljeæen u Ministarstvu znanosti, obrazovanja i sporta pod The magazine is registered with the Ministry of Science, Education andKlepo, brojem M., 161 Uloga od 12.11.1992.regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., Sport str. 526-553 under No. 161 since 12.11.1992.Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553»asopis je indeksiran u sekundarnom bibliografskom izvoru INSPEC The magazine is indexed with the secondary reference source of INSPEC∑ The Institution of Electrical Engineering, England.∑ The Institution of Electrical Engineering, England.

URE–IVA»KA POLITIKA»asopis Energija znanstveni je i struËni Ëasopiss dugom tradicijom viπe od 50 godina. PokrivapodruËje elektroprivredne djelatnosti i energetike.»asopis Energija objavljuje izvorne znanstvene istruËne Ëlanke πirokoga podruËja interesa, od specifiËnihtehniËkih problema do globalnih analizaprocesa u podruËju energetike.U vrlo πirokom spektru tema vezanih za funkcioniranjeelektroprivredne djelatnosti i opÊenito energetikeu træiπnim uvjetima i opÊoj globalizaciji, Ëasopisima poseban interes za specifiËne okolnostiostvarivanja tih procesa u Hrvatskoj i njezinu regionalnomokruæenju. Funkcioniranje i razvoj elektroenergetskihsustava u srediπnjoj i jugoistoËnojEuropi, a posljediËno i u Hrvatskoj, optereÊenoje mnogobrojnim tehniËko-tehnoloπkim, ekonomskim,pravnim i organizacijskim problemima. Namjeraje Ëasopisa da postane znanstvena i struËnatribina na kojoj Êe se kritiËki i konstruktivno elaboriratinavedena problematika i ponuditi rjeπenja.»asopis je posebno zainteresiran za sljedeÊu tematiku:opÊa energetika, tehnologije za proizvodnjuelektriËne energije, obnovljivi izvori i zaπtitaokoliπa; koriπtenje i razvoj energetske opreme i sustava;funkcioniranje elektroenergetskoga sustavau træiπnim uvjetima poslovanja; izgradnja elektroenergetskihobjekata i postrojenja; informacijskisustavi i telekomunikacije; restrukturiranje i privatizacija,reinæenjering poslovnih procesa; trgovanjei opskrba elektriËnom energijom, odnosi s kupcima;upravljanje znanjem i obrazovanje; europska iregionalna regulativa, inicijative i suradnja.Stranice Ëasopisa podjednako su otvorene iskusnimi mladim autorima, te autorima iz Hrvatske iinozemstva. Takva zastupljenost autora osiguravaznanje i mudrost, inventivnost i hrabrost, te pluralizamideja koje Êe Ëitatelji Ëasopisa, vjerujemo,cijeniti i znati dobro iskoristiti u svojem profesionalnomradu.EDITORIAL POLICYThe journal Energija is a scientific and professionaljournal with more than a 50-year tradition. Coveringthe areas of the electricity industry and energy sector,the journal Energija publishes original scientificand professional articles with a wide area ofinterests, from specific technical problems to globalanalyses of processes in the energy sector.Among the very broad range of topics relating to thefunctioning of the electricity industry and the energysector in general in a competitive and globalizingenvironment, the Journal has special interest in thespecific circumstances in which these processesunfold in Croatia and the region. The functioningand development of electricity systems in Centraland South Eastern Europe, consequently in Croatiatoo, is burdened with numerous engineering, economic,legal and organizational problems. The intentionof the Journal is to become a scientific andprofessional forum where these problems will becritically and constructively elaborated and wheresolutions will be offered.The Journal is especially interested in the followingtopics: energy sector in general, electricityproduction technologies, renewable sources andenvironmental protection; use and development ofenergy equipment and systems; functioning of theelectricity system in competitive market conditions;construction of electric power facilities and plants;information systems and telecommunications;restructuring and privatization, re-engineering ofbusiness processes; electricity trade and supply,customer relations; knowledge management andtraining; European and regional legislation, initiativesand cooperation.The pages of the Journal are equally open to experiencedand young authors, from Croatia and abroad.Such representation of authors provides knowledgeand wisdom, inventiveness and courage as well aspluralism of ideas which we believe the readers ofthe Journal will appreciate and know how to put togood use in their professional work.523

UVODINTRODUCTIONDragi Ëitatelji,u rukama Vam je novi broj Ëasopisa Energija koji,kao i do sada, donosi niz aktualnosti iz podruËjatræiπta elektriËne energije te pojedinih specijalistiËkihpodruËja u elektrotehnici. U svijetu, ali i uHrvatskoj, dominiraju teme vezane uz razvoj i izgradnjuenergetskih infrastrukturnih sustava, biloda se radi o plinskom ili elektroenergetskom sustavu.StruËna javnost osim o ovim vaænim aspektimaenergetskih i elektroenergetskih sustava razmatra ipitanja regulacije energetskih djelatnosti, odnosnoregulatorne politike koja treba omoguÊiti uspostavutræiπta umreæenih energenata; elektriËne energijei prirodnog plina.U ovom broju Ëasopisa Energija, objavljujemoËlanke koji su na neposredan ili posredan naËinvezani uz regulaciju energetskih djelatnosti, a istotako i Ëlanke iz pojedinih specijalistiËkih podruËjaelektrotehnike:∑∑∑∑∑Uloga regulatornog tijela u donoπenju tarifnihsustava ∑ okrugli stol ∑ prikaz i zakljuËciRegulatorna politika i njen utjecaj na planoverazvoja i izgradnje energetskih subjekata kojiobavljaju regulirane djelatnostiNumeriËki proraËun niskofrekvencijskih elektromagnetskihprijelaznih pojava u energetskimtransformatorimaDijagnostiËki pregled raspada elektroenergetskogsustava na otoku rodosuBaza podataka relejne zaπtite.U prvom Ëlanku su prikazani zakljuËci s Okruglogstola Hrvatskog ogranka CIGRE Studijskog odoraC5 ∑ Træiπte elektriËnom energijom i regulacija.Naime, reforma elektroenergetskog sektora podrazumIjevai reformu tarifnog sustava koja bi se trebalaprovesti poËetkom sljedeÊe godine i u ovomËlanku dani su vrlo zanimljivi komentari zainteresiranihstrana u hrvatskom elektroenergetskomsektoru, ali i relevantnih eksperata iz europskihregulatornih tijela i zemalja s viπegodiπnjim iskustvomu ekonomskoj regulaciji, bilo da se radi odugogodiπnjim Ëlanicama EU, ili zemljama koje sutek nedavno postale Ëlanice EU.Dear Readers,You are holding the most recent issue of the journalEnergija, which continues to present news aboutthe electricity markets and individual specializedfields in electrical engineering. In the internationalcommunity as well as Croatia, there is major interestin the development and construction of energyinfrastructure systems, both gas or electricity. Theprofessional public is also concerned with questionsregarding the regulation of energy activitiesand regulatory policies for the purpose of establishingmarkets for networked energy.In this issue of the journal, we are presenting articlesthat are directly or indirectly connectedwith the regulation of energy activities and articlesfrom individual specialized areas of electricalengineering:∑ The Role of the Regulatory Agency in the Adoptionof Tariff Systems: Round Table Discussion∑ Report and Conclusion∑ Regulatory Policy and Its Impact on the Developmentand Construction Plans of RegulatedEnergy Entities∑ The Numerical Calculation of Low FrequencyElectromagnetic Transient Phenomena in PowerTransformers∑ Diagnostic Review of a Blackout in Rhodes∑ Relay Protection DatabaseThe first article presents conclusions from theRound Table Discussion on the Role of theRegulatory Agency in the Adoption of Tariff Systemsorganized by the Croatian National Committee ofCIGRE ∑ C5 ∑ Electricity Markets and Regulation.Reform of the electricity sector also includes reformof the tariff system, which should be implementedearly next year. This article provides valuable commentariesby interested parties in the Croatianelectricity sector as well as relevant experts fromthe European regulatory bodies and countries withmany years of experience in economic regulation,long-time members of the EU as well as countriesthat have recently become members.524

U postupku davanja suglasnosti na visinu tarifnihstavki, Hrvatska energetska regulatorna agencijadaje suglasnost na trogodiπnje planove razvojai izgradnje prijenosne, odnosno distribucijskemreæe. Tako se u drugom Ëlanku daju komentarina razliËite aspekte regulatorne politike, koja uvelikoj mjeri moæe utjecati na razvoj prijenosne idistribucijske mreæe te na poslovanje subjekatakoji obavljaju regulirane djelatnosti.Model transformatora primjenjiv u niskofrekvencijskimelektromagnetskim prijelaznim pojavamas frekvencijama reda veliËine pribliæno 1 kHz, prikazanje u treÊem Ëlanku. U radu se polazi od matematiËkogi analitiËkog modela, a zatim je zbogograniËenja analitiËkog modela u analizu uvedennumeriËki pristup rjeπavanja krutih diferencijalnihjednadæbi koje opisuju prijelaznu pojavu.Razvijeni algoritam moæe se uspjeπno koristiti uostalim niskofrekvencijskim prijelaznim pojavamagdje je glavni predmet analize nelinearni karaktertransformatora.»lanak skupine autora iz GrËke daje saæet prikaz ianalizu raspada elektroenergetskog sustava otokaRodosa. Opisani i dijagnosticirani raspad elektroenergetskogsustava vrlo je zanimljiv s obzirom dase radi o izoliranom sustavu u kojemu se sukcesivnodogaapplea nekoliko poremeÊaja razliËitih uzroka iposljedica.Posljedni Ëlanak obraappleuje temu baze podataka, uovom sluËaju podataka o relejnoj zaπtiti. U dobrostrukturiranom Ëlanku daje se model koriπtenjabaze svih relevantnih podataka vezanih uz relejnuzaπtitu i to na naËin da se koristi relativno lakodostupan komercijalni program. Posebna znaËajkaovog modela upravljanja bazom podataka jenjegova jednostavnost, πto znaËi da potrebna razinaznanja o tehnikama baza podataka te naËinupretraæivanja i Ëuvanja podataka ne mora bitivisoka.»lanke u ovom broju Ëasopisa Energija potpisujedvanaest autora iz sveuËiliπne zajednice, ali i izprakse, πto je, vjerujem, rezultiralo i kvalitetnimËlancima.As part of the procedure for authorizing the amountsof tariff items, the Croatian Energy RegulatoryAgency authorizes three-year development andconstruction plans for transmission and distributionnetworks. The second article provides commentarieson various aspects of the regulatory policy, whichcan have a considerable impact upon the developmentof the transmission and distribution networks,as well as the operations of the regulatory bodies.In the third article, a transformer model is presentedthat is applicable to low frequency electromagnetictransient phenomena of up to 1 kHz. The articlefirst presents analytical and mathematical models.Due to the limitations of the analytical model, anumerical approach is introduced for the solutionof the stiff differential equations that describe thetransient phenomena. The algorithm developed canbe used successfully in other low frequency transientphenomena where the main subject of analysisis the nonlinear character of the transformer.An article by a group of authors from Greece summarizesand analyzes a blackout that occurred in theelectrical energy system on the island of Rhodes.The description and diagnosis of the system blackoutis very interesting because it concerns an isolatedsystem in which there were successive perturbationswith various causes and consequences.The last article concerns the topic of databases,in this case data on relay protection. This wellstructuredarticle presents a relay protection datamodel using the easily obtainable Microsoft AccessDatabase Program. A particular characteristic ofthis model of database management is its simplicity,which means that the required level of userknowledge regarding database techniques, searchesand data storage need not be high.The articles in this issue of the journal Energija aresigned by twelve authors from the university andenergy bussines.Editor-in-ChiefGoran Slipac, MScGlavni urednikmr. sc. Goran Slipac525

ULOGA REGULATORNOG TIJELA UDONO©ENJU TARIFNIH SUSTAVA:OKRUGLI STOL ∑ PRIKAZ I ZAKLJU»CITHE ROLE OF THE REGULATORYAGENCY IN THE ADOPTION OF TARIFFSYSTEMS: ROUND TABLE DISCUSSION∑ REPORT AND CONCLUSIONDr. sc. MiÊo Klepo, Hrvatska energetska regulatorna agencija,Koturaπka cesta 51, 10000 Zagreb, HrvatskaKrajem 2006. godine Hrvatska energetska regulatorna agencija donijela je metodologije za izraËuntarifa za djelatnosti proizvodnje, prijenosa, distribucije i opskrbe elektriËnom energijom, koje sudo sada bile komponente jedinstvene tarife za integrirani sustav djelatnosti proizvodnje, prijenosa,distribucije i opskrbe elektriËnom energijom. Sukladno zakonskoj obvezi razdvajanja navedenihdjelatnosti, izraæenih i kroz pristup spomenutim metodologijama tarifnih sustava, u tijeku su poslovivezani uz izraËun i donoπenje tarifnih stavki za navedene energetske djelatnosti.Primjenom spomenutih metodologija, odnosno donoπenjem i stupanjem na snagu novih tarifnihstavki elektroenergetski sektor i elektroenergetsko gospodarstvo Republike Hrvatske uÊi Êe u probnoregulatorno razdoblje. Stoga je i za regulatorno tijelo, za predstavnike reguliranih djelatnosti,jednako tako i za struËnu javnost od velike vaænosti i pomoÊi bilo raspraviti neka pitanja i dileme izpredmetne problematike, i to upravo na skupu s predstavnicima raznih zainteresiranih strana.In late 2006, the Croatian Energy Regulatory Agency adopted methodologies for the calculationof tariffs for the activities of the generation, transmission, distribution and supply of electricity,which until now have been components of a single tariff for an integrated system of the activitiesof the generation, transmission, distribution and supply of electricity. Pursuant to the legalobligations to separate these activities, as also expressed through the approach of the citedmethodologies of the tariff systems, activities are in progress in reference to the calculation andadoption of tariff items for the aforementioned fundamental energy activities.With the application of the cited methodologies, i.e. the adoption and coming into force of thenew tariff systems of the electricity sector and the electricity sector of the Republic of Croatia, anew trial regulatory period will be entered. Therefore, for the regulatory agency, representativesof the regulated entities, and professional public, discussion of several questions and dilemmasfrom this area at a meeting among representatives of various interested parties was consideredto be of great importance and benefit.KljuËne rijeËi: energetsko regulatorno tijelo, ekonomska regulacija, metoda priznatih troπkova,metodologija tarifnog sustava, regulacija stopom povrataKey words: economic regulation, energy regulatory agency, method of recognized costs, regulationof the rate of return, tariff system methodologyKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553526

1 UVODNa inicijativu SO C5 ∑ Træiπte elektriËnom energijomi regulacija, IO HRO CIGRÉ, u Zagrebu je 15.svibnja 2007. godine odræan Okrugli stol ∑ Ulogaregulatornog tijela u donoπenju tarifnih sustava.Okrugli stol organiziran je sa svrhom i ciljem dapredstavnici regulatornih tijela i predstavnici reguliranihsubjekata uz prisutnost struËne javnostiizloæe svoja iskustva i poglede, odnosno raspraveproblem uloge i postupanja regulatornog tijela tesadræaja ekonomske regulacije kada su u pitanjutarifni sustavi za proizvodnju, prijenos, distribucijui opskrbu elektriËnom energijom. Naravno, postojibitna razlika izmeappleu, s jedne strane proizvodnjei opskrbe elektriËnom energijom kao primarnotræiπnih djelatnosti, dakle djelatnosti izloæenihkonkurenciji, i s druge strane infrastrukturnihprirodnih monopolnih djelatnosti prijenosa i distribucijeelektriËne energije, koji su u pravilu reguliranedjelatnosti. Zakonodavni i regulatorni okvir ukojem postoji jasno izraæena obveza javne uslugeopskrbe tarifnih kupaca taj kontekst moæe djelomiËnoizmijeniti na naËin da energetske djelatnostiproizvodnje i opskrbe elektriËnom energijom inadalje ostaju predmetom ekonomske regulacije inadzora energetskog regulatornog tijela. Tako su uovom sluËaju sve Ëetiri navedene usluge stavljeneu kontekst opÊeg ekonomskog (gospodarskog)interesa i povjerena jednom poduzeÊu, da bi seosigurala sigurna, redovita i kvalitetna opskrbaenergijom po razumnim cijenama, vodeÊi raËunao zaπtiti okoliπa. U svakom sluËaju, problematikaodabira pristupa i utvrappleivanja metodologijeekonomske regulacije i donoπenja odgovarajuÊihtarifnih sustava za svaku od navedenih energetskihdjelatnosti, koje su ranije bile ukljuËene uintegrirani tarifni sustav, i na koje se sada trebajuprimijeniti zasebni tarifni sustavi, stvara jedanpotpuno novi problem koji je uz to praÊen problemomefikasnog odvajanja energetskih djelatnosti.Dakako, sustavi i regulatorna tijela drugih zemaljabili su suoËeni i suoËavaju se sa sliËnim pitanjimai problemima. Stoga je bilo vaæno raspravitineka pitanja i dileme iz predmetne problematikes predstavnicima raznih zainteresiranih strana, apoglavito je bilo vaæno Ëuti iskustva i stavove relevantniheksperata iz europskih regulatornih tijela izemalja s viπegodiπnjim iskustvom u ekonomskojregulaciji, bilo da se radi o dugogodiπnjim ËlanicamaEU, ili zemljama koje su tek nedavno postaleËlanice EU.1 INTRODUCTIONAt the initiative of SC C5 ∑ Electricity Markets andRegulation, the Croatian National Committee ofCIGRÉ, the Round Table Discussion on the Roleof the Regulatory Agency in the Adoption of TariffSystems was held in Zagreb on May 15, 2007.The Round Table Discussion was organized withthe purpose and goal of providing the opportunityfor representatives of the regulatory bodies andthe regulated entities to present their experiencesand views in the presence of the professional public,i.e. discuss the problem of the role and approachof the regulatory agency and the contentof economic regulation regarding the question ofthe tariff systems for the generation, transmission,distribution and supply of electricity. Naturally,there are significant differences between the generationand supply of electricity as primary marketactivities, i.e. activities subject to competition onthe one hand, and on the other hand the infrastructuralnatural monopolistic activities of thetransmission and distribution of electricity, whichas a rule are regulated activities. The legislativeand regulatory framework in which there areclearly expressed public service obligation supplyingtariff customers can partially alter this contextin that the energy activities of the generation andsupply of electricity continue to remain subject toeconomic regulation and supervision by the energyregulatory agency. All four of the stated servicesare considered to be of general economic interestand entrusted to a single enterprise in order to assurea reliable, regular and quality energy supplyat reasonable prices, while taking environmentalprotection into account. In any case, the problemsof selecting an approach, determining a methodologyfor economic regulation and adopting thesuitable tariff systems for each of the cited energyactivities that were previously included within anintegrated tariff system, for which it is now necessaryto apply separate tariff systems, create acompletely new problem which is accompanied bythe problem of the effective separation of energyactivities. Certainly, the systems and regulatoryagencies of other countries have been confrontedwith similar questions and problems. Therefore,it was important to discuss certain questions anddilemmas regarding this topic with representativesof various interested parties and it was especiallyimportant to hear about the experiences and positionsof relevant experts from the European regulatoryagencies and countries with many years ofexperience in economic regulation, whether longstandingmembers of the European Union or countriesthat have only recently become members ofthe EU.Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553528

U radu Okruglog stola po pozivu su uz prezentacijei predavanja, te kroz diskusije razliËitih ulogai nadleænosti regulatornih tijela, ali i praktiËnihpristupa regulaciji i problemu donoπenja tarifnihsustava, sudjelovali predstavnici regulatornih tijelaFrancuske, Austrije, Slovenije, Maapplearske iHrvatske, te predstavnici Hrvatske elektroprivreded.d., odnosno predstavnici energetskih subjekta uRepublici Hrvatskoj za koje se donose i primjenjujuodgovarajuÊi tarifni sustavi. Okrugli stol pobudioje veliki interes struËne javnosti i intenzivnudiskusiju problema i sadræaja uloge regulatornogtijela kada su u pitanju regulatorni pristupi i metodeekonomske regulacije energetskih djelatnosti,dakako onih energetskih djelatnosti koji imajumonopolne pozicije ili kojima su pridijeljene obvezejavnih usluga. Interes za teme metodologijatarifnih sustava, strukture, utjecajnih parametara,podloga i dokaza za utvrappleivanje razine tarifnihstavki i inaËe pobuappleuju veliki interes, πto se oËitovaloi na ovom Okruglom stolu.2 OSNOVNI ZAKONODAVNIOKVIR EU ZA USPOSTAVUTRÆI©TA ELEKTRI»NEENERGIJE I SADRÆAJREGULACIJEKljuËni akti Europske komisije koji definiraju opÊiokvir osnivanja i rada energetskih regulatornih tijela,odnosno utvrappleuju opÊe smjernice i standardeorganizacije energetskog træiπta i nadleænosti tihtijela u svezi elektriËne energije su:∑ Direktiva 2003/54/EZ Europskog parlamentai VijeÊa ministara o opÊim pravilima zaunutraπnje træiπte elektriËne energije i prestankuvaæenja Direktive 96/02/EZ, koja utvrappleujeopÊa pravila za proizvodnju, prijenos, distribucijui opskrbu elektriËnom energijom, tedefinira pravila o organizaciji i funkcioniranjuelektroenergetskog sektora, pristupa træiπtu,kriterije i postupke koji se primjenjuju za objavunadmetanja i davanje odobrenja i upravljanjesustavima,∑ Direktiva 2003/55/EZ Europskog parlamentai VijeÊa o zajedniËkim pravilima unutarnjegtræiπta prirodnog plina i ukidanju Direktive98/30/EZ, koja utvrappleuje zajedniËka pravila zaprijenos, distribuciju, opskrbu i skladiπtenjeprirodnog plina, LNG-a i druge tipove plinovakoji se mogu tehniËki i sigurno ubacivati itransportirati kroz sustav za prirodni plin, tedefinira pravila o organizaciji i funkcioniranjusektora, pristupa træiπtu, kriterije i postupkeIn the Round Table Discussion, in addition to invitedpresentations, lectures and the discussion of thevarious roles and authorities of regulatory agencies,as well as practical approaches to regulation andthe adoption of tariff systems, representatives ofthe regulatory agencies of France, Austria, Slovenia,Hungary and Croatia as well as representatives ofHrvatska elektroprivreda d.d., i.e. representatives ofthe energy entities in the Republic of Croatia whoadopt and apply the corresponding tariff systems,also participated. The Round Table Discussionaroused great interest among the professional publicand provoked intense discussion on the problemand content of the role of the regulatory agency regardingregulatory approaches and methods for theeconomic regulation of energy activities, i.e. thoseenergy activities that have a monopoly position orto whom the public service obligation has been assigned.The topics of the methodologies of the tariffsystems, the structure, influential parameters, basisand evidence for the determination of various tariffitems attract great interest generally, which wasalso apparent at this Round Table Discussion.2 THE BASIC LEGISLATIVEFRAMEWORK OF THEEUROPEAN UNION FOR THEESTABLISHMENT OF ANELECTRICITY MARKET AND THECONTENT OF REGULATIONThe key acts of the European Commission thatdefine the general framework for the establishmentand activity of energy regulatory agencies,i.e. determine the general guidelines and standardsfor the organization of the energy market and theauthorities of these bodies in connection with electricity,are as follows:∑ Directive 2003/54/EC of the European Parliamentand of the Council of Ministers on CommonRules for the Internal Market in Electricityand Repealing Directive 96/02/EC, that determinesthe general rules for the generation, transmission,distribution and supply of electricityand defines the rules on the organization andfunction of the electricity sector, market approach,the criteria and processes that are appliedfor announcing tendering procedures, issuingauthorizations and managing systems,∑ Directive 2003/55/EC of the European Parliamentand of the Council Concerning CommonRules for the Internal Market in Natural Gas andRepealing Directive 98/30/EC, which determinesthe common rules for the transmission, distribution,supply and storage of natural gas, liquefied529Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

koji se primjenjuju na davanje odobrenja i radsustava,∑ Uredba 1228/2003/EZ Europskog parlamentai VijeÊa o uvjetima pristupa mreæi za prekograniËnurazmjenu elektriËne energije, te∑ Uredba 1775/2005/EZ o uvjetima pristupatransportnim mreæama za prirodni plin.Unutar tog opÊeg zakonodavnog okvira regulatornomtijelu mogu se dodijeliti razliËite nadleænostii odgovornosti, odnosno poslovi. Na Okruglomstolu prezentacijama i raspravom primarno su bileobuhvaÊene nadleænosti i uloga regulatornog tijelau pogledu donoπenja metodologija tarifnih sustavai/ili odreappleivanja tarifa/naknada za energetske usluge,odnosno krajnje kupce. Neposredno u svezi stim prezentirani su i raspravljeni i moguÊi pristupireguliranju monopola ili javnih usluga (cijenakoriπtenja mreæe, uvjeta pristupa mreæama, pravilaza voappleenje sustava, uvjeta osiguranja stabilnostii pouzdanosti sustava, pravila i uvjeta osiguranjapomoÊnih usluga sustava). ©irom raspravom bilesu obuhvaÊene i ostale nadleænosti i poslovi kojise u pravilu dodjeljuju regulatornom tijelu, kao πtosu nadzor standarda kvalitete i izvedbe, kreiranjei provoappleenje opÊih uvjeta, propisa i standarda,reguliranje ulaska energetskih subjekata u sektor(dozvole, povlaπteni statusi, prikljuËenja, novaizgradnja) i nadzor nad træiπtem, izvjeπtavanje, savjetovanjevlade, ministarstava, javnosti, rjeπavanjeæalbi na rad operatora sustava i rjeπavanje æalbi isporova kupaca.Na Okruglom stolu jasno je pokazano da je unutartog jednog opÊeg zakonodavnog okvira svaka zemljaËlanica EU razvila i uspostavila vlastiti zakonodavnii regulatorni okvir za træiπte elektriËne energije i radnacionalnog regulatornog tijela, temeljeÊi rjeπenjai praksu na vaæeÊem osnovnom nacionalnompravnom i zakonodavnom sustavu. OpÊe je pravilo,a isto je viπe puta i u svim sluËajevima ponovljenona gotovo istovjetan naËin od strane predstavnikaregulatornih tijela Francuske, Austrije, Slovenije,Maapplearske i Hrvatske, sudionika Okruglog stola, daje cilj svake zemlje uspostaviti neovisno i efikasnonacionalno regulatorno tijelo koje Êe stvoritiuvjete i nadzirati razvoj i uspostavu razvidnog,efikasnog i nepristranog træiπta elektriËneenergije i plina na dobrobit svih sudionika tihtræiπta i krajnjih korisnika. Preduvjeti razvidnog,efikasnog i nepristranog træiπta elektriËne energijei plina su osiguranje i provedba razvidnogi nediskriminirajuÊeg pristupa energetskimmreæama po unaprijed poznatim, reguliranimuvjetima, neovisan i nepristran rad operatoraenergetskih sustava, razvidno i nepristranorjeπavanje sporova i prigovora na pristupe mreæamai rad operatora mreænih sustava, efikasna provedbai garancije raËunovodstvenog i upravljaËkognatural gas (LNG) and other types of gases thatcan technically and safely be injected into andtransported through the natural gas system, anddefines the rules on the organization and functionof the sector, market access, criteria andprocedures that are applicable to the granting ofauthorizations and the operation of the system,∑ Regulation 1228/2003/EC of the EuropeanParliament and of the Council on Conditions forAccess to the Network for Cross-Border Exchangesin Electricity, and∑ Regulation 1775/2005/EC of the European Parliamentand of the Council on Conditions for Accessto the Natural Gas Transmission Networks.Within this general legislative framework, variousauthorizations and responsibilities, i.e. tasks canbe assigned to a regulatory agency. At the RoundTable, the presentations and discussions were primarilyabout the authorities and roles of the regulatoryagency regarding the adoption of methodologies fortariff systems and/or determining tariffs/charges forenergy services, i.e. the final customers. In connectionwith this, potential approaches to the regulationof monopolies or public services were presentedand discussed (the cost of network use, conditionsfor network access, rules for system management,conditions for assuring the stability and reliabilityof a system, and rules and conditions for securingauxiliary system services). Broader discussions includedother authorities and tasks that as a rule areassigned to the regulatory body, such as the supervisionof the standards for quality and implementation,the creation and implementation of generalconditions, regulations and standards; regulation ofthe entry of energy entities into the sector (permits,privileged status, connections and new construction)and supervision over the market, reporting; advisingthe government, ministries and public; the settlingof complaints regarding the work of the system operator,and customer complaints and disputes.At the Round Table Discussion, it was clearly demonstratedthat within this general legislative framework,each Member Country of the EU has developed andestablished its own legislative and regulatory frameworkfor the electricity market and the work of thenational regulatory agency, based upon the solutionsand practice of the prevailing basic national legaland legislative system. As a general rule, which wasrepeated in all cases in a nearly identical manner inthe presentations by the representatives of the regulatoryagencies of France, Austria, Slovenia, Hungaryand Croatia, i.e. the Round Table participants, thegoal of every country is to establish an independentand efficient national regulatory agency that will createthe conditions, supervise the development andestablish transparent, efficient and nondiscriminatoryelectricity and gas markets for the benefit of all theKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553530

azdvajanja energetskih djelatnosti, sprjeËavanjemeappleusobnih subvencioniranja reguliranih inereguliranih djelatnosti unutar vertikalno ilihorizontalno integriranih sustava, efikasan sustavprekograniËnih razmjena, razvoj i uspostavaefikasnih træiπnih mehanizama i slobodna træiπnautakmica itd.S druge strane, Ëinjenice i pojavnost su da regulatornatijela u razliËitim zemljama imaju razliËitepozicije u odnosu na dræavna tijela i institucije,prvenstveno odgovarajuÊe vlade i ministarstva, terazliËite uloge i nadleænosti. U nekim zemljamaregulatorna tijela su organizacijska jedinica ilidio ministarstva ili pod nadzorom ministarstvaili vlade. U drugim zemljama su ili znaËajno iliu potpunosti neovisna tijela. U nekim zemljamaregulatorna tijela imaju nadleænost i obvezu nadzoraprovedbe podzakonskih akata, donoπenja metodologijatarifnih sustava, davanja odobrenja naplanove razvoja i planove investiranja reguliranihsubjekata, nadzora provedbe ili primjene tarifnihsustava i tarifa, nadzora financijskog poslovanja,nadzora provedbe raËunovodstvenog i upravljaËkograzdvajanja, nadzora kvalitete energetskih usluga,davanja odgovarajuÊih miπljenja i savjetovanjaministarstava i vlada o cijenama, tarifama, pitanjimauspostave energetskog træiπta i sl. U drugimzemljama nacionalna regulatorna tijela imajujaËu ulogu i nadleænosti, koje ukljuËuju donoπenjeodgovarajuÊih podzakonskih akata, ali i poduzimanjeodgovarajuÊih mjera, utvrappleivanje tarifai uvjeta pristupa mreæama, rjeπavanje sporova usvezi s pristupom mreæama i uvjetima koriπtenjamreæa, rjeπavanje prigovora i æalbi na rad operatoramreænih sustava, rjeπavanje prigovora i æalbikrajnjih kupaca i sliËno. Nisu zanemarivi i sustavimjera i sankcija koje nekim regulatornim tijelimastoje na raspolaganju da bi osnaæili svoje djelovanjei odluke.Kada su u pitanju nadleænosti za definiranje idonoπenje metodologija ekonomske regulacije,odnosno izbor, definiranje i donoπenje osnovnogregulacijskog pristupa, metodologije tarifnog sustavai samih tarifa, uloge regulatornih tijela se razlikuju.Opet, u nekim zemljama regulatorna tijelaimaju kljuËnu ulogu u svim segmentima procesaod definiranja metode regulacije i metodologijetarifnog sustava, nadzora poslovanja i revizije financijskihpokazatelja i izvjeπÊa energetskih subjekata,dubinske revizije i odobravanja troπkova,definiranja i odobravanja kljuËnih regulacijskih imakroekonomskih parametara, primjene mehanizamajavnog prezentiranja i oËitovanja javnosti,odnosno korisnika i kupaca o iznosima tarifnihstavki itd. U drugim zemljama regulatornim tijelimadane su u nadleænost i obveze samo nekaod navedenih prava, poslova i obveza. NajËeπÊiparticipants of these markets and the final customers.The prerequisites for transparent, efficient andnondiscriminatory electricity and gas markets are theassurance and implementation of transparent andnondiscriminatory access to the energy networks accordingto previously specified regulatory conditions,the independent and nondiscriminatory work of theenergy system operators, the transparent and nondiscriminatoryresolution of disputes and complaintsregarding network access and the work of the networksystem operators, the efficient implementationand guarantee of the accounting and managerial unbundlingof energy activities, the prevention of crosssubsidies among regulated and unregulated activitieswithin vertically or horizontally integrated systems,an effective system for cross-border exchanges, thedevelopment and establishment of efficient marketmechanisms and free market competition etc.Otherwise, the regulatory agencies in various countrieshave differing positions in relation to the stateagencies and institutions, primarily the correspondinggovernments and ministries, and various rolesand authorities. In some countries, the regulatoryagencies are organizational units, parts of a ministryor under the supervision of a ministry or the government.In other countries, they are either considerablyor entirely independent bodies. In some countries,the regulatory bodies have the authority andresponsibility of supervising the implementation ofbylaws, the adoption of the methodologies of the tariffsystems, granting approval for the developmentand investment plans of the regulated entities, supervisionover the implementation or application oftariff systems and tariffs, supervision over financialoperations, supervision over the implementation ofaccounting and managerial unbundling, supervisionover the quality of energy services, issuing suitableopinions and advising ministries and the governmentregarding prices, tariffs, questions regarding the establishmentof the energy market etc. In other countries,the national regulatory agency has a strong roleand powerful authority, including the adoption ofsuitable bylaws but also the undertaking of suitablemeasures for the determination of tariffs and conditionsfor network access, the settlement of disputesin connection with network access and conditions fornetwork use, the settlement of complaints regardingthe work of the network system operator, the settlementof complaints from the final customers etc. Thesystem of measures and penalties that some regulatoryagencies have at their disposal to enforce theiractivity and decisions is not insignificant.When authorities are in question for the definitionand adoption of methodologies for economic regulation,i.e. the selection, definition and adoption ofthe basic regulatory approach, methodologies of thetariff system and tariffs themselves, the roles of the531Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

je sluËaj da regulatorno tijelo ima obvezu i odgovornostza donoπenje odgovarajuÊe metodologijetarifnih sustava, te nadzora poslovanja i troπkovareguliranih subjekata. Regulatorna tijela u nekimzemljama daju miπljenja odgovarajuÊim ministarstvimai vladama u pogledu visine tarifnih stavki,u drugim zemljama imaju nadleænost utvrappleivanja,odnosno reguliranja tarifnih stavki, πto je u pravilui cilj njihova osnivanja.KonaËno, nuæno je ukazati i na treÊi aspekt ili razinumoguÊih nadleænosti i odgovornosti regulatornihtijela. Tu treÊu razinu Ëine pristupi pojedinimsegmentima ili problemima ekonomske regulacijekao πto su problemi kriterija za pridjeljivanje i priznavanjerazine operativnih troπkova poslovanja,odobravanja i priznavanja investicija u nove objekte,postrojenja i instalacije, troπkova kapitala,odnosno amortizacije i povrata na uloæena sredstva,utvrappleivanja odgovarajuÊe regulatorne baze istope povrata na reguliranu imovinu, priznavanjaodgovarajuÊih inflatornih utjecaja na troπkove i tarife,utvrappleivanja i priznavanja i drugih korektivnihfaktora na troπkove i tarife, te konaËno i postupanjau sluËaju viπkova i manjkova prihoda na karajuregulacijskog perioda. Posebno je pitanje odnosa ipostupanja prema kategorijama prihoda koji imajuobiljeæja profita. Naravno, za ovaj treÊi regulacijskiaspekt vezana su i pitanja, odnosno problemikoliko dug regulacijski period ustanoviti, kada primijenitijednostavne, a kada poËeti primjenjivatisloæene metode ekonomske regulacije.»esto je prisutna i dilema kada uvesti poticajnuregulaciju, kako sloæene regulacijske pristupe imehanizme uËiniti razumljivim, razvidnim i prihvatljivimsvim sudionicima, naroËito energetskimsubjektima koji iste trebaju primijeniti i korisnikeili kupce na koje se isti odnose, i konËano, kakoosigurati da ti mehanizmi u sukcesivnom slijedurezultiraju stabilnom i efikasnom strukturom tarifai sl. Za mreæne infrastrukturne sustave i prirodnemonopolne energetske djelatnosti uz navedenetreba dodati i pitanja odgovornosti i naËina osiguravanjapomoÊnih usluga sustava, pokriÊe troπkovagubitaka, odgovornosti za pravovremen i dostatanrazvoj i izgradnju sustava, te izgradnju dostatnihprekograniËnih kapaciteta. Dodatno, operatori prijenosnogi distributivnog sustava imaju i odgovornostiu pogledu ukljuËivanja i osiguravanja uvjetaza rad postrojenja koja koriste obnovljive izvoreenergije.regulatory agencies differ. In some countries, theregulatory bodies have a crucial role in all the segmentsof the process, including the definition of themethod for regulation and the methodology of thetariff system, supervision over operations and theauditing of financial indices and reports of energyentities, in-depth auditing and approval of expenditures,the definition and approval of crucial regulatoryand macroeconomic parameters, the applicationof mechanisms for presentations and statementsto the public, i.e. users and customers, about theamounts of tariff items etc. In other countries, theregulatory agencies are granted the authority andresponsibility for only some of the stated rights, activitiesand responsibilities. The most frequent caseis that a regulatory agency has the obligation andresponsibility for the adoption of a suitable tariffsystem methodology, together with the supervisionof the operations and expenditures of the regulatedentities. The regulatory bodies in some countries issuean opinion to the corresponding ministries andgovernments regarding the amounts of tariff items,and in other countries they have the authority todetermine or regulate the tariff items, which as arule is the purpose for their establishment.Finally, it is necessary to draw attention to the thirdaspect or level of the potential authorities and responsibilitiesof regulatory bodies. This third level consistsof approaches to individual segments or problems ofeconomic regulation, such as the problems of thecriteria for the allocation and recognition of the levelof operational costs, approval and recognition of investmentsin new facilities, plants and installations;capital costs, i.e. depreciation and investment return,determination of the suitable regulatory basis andrate of return on regulated property, recognition ofthe impact of inflation on costs and tariffs; the determinationand recognition of other corrective factorson costs and tariffs, and finally the procedure in theevent of revenue surpluses and deficits at the end ofthe regulatory period. A particular question refers tothe attitude and procedure toward the categories ofrevenue that have recorded profits. Naturally, questionsare connected with this third regulatory aspect,i.e. problems regarding how long a regulatory periodshould be established, when simple methods shouldbe applied and when it is necessary to begin to applycomplex methods of economic regulation.There is often the issue of when to introduce incentiveregulation, how to make complex regulatoryapproaches and mechanisms understandable,transparent and acceptable to all the participants,especially energy entities who must apply them andthe users or customers to which they refer, how toassure that these mechanisms successively result ina stable and efficient tariff structure etc. For networkinfrastructure systems and naturally monopolisticKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553532

3 RESTRUKTURIRANJEELEKTROENERGETSKOGSEKTORA, REGULACIJA ITARIFNI SUSTAVI U REPUBLICIHRVATSKOJU uvodnom dijelu Okruglog stola detaljno jeizloæen kontekst energetskog zakonodavnog okvirai procesa restrukturiranja elektroenergetskog sektora,odnosno otvaranja træiπta elektriËne energijei razvoja i uspostavljanja novog regulatornog okvirau Republici Hrvatskoj [1], [2] i [3]. U tom kontekstui okruæju donesene su i objavljene metodologijetarifnih sustava, a tek treba utvrditi odgovarajuÊestavke za prijenos i distribuciju elektriËne energijete proizvodnju i opskrbu elektriËnom energijom sizuzetkom za povlaπtene kupce.Naime, temeljem vrijedeÊih zakona Hrvatska energetskaregulatorna agencija (u daljnjem tekstu:Agencija) ima obvezu i odgovornost, nakon pribavljenogmiπljenja energetskih subjekata za obavljanjeËijih djelatnosti se primjenjuje tarifni sustavi Ministarstva gospodarstva, rada i poduzetniπtva(u daljnjem tekstu: Ministarstvo), u sektoru elektriËneenergije donijeti metodologije tarifnih sustava,odnosno tarifne sustave bez visine tarifnihstavki, i to za: 1) proizvodnju elektriËne energije,s iznimkom za povlaπtene kupce, 2) opskrbuelektriËnom energijom, s iznimkom povlaπtenihkupaca, 3) prijenos elektriËne energije, 4) distribucijuelektriËne energije, 5) utvrappleivanje naknadeza prikljuËak na prijenosnu i distribucijsku mreæu,te poveÊanje prikljuËne snage, 6) pruæanje uslugauravnoteæenja elektriËne energije u elektroenergetskomsustavu.Prethodno navedene metodologije morajuomoguÊavati ulaganja potrebna za razvoj mreæe iostale zahtjeve sukladno postojeÊim zakonima.Temeljem vrijedeÊih zakona energetski subjekt zaobavljanje Ëijih djelatnosti se primjenjuje tarifnisustav podnosi prijedlog visine tarifnih stavki Ministarstvu,koje nakon pribavljenog miπljenja Agencijepredlaæe iznose tarifnih stavki Vladi RepublikeHrvatske. Vlada Republike Hrvatske utvrappleuje visinutarifnih stavki. Agencija provodi nadzor primjenetarifnih stavki i svih ostalih naknada.Na Okruglom stolu detaljno je izloæen kontekstutvrappleivanja i sadræaja metodologija tarifnih sustavaza proizvodnju elektriËne energije, s iznimkomza povlaπtene kupce, opskrbu elektriËnom energijom,s iznimkom povlaπtenih kupaca, prijenoselektriËne energije i distribuciju elektriËne energije.U nastavku slijedi prikaz do sada vrijedeÊegenergy activities, is also necessary to add questionsof responsibility and the manner of assuring auxiliaryservices for the system, covering losses, responsibilityfor the timely and suitable development andconstruction of the system, and the construction ofadequate cross-border capacities. Additionally, thetransmission and distribution system operators haveresponsibilities in respect to the inclusion and assuranceof the conditions for the operation of the plantsthat use renewable energy sources.3 RESTRUCTURING OFTHE ELECTRICITY SECTOR,REGULATION AND TARIFFSYSTEMS IN THE REPUBLIC OFCROATIAIn the introductory part of the Round Table Discussion,the context of the legislative framework for energyand the process of the restructuring of the electricitysector, i.e. opening the electricity markets and thedevelopment and establishment of a new regulatoryframework in the Republic of Croatia, were presentedin detail [1], [2] and [3]. In this context and environment,methodologies for tariff systems were adoptedand published, and it is necessary to determine thecorresponding tariffs for the transmission and distributionof electricity and production and supply ofelectricity with exceptions for eligible customers.Based upon the prevailing legislation, the CroatianEnergy Regulatory Agency (henceforth: the Agency)has the obligation and responsibility, after obtainingthe opinions of the energy to entities to whose activitiesthe tariff system is applied, and the Ministryof the Economy, Labor and Entrepreneurship(henceforth: the Ministry), to adopt methodologiesfor the tariff systems in the sector of electricity, i.e.the tariff systems without the amounts of the tariffitems, and this for 1) the generation of electricity,with the exception of eligible customers, 2) thesupply of electricity, with the exception of eligiblecustomers, 3) the transmission of electricity, 4) thedistribution of electricity, 5) the determination ofconnection fee to the transmission and distributionnetworks, and increasing the installed capacity, andvi) providing the services of balancing electricitywithin the electricity system.The previously cited methodologies must facilitatethe investment necessary for the development ofthe network and other requirements, pursuant tothe existing legislation.Based upon the prevailing legislation, the energyentities to whose activities the tariff system is ap-533Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

integralnog tarifnog sustava koji je bio na snaziviπe godina, razloga za njegovu promjenu, te opÊihznaËajki pristupa i kontekst regulatornih mehanizamatarifnih sustava u Republici Hrvatskoj koji sudoneseni i stupili na snagu u prosincu 2006. godine[4], [5], [6] i [7]. Naravno, kroz sve te sadræajeodraæava se i specifiËna pozicija i uloga hrvatskogenergetskog regulatornog tijela ∑ Agencije.Meappleutim, ogleda se i teæina problema konteksta,odnosno opsega i sadræaja regulacije energetskihdjelatnosti u sektoru elektriËne energije.Naime, nije naodmet ponoviti i Ëinjenicu da sepotreba za organizacijom Okruglog stola pojavila umomentu kada su u Republici Hrvatskoj donesenai stupila na snagu Ëetiri nova tarifna sustava, bezvisine tarifnih stavki, tj. metodologije za izraËunzasebnih tarifnih stavki za djelatnosti proizvodnje,prijenosa, distribucije i opskrbe elektriËnomenergijom. Iste su do sada bile komponente jedinstvenetarife za integrirani sustav djelatnostiproizvodnje, prijenosa, distribucije i opskrbe elektriËnomenergijom, odnosno svih usluga povezanihs opskrbom elektriËnom energijom krajnjih kupaca.Sukladno jasnoj zakonskoj obvezi razdvajanjanavedenih djelatnosti, izraæenih i kroz pristup spomenutimmetodologijama tarifnih sustava, u tijekusu poslovi vezani uz izraËun i donoπenje tarifnihstavki za navedene temeljne energetske djelatnosti.Primjenom spomenutih metodologija, odnosnodonoπenjem i stupanjem na snagu novih tarifnihstavki elektroenergetski sektor i elektroenergetskogospodarstvo Republike Hrvatske uÊi Êe u prvo regulatornorazdoblje.Stoga je i za regulatorno tijelo, za predstavnikereguliranih djelatnosti, jednako tako i za struËnujavnost od velike vaænosti i pomoÊi bilo raspravitineka pitanja i dileme iz predmetne problematike,i to upravo na skupu s predstavnicima raznih zainteresiranihstrana. Poglavito je bilo vaæno Ëutiiskustva i stavove relevantnih eksperata iz europskihregulatornih tijela i zemalja s viπegodiπnjimiskustvom u ekonomskoj regulaciji, bilo da se radio dugogodiπnjim Ëlanicama EU, ili zemljama kojesu tek nedavno postale Ëlanice EU. U uvodnomdijelu predstavnici Agencije i reguliranih subjekatau Republici Hrvatskoj detaljno su predstaviliulogu Agencije kao regulatornog tijela, odabranei primijenjene regulacijske pristupe i mehanizme,odnosno sadræaje i elemente metodologije tarifnihsustava koji su u Republici Hrvatskoj doneseniu prosincu 2006. godine za energetske djelatnostiprijenosa i distribucije elektriËne energijete proizvodnje i opskrbe elektriËnom energijoms iznimkom za povlaπtene kupce [8], [9] i [10].Okrugli stol pruæio je izvrsnu prigodu za usporedbui diskusiju hrvatskog zakonodavnog i regulatornogokruæja, odnosno regulacijskog pristupa i mehapliedsubmit a proposal for the amounts of the tariffitems to the Ministry, which after obtaining theopinion of the Agency proposes the amounts of thetariff items to the Government of the Republic ofCroatia. The Government of the Republic of Croatiadetermines the amounts of the tariff items. TheAgency supervises the application of the tariff itemsand all other compensation.At the Round Table Discussion, the context for thedetermination and content of the methodology ofthe tariff systems for the generation of electricitywas presented in detail, with an exception for favoredcustomers, as well as the supply of electricity,with an exception for favored customers, thetransmission of electricity and the distribution ofelectricity. A presentation follows of the valid integratedtariff system that was in force for manyyears, the reasons for changing it, and the generalcharacteristics of the approach and context of theregulatory mechanisms of the tariff system in theRepublic of Croatia that were adopted in December2006 and have gone into effect [4], [5], [6] and[7]. Naturally, the specific position and role of theCroatian Energy Regulatory Agency is reflected inall of this. However, the difficulty with the contextof the problem, i.e. the range and content of theregulations of the energy activities in the electricitysector, are also reflected.It is necessary to reiterate the fact that the needfor the organization of the Round Table Discussioncame at the moment when the Republic of Croatiahad adopted and placed into force four new tariffsystems, without specifying the amounts of thetariff items, i.e. the methodology for the calculationof the separate tariff items for the activitiesof the generation, transmission, distribution andsupply of electricity. Until now, they were componentsof a single tariff for the integrated systemof the activities of the generation, transmission,distribution and supply of electricity, i.e. all theservices connected with the supply of electricityto final customers. Pursuant to the clear legal obligationfor the separation of these activities, alsoexpressed through the approach of the previouslymentioned methodologies of the tariff system, workis in progress in connection with the calculationand adoption of the tariff items for these basic energyactivities. Through the application of the previouslymentioned methodologies, i.e. the adoptionand going into force of the new tariff items of theelectricity sector and the economy of the Republicof Croatia, a trial regulatory period will be entered.Therefore, for the regulatory agency, the representativesof the regulated entities, and the professionalpublic, it would be of great importance and benefitto discuss several questions and dilemmas regard-Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553534

nizma, ukljuËujuÊi i sadræaje i elemente metodologijetarifnih sustava, s odgovarajuÊim okruæjima,ulogama regulatornih tijela, odnosno pristupima,sadræajima i elementima regulacije i tarifnih sustavau Francuskoj, Austriji, Sloveniji i Maapplearskoji Hrvatske [11], [12], [13] i [14].Na slici 1 prikazan je tijek procesa restrukturiranjaelektroenergetskog sektora i træiπta elektriËneenergije, iz njegove vertikalno integrirane struktureu strukturu koja u svezi s træiπnim djelatnostimaproizvodnje elektriËne energije i opskrbe elektriËnomenergijom primarno podrazumijeva konkurentnookruæje i træiπnu utakmicu, a glede monopolnihmreænih infrastrukturnih sustava reguliranookruæje po principu reguliranog pristupa treÊe strane,dakle po tarifama i ostalim uvjetima pristupakoji su unaprijed utvrappleeni, razvidni i nepristrani.SpecifiËna struktura regulacije i tarifnih sustavauvjetovana je zakonom utvrappleenom obvezom javneusluge opskrbe elektriËnom energijom tarifnihkupaca. OËito je da Êe tu specifiËnu strukturu ubuduÊnosti znaËajno uvjetovati dinamika otvaranjatræiπta elektriËne energije, tj. brzina kojom Êe sesegment opskrbe i obveza prema tarifnim kupcimasmanjivati, a segment povlaπtenih kupaca rasti.ing these problems at a meeting with the representativesof various interested parties. It wouldbe especially important to hear about the experiencesand positions of the relevant experts fromthe European regulatory bodies and countries withmany years of experience in economic regulation,whether these countries that have been members ofthe EU for many years or have only recently becomemembers of the EU. In the introductory section,representatives of the Agency and the regulatedentities in the Republic of Croatia presented therole of the Agency in detail as a regulatory body,the chosen and applied regulatory approaches andmechanisms, i.e. the contents and elements of themethodologies of the tariff systems that were adoptedin the Republic of Croatia in December 2006 forthe energy activities of the generation of electricity,with an exception for favored customers, the supplyof electricity, with the exception of favored customers,the transmission of electricity and the distributionof electricity [8], [9] and [10]. The Round TableDiscussion provided an excellent opportunity for thecomparison and discussion of Croatian legislationand the regulatory environment, i.e. the regulatoryapproach and mechanisms, including the contentsand elements of the methodology of the tariff systems,with the corresponding environments, roles ofthe regulatory bodies, i.e. the approaches, contentsand elements of the regulations and tariff systemsin France, Austria, Slovenia, Hungary and Croatia[11], [12], [13] and [14].In Figure 1, the process of the reconstruction of theelectricity sector and the electricity market is presented,from its vertically integrated structure in astructure that in connection with the market activitiesof the generation of electricity and the supplyof electricity is primarily understood to mean thecompetitive environment and market competition,and regarding the monopolistic network infrastructuresystems, the regulated environment accordingto the principle of the third party acces accordingto tariffs and other conditions of access that havebeen determined in advance, and are transparentand nondiscriminatory. The specific structure of theregulatory and tariff systems was conditioned by thelegally established public service obligation of thesupply of electricity to tariff customers. It is evidentthat this specific structure will significantly affectthe dynamics of the opening of the electricity marketin the future, i.e. the speed at which the supplysegment and the obligation toward tariff customerswill be reduced and the segment of privileged customerswill grow.535Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

Slika 1Restrukturiranjeelektroenergetskogsektora i tarifni sustaviu HrvatskojFigure 1Restructuring of theelectrical energy sectorand the tariff systemsin CroatiaVertikalnointegrirani EES /Verticallyintegrated EESProizvodnja /GenerationPrijenos /TransmissionReguliranedjelatnosti /RegulatedactivitiesProizvodnja /GenerationPrijenos /TransmissionProizvodnja /GenerationTržišne djelatnosti / Market activitiesTrgovanje, posredovanje,zastupanje / Marketing,brokerage, representationProizvodnja /GenerationProizvodnja /GenerationDistribucija /DistributionOpskrba /SupplyDistribucija /DistributionOpskrba /SupplyTrgovanje, posredovanje,zastupanje / Marketing,brokerage, representationOpskrba /SupplyOpskrba /SupplyOpskrba /SupplyKupci /CustomersTarifni kupci /Tariff customers Povlašteni kupci /Privileged customersS druge strane izloæena struktura ukazuje na toda je realno oËekivati brze promjene konteksta,ali i sadræaja regulacije. Nije beznaËajno ukazatii na dvojnost, bolje reËeno sloæenost regulatornogsadræaja koji s jedne strane proizlazi iz potrebe dase definiraju sadræaji i razraappleuju specifiËni elementiekonomske regulacije za segment tzv. prirodnihmonopolnih djelatnosti prijenosa i distribucijeelektriËne energije, koje su u pravilu svugdjeujedno i regulirane djelatnosti, a s druge strane izpotrebe da se, premda ipak privremeno i do potpunogotvaranja træiπta elektriËne energije, razvijui uvedu regulacijski mehanizmi za træiπne djelatnostiproizvodnje i opskrbe elektriËnom energijom.Træiπne djelatnosti opÊenito i opÊeprihvaÊeno trebajubiti izloæene konkurenciji. To samo svjedoËio teæini zadatka i izazova s kojima se suoËavaregulatorno tijelo, ali i regulirani subjekti, kada jeproizvodnju i opskrbu potrebno prevesti iz stanjamonopola u stanje konkurencije.Na slici 2 prikazana je osnovna struktura, odnosnosadræaji novih tarifnih sustava kako ih definira novizakonodavni okvir u Republici Hrvatskoj.On the other hand, the presented structure indicatesthat it is realistic to anticipate rapid changesin the context as well as the contents of regulation.It is necessary to mention the duality, better to saythe complexity, of the regulatory content that fromthe one side issues from the need to define thecontents and work out the specific elements of theeconomic regulation of this segment, the so-callednaturally monopolistic activities of the transmissionand distribution of electricity, which as a rule arealso regulated activities everywhere; and from theother side the need for, albeit temporarily and untilthe complete opening of the electricity market,the development and introduction of the regulatorymechanisms for the market activities of the generationand supply of electricity. Market activitiesshould generally be exposed to competition. Thisonly testifies to the difficulty of the task and thechallenges confronting the regulatory agency, butalso the regulated entities, when generation andsupply must be changed from a state of monopolyto a state of competition.In Figure 2, the basic structure, i.e. content, ofthe new tariff systems is presented as defined bythe new legislative framework in the Republic ofCroatia.Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553536

Tarifni sustav /Tariff systemSlika 2Osnovna struktura isadræaj novih tarifnihsustavaFigure 2The basic structureand content of the newtariff systemsOdreappleivanje metode regulacije /Determination of the regulatory methodOdreappleivanje tarifnih stavki /Determination of tariff itemsUtvrappleivanje i kontrola troškova /Determination and control of costsPridjeljivanje troškova kupcima /Allocation of costs to customersKljuËni moment ili sadræaj regulacijskog procesa ukojem se definira pristup novom tarifnom sustavuje izbor osnovnog pristupa metodi regulacije (slika3).The crucial moment or content of the regulatoryprocess in which the access to the new tariff systemis defined is the selection of the basic approach tothe method of regulation (Figure 3).Troškovi poslovanja(operativni troškovi) /Operational costsUTP = T pos + T kapUkupni troškovi poslovanja /Total operational costsT kap = A + PR imTroškovi kapitala /Capital expendituresSlika 3Izbor, sadræaj imehanizam regulacijeu novim tarifnimsustavimaFigure 3The selection, contentand mechanism ofregulation in the newtariff systemsAmortizacija regulirane imovine /Depreciation of regulated assetsPovrat od regulirane imovine /Return on regulated assetsPR im = RI x PRTKRegulirana imovina ∑ dugotrajnamaterijalna i nematerijalnaimovina te trajna obrtna sredstva /Regulated assets ∑ fixed tangibleand intangible assets andlong-term current assetsPonderirani prosjeËni troškovikapitala (%) / Weighted averagecost of capital (%)OcjenjujuÊi realnim i razumnim da se na poËetkuprvog regulatornog razdoblja, dakle kada se poprvi put izlazi iz dugogodiπnje integrirane tarifnestrukture i jedinstvenih tarifnih stavki za sve energetskedjelatnosti u sektoru elektriËne energijei prelazi na odvojene pristupe i zasebne tarifnestavke za svaku od tih djelatnosti, odabere πtojednostavniji, lakπe primjenjiv i provedivi pristupi mehanizam, odabrana je opÊe poznata metodapriznatih troπkova poslovanja, pri Ëemu se regulacijazapravo temelji i veæe za kriterij stope povratauloæenog kapitala (eng. Cost Plus ili Rate-of ReturnRegulation). Dakle, slijedilo se odgovarajuÊeiskustvo i praksu viπe europskih zemalja i njihovihregulatornih tijela, koja su u poËetku procesauvodila jednostavne regulacijske mehanizme, aAt the beginning of the first regulatory period, i.e.when for the first time the integrated tariff structureand single tariff items for all the energy activities inthe power system will be replaced in transition toseparate approaches and separate tariff items foreach of these activities, it is realistic and reasonableto choose the simplest possible, easily applicableand feasible approach and mechanism. The generallyknown method of recognized costs of operations hasbeen chosen, so that the regulation is actually basedupon and connected with the criterion of the rate ofreturn on investments. Furthermore, the correspondingexperience and practice have been followed ofseveral European countries and their regulatoryagencies, which introduced simple regulatory mechanismsat the beginning of the process and then,537Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

zatim s vremenom, kako su svi sudionici procesastjecali odgovarajuÊa znanja i iskustva, uvodili svesloæenije mehanizme, da bi danas primjenjivalisloæene mehanizme poticajne regulacije, ali i vrlosloæene i zahtjevne procedure nadzora i kontrolesvakog segmenta tih mehanizama. Tako npr. Ëestosu u regulacijske mehanizme ukljuËeni nekiod makroekonomskih gospodarskih parametarai pokazatelja, koji traæe vrijeme za sloæenu i dugotrajnuanalizu i elaboraciju. U pravilu se pokazujeda nije niti jednostavno niti opravdano bezograde koristiti istovrsne pokazatelje primijenjeneu drugim zemljama, pa Ëak niti prenositi i koristitiistovrsne pokazatelje primijenjene u drugimgospodarskim sektorima iste zemlje. Pogotovo jeoprez nuæan kada su u pitanju razina i struktura,odnosno naËin utvrappleivanja odgovarajuÊih pokazateljatræiπnih rizika u svezi s ulaganjima, vlastitimkapitalom, dugovanjima i sliËno.Zakon utvrappleuje da se tarifni sustavi temelje naopravdanim troπkovima poslovanja, odræavanja,zamjene, izgradnje ili rekonstrukcije objekata izaπtite okoliπa, ukljuËujuÊi razuman rok povratasredstava od investicija u energetske objekte,ureappleaja i mreæa, odnosno sustava, te moraju bitinepristrani i razvidni. Ujedno, tarifni sustavi trebajupoticati mehanizme za poboljπanje energetskeuËinkovitosti i upravljanje potroπnjom, ukljuËujuÊii poveÊano koriπtenje obnovljivih izvora energije.Dakle, kod odabira temeljnog pristupa regulacijebilo je nuæno voditi raËuna da prihod ostvarenprimjenom novih tarifnih stavki treba pokriti svepriznate ukupne troπkove poslovanja, dakle priznateoperativne troπkove i troπkove kapitala, od kojihtroπkove kapitala Ëine amortizacija regulirane imovinei povrat od regulirane imovine.U hrvatskoj literaturi Ëesto se mijeπaju dva razliËitapojma:∑∑kapitalni troπkovi (CAPEX, Capital Expenditures),troπak kapitala (CC, Cost of Capital, odnosnoWACC, Weighted Average CC).Reguliranom energetskom subjektu u opÊemsluËaju treba omoguÊiti nadoknadu svih (priznatih)operativnih troπkova, amortizacije, te troπkovakoje potraæuju vlasnici financijskog kapitala, a tosu:∑ kamate i prinosi emitiranih korporacijskihobveznica,∑ oportunitetni troπak vlasnika dioniËarskogkapitala.with time, when all the participants in the processhad acquired the appropriate knowledge and experience,introduced progressively complex mechanismsin order to apply more complex mechanisms and incentiveregulation today, but also highly complex anddemanding procedures for the supervision and controlof each segment of these mechanisms. Thus, forexample, regulatory mechanisms frequently includedsome of the macroeconomic parameters and indices,which require time for complex and lengthy analysisand elaboration. As a rule, it has been shown thatit is neither simple nor justifiable to use the sametypes of indices applied in other countries withoutlimitation, or even to transfer and use the same typesof indices applied in the other economic sectors ofthe same country. Caution is particularly necessarywhen the level and structure are in question, i.e. themanner of determining the corresponding indices ofmarket risks in connection with investments, equitycapital, debts etc.The law establishes that the tariff systems are basedupon the justified costs of the operations, maintenance,replacement, construction or reconstructionof facilities and environmental protection, includinga reasonable period for the return of investmentsin energy facilities, equipment and networks, i.e.the systems, and must be nondiscriminatory andtransparent. At the same time, tariff systems mustpromote mechanisms for the improvement of energyefficiency and the management of consumption,including the increased use of renewable energysources. Therefore, in the selection of the basic approachto regulation, it was necessary to take intoaccount that the income generated through the applicationof the new tariff items should cover all theknown overall operational costs, i.e. the recognizedoperational costs and capital expenditures, whichconsist of the depreciation of the regulated propertyand the return from the regulated property.In the Croatian literature, two different conceptsare often confused:∑∑capital expenditures (CAPEX),cost of capital (CC, Cost of Capital, or WACC,Weighted Average CC).Through the regulation of an energy entity in thegeneral case, it is necessary to facilitate compensationfor all (recognized) operative costs, depreciationand expenditures claimed by the owners ofcapital, as follows:∑∑interest and the income from corporate bondsissued,opportunity costs for stockholders.Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553538

Stopa povrata koja omoguÊuje naknadu troπkovaiz navedene dvije kategorije zove se ponderiraniprosjeËni troπak kapitala (WACC).Po odabranom pristupu i metodi regulacije,odreappleivanje visine tarifnih stavki za buduÊu regulacijskugodinu zasniva se na sljedeÊim troπkovima:a) priznatim ostvarenim troπkovima poslovanja izprethodne regulacijske godine,b) ostvarenim i procijenjenim troπkovima poslovanjaza sadaπnju regulacijsku godinu, tec) prihvaÊenim planskim vrijednostima troπkova zarazmatranu buduÊu regulacijsku godinu.U reguliranu imovinu, temeljem koje se primjenomodgovarajuÊe priznate stope ponderiranogprosjeËnog troπka kapitala raËuna povrat ili prinosod regulirane imovine, Ëine dugotrajna materijalnai nematerijalna imovina te trajna obrtna sredstva.Izloæena osnovna struktura ili pristup primjenjujese na sve djelatnosti: proizvodnju, prijenos, distribucijui opskrbu elektriËnom energijom.SpecifiËna temeljna struktura i osnovne stavketroπkova poslovanja u svezi s proizvodnjom elektriËneenergije prikazana je na slici 4, u svezis prijenosom elektriËne energije na slici 5, sodgovarajuÊom posebnom razradom potrebnihpodataka koja je prikazana na slici 6, u svezi s distribucijomelektriËne energije na slici 7, te u svezis opskrbom elektriËnom energijom na slici 8.The rate of return that makes compensation for costsfrom the two cited categories possible is known asthe weighted average cost of capital (WACC).According to the selected approach and method ofregulation, the determination of the level of the tariffitems for the subsequent regulated year is basedupon the following expenditures:a) the recognized realized costs of operations duringthe previous regulated year,b) the realized and estimated costs of operations forthe current regulated year, andc) the accepted planned values of expenditures forthe analyzed subsequent regulated year.For regulated property, according to which the correspondingrecognized rate of the weighted averagecost of capital is applied, the return or revenue iscalculated and consists of fixed tangible assets, intangibleassets and permanent current assets. Thebasic structure or approach presented is applied toall activities: the generation, transmission, distributionand supply of electricity.The specific fundamental structure and basic itemsof operational costs in connection with the generationof electricity are presented in Figure 4, inconnection with the transmission of electricity inFigure 5, with the corresponding separate processingof the necessary data presented in Figure 6, thedistribution of electricity in Figure 7 and in connectionwith the supply of electricity in Figure 8.Stalni troškovi /Fixed expenditures − ST posa) održavanje elektrana /power plant maintenanceb) razgradnja elektrana /dismantling of power plantsc) bruto plaÊe /gross salariesd) ostali troškovi osoblja /other personnel expenditurese) zajedniËke funkcije /joint functionsf) ostali troškovi /other expendituresTroškovi poslovanja /Operational costs − TP posa) Energetsko gorivo /Energy fuel− ugljen / coal− loživo ulje / heating oil− plin / gas− ostala goriva, materijalprerade i skladištenje /other fuels, materialprocessing and storagePromjenljivi troškovi /Variable expenditures− PT posb) Nabava elektriËne energije /Procurement of electricalenergy− TE Plomin d.o.o./ PlominTPP d.o.o.− NE Krško / Krško NPP− izvori temeljem ulaganjaizvan Hrvatske / sourcesbased upon investmentoutside Croatia− ostali uvoz / other imports− ostali domaÊi izvori / otherdomestic sourcesc) Naknade, koncesije iostali troškovi odreappleenizakonom /Charges, concessionsand other expendituresstipulated by lawSlika 4Tarifni sustav zaproizvodnju elektriËneenergije (strukturatroπkova)Figure 4The tariff systemfor the productionof electrical energy(the structure ofexpenditures)539Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

Slika 5Tarifni sustav zaprijenos elektriËneenergije (strukturatroπkova)Figure 5The tariff systemfor the transmissionof electrical energy(the structure ofexpenditures)Troškovi poslovanja /Operational costs − TP pos− primarna regulacija / primary regulationa) održavanje mreže / network maintenance− sekundarna regulacija / secondary regulationb) pokriÊe gubitaka / coverage of losses− tercijarna regulacija / tertiary regulationc) nabava pomoÊnih usluga /− proizvodnja jalove energije / generation of reactive powerprocurement of auxiliary services− beznaponski (crni) start / black startd) pokrivanje dopuštenih odstupanja− sposobnost otoËnog rada / possibility of island operationod rasporeda / coverage of permitted− rad elektrane na vlastiti pogon /discrepancies from the scheduleindependent power plant operatione) bruto plaÊe / gross salariesf) ostali troškovi osoblja / other personnel expendituresg) ostali troškovi poslovanja / other operational costs• promjene u realizaciji plana /changes in the implementation of the plan− proizvodnje / generation− potrošnje / consumption− prekograniËne razmjene / cross-border exchangesSlika 6Tarifni sustav zaprijenos elektriËneenergije (strukturapotrebnih podataka)Figure 6The tariff systemfor the transmissionof electrical energy(the structure of therequired data)Troškovi pokriÊagubitaka / Expendituresto cover losses• Iznos / Amount• KoliËina /Quantity• Cijena / PriceTroškovi održavanjamreže / Networkmaintenance costs• Održavanje mreže visokog napona /Maintenance of high voltage network• Održavanje mreže srednjeg napona /Maintenance of medium voltage network• Održavanje mreže niskog napona /Maintenance of low voltage networkTroškovi poslovanja /Operational costsTroškovi brutoplaÊa / Gross salaryexpenditures• Bruto plaÊe / Gross salaries• Doprinosi na bruto plaÊe /Contributions to gross salariesOstali troškoviosoblja / Other personnelexpenditures• Materijalna prava / Substantive rights• Troškovi prijevoza na rad /Costs for transportation to work• Naknade ostalih troškova /Compensation for other expendituresOstali troškoviposlovanja / Otheroperational costs• Vrijednosno usklaappleenje kratkoroËne imovine/ Value coordination of current assets• Troškovi obraËuna i naknade za korištenjemreže / Accounting costs and charges fornetwork use• Troškovi zajedniËkih funkcija / Expendituresfor joint functions• Ostali troškovi poslovanja / Otheroperational costs• Izvanredni rashodi / ContingencyexpendituresSlika 7Tarifni sustav zadistribuciju elektriËneenergije (strukturatroπkova)Figure 7The tariff system for thedistribution of electricalenergy (the structure ofexpenditures)Troškovi poslovanja /Operational costs − TP posa) održavanje mreže / network maintenanceb) pokriÊe gubitaka / coverage of lossc) nabava pomoÊih usluga / procurement of auxiliary servicesd) bruto plaÊe / gross salariese) ostali troškovi osoblja / other personnel expendituresf) ostali troškovi poslovanja / other operational costsKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553540

Troškovi poslovanja /Operational costs − TP posa) bruto plaÊe / gross salariesb) ostali troškovi osoblja / other personnel expendituresc) obraËun i naplata / accounting and billingd) bankarski troškovi i platni promet /banking costs and monetary transactionse) ostali troškovi poslovanja / other operational costsf) troškovi zajedniËkih funkcija HEP d.d. i HEP ODS d.o.o. /expenditures of the joint functions of HEP d.d.and the HEP System Distribution Operator d.o.o.Slika 8Tarifni sustav za opskrbuelektriËnom energijom(struktura troπkova)Figure 8The tariff system forthe supply of electricalenergy (the structure ofexpenditures)Glede prijenosa elektriËne energije, bolje reËenoHEP Operatora prijenosnog sustava problematikupristupa regulaciji, odnosno tarifnom sustavu joπsloæenijima Ëine i sljedeÊa pitanja, odnosno probleminovog okruæja, kao πto su:∑ poslovanje HEP Operatora prijenosnog sustavana otvorenom træiπtu,∑ naËin utvrappleivanja i tretmana troπkova nastalihzbog prekograniËnih tranzita elektriËneenergije,∑ potreba da se u kratkom vremenu razraditrogodiπnji plan razvoja i izgradnje u novomokruæju i po novoj metodologiji (problem okvirai temeljnih odrednica za donoπenje planau znatno restrukturiranom okruæju u koji seuvode træiπni odnosi, stvaraju pretpostavkeza regulirani pristup treÊih strana mreæama iuslugama sustava, ulaze novi sudionici, stvaranovo poticajno okruæje za veÊe koriπtenjeobnovljivih izvora energije, jednom rijeËju mijenjajudosadaπnji tradicionalni odnosi i strukturaodgovornosti),∑ kako napraviti djelotvornu analizu osjetljivosticijene za koriπtenje prijenosne mreæe, kojasada postaje zasebna stavka,∑ kako osigurati pomoÊne usluge sustava i narazvidan i pravedan naËin pridijeliti ih korisnicimai naplatiti,∑ kako obuhvatiti i na djelotvoran naËin analiziratiutjecaj vjetroelektrana i drugih postrojenjakoja koriste obnovljive izvore energije napogonske parametre mreæe, ali i na troπkovekoriπtenja prijenosne mreæe,∑ kako ustanoviti djelotvoran mehanizam proraËunatroπkova upravljanja zaguπenjimamreæe,∑ da li ustanoviti odvojeno raËunovodstvo i kako,itd.Glede distribucije elektriËne energije, bolje reËenoHEP Operatora distribucijskog sustava problematikupristupa regulaciji i tarifnom sustavu dodatnoprati problematika nestandardnih usluga: njihovaRegarding the transmission of electricity, better to saythe HEP Transmission System Operator, the problemof the approach to regulation, i.e. the tariff system,is further complicated by questions and problems ofthe new environment, including the following:∑ the operations of the HEP Transmission SystemOperator on the open market,∑ the manner of the determination and treatmentof costs occurring due to the cross-border transitof electricity,∑ the necessity of preparing a three-year developmentand construction plan in a short time withinthe new environment and according to newmethodology (the problem of the frameworkand fundamental determinants for the adoptionof the plan in the significantly restructuredenvironment into which market relations arebeing introduced, creating the prerequisitesfor the regulated access of third parties to thesystem networks and services, the entry of newparticipants, the creation of a new incentive environmentfor the increased use of renewableenergy sources, i.e. the traditional relationshipsand structure of responsibilities are changing),∑ how to prepare an effective analysis of price sensitivityfor the use of the transmission network,which presently represents a separate item,∑ how to secure auxiliary system services, allocatethem to users and charge for them in a transparentand fair manner,∑ how to include and efficiently analyze theimpact of wind power plants and other facilitiesthat use renewable energy sources on thenetwork operating parameters, but also on thecosts of using the transmission network,∑ how to establish an efficient mechanism forcalculating the costs of the management ofnetwork congestion,∑ whether and how to establish separate accountingetc.Regarding the distribution of electricity, better to saythe HEP Distribution System Operator, the problem of541Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

knjigovodstvenog praÊenja po izdvojenim kontimai njihova odvajanja od standardnih usluga kodpraÊenja troπkova. Problem je i rasporeda troπkovaprema njihovoj vrsti te utvrappleivanja elemenata zaproraËun povrata na reguliranu imovinu.Tijek procesa utvrappleivanja i predlaganja visine tarifnihstavki prikazan je na slici 9.Prethodna godina je godina koja prethodi godiniza koju se donose tarifne stavke za odgovarajuÊuenergetsku djelatnost, a za koju su revidirani iobjavljeni financijski podaci, poznat ukupni prihodprimjenom vrijedeÊih tarifnih stavki i poznatiostvareni ukupni troπkovi poslovanja. Sadaπnja regulacijskagodina je tekuÊa godina u kojoj se podnosiprijedlog promjene visine tarifnih stavki zabuduÊu regulacijsku godinu. Prijedlog promjenevisine tarifnih stavki za odgovarajuÊu energetskudjelatnost podnosi energetski subjekt na koji sete tarifne stavke odnose. Energetski subjekt duæanje uz prijedlog za promjenu visine tarifnih stavkidostaviti sve podatke potrebne za utvrappleivanjetroπkova poslovanja, posebno financijsko izvjeπÊeza prethodnu regulacijsku godinu potvrappleeno odovlaπtenog neovisnog revizora te plan poslovanjai plan razvoja i izgradnje (za sadaπnju i buduÊuregulacijsku godinu). Navedeni dokumenti morajubiti potpisani od ovlaπtene osobe energetskogsubjekta i ovjereni peËatom tvrtke. Na zahtjev Ministarstvaili Agencije energetski subjekt duæan jedostaviti i druge podatke potrebne za utvrappleivanjepromjene visine tarifnih stavki te omoguÊiti uvid upripadnu dokumentaciju. Prijedlog promjene visinetarifnih stavki za buduÊu regulacijsku godinuenergetski subjekt duæan je dostaviti u sadaπnjojregulacijskoj godini, a nakon πto za nju budu potheapproach to the regulation and tariff system is additionallyaccompanied by the problem of nonstandardservices; bookkeeping records according to separateaccounts and their separation from “standard”services in monitoring expenditures. There is also theproblem of the distribution of expenditures accordingto their type and the determination of the elementsfor the calculation of returns on regulated property.The process for the determination and proposal of theamounts of the tariff items is presented in Figure 9.Slika 9Novi tarifni sustavi(proces predlaganjavisine tarifnih stavki)Figure 9New tariff systems (theprocess of proposing theamounts of tariff items)Prethodna regulacijskagodina / Previousregulated yearSadašnja regulacijskagodina / Currentregulated yearBuduÊa regulacijskagodina / Futureregulated yearUP (o) − UTP (o) = ΔTP pretUP (p) ≤ UTP (p) − ΔTP pretOstvareni prihod primjenomtarifnih stavki / Revenue fromthe application of tariff itemsPriznati ostvareni ukupnitroškovi poslovanja /Recognized totaloperational costsPlanirani prihod primjenombuduÊih tarifnih stavki /Planned revenues from theapplication of future tariff itemsPlanirani ukupni troškoviposlovanja / Plannedtotal operational costsThe previous year is the year that precedes the yearfor which tariff items are adopted for the correspondingenergy activity, and for which the financial dataare revised and published: the known total revenuethrough the application of the valid tariff items andthe known realized total operational costs. The currentregulatory year is the current year in which a proposalis submitted for changing the amount of tariffitems for the subsequent regulatory year. A proposalfor a change in the amount of tariff items for the correspondingenergy activity is submitted by an energyentity to which the tariff items apply. Together withthe proposal for the change in the amount of tariffitems, the energy entity is required to submit all datanecessary for the determination of the operationalcosts, especially the financial report for the previousregulatory year audited by an authorized independentauditor, a plan of operations, and a plan of developmentand construction (for the current and futureregulatory years). These documents must be signedby the authorized person of the energy entity andstamped with the company seal. At the request ofthe Ministry or Agency, the energy entity is requiredto submit other data necessary for determining thechanges in the amounts of tariff items and facilitatethe inspection of the corresponding documentation.A proposal for changes in the amount of tariff itemsfor the subsequent regulatory year must be submit-Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553542

znati polugodiπnji ukupni troπkovi poslovanja. IkonaËno, energetski subjekt duæan je predloæitipromjenu visine tarifnih stavki uz uvjet da oËekivaniprihod u buduÊoj regulacijskoj godini, izraËunatprema odgovarajuÊem tarifnog sustava, ne prelaziprihvaÊene planirane ukupne troπkove poslovanja,korigirane za eventualna opravdana ili odobrenaodstupanja.Pored prethodnog bitno je istaÊi da su utvrappleene isljedeÊe obveze energetskih subjekata:∑ rok za usklaappleivanje poslovanja s odredbamatarifnog sustava je πest mjeseci,∑ obveza dostavljanja podataka, posebno planaposlovanja te plan razvoja i izgradnje, odnosnotrogodiπnjeg plana razvoja i izgradnje, kojegsubjekt donosi uz suglasnost Agencije, i to:· do 31. 5. sadaπnje regulacijske godine ∑financijska izvjeπÊa za prethodnu regulacijskugodinu potvrappleena od ovlaπtenogneovisnog revizora,· do 30.11. sadaπnje regulacijske godine -planovi poslovanja.4 ZAKLJU»CI OKRUGLOGSTOLA O ULOZIREGULATORNOG TIJELAU DONO©ENJU TARIFNIHSUSTAVANakon svih prezentacija i rasprava u kojima susudjelovali predstavnici regulatornih tijela iz Francuske,Austrije, Slovenije, Maapplearske i Hrvatske,te predstavnici Hrvatske elektroprivrede d.d.,odnosno predstavnici energetskih subjekta u RepubliciHrvatskoj za koje se donose i primjenjujuodgovarajuÊi tarifni sustavi, utvrappleeni su zakljuËciOkruglog stola. Ti zakljuËci su bili kako slijedi:1) Okrugli stol uspjeπno je organiziran i provedeni u potpunosti je opravdao razloge organiziranja,ponudivπi niz odgovora na vaæna pitanja i dilemeglede pristupa, sadræaja i forme regulacije,provedbenih procedura i metodologija regulacije,metodologija tarifnih sustava i strukture samihtarifnih stavki. Naravno, sudionici nisu propustilinaglasiti i pojasniti niz provedbenih ili proceduralnih,dakle pojavnih i praktiËnih problema s kojimase susreÊu regulatorna tijela i regulirani energetskisubjekti, naroËito oni koji su nositelji monopolnihdjelatnosti i obveza javnih usluga.2) PredavaËi su sudionike Okruglog stola uveliu predmetnu problematiku i ukazali im na opÊuprisutnost sliËnih pitanja i dilema u svim zemljatedby an energy entity during the current regulatoryyear, and after it knows the total operational costs forthe first half of the year. Finally, the energy entity isrequired to propose a change in the amount of tariffitems under the condition that the anticipated revenuein the subsequent regulatory year, calculatedaccording to the corresponding tariff system, doesnot exceed the accepted planned total operationalcosts, corrected for eventual justified or authorizeddiscrepancies.In addition to the above, it is essential to emphasizethat the following obligations of energy entitieshave also been determined:∑∑the deadline for the coordination of operations withthe provisions of the tariff system is six months,the obligation for the submission of data, especiallya plan of operations and a plan for developmentand construction, i.e. a three-year plan fordevelopment and construction, that the subjectadopts with the approval of the Agency, as follows:· by May 31 of the current regulatory year ∑financial reports for the previous regulatoryyear that have been audited by an authorizedindependent auditor, and· by November 30 of the current regulatoryyear ∑ operational plans.4 CONCLUSIONS OF THE ROUNDTABLE DISCUSSION ON THEROLE OF THE REGULATORYBODY IN THE ADOPTION OFNEW TARIFF SYSTEMSFollowing all the presentations and discussions in whichthe participants were the representatives of the regulatoryagencies of France, Austria, Slovenia, Hungaryand Croatia; representatives of Hrvatska elektroprivredad.d., and representatives of the energy entities inthe Republic of Croatia for whom the correspondingtariff systems are being adopted and applied, conclusionswere reached by the Round Table, as follows:1) The Round Table was organized and conductedsuccessfully. It fully justified the reasons for which itwas held, providing a range of answers to importantissues and dilemmas related to the approach, regulatorycontents and form, implemented procedures,regulatory methodology, tariff system methodologyand the structure of the tariff items themselves. Theparticipants emphasized and explained a range ofimplementational or procedural issues, i.e. actualand practical issues that the regulatory agencies andregulated entities encounter, especially those withmonopolies and public service obligations.543Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

ma, kod svih regulatornih tijela i svih reguliranihenergetskih subjekata. Naravno, u zemljama u kojimasu odgovarajuÊa energetska regulatorna tijelaosnovana tek nedavno, u kojima odreappleeni procesirestrukturiranja i novog organiziranja elektroenergetskogsektora nisu u potpunosti dovrπeni, ukojima je proces otvaranja træiπta elektriËne energijei uvoappleenje konkurencije tek u poËetnoj fazi, ikonaËno u kojima odgovarajuÊe makroekonomskepokazatelje i utjecajne regulatorne parametre nijenimalo lako i jednostavno utvrditi, puno je veÊibroj i pitanja i dilema. Oblik prenoπenja znanja isteËenih iskustava, kakav je uostalom ponudio iovaj Okrugli stol, ukazuje na nuænost i potrebu organizacijeistih ili sliËnih formi i sadræaja rada nanacionalnoj, regionalnoj, pa i πiroj meappleunarodnojrazini, bilo da se radi o okruglim stolovima, radionicama,seminarima ili konferencijama.3) Okrugli stol naglasio je da je bez obzira na razliËitaiskustva i dinamiku procesa, i bez obzirana opÊi zakonodavni i gospodarski sustav iz kojegdolazi, odgovarajuÊi vrijedeÊi zakonodavni okvir usvakoj dræavi mora osigurati uvjete za nezavisan,nepristran i razvidan rad energetskog regulatornogtijela. Unutar toga zakonodavnog okvira nadleænodræavno tijelo i regulatorno tijelo imaju obvezu iduænost izgraditi i primijeniti utemeljene, realne,razvidne i lako provedive mehanizme i metodologijeregulacije, odnosno metodologije tarifnih sustava.O raznim oblicima ili sadræajima, politiËkimi gospodarskim utjecajima nuæno je voditi raËunautoliko πto su oni stalno prisutni, πto su izrazi raznihnacionalnih strategija ili interesa, dakle predstavljanjuvaæan element realnog okruæja u kojemse odvija æivot i rad regulatornog tijela i reguliranihenergetskih subjekata, i u kojem se uspostavljatræiπte elektriËne energije.4) Okrugli stol naglasio je suπtinsku uvjetovanostproblema regulacije reguliranih energetskih djelatnosti,naroËito monopolnih mreænih sustavai javnih usluga dinamikom otvaranja i naËinomureappleenja træiπta elektriËne energije. Pravo pristupamreæama i pomoÊnim uslugama sustava prvo je unizu problema s kojima se treba susresti. Nemadvojbe da se pravo pristupa treba i mora ureditiunaprijed kroz odgovarajuÊa mreæna pravila itehniËke uvjete, ali da bi se moglo ostvarivati unepristranom, razvidno i nediskriminirajuÊemokruæju, nuæno je unaprijed utvrditi i objaviti itehniËke i ekonomske uvjete prikljuËka i naknadeza koriπtenja prijenosne i distribucijske mreæe, teuvjete i naknade za koriπtenje pomoÊnih uslugasustava, naravno u sluËaju da su iste obuhvaÊeneodgovarajuÊim regulatornim okvirom.5) Okrugli stol jasno je pokazao prednost u iskustvui rjeπenjima regulatornih tijela, odnosno2) The lecturers introduced the issues to the RoundTable Discussion participants and called attentionto the general presence of similar questions and dilemmasin all the countries, regulatory agencies andregulated electrical power entities. Naturally, thereare many more questions and dilemmas in countrieswhere the energy regulatory agencies have only beenrecently established and certain processes of the restructuringand reorganizing of the electricity sectorhave not been fully completed, where the processesof opening the electricity market and the introducingof competition are in the initial phases and, finally,where the corresponding macro-economic indicesand influential regulatory parameters are not easyto determine. The form of the transfer of knowledgeand acquired experience, as provided at this RoundTable Discussion, indicates the necessity for organizingsimilar events at the national, regional and eveninternational levels, in the form of round table discussions,workshops, seminars or conferences.3) The Round Table Discussion emphasized that,regardless of differences in experiences and processdynamics, and regardless of the general legal andeconomic system, the appropriate valid and transparentlegal framework in each country must provideconditions for the independent, nondiscriminatoryand transparent operation of the energy regulatoryagency. Within this legal framework, the authorizedgovernment agency and regulatory agency have theobligation and duty to build and implement wellfounded,realistic, transparent and feasible regulatorymechanisms and tariff system methodologies. It isnecessary to take the various forms and contents ofthe prevailing political and economic influences intoaccount, which are expressions of various nationalstrategies or interests, i.e. they represent an importantelement of the actual environment in which theregulatory agency and the regulated electrical powerentities function, and in which the electricity marketis established.4) The Round Table Discussion highlighted an essentialcorrelation among the issues of the regulationof regulated activities, especially monopolistic networksystems and public services, in the dynamics ofthe opening of electricity markets and the manner oftheir organization. The right to access the networksand auxiliary services of the system is the first in aseries of issues that must be addressed. There isno doubt that the right to access must be definedin advance through appropriate network rules andtechnical conditions. In order for this right to beexercised in an nondiscriminatory, transparent andnon-discriminatory environment, it is necessary topredetermine and publish the technical and economicprerequisites for electricity connections, chargesfor using the transmission and distribution networks,and the conditions and charges for the use of theKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553544

dræava i njihovih odgovarajuÊih energetskih sektorai gospodarskih subjekata, koji su u spomenuteprocese i problematiku uπli ranije. S druge strane,prednost zemalja, njihovih energetskih sustava igospodarstava, dakako i njihovih regulatornih tijela,koji su procese otvaranja træiπta elektriËne energijei uvoappleenja novih oblika regulacije zapoËeli teknedavno, da mogu koristiti odgovarajuÊa iskustvazemalja u kojima su træiπta elektriËne energije uspostavljenai razvijena ranije, i kojima je regulacijauπla u viπe faze i razdoblja primjene, pri tom neponavljajuÊi njihove zablude i kriva rjeπenja.6) U pogledu regulacije energetskih djelatnostiprednost je dræava i ekonomija, ukljuËujuÊii energetski sektor, koji imaju dobro praÊenje iizvjeπtavanje o adekvatnim makroekonomskimgospodarskim parametrima, kao πto su interesne,odnosno kamatne stope na vlastiti kapitali zaduæenja, stope inflacije, premije na træiπnerizike, prinose od riziËnih i neriziËnih ulaganja,pokazatelje u svezi s prinosom dionica, premijeza træiπni rizik vlastitog kapitala itd. JednoznaËniprijenos i primjena navedenih parametara iz jednognacionalnog u drugi nacionalni energetskigospodarski sustav ili regulatorni okvir vrlo je dvojbeni prati ga niz pitanja i dvojbi. Tim viπe πtone samo da nema jednoznaËnih kriterija, nego sui vrlo razliËiti pristupi utvrappleivanju osnovica, npr.vrijednosti imovine i regulatorne osnovice, na kojese navedeni parametri primjenjuju. U tom kontekstui ciljani financijski pokazatelji, kao πto jeto npr. stopa povrata na imovinu ili pak garantiranivremenski rok povrata uloæenih sredstava, uposljednje vrijeme sve ËeπÊe postaju predmetompreispitivanja, nerijetko Ëak i vaæno politiËko pitanjena nacionalnoj razini. Naime, s navedenimpitanjima usko su povezani problemi novih investicijai ulaganja u elektroenergetske sustave, alii pitanja profita iz energetskih djelatnosti. Svakiod navedenih ekonomskih veliËina i parametaradakako ima svoj odraz u odgovarajuÊem utjecajuna ekonomiËnost poslovanja energetskog subjektai njegovu sposobnost da se dalje razvija.U okviru diskusije konstatirano je da bi bilo dobroi pragmatiËno da prve razvojne faze ekonomske regulacijeprate i relativno jednostavne regulacijskesheme tipa cost plus ili povrata sredstava, da binakon stjecanja odreappleenih iskustava i znanja uslijediorazvoj puno sloæenijih shema koje ukljuËujukombinacije tehniËkih i ekonomskih inicijativakoje kroz dugoroËni period trebaju osigurati sigurnoi stabilno financiranje rada i adekvatni razvojreguliranih energetskih subjekta, naroËito velikihmreænih infrastrukturnih sustava za prijenos i distribucijuelektriËne energije. OpÊi konaËni cilj jedakako sigurna opskrba elektriËnom energijom porealnoj, odnosno opravdanoj cijeni.auxiliary system services in the event that these arecovered by the corresponding regulatory framework.5) The Round Table Discussion clearly demonstratedthe superiority of the experience and solutions of theregulatory bodies, countries, energy sectors and economicentities which had addressed these processesand problems earlier. On the other hand, the countries,energy systems, economies and certainly regulatoryagencies that have only begun the processesof opening the electricity markets and introducingnew forms of regulations have the advantage of beingable to utilize the experiences and avoid repeatingthe past errors and inadequate solutions of the countriesin which the electricity markets have alreadybeen established and developed, and in which regulationshave entered advanced phases and periods ofapplication.6) In the regulation of energy activities, the governmentsand economies, including the energy sectors,that have good tracking and reporting of macroeconomicparameters such as interest rates on equityand debt, inflation rates, market risk premiums,yields from high-risk and low-risk investments, indicesin connection with stock market yields, equityriskpremiums etc. are at an advantage. The directtransfer and application of these parameters fromone national power system or regulatory frameworkto another is not practicable because a numberof issues and dilemmas are involved. This is evenmore the case because there are no uniform criteria.Instead, there are highly varied approaches for thedetermination of the bases, for example the assetvaluebase and regulatory base to which the givenparameters are applied.In this context, the target financial indices such asthe rate of return on assets or the guaranteed periodof return on investment have lately become subjectedto increasing scrutiny and are frequently animportant political issue at the national level. Closelyrelated to these issues are the problems of new investmentsin power systems, as well as the questionof profit from electricity activities. Each of theseeconomic measurements and parameters certainlyinfluence the cost-effectiveness of the operations ofentities and their ability to continue to develop.Within the framework of the discussion, it was concludedthat it would be good and pragmatic for thefirst development phases of economic regulationto accompany relatively simple regulation schemesof the “cost plus” or “return on assets” type. Afterexperience and knowledge are acquired, this shouldbe followed by the development of more complexschemes that include a combination of technical andeconomic initiatives, which over the long run shouldassure the secure and stable financing of operations545Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

7) Regulatorna tijela imaju vaænu ulogu u procesuodobravanja i nadzora provedbe razvojnih planovareguliranih subjekata, tj. prijenosne i distribucijskemreæe i sustava, odnosno nadzornu ulogu upogledu kvalitete i sigurnosti usluga i funkcijakoje obavljaju ti energetski subjekti, ali i opskrbekrajnjih kupaca i korisnika u cjelini. Pristupi ipraksa u razliËitim zemljama razlikuju se.Ima primjera duboke ukljuËenosti i odgovornostiregulatornog tijela u svim fazama i elementimaplaniranja (odobravanje i nadzor provedbe planova),osiguranja sredstava kroz naknade i poticajneelemente tih naknada (kapitalni troπkovi, povratina kapital), te opÊeg procesa nadzora rada reguliranogenergetskog subjekta. S druge strane, ulogenekih regulatornih tijela u poËetku nisu podrazumijevalaobiljeæja duboke ukljuËenosti. Nadomjestakdubljem regulatornom nadzoru bili su opÊipristupi po kojim su npr. planirane investicije izrazvojnih planova i planova izgradnje bile odobravanedo odreappleene razine i kao takve ukljuËene unaknade za koriπtenje mreæe. Ima primjera i manjeinvolviranosti regulatornog tijela u poËetnimfazama uvoappleenja regulacije ili tijekom poËetnihregulatornih perioda. Meappleutim, odmakom procesai sve veÊom involviranosti regulatornog tijela uviπe sluËajeva dovelo je do smanjenja naknada zakoriπtenje mreæa.8) Navedeni tijek gotovo u potpunosti poklapa ses tijekom uvoappleenja sloæenih regulatornih pristupa imetodologija ekonomske regulacije, odnosno metodapoticajne regulacije energetskih djelatnosti.Iz svega prethodnog izveden je zakljuËak da se upoËetku trebaju πto bolje i preciznije definirati odgovornostiregulatornog tijela i reguliranih subjekata.Nadalje, u novonastalim i træiπnim okolnostimatrebaju se dobro obuhvatiti i obrazloæiti svi vaæniparametri, utjecajne veliËine i okolnosti træiπnogokruæja koje se uvodi, Posebno je vaæno krenuti sjednostavnijim regulatornim pristupima i metodama,i to u pravilu s kraÊim regulatornim periodima.Svaka od moguÊih nesigurnosti ili skrivenih manau regulatornom pristupu, krivo procijenjenog utjecajnogparametra ili ciljanog ekonomskog indeksa,nepredviappleene loπe posljedice procesa restrukturiranjau dinamiËnom træiπnom okruæju, ali na krajui posljedice moguÊe krive odluke regulatornogtijela, vodi ili vrlo visokim ili nedopustivo niskimiznosima naknada za koriπtenje mreæa. Visokiiznosi naknada za koriπtenje mreæa znaËe ne samovisoke troπkove za korisnike mreæa, nego, pogotovoza one izvan dosadaπnjih integriranih nacionalnihelektroenergetskih sustava, i znaËajnu prepreku zaulazak na træiπte elektriËne energije, a time i njegovomrazvoju. Iskazani neopravdano visoki iznosiprofita u monopolnim djelatnostima imaju i daljnjenegativne politiËke i socijalne posljedice, Ëak,and the adequate development of the regulated energyentities, especially the large network infrastructuresystems for the transmission and distribution ofelectricity. The general goal is, of course, a securesupply of electricity at a realistic, i.e. justified, cost.7) The regulatory agencies have an important role inthe process of the authorization and supervision ofthe implementation of the plans for the developmentof the regulated entities, i.e. the transmission anddistribution networks and systems, and a supervisoryrole over the quality and security of the services andfunctions performed by these energy entities, as wellas supply to the end users and users in general. Theapproaches and practices in various countries differ.There are regulatory agencies that are deeply involvedin and responsible for all the phases and elements ofplanning (the authorization and supervision of planimplementation), obtaining funds through chargesand the incentive elements of these charges (capitalexpenditures, return on equity) and the generalsupervisory process of the operations of a regulatedentity. On the other hand, initially the roles of someof the regulatory agencies were not characterizedby deep involvement. Instead of in-depth regulatorysupervision, there were general approaches accordingto which, for example, planned investments fromdevelopment and construction plans were approvedup to a specified level and as such included in thecharges for network use. There are examples of lessinvolvement by a regulatory agency during the initialphases of the introduction of regulation or during theinitial regulatory periods. However, as the processesprogressed and the regulatory agencies became increasinglyinvolved in an increasing number of cases,in many cases the charges for network use dropped.8) This nearly completely corresponds with the introductionof more complex regulatory approaches andmethodologies of economic regulation, i.e. methodsof the incentive regulation of activities. From theaforementioned, it was concluded that at the beginningit is necessary to define the responsibilitiesof the regulatory agency and the regulated entitiesas precisely as possible. Furthermore, under thenewly arisen market circumstances, it is necessaryto include and explain all the important parameters,influential values and market environment circumstancesthat are being introduced. It is especiallyimportant to start with simple regulatory approachesand methods and, as a rule, with short regulatoryperiods. Any of the potential uncertainties or hiddenflaws in a regulatory approach, an incorrectlyestimated influential parameter or a target economicindex, the unforeseen negative consequences of therestructuring process in a dynamic market environment,or the ultimate consequences of any wrongdecisions by the regulatory agency may lead eitherKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553546

ili naroËito u sluËajevima kada su dræavna tijela teprofite oduzela energetskim subjektima. S drugestrane, niski ili nedovoljno visoki iznosi naknadaza koriπtenje mreæa direktno ugroæavaju poslovanjeenergetskih subjekata, kvalitetu usluga i funkcijakoje ti subjekti pruæaju, a ako takvo stanje trajeduæe, onda i tehniËko-tehnoloπke osobine samemreæe i sustava.KonaËan zakljuËak u pogledu prethodnog bioje da bez obzira na uzroke, svaki problem i svakaposljedica prenosi se na korisnika ili krajnjegkupca i postaju njegov problem, a obvezaje i energetskog subjekta i regulatornog tijelada u reguliranom okruæju te probleme i posljediceotklone. Najefikasnijim opÊim pristupomotklanjanja svih negativnih posljedica ocjenjujese pragmatiËni pristup i postupanje, a ako jemoguÊe i suradnja sve tri zainteresirane strane.9) Poseban problem i izazov predstavlja regulacijamreænih infrastrukturnih monopola, prijenosa i distribucije,te u svezi s tim usko povezani problemgdje i pod kojim uvjetima se osiguravaju pomoÊneusluge sustava. NaroËito se u segmentu pomoÊnihusluga sustava mogu pojaviti dominantne pozicijei zlouporabe u joπ uvijek znaËajno integriranim sustavima,kada se poduzeÊima iz sustava ili grupeosiguravaju povoljniji uvjeti pristupa i koriπtenjapomoÊnih usluga ili njihova plaÊanja. U sprjeËavanjutakvih situacija, πtoviπe njihova sankcioniranja,presudna je uloga regulatornih tijela.Problem pomoÊnih usluga i odgovornosti za njihovoosiguranje i pruæanje usko je vezan s postojeÊimzakonodavnim i regulatornim okvirom, ili opÊenitopitanjem da li se na taj segment primjenjuje reguliraniili træiπni kontekst. U svakom sluËaju, u svezis tim segmentom najviπe je pitanja i dilema. Pitanjeje i kojoj djelatnosti iz dosadaπnje integriranestrukture i jedinstvene tarife koja je ukljuËivalasve djelatnosti i usluge pridijeliti odgovornost zaosiguranje pomoÊnih usluga, i kako te usluge naplatiti,kao dio odgovarajuÊih naknada ili zasebno.Neke zemlje taj problem razrijeπile su pridjeljujuÊiobveze i funkcije osiguranja pomoÊnih uslugaoperatorima prijenosnih i distribucijskih sustava,odnosno uvodeÊi ugovorne odnose po kojimatræiπni sudionici i te usluge slobodno ugovaraju,osiguravaju i na kraju plaÊaju. No, istaknuto je,da su takva rjeπenja i mehanizmi bili moguÊe teknakon πto je uspostavljena cjelovita funkcionalnai provedbena shema osiguravanja, tj. izvora i pridjeljivanjasvake pojedinaËne pomoÊne usluge ilinjene komponente, ali i uvjeta njihova eventualnogprekida i posljedica toga prekida. »injenicaje da su u nekim zemljama, a radi se o zemljamai energetskim gospodarstvima koja su u pravilu uranim fazama procesa restrukturiranja, otvaranjato very high or inadmissibly low charges for networkuse. High charges for network use would not onlymean high costs for network users but would alsopose a significant barrier to entry into the electricitymarket and development by those entities outsidethe current integrated national power systems. Theunreasonably high profits of monopolies have furthernegative political and social consequences, even orespecially in cases when government agencies haveredirected these earnings away from the entities.On the other hand, low or insufficient charges fornetwork use directly jeopardize the operations ofentities, the quality of the services and functionsprovided by these entities and, if such conditionspersist for extended periods, they may also jeopardizethe technical and technological characteristics ofthe network and system.The final conclusion in respect to the above is thatregardless of the cause, each problem and consequenceis shifted to the user or the final customersand becomes their problem. Both the entity andthe regulatory agency should resolve these issueswithin the regulated environment and eliminate theconsequences. The most efficient general approachto eliminating all such negative consequences isthought to be a pragmatic one, together with cooperationamong all three interested parties, if possible.9) A separate problem and challenge is the regulationof the network infrastructure monopolies, transmissionand distribution and, closely connected tothis, the issue of where and under which circumstancesauxiliary system services should be provided.Especially in the segment of auxiliary services of thesystem, dominant positions and abuses may occurin systems that are still significantly integrated whenenterprises from the system or groups are providedwith more favorable conditions for accessing, usingor paying for auxiliary services. In order to preventsuch situations, moreover to penalize them, the roleof the regulatory agencies is crucial.The issue of auxiliary services and the responsibilityfor providing them are closely connected to theexisting legislative and regulatory frameworks or, ingeneral, to the question whether the regulated ormarket context should be applied to this segment.In any case, the most questions and dilemmas areassociated with this segment. It is a question as towhich activities from the current integrated structureand single tariff that included all the activities andservices should be assigned responsibility for securingauxiliary services, and how should these servicesbe charged, as a part of the corresponding chargesor separately. Some countries have resolved thisproblem by assigning the obligations and functionsfor securing auxiliary services to the transmissionand distribution system operators, or by introduc-547Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

træiπta, odnosno razvoja i uspostave odgovarajuÊegregulatornog okruæja, pitanja i problemi uspostavecjelovitog sustava osiguravanja, koriπtenja, pridjeljivanjai plaÊanja pomoÊnih usluga sustavajoπ uvijek samo naznaËeni ili tek u ranim fazamarjeπavanja. U svakom sluËaju nerijeπena pitanja iproblemi u svezi s pomoÊnim uslugama sustavaznatno oteæavaju razvidnost i efikasnost procesaotvaranja træiπta elektriËne energije u svim njegovimkljuËnim sastavnicama, a naroËito u pogleduosiguranja uvjeta za razvidan, nepristrani pravedan pristup mreæama i sustavima. Takvostanje ima daljnje negativne posljedice po razvoji uvoappleenje novih metoda regulacije i metodologijatarifnih sustava, πto posljediËno i regulatornotijelo dovodi u puno teæi poloæaj i ugroæava njegovuvjerodostojnost suoËavajuÊi ga s objektivnoteπkim problemom izbora pristupa i metodologije,ali i reakcijom energetskih subjekata i træiπnihsudionika.U pravilu, stav je da u reguliranom kontekstu osiguranjei pruæanje tih usluga treba biti jedna odfunkcija i obveza operatora prijenosnog i distribucijskogsustava, koja je po unaprijed poznatim uvjetima,na razvidan, nepristran i nediskriminirajuÊinaËin dostupna i pridjeljuje se korisnicima elektroenergetskihmreæa i sustava. ZakljuËak je darazina cijena, odnosno tarifa za pomoÊne uslugesustava treba biti troπkovno utemeljena i razvidnau svim njegovim elementima. Tijekom raspraveistaknuto je da postoji i problem osiguranjaodreappleenih pomoÊnih usluga od strane starih proizvodnihpostrojenja. Kod postavljanja træiπnogmodela o tom se mora voditi raËuna, naroËito kodtræiπnih modela koji podrazumijevaju moguÊnostpristupa pojedinaËnih proizvodnih postrojenjatræiπtu i njihove participacije na træiπtu kao samostalnihtræiπnih sudionika. Regulatorna tijelai operatori sustava o tim pitanjima i problemimamoraju voditi raËuna u svim segmentima procesadefiniranja træiπnog modela, regulatornog okvira imodela, provedbenih procedura, a ako je kontekstpomoÊnih usluga sustava regulirani, onda i metodologijiutvrappleivanja tarifnih stavki i proceduri ugovaranjai osiguravanja pomoÊnih usluga sustava.10) KljuËnim ciljevima regulacije energetskihdjelatnosti, naroËito prijenosa i distribucijeelektriËne energije smatraju se uspostava nepristranogi razvidnog pristupa mreæi, pokriÊeopravdanih troπkova poslovanja, nastojanja dase unaprijedi efikasnost sektora i/ili da se sektoruËini privlaËnim za nove investicije, odnosnoulaganja. OdgovarajuÊi izvori financiranja moguse osigurati bilo neposredno kroz naknade za prikljuËaki koriπtenje mreæa, bilo kroz odgovarajuÊepoticajne uvjete i povrate na investicije, odnosnood i imovinu energetskog subjekta. Postupke iing contractual relations on the basis of which themarket participants freely contract, provide and atthe end pay for these services. However, it has beenpointed out that such solutions and mechanisms areonly possible after the entire functional and implementationscheme is established, i.e. the sourceand assignment of each individual auxiliary serviceor component thereof, as well as the conditions fortheir eventual termination and the consequences ofsuch termination. The fact is that in some countries,mainly countries and electrical energy economieswhich are in the early phases of restructuring, marketopening and developing an appropriate regulatoryenvironment, the issues and problems of theestablishment of the overall system for the provision,use, allocation and payment of auxiliary servicesare still only on paper or in the early phasesof solution. In any case, the unresolved issues andproblems in connection with auxiliary system servicessignificantly diminish the transparency and efficiencyof the opening of electricity markets in allthe key elements, especially regarding the providingof the conditions for the transparent, nondiscriminatoryand fair access to networks and systems. Sucha situation has further negative consequences uponthe development and introduction of new regulatorymethods and methodologies of the tariff systems,which consequently place the regulatory agency in afar more difficult position and threaten its credibility,confronting it with the difficult problem of choosingan approach and methodology, as well as the reactionsof the entities and market participants.In principle, the position is that in the regulated context,providing these services should be one of thefunctions and obligations of the transmission anddistribution system operators, which, under predeterminedconditions should be available and assigned tousers of electricity networks and systems in a transparent,nondiscriminatory and non-discriminatorymanner. The conclusion is that the level of prices, i.e.tariffs for the auxiliary services of a system, should becost-based and transparent in all elements. Duringthe discussion, it was emphasized that there is alsothe problem of securing certain auxiliary servicesfrom the old power-generation facilities. When settingup a market model, this must be taken into account,especially with market models that include the optionof access by individual power-generation facilitiesto the market, and their status as independentmarket participants. The regulatory agencies and systemoperators must take these issues and questionsinto account in all the segments of the process of thedefinition of a market model, regulatory frameworkand model, and implementation procedures. If thecontext of auxiliary system services is regulated, thisalso means taking into account the methodology forestablishing tariff items and procedures for the contractingand providing of auxiliary system services.Klepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553548

metode regulacije i metodologije tarifnih sustavau tom pogledu nuæno je stalno dograappleivati iunaprjeappleivati. U tom pogledu, regulatorno tijeloima primarni zadatak, ali s obzirom na to daopskrba elektriËnom energijom ostaje i nadaljeaktivnost visokog socijalnog i gospodarskog znaËenja,u rad na predmetnoj problematici trebaju bitiukljuËena poduzeÊa iz energetskog sektora, tijeladræavne uprave i druge dræavne institucije, struËnai ostala javnost, te organizacije za zaπtitu interesapotroπaËa, sindikati i financijske institucije. Sveviπe je dokaza u prilog opÊe vaænosti koje predmetnojproblematici posveÊuju sve navedene stranke.11) Regulatorno tijelo treba imati kontrolu nadsvim segmentima regulacijskog razdoblja. NaroËitose to odnosi na pripremno razdoblje u kojembi regulatorno tijelo trebalo biti aktivno ukljuËeno,uz regulirani subjekt. Odnosi se to na pregledulaznih podataka, podloga i parametara koje sekoriste, njihovu obradu, kao i rokove u kojimase pojedini segment pripremne faze za uvoappleenjemetode regulacije mora provesti. U prilog tomegovore i odgovarajuÊa iskustva nekih zemalja.12) U prethodnom kontekstu, u socijalnom,politiËkom i gospodarskom smislu u svezi sastabilnoπÊu i sigurnoπÊu opskrbe svakako je dobroizbjegavati velike i nagle skokove u promjenamacijena, nepredvidive ili nenajavljene promjenecijena. U pogledu moguÊnosti reguliranih energetskihsubjekata da razumiju, prilagode se i proveduodgovarajuÊi regulatorni pristup i prilagodeposlovanje novom sadræaju koji su iskazani krozpostupke i metode regulacije, svakako je nuænasuradnja regulatornog tijela i reguliranih subjekata.Suradnja je i kljuËni preduvjet potpunograzumijevanja procesa i sadræaja definicije i uspostaveodreappleenog okvira i postupka regulacije, ikroz proces utvrappleivanja i donoπenja odgovarajuÊihtarifnih stavki, a time i njihova prihvaÊanja i dobreprovedbe. UzimajuÊi u obzir i sve druge moguÊeutjecaje, npr. socijalni i/ili politiËki, nije naodmetustvrditi da se nerijetko postupa pragmatiËno,nastojeÊi odvagnuti i nastojeÊi valorizirati doprinossvakog od tih moguÊih utjecaja ili ograniËavajuÊihelemenata.Od regulatornih tijela traæi se kvalitetan i efikasansustav nadzora nad træiπtem elektriËne energije,pogotovo sprjeËavanje ili Ëak sankcioniranje situacijau kojima se u tzv. integriranim sustavima sredstvaprelijevaju iz monopolnih djelatnosti u træiπnedjelatnosti, osiguravajuÊi træiπnim djelatnostimaznatnu neopravdanu i neprihvatljivu prednost uodnosu na druge træiπne sudionike u træiπnoj utakmici,πto je ujedno i direktan oblik zlouporabaneopravdane træiπne pozicije ili snage. Navedenisu i konkretni sluËajevi u kojima su u takvim si-10) The key goals of the regulation of energy activities,especially the transmission and distribution ofelectricity, are to establish nondiscriminatory andtransparent access to the network, cover justified operationalcosts, attempt to improve the efficiency ofthe sector and/or make the sector attractive for newinvestments. Suitable sources of financing can besecured either directly through charges for connectionto the network, network use or through suitableincentive conditions and returns on investments, i.e.from the assets of the entities. Procedures and methodsfor the regulation and methodology of the tariffsystems must be constantly updated and improved.In this regard, the regulatory agency has the primarytask. However, since the supplying of electricitycontinues to remain an activity of great social andeconomic significance, enterprises from the energysector, government administrative agencies, othergovernment institutions, professionals, the generalpublic, organizations for protecting consumer interests,unions and financial institutions should beincluded in working on this issue. There is increasingevidence of the general importance afforded to thisissue by all the aforementioned parties.11) The regulatory agency must have control over allthe segments of the regulatory period. This especiallyrefers to the preparatory period in which the regulatoryagency should be actively involved, togetherwith the regulated entity. It concerns a review andprocessing of the input data, bases and parametersused as well as the periods within which the separatesegments of the preparatory phase for the implementationof a regulatory method must be completed.The corresponding experiences of some countriesunderscore this point.12) In the aforementioned context, in the social,political and economic sense, regarding the stabilityand safety of supply, it is indeed good to avoid largeand sudden price changes and unforeseen or unannouncedprice changes. Regarding the abilities of theregulated energy entities to understand, adapt to andimplement the suitable regulatory approach and adjustoperations to the new content expressed throughthe regulatory procedures and methods, cooperationbetween the regulatory agency and the regulated entitiesis certainly essential. Cooperation is also a keyprerequisite for completely understanding the processand the contents of the definitions and the establishmentof certain frameworks and regulatory procedures,both through the process of the determinationand adoption of certain tariff items, and through theiracceptance and correct implementation. Taking intoaccount any other possible influences, e.g. social and/or political, it is worth mentioning that a pragmaticapproach, in which it is attempted to weigh and evaluatethe contribution of each of these potential influencesor limiting elements, is often employed.549Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

tuacijama regulatorna tijela postupala tako da seumanjila, ili Ëak oduzela odgovarajuÊi dio prihodaod integriranog poduzeÊa, i to od segmenta træiπnihdjelatnosti, i vratila ga u segment monopolnih,odnosno djelatnosti s obvezama javnih usluga izkojeg su i bili neopravdano uzeti. U svakom sluËaju,dok postoje dvije paralelne komponente træiπta,regulirana i liberalizirana, odnosno træiπna, regulatornotijelo ima striktnu obvezu provjeravati razvidnostodvajanja pripadajuÊih raËuna i prihoda,a nerijetko i pravo da odreappleene oblike ponaπanjai prekrπaja i jaËe sankcionira. »est je sluËaj daregulatorno tijelo ima pravo, utemeljeno na zakonu,samo provesti odgovarajuÊi revizorski nadzor,ili taj nadzor zatraæiti od nezavisnih revizora.13) Okrugli stol je raspravio i pitanja strukture naknadaza koriπtenje prijenosne, odnosno distribucijskemreæe. Istaknuta je vaænost primjene principada struktura i razina naknada za koriπtenjemreæa odraæavaju strukturu troπkova za elementeenergije i snage, tj. kapaciteta, prema i za kojese utvrappleuju. Poglavito je element snage i njegovovrednovanje vaæan u strukturi tarifnih stavki, tj.naknada za prikljuËak, za koriπtenje prijenosne idistribucijske mreæe, i naknada za pomoÊne uslugesustava. Vaænost elementa kapaciteta ogledase i u vrednovanju u svezi s mehanizmima pridjeljivanjem,koriπtenjem i plaÊanjem odgovarajuÊihprekograniËnih kapaciteta, ili utvrappleivanjemodgovornosti, odnosno postupcima rjeπavanjazaguπenja u prijenosnoj i distribucijskoj mreæi.14) U nekim zemljama proces uvoappleenja novog regulatornogpristupa i primjene novih metodologijaekonomske regulacije koji u pravilu ukljuËuju parametrevalorizacije i poticanja uËinkovitosti poslovanjareguliranog energetskog subjekta, a nerijetkoi odgovarajuÊe opÊe makroekonomske indekse zavalorizaciju i pokriÊe adekvatnih rizika poslovanjai ulaganja, rezultirao je u smanjenju naknada zakoriπtenje mreæa. Meappleutim, nije realno oËekivatida bi se takav kontekst ponovio u veÊini drugih zemalja,pogotovo ne u zemljama u kojima su cijeneelektriËne energije bile pod jakom socijalnom i politiËkomkontrolom i u pravilu vrlo niske. ©toviπe, utim zemljama izraæena je potreba za novim velikimulaganjima u odræavanje, rekonstrukciju i izgradnjumreæa. Razdvajanje i izdvajanje energetskihdjelatnosti iz dosadaπnjih vertikalno integriranihelektroenergetskih struktura proizvodnje, prijenosa,distribucije i opskrbe elektriËnom energijom,otvaranje træiπta elektriËne energije i pojava novihsudionika na træiπtu elektriËne energije, tu potrebusamo su joπ viπe naglasili. Nije rijedak sluËaj sveËeπÊe iskazanih uvjerenja da bez dobrih i efikasnihinfrastrukturnih prijenosnih i distribucijskih mreæai sustava ne moæe biti govora o razvoju efikasnogtræiπta elektriËne energije.The regulatory agencies are required to providea quality and efficient system of supervising theelectricity market, especially to prevent or penalizesituations in which funds flow from monopoly activitiesinto market activities in the so-called integratedsystems, which affords businesses with marketoperations a significant unfair and unacceptableadvantage over other market participants in marketcompetition, and is a direct form of the abuse of aninequitable market position or power. Specific caseswere mentioned in such situations when the regulatoryagencies acted to reduce or even confiscate thecorresponding portion of the revenues from an integratedcompany from the segment of market activitiesand direct them back to the monopoly segment,i.e. the activities having the public service obligationfrom which they had been unfairly taken. In anycase, as long as there are two parallel componentsof the market, regulated and liberalized, the regulatoryagency has the strict obligation to verify thetransparency of the separation of the correspondinginvoices and revenues, and not infrequently the rightto penalize certain forms of behavior and violationsseverely. The regulatory agency frequently only hasthe right, pursuant to the law, to conduct a suitableaudit or request to have such an audit performed byindependent auditors.13) The Round Table Discussion also included questionsregarding the structure of charges for the useof a transmission or distribution network. The importancewas stressed of applying the principle that thestructure and level of charges for network use shouldreflect the structure of the costs of the elements ofenergy and power, i.e. the capacities according toand for which they are determined. The element ofpower and its valuation are particularly importantfor the structure of the tariff items, i.e. charges forconnection, the use of the transmission and distributionnetworks and auxiliary system services. Theimportance of the capacity elements is reflected inthe evaluation in connection with mechanisms forcapacity allocation, the use and charges for crossbordercapacities, or determination of the responsibilities,i.e. the procedures for managing congestionin the transmission and distribution networks.14) In some countries, the process of introducinga new regulatory approach and the application ofnew methodologies of economic regulation, whichas a rule include the parameters for the evaluationand increased effectiveness of the operations of aregulated power entity and not infrequently the correspondinggeneral macroeconomic indices for theevaluation and coverage of adequate risk operationsand investments, have resulted in lowered chargesfor network use. However, it is not realistic to expectsuch a context to be repeated in the majority of othercountries, especially those where electricity pricesKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553550

Na spomenuti kontekst ulaganja u odræavanje,rekonstrukciju i izgradnju nacionalnih elektroenergetskihmreæa, odnosno izgradnje novih visokonaponskihprijenosnih prekograniËnih poveznicas drugim zemljama i sustavima sve vaænijiutjecaj ima regionalni i πiri multinacionalni konteksttræiπta i razmjena elektriËne energije. OpÊaje pojava da prekograniËna trgovanja i razmjeneenergije vrlo brzo rastu, zbog Ëega su za tranzitei prekograniËne razmjene energije uvedeni i primjenjujuse novi opÊe prihvaÊeni kompenzacijskii alokacijski mehanizmi. Isti se veÊ jednoznaËnoprimjenjuju u kontekstu internog europskog træiπtaelektriËne energije. Nadalje, prihodi ostvareniprekograniËnim razmjenama moraju se tretiratina razvidan i nepristran naËin. Meappleutim, unatoËnastojanju da se razvije i uspostavi efikasan, razvidan,nepristran i pravedan, u konaËnici i lakoprovediv sustav i mehanizam, za neke elektroenergetskesustave i nadalje ostaje problem naËinautvrappleivanja i alokacije troπkova za visoke gubitkeelektriËne energije. Isto vrijedi i u pogledu adekvatnogdijela pomoÊnih usluga sustava. Naime,radi se o onom dijelu dodatnih gubitaka elektriËneenergije u nacionalnoj elektroenergetskoj mreæii dijelu dodatnih pomoÊnih usluga sustava kojinastaju zbog prolaza ili kruænih tokova energije izmeappleunarodnih, tj. prekograniËnih razmjena energije.OpÊi je stav da europsko energetsko zakonodavstvo,tj. odgovarajuÊe direktive i uredbe EU utom pogledu predstavljaju adekvatan zakonodavniokvir za postupanje svih regulatornih tijela.15) Poseban je problem naËina pristupa i dobivanjainformacija i podatak koje s jedne straneregulatorno tijelo moæe traæiti i traæi od reguliranihsubjekata, a koje s druge strane ti reguliranisubjekti mogu i æele dati ili daju regulatornomtijelu. U svakom sluËaju razlike, tj, asimetrijainformacija, u tom pogledu uvijek su prisutne.ZakljuËak je da je u svakom sluËaju, bilo u pogleduzadovoljavajuÊeg rjeπenja, bilo barem dobreravnoteæe izmeappleu regulatornog tijela i reguliranihenergetskih subjekata najbolje i najefikasnijeodabrati pragmatiËna rjeπenja, po moguÊnostizasnovana na dostupnoj najboljoj i najefikasnijojmeappleunarodnoj praksi i benchmarku. Prethodnogotovo u potpunosti vrijedi i u pogledu procesai prakse regulatornog ili revizorskog nadzora.16) Posebno je uoËena i istaknuta moguÊnost ipotreba πire, tj. regionalne elaboracije i raspraveproblema sadræaja i forme regulacije, regulatornihpristupa i politike, strukture i sadræaja tarifnih metodologijai samih tarifa, utjecajnih parametara ipokazatelja, naroËito ekonomskih i politiËkih, usporednih(benchmark) pristupa i analiza, te svakakoveÊe suradnje i transfera znanja i iskustava.have been under rigorous social and political controland, as a rule, very low. Moreover, in these countriesthere is a marked need for major new investmentsin maintenance, reconstruction and network construction.The separation of energy activities fromthe heretofore vertically integrated structures of thegeneration, transmission, distribution and supply ofelectricity, the opening of the electricity markets andthe appearance of new participants on the electricitymarket further underscore this need. Opinions arefrequently voiced that the development of an efficientelectricity market is not feasible without a goodand efficient infrastructure for the transmission anddistribution networks and systems.In this context, investments in the maintenance,reconstruction and construction of national electricalenergy networks or in the construction of newhigh voltage transmission cross-border connectionswith other countries and systems have an increasingimpact upon the regional and broader multinationalcontext of the markets and the exchange of electricity.The cross-border commerce and exchangeof energy is generally growing very rapidly, due towhich new commonly accepted compensation andallocation mechanisms have been introduced andapplied for the transit and cross-border exchange ofenergy. Such mechanisms are already being applieduniformly within the context of the internal Europeanelectricity market. Furthermore, the revenues fromcross-border exchanges must be treated in a transparentand nondiscriminatory manner. However, despiteattempts to develop and establish an efficient,transparent, nondiscriminatory, just and, in the finalanalysis, easily applicable system and mechanism,some energy systems are still confronted with theproblem of how to determine and allocate expendituresfor high losses of electricity. This concernsthe share of the additional electricity losses in thenational electrical energy network and the share ofthe additional auxiliary system services that occurdue to transit or circular flows from international,i.e. cross-border, energy exchanges. The generalposition is that the European energy legislation, i.e.the corresponding directives and regulations of theEU in this respect, represents an adequate legislativeframework for the operations of all the regulatoryagencies.15) There is a specific problem regarding the mannerof accessing and obtaining information and datawhich a regulatory agency can and does requirefrom regulated entities, and which these regulatedentities can and want to provide or do provide to theregulatory agency. In any case, these differences, i.e.information asymmetry, are always present in thisregard. The conclusion is that in order to obtain asatisfactory solution or at least a good balance betweenthe regulatory agency and the regulated en-551Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

5 ZAKLJU»AKOkrugli stol o ulozi regulatornog tijela u donoπenjutarifnih sustava organiziran je kao mjesto susreta irasprave eksperata i direktnih sudionika, odnosnozainteresiranih strana u regulacijskom procesu, odpredstavnika regulatornih tijela, struËne i znanstvenejavnosti, do predstavnika reguliranih subjekata.Okrugli stol bio je vrlo uspjeπan i u potpunostije opravdao razloge organiziranja, ponudivπidobru elaboraciju problematike i sadræaja regulacijeenergetskih djelatnosti, organizacije i nadzoratræiπta elektriËnom energijom, a posebno i ciljanouloge regulatornog tijela u donoπenju tarifnih sustava.KonaËno, Okrugli stol ponudio je i niz odgovora,ali i πto je joπ vaænije, sudionike je ili uveou predmetnu problematiku i ukazao im na opÊuprisutnost sliËnih pitanja i dilema u svim zemljama,od Ëlanica EU do zemalja koje Êe tek postatiËlanice EU, ili im dao odgovore na pitanja i dilemes kojima su doπli na Okrugli stol. Bez obzira na razliËitaiskustva i dinamiku procesa, Okrugli stol jepomogao da se identificira i komentira niz izazovai problema s kojima se suoËavaju sva regulatornatijela, ali i sva regulirana poduzeÊa i energetskisubjekti, bez obzira na sustave iz kojih dolaze ikontekst u kojem su nastala i u kojem su se razvijala.Takoappleer, uoËena je moguÊnost i potrebaza stalnom elaboracijom i raspravom problemasadræaja i forme regulacije, regulatornih pristupa ipolitike, strukture i sadræaja tarifnih metodologijai samih tarifa, utjecajnih parametara i pokazatelja,naroËito ekonomskih i politiËkih, usporednih(benchmark) pristupa i analiza, te svakako veÊesuradnje i transfera znanja i iskustava.Zbog svega prethodnog, cilj i svrha ovog Ëlanakbili su πiru struËnu i znanstvenu javnost izvijestitio rezultatima, odnosno tijeku i zakljuËcimatog Okruglog stola, te eventualno potaÊi struËnui znanstvenu raspravu o izloæenoj problematici,pa Ëak potaÊi organizaciju novih okruglih stolovai rasprava o izloæenim pitanjima, problemima,sadræajima, ali i izazovima regulacije energetskihdjelatnosti.ergy entities, it is best and most efficient to choosepragmatic solutions, if possible based upon the bestavailable and most efficient international practicesand benchmarks. The aforementioned applies in itsentirety to the processes and practices of regulatoryor audit supervision.16) We have especially noted and emphasized thepossibility and necessity for the broader regionalelaboration and discussion of the problems of thecontents and forms of regulations, regulatory approachesand policies, the structures and contents oftariff methodologies and the tariffs themselves, influentialparameters and indices (especially economicand political), benchmark approaches and analysis,together with greater cooperation and the transfer ofknowledge and experiences.5 CONCLUSIONThe Round Table Discussion on the role of the regulatoryagency in the adoption of tariff systems wasorganized as place of meeting and discussion amongexperts and direct participants, i.e. interested partiesin the regulatory process, from representatives of theregulatory agencies, the professional and scientificpublic, to representatives of the regulated entities.The Round Table was highly successful and completelyjustified the reasons for its organization, providinggood elaboration of the issues and contents ofthe regulations on energy operations, the organizationand supervision of the electricity market and, particularly,the planned role for the regulatory agency inthe adoption of the tariff systems. Finally, the RoundTable Discussion provided a series of answers but,more importantly, introduced the participants to theissue under discussion and demonstrated to themthat similar questions and dilemmas are generallypresent in all countries, from the member countriesof the EU to the countries that will become membersof the EU, or provided them with answers tothe questions and dilemmas that they brought withthem to the Round Table. Regardless of the variousexperiences and process dynamics, the Round TableDiscussion helped identify and comment on a seriesof challenges and problems confronted by all regulatoryagencies, as well as all regulated enterprises andenergy entities, regardless of the systems from whichthey come and the context in which they originatedand developed. Furthermore, the possibility andneed were perceived for the ongoing elaboration anddiscussion of the problems of the content and formof regulation, regulatory approaches and policies,the structure and content of tariff methodologies andthe tariffs themselves, the influential parametersand indices (especially economic and political),benchmark approaches and analysis, and certainlyKlepo, M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553552

greater cooperation and the transfer of knowledgeand experience.Due to all the aforementioned, the goal and purposeof this article were to inform the general professionaland scientific public about the results and conclusionsof this Round Table Discussion, eventuallystimulate expert and scientific discussion about theissues presented, and even stimulate the organizationof new round tables and discussions on thequestions, problems, contents but also the challengesof the regulation of energy operations.LITERATURA / REFERENCES[1] Zakona o energiji, Narodne novine broj 68/2001 i 177/2004[2] Zakon o regulaciji energetskih djelatnosti, Narodne novine broj 177/2004[3] Zakon o træiπtu elektriËne energije, Narodne novine broj 177/2004[4] Tarifni sustav za prijenos elektriËne energije, bez visine tarifnih stavki, Narodne novine broj143/2006[5] Tarifni sustav za distribuciju elektriËne energije, bez visine tarifnih stavki, Narodne novine broj143/2006[6] Tarifni sustav za proizvodnju elektriËne energije, s iznimkom za povlaπtene kupce, bez visine tarifnihstavki, Narodne novine broj 143/2006[7] Tarifni sustav za opskrbu elektriËnom energijom, s iznimkom povlaπtenih kupaca, bez visine tarifnihstavki, Narodne novine broj 143/2006[8] RAJIΔ, Æ., Polazne osnove za donoπenje novih tarifnih sustava, Okrugli stol, Zagreb, 2007.[9] ÆUTOBRADIΔ, S., Tarifni sustavi za regulirane elektroenergetske djelatnosti, bez visine tarifnih stavki/ Tariff Systems for Regulated Electric Power Activities, without the Amounts of the Tariff Items,Okrugli stol, Zagreb, 2007.[10] MRAVAK KNEZIΔ, K., DUGANDÆIΔ, I., Pripreme energetskih subjekata za buduÊi regulacijski period/ Preparation of Energy Entities for the Future Regulatory Period, Okrugli stol, Zagreb, 2007.[11] LAKHOUA, F., Commission de Régulation de l’Energie : Financijska problematika u reguliranim tarifama:francuski sluËaj / Financial Issues in Regulated Tariffs: the French Case, Okrugli stol, Zagreb,2007.[12] KAISER, S., Energie-Control GmbH: Uloga regulatora u utvrappleivanju tarifnih sustava ∑ Austrija / TheRole of the Regulator in Determining Tariff Systems ∑ Austria, Okrugli stol, Zagreb, 2007.[13] LITVAI, P., Magyar Energia Hivatal: Sustav cijena elektriËne energije u Maapplearskoj / The ElectricityPricing System in Hungary, Okrugli stol, Zagreb, 2007.[14] PARIPOVI», M., Javna Agencija Republike Slovenije za energijo: Naknade za koriπtenje mreæa / ElectricityNetwork Charges, Okrugli stol, Zagreb, 2007.Uredniπtvo primilo rukopis:2007-07-30PrihvaÊeno:2007-08-13Manuscript received on:2007-07-30Accepted on:2007-08-13553Klepo,M., Uloga regulatornih tijela u donošenju ..., Energija, god. 56(2007), br. 5., str. 526-553Klepo, M., The Role of the Regulatory Agency in Adoption ..., Energija, vol. 56(2007), No. 5, pp. 526-553

REGULATORNA POLITIKA I NJENUTJECAJ NA PLANOVE RAZVOJAI IZGRADNJE ENERGETSKIHSUBJEKATA KOJI OBAVLJAJUREGULIRANE DJELATNOSTIREGULATORY POLICY AND ITSIMPACT ON THE DEVELOPMENT ANDCONSTRUCTION PLANS OF ENTITIESPERFORMING REGULATED ACTIVITIESMr. sc. Ivona ©tritof, Hrvatska energetska regulatorna agencija,Koturaπka cesta 51, 10000 Zagreb, HrvatskaFranjo KleËina, dipl.ing., Energetski institut Hrvoje Poæar,Savska cesta 163, 10000 Zagreb, HrvatskaHrvatska energetska regulatorna agencija u prosincu 2006. godine donijela je tarifne sustavebez visine tarifnih stavki za djelatnosti proizvodnje, prijenosa, distribucije i opskrbe elektriËnomenergijom. Tarifnim sustavima utvrappleena je metoda regulacije koja Êe se primjenjivati prilikomutvrappleivanja iznosa tarifnih stavki za pojedinu djelatnost. Jedan od preduvjeta za donoπenje iznosatarifnih stavki od strane Vlade Republike Hrvatske je donoπenje planova razvoja i izgradnje prijenosnei distribucijske mreæe od strane energetskih subjekata koji obavljaju regulirane djelatnostina koje Hrvatska energetska regulatorna agencija daje suglasnost.In December 2006, the Croatian Energy Regulatory Agency ∑ CERA (Hrvatska energetska regulatornaagencija ∑ HERA) adopted tariff systems without stipulating the amounts of the tariff itemsfor the activities of the generation, transmission, distribution and supply of electrical energy. Aregulatory method was established through the tariff systems that will be applied in the determinationof the amounts of the tariff items for individual activities. One of the prerequisites forthe adoption of the amounts of tariff items by the Government of the Republic of Croatia is theadoption of the development and construction plans of the transmission and distribution networksto which the CERA issues approval.KljuËne rijeËi: planovi razvoja, regulatorna politika, regulatorno tijelo, regulirani energetskisubjekt, tarifni sustaviKey words: development plans, entity performing regulated activity, regulatory body, regulatorypolicy, tariff systemsŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583554

1 UVODU prosincu 2006. godine Hrvatska energetskaregulatorna agencija (HERA) donijela je tarifne sustave,bez visine tarifnih stavki za Ëetiri djelatnostiËija se cijena utvrappleuje na regulirani naËin [1]:∑ proizvodnju elektriËne energije s iznimkompovlaπtenih kupaca,∑ prijenos elektriËne energije,∑ distribuciju elektriËne energije,∑ opskrbu elektriËnom energijom s iznimkompovlaπtenih kupaca.U navedenim tarifnim sustavima definirana je iregulatorna politika, odnosno metoda ekonomskeregulacije, a to je metoda priznatih troπkova poslovanja[2] do [5]. U teoretskim razmatranjimaregulacije energetskih djelatnosti ova metoda svrstanaje u klasiËni pristup regulaciji poznat i podnazivom regulacija stopom povrata [6]. Tu metoduregulatorna tijela u dræavama Ëlanicama Europskeunije (EU) sve viπe napuπtaju i zamjenjujumetodama poticajne regulacije u kombinaciji sregulacijom kvalitete opskrbe [7], buduÊi da sepokazalo da primjena regulacije stopom povratapotiËe podizanje troπkova ulaganja iznad onih kojebi subjekti koji obavljaju reguliranu djelatnostsnosili da ulaæu po kriteriju minimalnih troπkova.Pokazalo se da u naËelu regulacija stopom povratapostiæe suprotan uËinak od onog kojeg bi trebalaosigurati ekonomska regulacija kroz nezavisnoregulatorno tijelo. Ciljevi ekonomske regulacijeprvenstveno su [7]:∑∑∑poticanje uËinkovitosti i poveÊanje produktivnosti,osiguranje primjerene financijske sposobnostisektora,sprjeËavanje diskriminacije kupaca i energetskihsubjekata.Regulatorna politika prema ulaganjima subjekatakoji obavljaju regulirane djelatnosti jedan je odkljuËnih segmenata u provoappleenju ekonomske regulacije.Nova ulaganja, ako su prihvaÊena kao dozvoljenitroπak, ukljuËena su u regulatornu osnovicusredstava, kroz amortizaciju i iznos dozvoljenogpovrata sredstava. Regulatorno tijelo moæe imatiznaËajnu ulogu u utvrappleivanju opravdane razineulaganja, a time i u postupku utvrappleivanja cijenereguliranih djelatnosti. Tim viπe, ako se uzmeu obzir Ëinjenica da mnoga zakonska rjeπenjapredviappleaju da regulatorno tijelo daje suglasnostili donosi planove razvoja subjekata koji obavljajuregulirane djelatnosti.1 INTRODUCTIONIn December 2006, the Croatian Energy RegulatoryAgency (CERA) adopted tariff systems withoutstipulating the amounts of the tariff items for fouractivities for which the prices are determined in aregulated manner [1]:∑ the generation of electrical energy, with theexception of eligible customers,∑ the transmission of electrical energy,∑ the distribution of electrical energy,∑ the supply of electrical energy, with the exceptionof eligible customers.In these tariff systems, the regulatory policy, i.e.the method of economic regulation, was defined[2] to [5]. In theoretical studies of the regulationof energy activities, this method is classified in theclassical approach to regulation that is known asthe rate of return (RoR) method [6]. This methodis being increasingly abandoned by the regulatorybodies in the member countries of the EuropeanUnion (EU) in favor of incentive regulation methodsin combination with regulation of the quality of supply[7], since it has become evident that applicationof the regulation of the rate of return raisesinvestment costs above those that entities performingregulated activities would otherwise have topay if they invested according to the criterion ofminimal costs. Furthermore, it has become evidentthat in principle the regulation of the rate of returnachieves the opposite effect to that which shouldbe assured by economic regulation through an independentregulatory body. The goals of economicregulation are primarily as follows [7]:∑∑∑promoting efficiency and increasingproductivity,assuring the appropriate financial viability ofthe sector,preventing discrimination against customersand energy entities.The regulatory policy toward the investments by entitiesperforming regulated activities is one of thekey segments in the implementation of economicregulation. New investments, if accepted as allowedexpenditures, are included in the regulatory assetbase (RAB) through depreciation and the amount ofthe allowed return on assets. The regulatory body,therefore, can have a significant role in determiningthe justified level of investment, and thereby inthe procedure for the determination of the pricesfor regulated activities. This is even more the casewhen the fact is taken into account that many legalsolutions anticipate that the regulatory body will issueapproval or adopt the development plans of theentities performing regulated activities.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583556

Hrvatska je na poËetku uvoappleenja ekonomske regulacijeu energetskim djelatnostima, stoga se uovom trenutku joπ ne mogu analizirati uËinci regulatornepolitike u cijelosti kao niti pojedinih regulatornihodluka. Iako su tarifni sustavi, bez visinetarifnih stavki, doneseni u prosincu 2006. godine,koliko je poznato autorima (u vrijeme predaje ovogËlanka uredniπtvu) procedura donoπenja iznosa tarifnihstavki nije joπ zapoËela. Za donoπenje iznosatarifnih stavki potrebno je prije svega da energetskisubjekti HEP Operator prijenosnog sustava d.o.o.(HEP OPS) i HEP Operator distribucijskog sustavad.o.o. (HEP ODS) dostave HERA-i na suglasnostprijedlog trogodiπnjih planova razvoja i izgradnje,a sve temeljem Zakona o træiπtu elektriËne energije[8].Kod razmatranja planova razvoja i izgradnje prijenosnei distribucijske mreæe, nameÊe se pitanjekoje se odnosi na dubinu nadleænosti regulatornogtijela, pa tako i HERA-e, odnosno na njegovu pozicijuu odnosu na davanje suglasnosti na pojedinakoncepcijska rjeπenja, odnosno na pojedina tehniËkapitanja. Naime, temeljem Zakona o træiπtuelektriËne energije [8] HEP OPS i HEP ODS donoseplanove razvoja i izgradnje mreæa za razdobljeod tri godine tek po ishoappleenoj prethodnoj suglasnostiHERA-e na svoje prijedloge planova. Doneseniplanovi ujedno su i ishodiπte za utvrappleivanjeiznosa tarifa. Samim zakonskim odredbama nijerazvidno definirana dubina uloge HERA-e u smislunjenih ovlasti prilikom davanja tih suglasnosti.BuduÊi da su iskustva u Hrvatskoj u smislu utjecajaregulatornog tijela na planove razvoja i izgradnjetek u zaËetku, zanimljivo je analizirati ulogu drugihregulatornih tijela u donoπenju planova poslovanja,tj. razvoja i izgradnje subjekata koji obavljajuregulirane djelatnosti. Iskustva regulatornih tijelaËlanica udruæenja energetskih regulatornih tijela izEurope (Energy Regulators Regional Association ∑ERRA) [9], u kojima je regulacija i konkurentnotræiπte elektriËne energije relativno novi koncept,vrlo su razliËita u smislu uloge regulatornog tijela udavanju suglasnosti na planove razvoja i izgradnje.U veÊini sluËajeva regulatorna tijela ne utvrappleujukriterije planiranja razvoja prijenosne i distribucijskemreæe, niti utjeËu na koncepcijska i tehniËkarjeπenja koja vrlo Ëesto proizlaze iz odluka upravetvrtki, veÊ se njihova uloga svodi na odobravanjeposlovnih planova Operatora prijenosnih sustava(OPS) i Operatora distribucijskih sustava (ODS).Paralelno odobravanju poslovnih planova, regulatornatijela postupno uvode i razvidne kriterijekvalitete opskrbe kako bi se izbjeglo smanjenjekvalitete opskrbe zbog smanjivanja troπkova krozprimjenu regulatorne metode te da bi se ujednopostiglo planiranje razvoja mreæe koje za cilj imaThe Republic of Croatia is in the initial phase ofintroducing economic regulation into energy activities.Therefore, at this moment it is still not possibleto analyze the effects of the regulatory policyin their entirety or individual regulatory decisions.For the adoption of the amounts of tariff items, itwill be necessary for the HEP Transmission SystemOperator ∑ HEP TSO (HEP Operator prijesnog sustavad.o.o. ∑ HEP OPS) and the HEP DistributionSystem Operator ∑ HEP DSO (HEP Operator distribucijskogsustava ∑ HEP ODS) as energy entitiesto submit their proposed three-year developmentand construction plans to the CERA for approval, allpursuant to the Electricity Market Act [8].When considering the development and constructionplans of transmission and distribution networks,a question arises in reference to the degreeof the authority of the regulatory body, and thusof the CERA, i.e. its position in relation to issuingapproval for individual conceptual solutionsor individual technical questions. Pursuant to theElectricity Market Act [8], the transmission systemoperator and the distribution system operator onlyadopt plans for the development and constructionof networks for a period of three years after obtainingprior approval from the CERA for their proposedplans. The adopted plans are also the basis for thedetermination of the amounts of tariffs. The legalprovisions themselves have not transparently definedthe range of the CERA's role in the sense ofits authority when issuing these approvals.Since experiences in the Republic of Croatia regardingthe influence of the regulatory body on developmentand construction plans are only in the initialphase, it is interesting to analyze the role of otherregulatory bodies in the adoption of business plans,i.e. development and construction by entities performingregulated activities. The experiences of themember regulatory bodies of the Energy RegulatorsRegional Association (ERRA) [9], in which regulationand a competitive electrical energy market are relativelynew concepts, vary considerably in the sense ofthe role of the regulatory body in issuing approval fordevelopment and construction plans. In the majorityof cases, the regulatory bodies neither determine thecriteria for planning the development of transmissionand distribution networks, nor do they influence theconceptual and technical solutions that very oftenensue from the decisions of company management,but instead their role is limited to approving thebusiness plans of the transmission system operatorand the distribution system operator. Together withthe approval of business plans, regulatory bodiesare gradually introducing transparent criteria for thequality of supply in order to avoid lowering the qualityof the supply due to reduced expenditures throughthe application of regulatory methods in order to557Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

poveÊanje uËinkovitosti, odnosno poveÊanje kvaliteteopskrbe.Odabirom metode regulacije priznatih troπkovai regulatornog razdoblja od godinu dana unutarkojeg je moguÊe inicirati izmjene visine tarifnihstavki, HERA nije dala naglasak na poveÊanjeuËinkovitosti subjekata koji obavljaju reguliranedjelatnosti koji je jedan od glavnih ciljeva ekonomskeregulacije. ImajuÊi u vidu iskustva drugihregulatornih tijela iz EU, nuæno Êe u skoraπnjevrijeme uslijediti izmjena regulatorne metode, atime Êe i HERA intenzivnije pristupiti analizi ovisnostiregulatornog pristupa i razine faktora uËinkovitostiprimjenjujuÊi neku od metoda poticajneregulacije. U Ëlanku se analiziraju dva regulatornapristupa u primjeni faktora uËinkovitosti i uloziregulatornog tijela u odobravanju investicijskihplanova subjekata koji obavljaju regulirane djelatnostipoznatih pod nazivom regulatorni pristupslaganja blokova (engl. Building Blocks Appraoch)i regulatorni pristup ukupnog troπka (engl. TotalExpenditures Approach ∑ TOTEX Approach). Oodabranom regulatornom pristupu ovisi i naËinna koji regulatorno tijelo ocjenjuje uËinkovitostpojedinih ulaganja i razmatra opravdanost razinepredviappleenih ulaganja.achieve the planned development of the networkwith the goal of improving efficiency, i.e. improvingthe quality of the supply.Through the selection of the rate of return (RoR)method and a regulatory period of one year withinwhich it is possible to initiate changes in theamounts of the tariff items, the CERA did not placeemphasis on increasing the efficiency of the entitiesperforming regulated activities, which is oneof the main goals of economic regulation. Bearingin mind the experiences of other regulatory bodiesfrom the EU, changes in the regulatory method willhave to follow soon, and the CERA will have to intensifyits analysis of the dependence of the regulatoryapproach and the level of the efficiency factor,applying some incentive regulation method. In thisarticle, two regulatory approaches are analyzed inthe application of the efficiency factor and the rolesof the regulatory body in the approval of the investmentplans of entities performing regulated activities,known as the building block approach, and theregulatory approach known as the total expenditureapproach or the TOTEX approach. The choice of theregulatory approach will also determine the mannerin which the regulatory body will assess the performanceof individual investments and analyze thejustification for the level of individual investments.2 PRAKSA U »LANICAMAENERGY REGULATORSREGIONAL ASSOCIATIONZemljopisno gledano ERRA je udruæenje regulatornihtijela iz Europe (pojedine dræave ujednosu i Ëlanice EU) i bivπih dræava Sovjetskog savezaosnovano 2000. godine. TrenutaËno su uudruæenju punopravno uËlanjena 22 regulatornatijela ukljuËujuÊi i HERA-u. Na sastancima odboraERRA-e raspravlja se i razmjenjuju se iskustva onadleænostima regulatornih tijela, problemima iizazovima s kojima se susreÊu regulatorna tijela.Jedna od nadleænosti veÊine regulatornih tijela jei sudjelovanje u postupku donoπenja razvojnih/investicijskih planova energetskih subjekata kojise bave prijenosom i distribucijom elektriËneenergije u vidu tehniËkih, financijskih ili poslovnihplanova. Planovi se donose kao preduvjet zautvrappleivanje metodologija za izraËun cijena uslugaili donoπenje samih iznosa cijena usluga. Pitanjakoja se nameÊu prilikom rasprave o ulozi regulatornihtijela u donoπenju predmetnih planova su:∑koliko duboko i detaljno regulatorno tijelo trebabiti ukljuËeno u izradu i donoπenje razvojnih/investicijskih planova, posebice kada se radi ostrateπkim dilemama ili tehniËkim rjeπenjima,2 PRACTICES AMONG THEMEMBERS OF THE ENERGYREGULATORS REGIONALASSOCIATION (ERRA)Viewed geographically, the ERRA is an associationof the energy regulatory bodies from Europe (someof the countries are also members of the EU) andthe former the Soviet Union, which was establishedin the year 2000. Currently, there are twenty-tworegulatory bodies that are full members, includingthe CERA. At the meetings of the ERRA committees,experiences are discussed regarding the authoritiesof the regulatory bodies, together with the problemsand challenges encountered by the regulatory bodies.One of the authorities of the majority of theregulatory bodies is participation in the procedure forthe adoption of the development/investment plans ofthe energy entities engaged in the transmission anddistribution of electrical energy, regarding technical,financial or business plans. Plans are adopted as aprerequisite for the determination of the methodologiesfor the calculation of the prices for services orthe adoption of the amounts of the prices of the services.Questions posed during the discussions on therole of the regulatory bodies in the adoption of theseplans are as follows:Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583558

∑ treba li regulatorno tijelo biti ta instanca kojaÊe utvrditi jediniËni troπak pojedine opreme,∑ koje sastavne dijelove mora sadræavati svakirazvojni/investicijski plan.Na ova pitanja i dileme ERRA-in Odbor za tarife icijene pokuπao je u 2005. godini odgovoriti krozanalizu iskustava dræava Ëlanica [9]. Meappleutim,provedena analiza je pokazala da se uloga regulatornogtijela u donoπenju razvojnih/investicijskihplanova znaËajno razlikuje ovisno o zakonskimrjeπenjima, nadleænostima regulatornih tijela testruËnoj, tehniËkoj i financijskoj osposobljenostiregulatornih tijela.Upitnik koji je tom prilikom pripremljen, analizirani prezentiran sadræi 33 pitanja. Svoje odgovorena pitanja iz Upitnika dala su regulatorna tijelaiz 12 dræava (Armenija, Bosna i Hercegovina,Bugarska, Hrvatska, Estonija, Gruzija, Latvija, Litva,Makedonija, Poljska, Rumunjska i Ukrajina).U dræavama koje su odgovorile na Upitnik brojOPS-ova uglavnom je jedan, dok se broj ODS-ovakreÊe izmeappleu 1 i viπe od 200 (Poljska). U veÊinidræava regulatorno tijelo daje suglasnost na razvojne/investicijskeplanove OPS-a i ODS-a (slika 1).Meappleutim, postoje i rjeπenja u kojima regulatornotijelo nije ukljuËeno u proces donoπenja planova,veÊ je to npr. u potpunosti u nadleænosti energetskihsubjekata. Razdoblje na koje se donose planovikreÊe se od jedne do deset godina, kako zaOPS tako i za ODS.∑ how deep and thorough should a regulatorybody’s involvement be in the preparation andadoption of development/investment plans, especiallyregarding strategic dilemmas or technicalsolutions?∑ should the regulatory body be the one to definethe unit costs of individual types of equipment?∑ what are the integral parts that every development/investmentplan should have?In 2005, the ERRA Tariff/Pricing Committee attemptedto answer these questions and dilemmas throughanalysis of the experiences of the member countries[9]. However, the analysis performed demonstratedthat the roles of the regulatory bodies in the adoptionof development/investment plans vary significantly,depending upon the legal solutions, the authorities ofthe regulatory bodies and the professional, technicaland financial abilities of the regulatory bodies.The questionnaire that was prepared, analyzed andpresented on this occasion has thirty-three questions.The regulatory bodies from twelve countries (Armenia,Bosnia and Herzegovina, Bulgaria, Croatia, Estonia,Georgia, Latvia, Lithuania, Macedonia, Poland,Rumania and the Ukraine) answered the questionson the questionnaire. In the countries that respondedto the questionnaire, the number of TSO (transmissionsystem operators) is generally one, while thenumber of DSO (distribution system operators) rangesbetween one and over two hundred (Poland). Inthe majority of the countries, the regulatory body issuesapproval for the development/investment plansof the transmission system operators and distributionsystem operators (Figure 1). However, there are alsosolutions in which the regulatory body is not includedin the process of the adoption of plans but instead,for example, the energy entities have full authorizationfor this. The periods for which plans are adoptedrange from one to ten years, for both transmissionsystem operators and distribution system operators.Regulatorno tijelo /Regulatory bodyResorno ministarstvo /Responsible ministryEnergetski subjekt / Energy entityRegulatorno tijelo i energetskisubjekt / Regulatory body andenergy entityRegulatorno tijelo i vlada/ Regulatory body and thegovernmentRegulatorno tijelo i resornoministarstvo / Regulatory bodyand responsible ministryRegulatorno tijelo, resornoministarstvo, energetski subjekt/ Regulatory body, responsibleministry and energy entity25 %ODS (Operator distribucijskog sustava) /DSO (Distribution System Operator)8 %0 % 0 % 8 %8 %51 %8 %17 %OPS (Operator prijenosnog sustava) /TSO (Transmission System Operator)8 %8 % 0 %17 %42 %Slika 1Raspodjela nadleænostidavanja suglasnostina planove razvoja/investicija ODS-a iOPS-a u ËlanicamaERRA-e (analiza jeprovedena za 12 dræava)Figure 1Distribution of authorityfor issuing approvalfor the development/investment plans ofdistribution systemoperators andtransmission systemoperators among themembers of ERRA.(Analysis was performedfor twelve countries)559Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

Pitanja koja su zanimljiva za ulogu regulatornogtijela u donoπenju planova posebice se odnose nadubinu regulatornog utjecaja u podruËju:Questions of interest regarding the role of the regulatorybody in the adoption of plans particularly refer tothe extent of regulatory influence in the following areas:∑ tehniËkih rjeπenja, npr. zamjena elektro-mehaniËkihdigitalnim mjernim ureappleajima,∑ koncepcijskih dilema u razvoju visokonaponske(VN) i srednjonaponske (SN) mreæe, kaoπto je npr. interpolacija SN/SN trafostanica,∑ troπka graappleevinskih radova,∑ utvrappleivanja jediniËnih troπkova opreme.∑∑∑∑technical solutions, e.g. the replacement of electromechanicalmetering devices with digital ones,conceptual dilemmas in the development of highvoltage and medium voltage networks, such as, forexample, the interpolation of MV/MV substations,costs of construction work, andthe determination of the unit costs of equipment.Prva dva podruËja u naËelu su u veÊini dræava unadleænosti energetskih subjekata i stvar su odlukeOPS-a, odnosno ODS-a. Utvrappleivanje troπkovaza druga dva navedena podruËja proizlazi iz javnihnabava. Isto tako, kada se analizira tko jenadleæan za utvrappleivanje kriterija za planiranje prijenosnei distribucijske mreæe, proizlazi da su toprvenstveno energetski subjekti, a ne regulatornatijela (slika 2).Postavlja se pitanje koja je onda stvarna ulogaregulatornih tijela u donoπenju planova razvoja/investicija OPS-a/ODS-a, odnosno kakav utjecajmoæe imati regulatorno tijelo na dinamiku i visinuinvesticija, kao i na koncepcijska rjeπenja.BuduÊi da je veÊina analiziranih regulatornih tijelau naËelu tek u poËetku primjene regulatorneprakse te uspostavljanja kompetentnog i struËnoosposobljenog regulatornog tijela, u veÊini sluËajevaregulatorna uloga se svodi na analizu i nadzorfinancijskih i raËunovodstvenih izvijeπÊa, a ne nautvrappleivanje kriterija za tehniËka rjeπenja i odobravanjeopravdane visine pojedinih investicija. Kaoilustrativni primjer financijskog, odnosno poslovnog,nadzora moæe se navesti praksa u pojedinimdræavama Ëlanicama ERRA-e koje su odgovorile napitanje iz upitnika koje se odnosi na financijske iposlovne kriterije utvrappleene za regulatorni nadzorenergetskih subjekata.In the majority of the countries, the first two areas arein principle under the authority of the energy entitiesand matters for decision by the transmission systemoperator or the distribution system operator. The definitionof costs for the other two areas mentioned comesfrom public procurements. Similarly, it is primarily theenergy entities and not the regulatory bodies whichare authorized to define the criteria for the planningof transmission and distribution networks (Figure 2).Therefore, the question is posed concerning the actualroles of the regulatory bodies in the adoption of thedevelopment/investment plans of transmission systemoperators and distribution system operators, i.e. what influencecan a regulatory body have on the dynamics andamount of investment, as well as on the conceptual solution.Since the majority of the analyzed regulatory bodiesin principle are only beginning to apply regulatory practicesin the establishment of competent and professionallyqualified bodies, in the majority of cases the regulatoryrole is limited to the analysis and audit of financialand accounting reports, and not the determination of thecriteria for the technical solutions and the approval ofthe justified amounts of individual investments. An illustrativeexample of financial or operational supervisionis the practice in some member countries of the ERRAwhich responded to the questions on the questionnairethat refer to the financial and operational criteria establishedfor the regulatory supervision of energy entities.Slika 2Raspodjela nadleænostiza utvrappleivanje kriterijaza planiranje prijenosnei distribucijske mreæeu Ëlanicama ERRA-e(analiza je provedena za12 dræava)Figure 2The distribution ofauthority for thedetermination ofcriteria for the planningof transmission anddistribution networksamong membercountries of theERRA (analysis of 12countries)Energetski subjekt /Energy entityRegulatorno tijelo /Regulatory bodyResorno ministarstvo /Responsible ministryRegulatorno tijelo i energetskisubjekt / Regulatory bodyand energy entityEnergetski subjekt i regulatornotijelo / Energy entity andregulatory body17 %8 %8 %ODS / DSO8 %59 %17 %8 %17 %8 %OPS / TSO50 %Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583560

U Bugarskoj se financijski nadzor provodi na temeljuodabranih financijskih pokazatelja koji suutvrappleeni kao pokazatelji od vaænosti za regulatorninadzor. Analiza ovih pokazatelja trebala bi odgovoritina pitanje primjenjuju li energetski subjektimjere utvrappleene od strane regulatornog tijela kojeza cilj imaju poveÊanje ekonomske uËinkovitostiproizaπle iz primjene poticajne regulacije. U Latvijitarifna metodologija utvrappleuje naËin na kojise dostavlja prijedlog tarifa, odnosno utvrappleujeset potrebnih podataka koje je potrebno dostavitiregulatornom tijelu. U Ukrajini nadzor poslovnihplanova provodi se kroz raËunovodstveni nadzori izvjeπÊa za potrebe regulatornog tijela. Poslovni,odnosno investicijski planovi izmeappleu ostalogmoraju sadræavati iznos godiπnjeg budæeta, izvorfinanciranja te detaljnu elaboraciju troπkova. Zaukrajinsko regulatorno tijelo potrebno je naglasitida veÊ dugi niz godina primjenjuje razne vrste metodaravnanja prema mjerilu (engl. benchmarking)za koje je podatak o troπkovima za pojedinaËneinvesticije viπe nego dobrodoπao.Odgovori na Upitnik pokazali su da u veÊinidræava regulatorno tijelo provodi nadzor nad realizacijompredviappleenih investicija tijekom postupkautvrappleivanja tarifa za novo regulatorno razdoblje.Ono πto je bitno kod utvrappleivanja cijena usluga iukljuËivanja pojedinih troπkova u razinu prihodaenergetskog subjekta odobrenog od strane regulatornogtijela je realizacija investicija iz investicijskogciklusa. Naime, ukoliko je pojedina investicijaodobrena i ukljuËena u investicijske planove, te suza istu alocirana potrebna sredstva u regulatornomrazdoblju, tu istu investiciju ne moæe se ukljuËiti uregulirani troπak u novom regulatornom razdoblju.Proizlazi da je nadzor regulatornog tijela vrlo bitanu segmentu nadzora nad realizacijom investicijskihplanova subjekata koji obavljaju reguliranedjelatnosti.Ukoliko energetski subjekt ne realizira predviappleeniinvesticijski ciklus, u pojedinim dræavama (Armenija,Latvija, Litva, Poljska, Ukrajina), u sljedeÊemregulatornom razdoblju dolazi do smanjenja iznosareguliranih tarifnih stavki. No, moguÊa su i drastiËnijarjeπenja, kao npr. u Armeniji, gdje regulatornotijelo osim smanjenja iznosa tarifnih stavkimoæe izreÊi upozorenje ili oduzeti dozvolu za obavljanjeenergetske djelatnosti. Meappleutim, ukoliko seradi o OPS-u, postavlja se pitanje tko Êe obavljatidjelatnost ukoliko se oduzme dozvola. Nadalje,kao sankcija za neispunjavanje investicijskog ciklusa,moguÊe su i novËane kazne, npr. u Ukrajinido 16 000 ameriËkih dolara. I u hrvatskom zakonu[8] predviappleena je novËana kazna za energetski subjektu iznosu do 50 000 kuna ukoliko ne izraappleujeplanove razvoja i izgradnje, odnosno ukoliko ih neIn Bulgaria, financial supervision is performed onthe basis of selected financial indices that are determinedas indices of importance for regulatory supervision.Analysis of these indices should answerthe question of whether energy entities apply themeasures determined by the regulatory body withthe goal of achieving increased economic performancethrough the application of incentive regulations.In Latvia, the tariff methodology determinesthe manner in which a proposed tariff should besubmitted, i.e. determines the set of necessary datathat must be submitted to the regulatory body. Inthe Ukraine, supervision of business plans is performedthrough accounting supervision and reportsfor the purposes of the regulatory body. Business orinvestment plans, among other things, must containthe amount of the annual budget, the sourceof financing and a detailed elaboration of costs. Forthe Ukrainian regulatory body, it is necessary to emphasizethat various types of methods based uponbenchmarking have been applied for many years,for which data on the costs for individual investmentsare more than welcome.Responses to the questionnaire showed that in themajority of the countries, the regulatory body supervisesthe implementation of planned investmentthrough the procedure of determining the tariffsfor the new regulatory period. What is important inthe determination of the prices for services and theinclusion of individual costs in the level of the revenuesof the energy entity approved by the regulatorybody is the implementation of investment from theinvestment cycle. Insofar as an individual investmentis approved and included in investment plans,and the necessary assets are allocated for it in theregulatory period, this same investment cannot beincluded in the regulated expenditures in the newregulatory period. Therefore, it follows that supervisionby the regulatory body is very important in thesegment of supervising the implementation of theinvestment plans of a entities performing regulatedactivities.If an energy entity does not implement a planned investmentcycle, in some countries (Armenia, Latvia,Lithuania, Poland and the Ukraine) there is a reductionin the amounts of the regulated tariff items in thesubsequent regulatory period. However, even moredrastic solutions are possible, such as, for example,in Armenia where the regulatory body, in addition toreducing the amounts of the tariff items, can alsoissue a warning or revoke the license for performingenergy operations. However, when this concerns atransmission system operator, the question is askedwho will perform the activity if the license is revoked.Furthermore, monetary fines can be imposed as penaltiesfor not fulfilling an investment cycle such as,for example, in the Ukraine of up to USD 16 000.561Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

izraappleuje temeljem Strategije energetskog razvitka iPrograma provedbe Strategije.Radi lakπe provedbe postupka davanja suglasnostina planove od strane regulatornog tijela i kasnijegnadzora nad provedbom planova u pojedinimdræavama (Bugarska i Ukrajina) struktura sadræajaplanova je predefinirana. U Litvi razvojni/investicijskiplanovi moraju zadovoljiti nuæan minimumsadræaja planova, a to je:∑ obrazac potpisan od strane odgovorne osobesa svim potrebnim podacima djelatnika (imena,telefon, e-mail adresa) koji su sudjelovali uizradi planova,∑ popis planiranih investicija koje moraju bitiu skladu sa strategijom razvoja i dugoroËnimplanovima razvoja mreæa, ukljuËujuÊi iznospotrebnih financijskih sredstava, izvore financiranja,terminski plan i sliËno,∑ pisano obrazloæenje u vidu investicijskog planaza razdoblje od tri godine iz kojeg je vidljivuËinak pojedine investicije, kako u tehniËkomtako i ekonomskom, socijalnom i ekoloπkompogledu. Isto tako potrebno je navesti utjecajpojedine investicije na cijenu, kvalitetu uslugei sl. U odgovoru na pitanje iz Upitnika nije navedenodo koje naponske razine ili koje visineinvesticije je potrebno pisati ovako detaljnapojaπnjenja razloga za pojedinu investiciju,∑ energetski subjekt treba osigurati i druge podatkeili dokumente ukoliko regulatorno tijeloustanovi da su potrebni za mjerodavan stavregulatornog tijela.U dijelu Upitnika koji se odnosi na povezanostplanova i regulatornih parametara, kao πto je tostopa povrata na kapital, veÊina regulatornih tijelaodgovorila je da institucija koja odobrava planovene treba predefinirati pojedine regulatorne parametrekojima bi se sluæili u analizi planova. Izuzetakje Bugarska u kojoj regulatorno tijelo moæedati instrukcije, u smislu davanja informacije oaproksimativnom iznosu pojedinih regulatornihparametara, kao πto je npr. stopa povrata na kapitalkojom se energetski subjekt moæe koristitiprilikom izrade planova razvoja/investicija.Under Croatian law [8], a monetary fine for an energyentity in the amount of up to 50 000 kunas is stipulatedif development and construction plans are notprepared, i.e. if they are not prepared according tothe Energy Development Strategy and the Programfor the Implementation of the Strategy.To facilitate implementation, the procedures for issuingapproval for plans by the regulatory body andsubsequent supervision of the implementation ofplans in some countries (Bulgaria and the Ukraine),the structure of the content of the plans are predefined.In Lithuania, development/investment plansmust include the necessary minimum contents ofthe plans, as follows:∑ a form should be signed by the responsible persons,with all the necessary data on the employees(names, telephone numbers and e-mail addresses)who participated in the preparation of the plans,∑ there should be a list of the planned investments,which must be pursuant to the developmentstrategy and long-range plans for the developmentof the network, including the amountof the necessary financial assets, the sources offinancing, schedule etc.,∑ there should be a written explanation regardingthe investment plan for the period of three years,from which the impact of individual investmentsis visible, in the economic, social andecological aspects. Furthermore, it is necessaryto state the impact of individual investments onprice, quality of service etc. The responses to aquestion from the questionnaire do not indicatethe voltage level or the level of investment thatrequire a detailed written explanation of the reasonsfor an individual investment,∑ the energy entity should also provide other dataor documents if the regulatory body deems thatthey are necessary in order for it to determineits position.In the part of the questionnaire that refers to theconnection between plans and regulatory parameters,such as the rate of return on capital, themajority of the regulatory bodies answered that theinstitution that approves plans does not have topredefine the individual regulatory parameters thatit would use in the analysis of the plans, with theexception of Bulgaria in which the regulatory bodycan provide instructions in the sense of furnishinginformation on the approximate amounts of regulatoryparameters, such as, for example, the rate ofreturn on capital that an energy entity can use inpreparing development/investment plans.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583562

ZakljuËak koji se moæe izvuÊi iz odgovora na pitanjaiz Upitnika je da regulatorna tijela ukoliko imajuu nadleænosti davanje suglasnosti na planoverazvoja/investicija OPS-a i ODS-a, u naËelu suglasnostdaju na moguÊnost realizacije predviappleenihinvesticija u financijskom pogledu te na rezultatekoji se postiæu predviappleenim investicijama. Podrezultatima smatra se poveÊanje uËinkovitostisubjekata koji obavljaju regulirane djelatnosti ilipoveÊanje razine kvalitete opskrbe. Ono πto jepotrebno naglasiti kao zakljuËak razmatranja odgovorana Upitnik je da se analizirana regulatornatijela ne mijeπaju u koncepcijska tehniËka rjeπenjau planovima razvoja i izgradnje mreæa.Da bi se moglo govoriti o poveÊanju uËinkovitostikoja je rezultat primjene poticajne regulacije i outjecaju razine odobrenih investicija na razinu dozvoljenogprihoda reguliranog subjekta, potrebnoje dati prikaz, odnosno analizu, moguÊih regulatornihpolitika u primjeni poticajne regulacije. Pritome vaænu ulogu ima osnovica na koju se primjenjujefaktor uËinkovitosti te dinamika realizacijepredviappleenih investicija i amortizacijska politika.3 UTJECAJ REGULATORNEPOLITIKE NA DOZVOLJENIPRIHODDo sada je bilo rijeËi o nadleænosti regulatornogtijela u donoπenju planova razvoja/investicija, a dase pri tome nije analizirala regulatorna politika ukojoj vaænu ulogu ima cilj koji se æeli postiÊi pojediniminvesticijskim ciklusom te razina odobrenihinvesticija koje se ukljuËuju u regulirane troπkove.Kontekst regulatorne politike koji se razmatra uovom Ëlanku prvenstveno se odnosi na poticajnuregulaciju Ëije su znaËajke u detalje razmatraneu literaturi pod [6], a za koju je, ukoliko se radi ometodi regulacije maksimalnog prihoda, karakteristiËnasljedeÊa formula:The conclusion that can be drawn from the responsesto the questions on the questionnaire is that the regulatorybodies, insofar as they have the authority to approvethe development/investment plans of the transmissionsystem operator and the distribution systemoperator, in principle issue approval based upon thefeasibility of the implementation of the planned investmentsin the financial aspect and based upon theresults to be achieved by the planned investments.Results include the increased efficiency of the entitiesperforming regulated activities or improved quality ofthe supply. It is necessary to emphasize that a conclusiondrawn from a review of the responses to thequestionnaire is that the analyzed regulatory bodiesdo not interfere in the conceptual technical solutionsof the network development and investment plans.In order to speak about the increased efficiency resultingfrom the application of incentive regulationsand the impact of the level of approved investmentson the level of the allowed revenue of entities performingregulated activities, it is necessary to providea presentation, i.e. an analysis, of the potentialregulatory policies in the application of incentiveregulations. Important roles are played by the baseupon which the efficiency factor is applied, thedynamics of the implementation of planned investmentsand the depreciation policy.3 THE IMPACT OF REGULATORYPOLICIES ON ALLOWEDREVENUEThus far, the authority of the regulatory body in theadoption of development/investment plans has beendiscussed without analyzing the regulatory policies, inwhich the desired goal to be achieved by an individualinvestment cycle and the level of approved investmentsincluded under regulated expenditures have importantroles. The context of the regulatory policies that arediscussed in this article primarily refers to incentiveregulation, the characteristics of which are discussedin detail in the literature [6], and for which, insofar asthey concern methods for the regulation of maximumrevenue, are characterized by the following formula:(1)gdje je:P max t ∑ gornja granica dozvoljenog prihoda ugodini t,where:R max t ∑ the upper limit of revenue, i.e. revenuecap,in year t,563Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

P max (t - 1) ∑ gornja granica dozvoljenog prihoda ugodini t -1,CPI t ∑ indeks potroπaËkih cijena u godini t,X t ∑ faktor uËinkovitosti u godini t,KP t ∑ faktor korekcije u godini t.Mehanizam poticajne regulacije prije svega nastojikroz poticaje (X-faktor) poveÊati uËinkovitost energetskihsubjekta. Pri tome vrijedi pretpostavka daje energetski subjekt u stanju kontrolirati razinusvojih troπkova. Za troπkove za koje se smatra daih energetski subjekt ne moæe kontrolirati, odnosnoda su izvan kontrole subjekta, kao πto su tonpr. porezi, naknada za regulaciju, troπkovi kojeje prouzroËila viπa sila i sl., ne moæe se oËekivatipoveÊanje uËinkovitosti subjekta na raËun njihovogsmanjenja. Stoga se poticaji primjenjuju narazinu kontroliranih troπkova, dok se nekontroliranitroπkovi smatraju prolaznim i u cjelokupnomiznosu se prebacuju na kupca. Detaljna elaboracijagranice izmeappleu kontroliranih i nekontroliranihtroπkova zahtijeva dublje analize od straneregulatornog tijela. Kao primjer troπkova koji semogu svesti u sferu kontroliranih i nekontroliranihtroπkova su troπkovi tehniËkih gubitaka u mreæi.Ukoliko regulatorno tijelo smatra da su gubici upotpunosti nekontrolirani troπak, prihvaÊa njihovurazinu, odnosno njihov troπak, u iznosu koji prijavljujeenergetski subjekt. U tom sluËaju energetskisubjekt neÊe imati nikakav poticaj da ih smanji,bilo u vidu troπka bilo u vidu fiziËkih gubitakaizraæenih u kWh. Meappleutim, ukoliko ih regulatornotijelo smatra kontroliranim troπkom, nastojat Êe ihkroz regulatornu politiku svesti u granice koje sesa stajaliπta regulatornog tijela Ëine opravdanima.Kada se radi o kontroliranim troπkovima, regulatornapolitika razlikuje dvije grupe troπkova:∑∑operativne troπkove (engl. Operating Expanditures∑ OPEX), troπkovi koje je moguÊe kontroliratiu kratkoroËnom razdoblju ikapitalne troπkove (engl. Capital Expanditures∑ CAPEX), troπkove koje je moguÊe kontroliratiu dugoroËnom razdoblju.U OPEX se ubrajaju troπkovi osoblja, materijalnitroπkovi, troπkovi odræavanja, ostali troπkovi poslovanjai sl. Troπkovi koje je moguÊe prilagoappleavati urelativno kratkom roku. S druge pak strane, CA-PEX se u kratkoroËnom razdoblju moæe promatratikao fiksni troπak buduÊi da se i prvenstveno radio troπkovima koji se veæu uz investicije u razvojmreæa i poboljπanje kvalitete opskrbe. CAPEX jemoguÊe podijeliti u dvije grupe ∑ amortizaciju ipovrat sredstava koji se definira kao godiπnja stopapovrata primijenjena na neamortizirani dio ulaganja.Povrat sredstava u naËelu utvrappleuje regulator-R max (t -1) ∑ the upper limit of revenue, i.e. revenuecap,in year t -1,CPI t ∑ the consumer price index in year t,X t ∑ the efficiency factor in year t,KP t ∑ the correction factor in year t.The mechanism of incentive regulation primarily attemptsto increase the efficiency of energy entitiesthrough incentives (the X-factor). It is presumed thatan energy entity is in a position to control the levelof its expenditures. For expenditures presumed tobe non-controllable by an energy entity, i.e. that areout of the control of the entity, such as, for example,taxes, regulation charges, expenditures due to forcemajeure etc., it is not possible to expect that theentity will achieve increased efficiency by reducingthem. Therefore, incentives are applied at the levelof controllable costs, while non-controllable costsare considered to be transitory and are transferredin their entirety to the customers. A detailed elaborationof the boundary between controllable and noncontrollableexpenditures requires in-depth analysisby the regulatory body. An example of expendituresthat can be classified within the spheres of both controllableand non-controllable expenditures are thecosts of technical losses in the network. Insofar asthe regulatory body considers the losses to be entirelynon-controllable expenditures, it accepts their level,i.e. their cost, in the amount that the energy entityreports. In this case, the energy entity will not haveany incentive to reduce them, whether in the aspectof expenditures or the aspect of physical losses expressedin kWh. However, insofar as the regulatorybody considers them to be controllable expenditures,it will attempt to lower them through regulatory policyto within the limits considered justified from thestandpoint of the regulatory body.Concerning controllable expenditures, regulatorypolicy differentiates between two groups ofexpenditures:∑∑Operating expenditure ∑ OPEX, expenditure thatcan be controlled within a short-term periodCapital expenditure ∑ CAPEX, expenditure thatcan be controlled within a long-term period.Under OPEX are included personnel costs, materialcosts, maintenance costs, other operating costs etc.These are expenditures that can be adjusted withina relatively short period. On the other hand, CAPEXcan be considered as fixed expenditures within ashort-term period, primarily concerning expendituresin connection with investment in networkdevelopment and improvement in the quality of thesupply. CAPEX can be divided into two groups ∑depreciation and return on assets, defined as theannual rate of return applied to the non-depreciatedportion of investment. In principle, the returnŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583564

no tijelo na osnovi troπka kapitala subjekata kojiobavljaju regulirane djelatnosti [7].ImajuÊi u vidu da regulatorno tijelo u naËelu moæeregulirati dvije kategorije troπkova, moguÊe jedefinirati dva pristupa u regulaciji. Prvo, regulatornotijelo moæe primjenjujuÊi pojedinu metodupoticajne regulacije zasebno razmatrati OPEXi CAPEX. Ovakav pristup poznat je pod nazivomregulatorni pristup slaganja blokova, buduÊi da sesastoji od dvije komponente, odnosno bloka, zakoje regulatorno tijelo pojedinaËno utvrappleuje opravdanurazinu.Drugi pristup se odnosi na regulatornu politikuu kojoj regulatorno tijelo OPEX i CAPEX razmatrakao integrirani troπak na koji se sumarno primjenjujeodabrana metoda poticajne regulacije.Ovakav pristup poznat je pod nazivom regulatornipristup ukupnog troπka. TOTEX oznaËava sumuOPEX-a i CAPEX-a. U nastavku razmatra se svakiod pristupa pojedinaËno.3.1 Regulatorni pristup slaganja blokovaU regulatornom pristupu slaganja blokova regulatornotijelo mora odvojeno analizirati uËinkovitu,odnosno opravdanu razinu, OPEX-a i CAPEX -a.Pri ocjenjivanju razine uËinkovitosti i opravdanostiOPEX-a Ëest je sluËaj da regulatorna tijelakoriste razne metode ravnanja prema mjerilu [7].Meappleutim, utvrappleivanje faktora uËinkovitosti X uformuli za poticajnu regulaciju (1) zahtijeva punosloæeniji postupak, ukljuËujuÊi i diskrecijske odlukeregulatornih tijela, od direktnog uvrπtavanjarezultata dobivenih primjenom neke od poznatihmetoda ravnanja prema mjerilu.Dozvoljena razina CAPEX-a utvrappleuje se na osnoviinvesticijskih planova energetskih subjekatapredviappleenih za sljedeÊe regulatorno razdoblje. Naosnovi predloæenih investicija, regulatorno tijeloprocjenjuje koje investicije ukljuËiti u regulatornuosnovicu sredstava. Investicije koje su ukljuËene uregulatornu osnovicu sredstava bit Êe u potpunostiukljuËene u troπak amortizacije te Êe se na neamortiziranidio primijeniti stopa povrata na uloæenikapital.»est je sluËaj da se predviappleena razina investicijapromatra kao troπak koji se prihvaÊa na razini prijedlogaenergetskih subjekata. Ukoliko regulatornotijelo u potpunosti prizna predloæene investicije,kod energetskog subjekta se stvara poticaj daprikazuje πto veÊu razinu buduÊih investicija nevodeÊi se opravdanim razlozima kao πto su smanjenjegubitaka u mreæi ili postizanje optimalne,odnosno propisane razine kvalitete opskrbe. Pritome energetski subjekt ima u vidu da Êe se veÊaon assets is determined by the regulatory body onthe basis of the capital expenditures of the entitiesperforming regulated activities [7].Bearing in mind that the regulatory body can inprinciple regulate the two categories of expenditures,it is possible to define two approaches toregulation. First, when the regulatory body appliesan individual incentive regulation method, it canconsider OPEX and CAPEX separately. Such an approachis known as the building block approach,since it consists of two components, i.e. blocks, forwhich the regulatory body determines the justifiablelevels individually.The second approach refers to the regulatory policyin which the regulatory body considers OPEX andCAPEX as an integrated expenditure, to which theselected incentive regulation method is summarilyapplied. Such an approach is known as the totalexpenditure, TOTEX, regulatory approach. TOTEXrepresents the sum of OPEX and CAPEX. Each approachwill be discussed separately.3.1 The building block regulatory approachIn the building block regulatory approach, the regulatorybody must analyze the efficiency or justifiedlevel of OPEX and CAPEX separately. In assessingthe efficiency and justified level of OPEX, a regulatorybody frequently employs various benchmarkingmethods [7]. However, the determination of the efficiencyfactor X in the formula for incentive regulation(1) requires a far more complex procedure,including discretional decisions by the regulatorybodies, such as the direct classification of the resultsobtained from the application of some of thewell-known benchmarking methods.The allowed level of CAPEX is determined onthe basis of the investment plans of energy entitiesfor the subsequent regulatory period. On thebasis of the proposed investments, the regulatorybody assesses which investments to include in theregulatory asset base (RAB). Investments that areincluded in the regulatory asset base will be fullyincluded in the depreciation cost, and the returnrate on invested capital will be applied to the nondepreciatedpart.It is frequently the case that the investment levelis considered as an expenditure which is acceptedat the level of the proposals by the energy entities.Insofar as the regulatory body recognizes theproposed investments in full, incentive is createdfor the energy entity to show the highest possiblelevel of future investments, whether or not theyare based upon justified reasons such as reducinglosses in the network or achieving the optimal, i.e.565Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

azina investicija ukljuËiti u regulatornu osnovicusredstava, a time Êe biti i veÊi povrat sredstava,πto Êe se u konaËnici odraziti i na profite. Energetskomsubjektu bit Êe u interesu prikazati πto veÊeinvesticije u buduÊem regulatornom razdoblju.PovodeÊi se tim naËelom postoji i moguÊnost dapojedine OPEX troπkove energetski subjekt prikaæekao CAPEX. Na taj naËin pojedini OPEX troπkovinisu ukljuËeni u poticajni mehanizam poveÊanjauËinkovitosti na razini OPEX troπkova. Time Êe sepostiÊi privid manjih OPEX troπkova, odnosno postizanjeveÊe uËinkovitosti energetskog subjekta usferi OPEX troπkova. Strateπka alokacija OPEX-apod CAPEX, odnosno poveÊanje regulatorne osnovicesredstava na taj naËin, uoËena je veÊ u nekimsluËajevima regulatornog nadzora posebice u VelikojBritaniji [10].Postavlja se pitanje na koji naËin regulatorno tijelomoæe reagirati ukoliko se tijekom regulatornograzdoblja ne realiziraju sve predviappleene investicijeodobrene od strane regulatornog tijela. Ukolikose pokaæe da nisu realizirane sve predviappleene investicije,regulatorno tijelo moæe u sljedeÊem regulatornomrazdoblju utvrditi niæe cijene usluga,odnosno moæe ne dozvoliti ponovno ukljuËivanjenerealiziranih investicija u regulatornu osnovicusredstava. Meappleutim, da bi regulatorni pristup biodosljedan i razvidan za obje strane, regulatornotijelo i energetski subjekt, regulatorno tijelo moæeutvrditi donju i gornju granicu za realizaciju investicijaiz plana poslovanja i razvoja. Prekomjerneinvesticije neÊe biti uopÊe ukljuËene u regulatornuosnovicu sredstava ili Êe biti ukljuËene samo djelomiËno.Ono πto predstavlja problem u takvom regulatornompristupu je da energetski subjekt nemapoticaja za poveÊanje uËinkovitosti u segmentuCAPEX -a. Naime, ukoliko se ostvari manji CAPEXod predviappleenog, regulatorno tijelo Êe u naËelu ubuduÊem regulatornom razdoblju kao osnovicu zaizraËun imati manji CAPEX, bez obzira da li se radio uπtedama na raËun podinvestiranosti (manjegrazmjera investicija od odobrenih) ili o poveÊanjuproduktivnosti energetskog subjekta. Energetskisubjekt ne ostvaruje nikakve financijske koristi odpoveÊanja uËinkovitosti u segmentu CAPEX -a.the stipulated, level of supply quality. The energyentity must bear in mind that a higher level of investmentwill be included in the regulatory assetbase and, therefore, there will be a greater returnon assets, which will ultimately reflect upon profits.Consequently, it is in the interest of the energy entityto show the maximum investments in the futureregulatory period. Consequently, there is also thepossibility that an individual OPEX by an energyentity is shown as a CAPEX. In this manner, individualoperating expenditures are not included inthe incentive mechanism for increasing efficiencyat the level of OPEX. In this manner, apparentlylower operating expenditures will be achieved, i.e.greater efficiency of the energy entity in the sphereof OPEX. The strategic allocation of operating expendituresunder capital expenditures, i.e. increasingthe regulatory asset base in this manner, hasalready been noted in some cases of regulatory supervision,especially in Great Britain [10].The question is posed regarding how a regulatorybody can react if all the planned investments that ithas approved have not been made during a regulatoryperiod. Insofar as all the planned investmentshave not been implemented, during the subsequentregulatory period the regulatory body can set lowerprices for services or can prohibit non-implementedinvestments from being included in the regulatoryasset base again. However, in order for the regulatoryprocedure to be consistent and transparentfor both sides, the regulatory body and the energyentity, the regulatory body can set lower and upperlimits for the implementation of investment fromthe business and development plans. Excessiveinvestment will not be included in the regulatoryasset base or will be included only in part. Whatrepresents a problem in such a regulatory approachis that an energy entity does not have any incentiveto increase efficiency in the CAPEX segment.If there is lower CAPEX than anticipated, in principlethe regulatory body will have lower CAPEX asa base for calculation in the subsequent regulatoryperiod, regardless of whether this concerns savingsat the expense of under investment (lower investmentthan approved) or increased productivity bythe energy entity. Therefore, the energy entity doesnot derive any financial benefits from increasing efficiencyin the CAPEX segment.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583566

Tablica 1 ∑ Pojednostavljen primjer izraËuna dozvoljenog prihoda primjenom regulatornog pristupa slaganja blokovaTable 1 ∑ Simplified example of the calculation of the allowed revenue through the application of the building block regulatory approachRegulatorni parametri / Regulatory parametersOPEX ∑ faktor uËinkovitosti / OPEX ∑ efficiency factor 90 %Godiπnje smanjenje OPEX-a / Annual reduction in OPEX 2,60 %Razdoblje amortizacije (godina) / Depreciation period (years) 20Stopa povrata / Rate of return 7 %Godine / Year0. 1. 2. 3. 4.(10 6 HRK) (10 6 HRK) (10 6 HRK) (10 6 HRK) (10 6 HRK)Odobrene investicije / Authorized investments 1 000,00 1 200,00 1 000,00 1 400,00Odobrena amortizacija / Authorized depreciation− od prethodnih investicija / from previous investments 700,00 700,00 700,00 700,00− od investicija iz 1. godine / from investments from the 1 st year 50,00 50,00 50,00 50,00− od investicija iz 2. godine / from investments from the 2 nd year 60,00 60,00 60,00− od investicija iz 3. godine / from investments from the 3 rd year 50,00 50,00− od investicija iz 4. godine / from investments from the 4 th year 70,00− Ukupno odobrena amortizacija / Total authorized depreciation 750,00 810,00 860,00 930,00IzraËun regulatorne osnovice (ROS) / Calculation of the regulatory asset base (RBA)− poËetni ROS / initial RBA 3 000,00 3 250,00 3 640,00 3 780,00− plus: nove investicije / plus: new investments 1 000,00 1 200,00 1 000,00 1 400,00− minus: amortizacija / minus: depreciation 750,00 810,00 860,00 930,00− konaËni ROS / final RBA 3 000,00 3 250,00 3 640,00 3 780,00 4 250,00− prosjeËni ROS / mean RBA 3 125,00 3 445,00 3 710,00 4 015,00IzraËun ukupnog dopuπtenog prihoda / Calculation of total authorized revenue− OPEX / OPEX 2 400,00 2 337,60 2 276,82 2 217,63 2 159,97− amortizacija / depreciation 700,00 750,00 810,00 860,00 930,00− povrat sredstava (stopa povrata *ROS) / return on assets (return rate *RBA) 210,00 218,75 241,15 259,70 281,05− dozvoljeni prihod / allowed revenue 3 310,00 3 306,35 3 327,97 3 337,33 3 371,02Nadalje, problem koji se javlja prilikom uspostaveciljane razine investicija je da ta razina moraodraæavati uËinkovitu razinu svake pojedine investicijekoja se ukljuËuje u regulatornu osnovicusredstava. Da bi ovakav pristup bio moguÊ, regulatornotijelo mora imati dovoljnu koliËinu informacijakao i dovoljan broj struËno osposobljenihljudi, πto se u praksi Ëesto pokazalo neostvarivim.Problem se dodatno komplicira buduÊi da je primjenaneke od metoda ravnanja prema mjeriluna CAPEX -a popriliËno sloæen i teæak postupakza primjenu, stoga ga regulatorna tijela izbjegavaju.Polaziπte za definiranje investicijskog planaFurthermore, a problem that arises when establishinga target level of investment is that it must reflect thelevel of the performance of each individual investmentthat is included in the regulatory asset base.In order for this approach to work, the regulatorybody must have a sufficient amount of informationas well as a sufficient number of qualified personnel,which in practice is often unfeasible. The problem isadditionally complicated because the application ofsome benchmarks to CAPEX is a fairly complex anddifficult procedure and, therefore, regulatory bodiesavoid it. The starting point for the definition of aninvestment plan is growth in consumption and the567Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

je porast potroπnje te zamjena postojeÊe opreme.Ti Ëimbenici se razlikuju kada je rijeË o razliËitimenergetskim subjektima te mogu znaËajnoutjecati na rezultate primjene metode ravnanjaprema mjerilu. Nadalje, iako se radi o istovrsniminvesticijama i istoj razini investicija, na rezultatemetoda ravnanja prema mjerilu moæe utjecatii razliËito vrijeme zapoËinjanja investicije i dinamikarealizacije investicije, kao i utvrappleena razinakvalitete opskrbe. Kvaliteta opskrbe kao funkcijaregulacije do sada se Ëesto promatrala kao zasebnafunkcija od funkcije regulacije cijena usluga,iako iskustva pokazuju da regulatorna tijela sveviπe nastoje razviti integrirane modele regulacijekojima bi se izbjegli svi dosadaπnji rizici primjenepojedine metode regulacije [9]. Tablica 1 prikazujepojednostavljeni primjer izraËuna dozvoljenog,odnosno od strane regulatornog tijela odobrenogprihoda regulatornim pristupom slaganja blokova.Vrijednosti za dozvoljene investicije (na godiπnjojrazini od 1 000 milijuna kuna), poËetni OPEX(2 400 milijuna kuna) i amortizaciju od prethodnihinvesticija (700 milijuna kuna) koje su pritome koriπtene na razini su vrijednosti HEP ODS-a[12]. Od vrijednosti prikazanih u literaturi pod[12] oduzeti su troπkovi koji po procjeni autora otpadajuna prikljuËke. Od regulatornih parametarautvrappleeni su:∑ regulatorno razdoblje od 4 godine,∑ faktor uËinkovitosti za OPEX u vrijednosti90 %, πto godiπnje iznosi smanjenje OPEX-a2,6 %,∑ linearna amortizacija na razdoblje od 20godina,∑ stopa povrata od 7 %.Iz tablice 1 vidljivo je da, ukoliko se svi parametridefiniraju kako je prethodno reËeno, dozvoljeniprihod subjekata koji obavljaju regulirane djelatnostikroz 4 godine regulatornog razdoblja ostajena skoro istoj razini. Regulatorna politika, odnosnoocjena potrebne razine poveÊanja uËinkovitosti,moæe imati znaËajan utjecaj na regulirani prihodenergetskog subjekta.3.2 Regulatorni pristup ukupnih troπkovaU regulatornom pristupu ukupnih troπkova regulatornotijelo kada utvrappleuje razinu opravdane uËinkovitostine razlikuje izmeappleu OPEX-a i CAPEX -a,stoga faktor uËinkovitosti X primjenjuje na sumuOPEX-a i CAPEX-a, odnosno na ukupan troπak(TOTEX) (tablica 2). U ovom sluËaju regulatornotijelo ne mora utvrappleivati odvojeno opravdanu razinuinvesticija za sljedeÊe regulatorno razdoblje,veÊ analizu provodi za ukupne troπkove. U ovompristupu regulatorno tijelo utvrappleuje X-faktor naosnovi razine uËinkovitosti iz prethodnih regulatorreplacementof existing equipment. These factorsdiffer among various energy entities and can significantlyinfluence the results of the benchmarkingmethod applied. Moreover, although this concernsthe same types of investments and the same level ofinvestment, the results of the benchmarking methodcan be affected by differing times for the beginningof investments and the dynamics of the implementationof the investments, as well as the determinedlevel of the quality of the supply. Up to now, thequality of the supply as a function of regulationhas been frequently viewed as a function that isseparate from the function of the regulation of theprices for services, although experience shows thatthe regulatory bodies are increasingly attempting todevelop integrated models of regulation that avoidall the risks inherent in the individual regulatorymethods that have been applied [9]. Table 1 showsa simplified example of the calculation of allowedrevenue, i.e. revenue authorized by the regulatorybody, using the building block approach. The valuesfor allowed investments (at an annual level of1 000 million kunas), the initial OPEX (2 400 millionkunas) and depreciation from previous investments(700 million kunas) were previously used atthe level of the HEP Distribution System Operator(HEP ODS d,o.o.) [12]. From the values presentedin the literature under [12], expenditures have beendeducted that the authors consider to be connectioncosts. The following regulatory parameters havebeen established:∑ a regulatory period of 4 years,∑ a efficiency factor for OPEX with a value of90 %, which amounts to an annual reduction inOPEX of 2,6 %,∑ linear depreciation during a period of 20 years,∑ a rate of return of 7 %.From Table 1, it is evident that, when all the parametersare defined as above, the allowed revenueof a entities performing regulated activities during a4-year regulatory period remains at nearly the samelevel. Thus, regulatory policy, i.e. the assessmentof the necessary level of increasing efficiency, canhave a significant impact on the regulated revenueof an energy entity.3.2 The regulatory approach of total expenditureIn the regulatory approach of total expenditure,when the regulatory body determines the level ofjustified efficiency it does not differentiate betweenOPEX and CAPEX, and therefore the efficiency factorX is applied to the sum of OPEX and CAPEX,i.e. to the total expenditure (TOTEX) (Table 2).Therefore, in this case the regulatory body does notneed to determine the justified levels of investmentseparately for the subsequent regulatory period butŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583568

nih razdoblja. Ukoliko je energetski subjekt uspiou prethodnim razdobljima podiÊi razinu uËinkovitosti,koju Êe zadræati i u buduÊem razdoblju, X-faktor Êe biti niæi. Naime, ovo je znaËajna razlika uregulatornom pristupu u odnosu na pristup slaganjablokova u kojem se prije svega ocjenjuje opravdanostrazine predviappleenih investicija u buduÊemrazdoblju, ali ne i uËinkovita razina CAPEX -a.analyzes the total expenditure instead. In this approach,the regulatory body determines the X-factoron the basis of the level of efficiency from the previousregulatory periods. If the energy entity has successfullyachieved the specified level of efficiencyduring the previous periods, which will also bemaintained during the future period, the X-factorwill be lower. This is a significant difference in theregulatory approach in comparison to the buildingblock approach, in which the justification of thelevel of the anticipated investments in the futureperiod is assessed but not the efficiency level at theCAPEX level.Tablica 2 ∑ Pojednostavljen primjer izraËuna dozvoljenog prihoda primjenom regulatornog pristupa ukupnog troπkaTable 2 ∑ A simplified example of the calculation of the allowed revenue through the application of the total expenditure regulatory approachRegulatorni parametri / Regulatory parametersUkupni faktor uËinkovitosti / Total efficiency factor 88 %Godiπnja stopa porasta uËinkovitosti / Annual rate of efficiency growth 4 %Godina / Year0. 1. 2. 3.(10 6 HRK) (10 6 HRK) (10 6 HRK) (10 6 HRK)OPEX / OPEX 2 400,00 2 304,00 2 212,00 2 123,00Amortizacija / Depreciation 700,00 672,00 645,00 619,00Povrat sredstava / Return on assets 300,00 288,00 276,00 265,00Dozvoljeni prihod / Allowed revenue 3 400,00 3 264,00 3 133,00 3 008,00U ovom pristupu problem ocjenjivanja opravdanostirazine investicija je na svojevrstan naËinizbjegnut. Nadalje, buduÊi da ovaj pristup ne razlikujeOPEX i CAPEX, moguÊe je da energetskisubjekt postigne odgovarajuÊu razinu uËinkovitostibalansirajuÊi izmeappleu OPEX-a i CAPEX -a, odnosnoizmeappleu, u klasiËnom smislu teorije produktivnosti,rada i kapitala. Kod regulatornog pristupa ukupnihtroπkova, regulatorno tijelo ne mora razvijatikriterije za ocjenjivanje prijedloga investicija, veÊanalizira TOTEX, koji ukljuËuje i investicije, teutvrappleuje X-faktor na osnovi analize TOTEX-a.In this approach, the problem of assessing the justificationof the level of investment is avoided inits own way. Furthermore, since this approach doesnot differentiate between OPEX and CAPEX, it ispossible for an energy entity to achieve the suitablelevel of efficiency by balancing OPEX and CAPEXor labor and capital, in the classical sense of thetheory of productivity. Therefore, in the regulatoryapproach of total expenditure, the regulatory bodydoes not have to develop criteria for the assessmentof an investment proposal but instead analyzesTOTEX, which also includes investment, and determinesthe X-factor on the basis of analysis of theTOTEX.569Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

Tablica 3 ∑ Pojednostavljen primjer utjecaja razliËite dinamike investiranja i amortizacijske politike na godiπnji troπak amortizacijeTable 3 ∑ A simplified example of the influence of various dynamics of investment and depreciation policies on the annual depreciation costEnergetski subjekt A1, amortizacija kroz 4 godine / Energy Entity A1, depreciation during 4 yearsGodina / YearInvesticije /Investments(10 6 HRK)Godiπnji troπak amortizacije po investicijama / Annualdepreciation cost according to investments(10 6 HRK)Troπkovi amortizacije /Depreciation costs(10 6 HRK)1. 2. 3.1. 100 25 252. 200 25 50 753. 400 25 50 100 1754. 25 50 100 1755. 50 100 1506. 100 100Ukupno / Total 700 100 200 400 700Energetski subjekt A2, amortizacija kroz 2 godine / Energy Entity A2, depreciation during 2 years1. 100 50 502. 200 50 100 1503. 400 100 200 3004. 200 2005. 06. 0Ukupno / Total 700 100 200 400 700Energetski subjekt B1, amortizacija kroz 4 godine / Energy Entity B1, depreciation during 4 years1. 500 125 1252. 100 125 25 1503. 100 125 25 25 1754. 125 25 25 1755. 25 25 506. 25 25Ukupno / Total 700 100 200 400 700Energetski subjekt B2, amortizacija kroz 2 godine / Energy Entity B2, depreciation during 2 years1. 500 250 2502. 100 250 50 3003. 100 50 50 1004. 50 505. 06. 0Ukupno / Total 700 500 100 100 700Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583570

Problem koji se javlja u regulatornom pristupuukupnih troπkova je vezan uz roËnost investicija.Naime, CAPEX se, ukljuËujuÊi amortizaciju i povratsredstava, proteæe kroz niz godina. Stoga biprilikom primjene metoda ravnanja prema mjeriluanaliza trebala u obzir uzeti razdoblje od nekolikogodina, a ne da se provodi na troπkovimapredviappleenim samo za jednu godinu. Kao ilustrativniprimjer dan je prikaz u kojem na CAPEX znaËajnoutjeËe dinamika realizacije investicije, pri tomeje prikazan samo troπak amortizacije, ali ne i povratsredstava (tablica 3). Ukoliko bi se u analizipromatrala samo jedna godina, npr. druga godinarealizacije investicije, energetski subjekt A1 bio biuËinkovitiji od energetskog subjekta B1, buduÊida su troπkovi (75 milijuna kuna) energetskog subjektaA1 znatno niæi od troπkova (150 milijunakuna) energetskog subjekta B1. Obrnuti sluËaj bise dogodio ukoliko bi se analiza provela u kasnijimgodinama. Taj pojednostavljeni primjer naglaπavavaænost ukljuËivanja duæeg razdoblja u analizuTOTEX-a metodom ravnanja prema mjerilu, πto spraktiËne strane komplicira analizu buduÊi da semora analizirati veÊi skup podataka. Analiza se dodatnokomplicira ukoliko se u obzir uzme razliËitaraËunovodstvena praksa, πto prikazuje tablica 3.Naime, energetski subjekti A1 i A2, odnosno B1i B2, imaju istu dinamiku investiranja, meappleutimkoriste razliËita amortizacijska razdoblja, stogase njihov troπak amortizacije u pojedinoj godiniznaËajno razlikuje (slika 3).A problem that arises in the total expenditureregulatory approach is connected with investmentmaturity. CAPEX, including depreciation and returnon assets, occurs over a series of years. Therefore,when applying the benchmarking method, analysisshould take a period of several years into accountand should not be performed for expenditures anticipatedfor only one year. An illustrative exampleis presented in which CAPEX significantly influencesthe dynamics of the investment, in which onlythe deprecation cost is shown and not the return onassets (Table 3). If only one year were considered inthe analysis, for example the second year of the investment,Energy Entity A1 would be more efficientthan Energy Entity B1, since the expenditures (75million kunas) of Energy Entity A1 are significantlylower than the expenditures (150 million kunas) ofEnergy Entity B1. The reverse situation would occurif the analysis were performed in later years. Thissimplified example emphasizes the importance ofincluding a longer period of analysis in the TOTEXbenchmarking method, which from the practicalaspect complicates analysis since it necessitatesthe analysis of a larger group of data. Analysis isfurther complicated insofar as various accountingpractices are taken into account, as shown in Table3. Energy Entities A1 and A2, i.e. B1 and B2, havethe same dynamics of investment. However, theyuse different depreciation periods and, therefore,their depreciation costs in an individual year differsignificantly (Figure 3).Godišnji trošak amortizacije / Annual cost of depreciation(10 6 HRK)3503002502001501005001. 2. 3. 4. 5. 6.Energetski subjekt A1, amortizacija kroz 4 godine /Energy entity A1, depreciation during 4 yearsEnergetski subjekt A2, amortizacija kroz 2 godine /Energy entity A2, depreciation during 2 yearsEnergetski subjekt B1, amortizacija kroz 4 godine /Energy entity B1, depreciation during 4 yearsEnergetski subjekt B2, amortizacija kroz 2 godine /Energy entity B2, depreciation during 2 yearsSlika 3Prikaz godiπnjegtroπka amortizacije zaenergetske subjekte Ëijaje razina investiranjakumulativno jednaka,no godiπnji troπakamortizacije se razlikujeFigure 3Annual depreciationcosts for energyentities whose levelsof investment arecumulatively equalbut whose annualdepreciation costs differGodina / YearIako su prilikom razmatranja dva razliËita regulatornapristupa koriπteni popriliËno jednostavni primjerikroz koje su predoËene razliËitosti u pristupima,primjeri odraæavaju da se ulaganja trebajurazmatrati kroz duæi vremenski rok. Na taj naËinmoæe se provesti dosljedna regulatorna politika, nesamo u smislu utvrappleivanja opravdane razine uËinkovitosti,veÊ i u smislu postizanja kontinuiranihAlthough two fairly simple examples were used inanalyzing the two different regulatory approaches,through which the differences in the approacheswere presented, the examples demonstrate that investmentsmust be analyzed over a long period oftime. In this manner, it is possible to implement aconsistent regulatory policy, not only in the sense ofdetermining the justified level of efficiency but also571Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

eguliranih cijena. Stabilna razina reguliranih cijenabez veÊih fluktuacija ne moæe se postiÊi ukolikosu moguÊe Ëeste promjene cijena usluga kao πtoje to sluËaj s hrvatskim regulatornim okvirom, kojirazmatra troπkove subjekata koji obavljaju reguliranedjelatnosti godinu za godinu. Naime, iakoenergetski subjekti nastoje, dugoroËno gledajuÊi,odræavati istu razinu investicija na godiπnjoj razini,njihovi troπkovi su razliËiti od godine do godine,a time i razina dozvoljenog prihoda. Pitanje je nakoji naËin Êe se HERA postaviti prema ovakvomproblemu s kojim se susreÊu regulatorna tijela.in the sense of achieving continuously regulatedprices. A stable level of regulated prices withoutwide fluctuations cannot be achieved if it is possibleto change the prices for services frequently, asis the case with the Croatian regulatory framework,which considers the expenditures of the entitiesperforming regulated activities from year to year.Although the energy entities attempt to maintainthe same level of investment on the annual level,viewed over the long-term, their costs differ fromyear to year and therefore the level of allowed revenuealso differs. It is a question how the CERA willaddress this problem.4 ULOGA HRVATSKEENERGETSKE REGULATORNEAGENCIJE U DONO©ENJUPLANOVA RAZVOJA IIZGRADNJE4.1 Zakonodavno rjeπenjeHrvatski zakonodavac propisao je Zakonom o træiπtuelektriËne energije [8] da HEP OPS i HEP ODSdonose planove razvoja i izgradnje za razdoblje odtri godine uz prethodnu suglasnost HERA-e na prijedlogplanova. Meappleutim, zakonodavac ne prepoznajenadleænost HERA-e u davanju suglasnosti zaplanove razvoja i izgradnje djelatnosti proizvodnjei opskrbe elektriËnom energijom za tarifne kupce.PrimjenjujuÊi ovakvo zakonsko rjeπenje postavljase pitanje na koji naËin Êe HERA razmatrati investicijskeplanove subjekata za proizvodnju i opskrbuelektriËne energije i ukljuËiti opravdana ulaganjau regulatornu osnovicu sredstava, buduÊi dana njih temeljem Zakona [8] ne daje suglasnost, aprimjenjuje istu metodu regulacije kao kod monopolnihdjelatnosti ∑ metoda priznatog troπka. Onoπto je potrebno napomenuti je da su tarifni sustavi,koje je donijela HERA, a ne zakonodavac, uloguHERA-e u davanju suglasnosti na planove razvojai izgradnje definirali kao identiËnu za sve djelatnosti,iako to nije u skladu sa zakonskim odredbama.Nadalje, u tekstu svih tarifnih sustava navodi seda HERA daje suglasnost i na planove poslovanjasvih djelatnosti iako pojam plan poslovanja Zakon[8] isto tako ne prepoznaje.Takva razlika nadleænosti izmeappleu zakonskih odredabakoje je utvrdio Hrvatski sabor i odredaba kojeproizlaze iz podzakonskih akata koje je donijelosamo tijelo za sebe, u ovom sluËaju HERA, potenciraËinjenicu da se prije donoπenja drugog setaenergetskih zakona nije detaljno analizirala uloga ipozicija HERA-e kao regulatornog tijela u energetskomsektoru RH kao niti regulacija energetskihdjelatnosti kao disciplina sa svojim znaËajkama.4 THE ROLE OF THE CROATIANENERGY REGULATORYAGENCY IN THE ADOPTIONOF DEVELOPMENT ANDCONSTRUCTION PLANS4.1 Legislative solutionCroatian legislation stipulates that pursuant to theElectricity Market Act [8], the transmission systemoperator and the distribution system operator shalladopt development and construction plans for periodsof three years, pending prior approval of theproposed plans by the CERA. However, the legislationdoes not recognize the authority of the CERAin issuing approval for the development and constructionplans for the activities of the productionand supply of electrical energy for tariff customers.Applying such a legal solution, the question arisesconcerning how the CERA will analyze the investmentplans of the entities for the generation andsupply of electrical energy and include the justifiedinvestment in the regulatory asset base, since accordingto the Law [8] it does not issue approvaland applies the same method of regulation as formonopoly activities ∑ the regulation of the rate ofreturn. It should be mentioned that in the tariffsystems which the CERA has adopted, and not thelegislator, the roles of the CERA in issuing approvalfor development and construction plans are definedas identical for all activities, although this is notpursuant to the legal provisions. Furthermore, inthe text of all the tariff systems, it is stated that theCERA also issues approval for the business plans ofall activities, although the Law does not recognizethe concept of a business plan [8].Such differences in the specified authority betweenthe legal provisions established by the CroatianParliament and the provisions ensuing from thebylaws that the agency has issued for itself, in thiscase the CERA, emphasize the fact that the roleŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583572

Naime, bitno je napomenuti da je HERA osnovanaod strane RH kao javna ustanova πto znaËi da jojje temeljem Zakona o ustanovama moguÊe dodijelitijavne ovlasti, odnosno prenijeti (delegirati)nadleænosti s dræavnog tijela [13]. Podjeljivanjejavnih ovlasti uvijek otvara sloæeno pitanje smanjujeli se takvim ponaπanjem opseg autoritativnogistupa dræave ili se pak ukupnost autoritativnog postupanja,a to znaËi i moguÊnost uporabe prisile,proπiruje. Bez obzira kojoj se konstataciji priklonili,mora se respektirati Ëinjenica da je Zakon oustanovama propisao da se zakonom ili na temeljuzakona donesenom posebnom odlukom moæe javnojustanovi povjeriti da u sklopu djelatnosti radikoje je osnovana opÊim aktima ureappleuje odreappleeneodnose, da rjeπava u pojedinim upravnim stvarimao pravima, obvezama i odgovornosti fiziËkih i pravnihosoba te da obavlja druge javne ovlasti.KarakteristiËno je, takoappleer, da je Zakon o sustavudræavne uprave, uz svoj temeljni pristup da poslovedræavne uprave obavljaju tijela dræavne uprave,propisao da se posebnim zakonom mogu odreappleeniposlovi dræavne uprave prenijeti i pravnim osobamakoje na temelju zakona imaju javne ovlasti[13]. Na temelju ovlasti iz posebnog zakona javneustanove mogu obavljati najrazliËitije poslove iznadleænosti dræavnih tijela (posebno tijela dræavneuprave). Kad se razmotre odredbe Zakona o ustanovama,onda je vidljivo da je Zakon u sloæenomproblemu podjeljivanja javnih ovlasti definiraodvoje:∑ pravnu osnovu (izvor) javnih ovlasti ∑ to suzakon, odnosno na temelju zakona donesenaodluka predstavniËkog tijela jedinica lokalne,podruËne samouprave,∑ sadræaj javnih ovlasti ∑ to je pravo da se opÊimaktima ureappleuju odreappleeni odnosi, da se rjeπavau pojedinaËnim upravnim stvarima o pravima,obvezama i odgovornosti odreappleenih subjekatakao i eventualno pravo na obavljanje drugihjavnih ovlasti.Povjeravanje javnih ovlasti javnoj ustanovi znaËi zanju i odreappleene duænosti. U djelovanju javne ustanoveostvarivanje njezine posebne uloge (posebnogstatusa) realizira se koriπtenjem javnih ovlastii izvrπavanjem duænosti koje su joj u svezi s timenametnute. Javna ustanova mora obavljati javneovlasti samo pod uvjetima, na naËin i u postupkukoji je odreappleen zakonom. Dakle, nemoguÊe joj jepodzakonskim aktima dodjeljivati nadleænosti kojejoj zakonski nisu pripisane kao πto je to sluËaj spojedinim podzakonskim aktima proizaπlim izenergetskih zakona.and position of the CERA as a regulatory body withinthe energy sector of the Republic of Croatia andthe regulation of energy activities as a disciplinewith specific characteristics had not been analyzedin detail prior to the adoption of the second setof energy acts. It is important to mention that theCERA was established by the Republic of Croatiaas a public institution, which means that pursuantto the Institution Act it can be assigned public authority,i.e. delegated authority from the state entity[13]. The assignment of public authority alwaysraises the complex question of whether the authorityof the state is thereby diminished or whether thetotal authority, which means the option of the useof force, is expanded. In any case, it is necessary torespect the fact that the Institute Act stipulates thataccording to the law or pursuant to a law adoptedby a special decision, a public institution may beentrusted, within the framework of the activitiesfor which it has been established by enactments,to determine specific relationships; to resolve individualadministrative issues about the rights,obligations and responsibilities of natural and legalpersons; and to exercise other public authority.It is also characteristic that the State AdministrativeSystem Act, in addition to the fundamental approachthat the duties of state administration are tobe performed by state administrative bodies, stipulatesthat pursuant to special legislation it is possiblefor specific duties of the state administrationto be transferred to legal persons who have publicauthority pursuant to the law [13]. Therefore, basedupon authorization from special legislation, publicinstitutions are allowed to perform the most variedactivities from the areas of the authority of the statebodies (especially state administrative bodies).When the provisions of the Institution Act are examined,it is evident that the Act has defined twoissues within the complex problem of the assignmentof public authority:∑ the legal basis (source) of public authority ∑i.e. a ruling adopted pursuant to the law by therepresentative agency of the units of local andregional self-management,∑ the content of public authority ∑ i.e. the rightto use enactments to determine relationships,to resolve issues concerning the rights, obligationsand responsibilities of specific entitiesin individual administrative matters, as wellas the eventual right to exercise other publicauthority.The entrusting of public authority to a public institutionmeans that specific duties are entrusted to it. Inthe operations of a public institution, it exercises itsspecific role (special status) through the exercise ofpublic authority and the performance of duties that573Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

4.2 Kriteriji za davanje suglasnosti na planove razvojai izgradnje reguliranih energetskih subjekataEnergetski subjekti na koje se doneseni tarifnisustavi odnose nisu joπ dostavili HERA-i planoveposlovanja, razvoja i izgradnje (koliko je poznatoautorima) radi davanja suglasnosti. Rok za dostavuplanova je 30. studenoga πto proizlazi iz odredbitarifnih sustava. Stoga se u ovom trenutku nemoæe razmatrati HERA-in odnos prema davanjusuglasnosti na planove razvoja i izgradnje te kolikoduboko je HERA spremna analizirati kriterije zaodabir pojedinih investicija kao i da li Êe uÊi uanalizu tehniËkih rjeπenja ili Êe se povesti samoza odlukama energetskih subjekata kao instancimeritornih za definiranje kriterija od HERA-e.Isto tako ne moæe se razmatrati na koji naËin ÊeHERA pristupiti utvrappleivanju opravdanih, moæe sereÊi i uËinkovitih, razina pojedinih troπkova, tekoje investicije Êe priznati u regulatornoj osnovicisredstava.are thereby assigned to it. A public institution mustexercise public authority only under the conditions,in such a manner and according to the procedurestipulated for it according to law. Therefore, it isnot possible for enactments to assign authorizationnot stipulated by law, such as in the case of individualenactments resulting from energy legislation.4.2 Criteria for issuing approval for the developmentand construction plans of entities performingregulated activitiesThe energy subjects to which the adopted tariffsystems refer have still not submitted their plansfor operations, development and construction (tothe best of the authors’ knowledge) to the CERAfor approval. The deadline for the submission of theplans is November 30, according to the provisionsof the tariff systems. Therefore, at this moment it isnot possible to discuss the CERA’s attitude towardissuing approval for development and constructionplans and how deeply the CERA is prepared to analyzethe criteria for choosing individual investments,as well as whether it will enter into analysis of thetechnical solutions itself or rely solely upon thedecisions of the energy entities as sufficiently authoritativefor defining its criteria. Similarly, it is notpossible to discuss how the CERA will approach thedetermination of justified, it can be said effective,levels of individual expenditures, and which investmentsit will recognize in the regulatory asset base.Slika 4Vremenski tijekdonoπenja propisakoji su vezani uzulogu regulatornogtijela (VRED/HERA) udavanju suglasnostina planove razvoja iizgradnje prijenosne idistribucijske mreæeFigure 4Time line of regulationsadopted in connectionwith the role oh theregulatory body (CERC/CERA) in approvingthe development andconstruction plans ofthe transmission anddistribution networksožujak 2002.osnovan VREDMarch 2002Founding of theCroatian EnergyRegulatory Council(CERC)listopad 2003.HEP Prijenos d.o.o. i HEPDistribucija d.o.o. dostavljajuPlanove razvoja i izgradnjeza razdoblje 2003. − 2005.VRED-u radi davanjasuglasnostiOctober 2003HEP Transmission andHEP Distribution submittedDevelopment andConstruction Plans for theperiod of 2003 ∑ 2005 to theCroatian Energy RegulatoryCouncil for approval.listopad 2003.VRED donosi ZakljuËak o planovimarazvoja i izgradnje te pokreÊeizradu studije Kriteriji i metodologijaplaniranja razvoja i izgradnje tezamjena i rekonstrukcija prijenosne idistribucijske mrežeOctober 2003The Croatian Energy RegulatoryCouncil adopted the Conclusions onthe Development and ConstructionPlans and began preparation of thestudy Criteria and Methodology forthe Planning of the Development,Construction, Replacement andReconstruction of the Transmissionand Distribution Networkssrpanj 2005.Osnovana HERAJuly 2005The Croatian EnergyRegulatory Agency(CERA) was founded2001. 2002. 2003. 2004. 2005. 2006.2007.srpanj 2007.Donesene izmjene idopune drugog paketaenergetskih zakonaJuly 2007The second package ofenergy legislation wasamended.Godina / Yearsrpanj 2001.Donesen prvi paketenergetskih zakonaJuly 2001Adoption of the firstpackage of energylegislationlipanj 2003.VRED donosi Pravilniko naËinu i kriterijima zautvrappleivanje iznosa naknadeza korištenje prijenosne idistribucijske mrežeJune 2003The Croatian EnergyRegulatory Council adoptedthe Regulations on theManner and Criteria forDetermining the Charges forUsing the Transmission andDistribution Networkslistopad 2003.VRED donosi Odluku o iznosu naknadaza korištenje prijenosne i distribucijskemreže bez davanja prethodnesuglasnosti na planove razvoja iizgradnje prijenosne i distribucijskemrežeOctober 2003The Croatian Energy Regulatory Counciladopted the Ruling on the Amount ofCharges for Using the Transmission andDistribution Networks, without issuingprior approval of the Development andConstruction Plans of the Transmissionand Distribution Networksprosinac 2004.Donesen drugi paketenergetskih zakonaDecember 2004The second package ofenergy legislation wasadoptedprosinac 2006.HERA donosi tarifne sustaveza proizvodnju, prijenos,distribuciju i opskrbuelektriËnom energijom bezvisine tarifnih stavkiDecember 2006The Croatian EnergyRegulatory Agency adoptedtariff systems for thegeneration, transmission,distribution and supply ofelectrical energy, withoutstipulating the amounts ofthe tariff items.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583574

4.2.1 Iskustva VijeÊa za regulaciju energetskihdjelatnostiZakon o træiπtu elektriËne energije iz 2001. godinetakoappleer je definirao da tadaπnje regulatorno tijelo,VijeÊe za regulaciju energetskih djelatnosti (VRED)[14], daje prethodnu suglasnost na plan razvojai izgradnje prijenosne i distribucijske mreæe. Hrvatskinezavisni operator sustava i træiπta d.o.o.(HNOSIT d.o.o.) i HEP Prijenos d.o.o. u 2003.godini proslijedili su Plan razvoja i izgradnje prijenosnemreæe za razdoblje od 2003. do 2005.godine, odnosno HEP Distribucija d.o.o. Plan razvojai izgradnje distribucijske mreæe za razdobljeod 2003. do 2005. godine, VRED-u radi davanjaprethodne suglasnosti. BuduÊi da prije toga VREDnije zauzeo stav prema naËinu na koji Êe pristupitidavanju prethodne suglasnosti na planove,VRED je pokrenuo izradu Kriterija i metodologijaplaniranja razvoja i izgradnje te zamjena i rekonstrukcijaprijenosne i distribucijske mreæe kojimase nastojalo na razvidan, jasan i dosljedan naËinutvrditi polazno stajaliπte regulatornog tijela visá-visstrategije razvoja prijenosne i distribucijskemreæe kao i kriterija za rekonstrukciju postojeÊihobjekata. ImajuÊi u vidu da rad regulatornog tijelatreba poËivati na naËelima razvidnosti, dosljednostii struËnosti, VRED je zauzeo stajaliπte da jeenergetskom subjektu potrebno jasno definirati πtose od njega oËekuje tako da i buduÊa stajaliπta,odnosno odluke regulatornog tijela budu na svojevrstannaËin predvidljive. Tim viπe ukoliko se radio kapitalno intenzivnim djelatnostima za Ëija ulaganjasu potrebne dugoroËnije analize kao i srednjoroËan,odnosno dugoroËan povrat investicijskihsredstava, koji se ujedno odraæava i u iznosu tarifnihstavki.Ilustrativni primjer VRED-ovog ZakljuËka iz 2003.godine koje je bilo ishodiπte za izradu Kriterija imetodologija planiranja razvoja i izgradnje te zamjenai rekonstrukcija prijenosne mreæe, odnosnopokretanje dorade dostavljenog Plana razvoja iizgradnje prijenosne mreæe za razdoblje od 2003.do 2005. godine, je sljedeÊi [15]:I. Plan je potrebno donijeti u skladu sa Strategijomenergetskog razvitka i Programomprovedbe Strategije energetskog razvitka,II. Da bi se provela procedura ocjene Plana idavanja suglasnosti na prijedlog Plana propisaneËlankom 12. stavak 1. Zakona o træiπtuelektriËne energije [14] potrebno je ispunitisljedeÊe uvjete:1) definirati kriterije i metodologiju planiranjarazvoja prijenosne mreæe kao i metodologijuplana zamjene i rekonstrukcije koje ÊeukljuËivati i ekonomske kriterije planiranja,4.2.1 Experience of the Croatian Energy RegulatoryCouncilThe Electricity Market Act of 2001 also stipulatedthat the regulatory body at the time, the CroatianEnergy Regulatory Council ∑ CERC (VijeÊe za regulacijuenergetskih djelatnosti ∑ VRED) [14], would issueprior approval for the development and constructionplans of the transmission and distribution networks.In the year 2003, the Croatian Independent Systemand Market Operator ∑ CISMO (Hrvatski nezavisnioperator sustava i træiπta d.o.o. ∑ HNOSIT d.o.o.)and HEP Transmission (HEP Prijenos d.o.o.) forwardedthe Development and Construction Plan forthe Transmission Network for the Period of 2003 to2005, and HEP Distribution (HEP Distribucija d.o.o.)forwarded the Development and Construction Planfor the Distribution Network for the Period of 2003to 2005 to the Croatian Energy Regulatory Council∑ CERC in order to obtain prior approval. Since theCERC had not previously taken a position regardingthe manner in which it would approach the issue ofprior approval for plans, it started work on the Criteriaand Methodology for Planning the Development,Construction, Replacement and Reconstruction ofTransmission and Distribution Networks, by which itattempted to determine the starting position of theregulatory body vis-à-vis the strategic developmentof the transmission and distribution networks as wellas the criteria for the reconstruction of the existingfacilities in a transparent, clear and consistentmanner. Bearing in mind that the work of the regulatorybody should be based upon the principles oftransparency, consistency and expertise, the CERCassumed the position that it is necessary to provide aclear definition to the energy entity concerning whatis expected of it so that the future positions, i.e. decisions,of the regulatory body would be predictable.This is even more important regarding investmentsin capital intensive activities, which would requirelong-term as well as medium-term analysis, i.e. thelong-term return of invested assets, as also reflectedin the amount of the tariff items.An illustrative example of the CERC's conclusionfrom the year 2003, which was the starting point fordevising the Criteria and Methodologies for Planningthe Development, Construction, Replacement andReconstruction of the Transmission Network, aswell as preparing the final modifications of the submittedDevelopment and Construction Plan for theTransmission Network for the Period from 2003 to2005, is as follows [15]:I. The plan must be adopted, pursuant to theStrategy for Energy Development and the Programfor the Implementation of the Strategy forEnergy Development,575Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

πto je u skladu s prijedlogom Mreænih pravilahrvatskog elektroenergetskog sustava(koja u trenutku donoπenja ZakljuËka nisubila usvojena), a u kojima se takav kriterijjednoznaËno ne definira,2) planirati izgradnju objekata te zamjenui rekonstrukcije objekata na naËin dapredviappleeni objekti zadovoljavaju definiranekriterije,3) iskazati troπkove HNOSIT-a d.o.o. odvojenood planova HEP Prijenos d.o.o. te ihprocijeniti u skladu s ulogom koju HNOSITd.o.o. preuzima prema Zakonu o træiπtuelektriËne energije,III. U daljnjim koracima potrebno je zapoËeti sasljedeÊim radnjama:1) definirati zahtjeve koji se postavljaju naprijenosnu mreæu prvenstveno u smislukvalitete elektriËne energije isporuËeneizravnim i distributivnim kupcima (frekvencija,napon, raspoloæivost mreæe),te s obzirom na strateπka pitanja razvojamreæe (samodostatnost, tretman susjednihmreæa u planiranju, tranziti i uloga mreæeu træiπtu elektriËne energije, izgradnja novihinterkonekcija, modernizacija sustava,kriteriji izgradnje GIS postrojenja i dr.),2) formirati jedinstvenu bazu podataka nuænuza planiranje razvoja mreæe te definiratineke osnovne ulazne podatke bitne kodplaniranja poput jediniËnih troπkova neisporuËeneelektriËne energije, jediniËnihcijena visokonaponske opreme, diskontnestope za potrebe planiranja i dr.,3) za svaki objekt predviappleen za izgradnju ilizamjenu i rekonstrukciju izraditi tehnoekonomskielaborat iz kojeg bi proizaπlo dali razmatrani objekt zadovoljava kriterijeplaniranja definirane Mreænim pravilima iostalim pripadnim dokumentima.ZakljuËak sliËnog karaktera VRED je donio i prilikomocjene Plana razvoja i izgradnje distribucijskemreæe za razdoblje od 2003. do 2005. godine. Naistoj sjednici VRED-a na kojoj je VRED donio navedeneZakljuËke, VRED je donio Odluku o iznosunaknada za koriπtenje prijenosne i distribucijskemreæe [16] temeljem Zakona o træiπtu elektriËneenergije iz 2001. godine [14]. Ta Odluka joπ uvijekje na snazi buduÊi da je tarifni sustavi kojeje donijela HERA nisu stavili van snage. Slika 4prikazuje tijek donoπenja relevantnih propisa i odlukakoji se odnose na ulogu hrvatskog regulatornogtijela HERA-e, odnosno VRED-a, u donoπenjuplanova razvoja i izgradnje prijenosne i distribucijskemreæe.II. In order to implement the procedures for theevaluation of the Plan and the issue of approvalfor the proposed Plan stipulated in Article 12,Paragraph 1 of the Electricity Market Act [14],the following prerequisites must be met:1) to define the criteria and methodology forthe planning of the development of the transmissionnetwork as well as the methodologyfor the replacement and reconstructionplan, which will include the economic criteriafor planning, pursuant to the proposedGrid Code of the Croatian Electrical EnergySystem (which at the time of the adoption ofthe conclusion had still not been adopted),and in which such criteria are not definedunambiguously,2) to plan the construction of facilities and thereplacement and reconstruction of facilitiesin such a manner that the facilities meetthe defined criteria,3) to present the expenditures of the CroatianIndependent System and Market Operator ∑CISMO (HNOSIT d.o.o.) separately from theplans of HEP Transmission (HEP ∑ Prijenosd.o.o.) and to evaluate them according tothe role that the CISMO assumes accordingto the Electricity Market Act,III. In subsequent steps, it is necessary to beginthe following activities:1) to define the requirements that are establishedfor the transmission network, primarilyin the sense of the quality of theelectrical energy to direct customers andcustomers connected to the distributionnetwork (frequency, voltage and networkavailability), and regarding the strategicquestion of network development (selfsufficiency,the treatment of neighboringnetworks in planning; transit and the roleof networks in the electrical energy market,the construction of new interconnections,the modernization of the system, the criteriafor the construction of GeographicalInformation System [GIS] facilities etc.),2) to establish a unified database necessaryfor the planning of network developmentand to define some basic input data requiredfor planning, such as the unit prices ofundelivered electrical energy, unit prices ofhigh-voltage equipment, discount rates forthe necessary planning etc.,3) for each facility planned for construction,replacement or reconstruction, to preparea technical/economic study which wouldshow whether said facility meets the planningcriteria defined by the Grid Code andother relevant documents.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583576

4.2.2 Iskustva Hrvatske energetske regulatorneagencijeHERA za sada nije pristupila izradi sliËnih kriterijaili stajaliπta o planovima razvoja i izgradnjeHEP OPS-a i HEP ODS-a, niti je utvrdila svoj stavprema dubini analize (prema javno dostupnim informacijama).Nepostojanje unaprijed definiranihkriterija za davanje suglasnosti na planove moglobi dodatno odgoditi donoπenje iznosa tarifnih stavkiza pojedine djelatnosti, buduÊi da je davanjesuglasnosti na planove preduvjet je za davanjemiπljenja na prijedlog iznosa tarifnih stavki kojeenergetski subjekt dostavlja Ministarstvu gospodarstva,rada i poduzetniπtva (MINGORP), a MIN-GORP prosljeappleuje HERA-i na miπljenje.4.3 Stavovi Hrvatske energetske regulatorne agencijeu rjeπavanju preduvjeta za primjenu metodepriznatih troπkovaIz prethodno iznesene rasprave vezano uz regulatornipristup gradnje blokova i regulatorni pristupukupnih troπkova vidljivo je da je vrlo znaËajnauloga regulatornoga tijela u utvrappleivanju opravdanerazine pojedinih regulatornih parametara. Utvrappleenametoda priznatih troπkova u donesenim tarifnimsustavima prepoznaje regulatorne parametre koji suranije analizirani kao πto su to ∑ regulatorna osnovicasredstava, amortizacija i stopa povrata u viduponderiranog prosjeËnog troπka kapitala. Tarifni sustavidefiniraju da miπljenje o priznatim troπkovimaposlovanja (OPEX) i stopi povrata kapitala dajeHERA, dok se kapitalni troπkovi (CAPEX) ∑ reguliranaosnovica sredstava, tj. prinos od reguliraneimovine i amortizacija utvrappleuju na osnovi planovarazvoja i izgradnje na koje HERA daje suglasnost.Utvrappleena metoda regulacije ne poznaje faktor uËinkovitostikao regulatorni parametar metode.Osim stava o dubini uplitanja u elemente planovaposlovanja, razvoja i izgradnje, HERA bi trebalapo miπljenju autora prilikom postupka davanjamiπljenja na prijedlog iznosa tarifnih stavki podjelatnostima, izmeappleu ostalog, svoj stav zauzeti io sljedeÊem:∑∑∑∑∑je li obavljen razvidan i dosljedan nadzor nadrazdvajanjem djelatnosti kako u tehniËkom itako i financijskom pogledu,opravdanoj razini stope povrata za svaku pojedinudjelatnost,koje investicije ukljuËiti u regulatornu osnovicusredstava, πto ukljuËuje i tumaËenje pojedinihpojmova iz tarifnih sustava, kao πto jenpr. pojam nove investicije koje su sufinancirane,a ukljuËene su u regulatornu osnovicusredstava,opravdanoj razini troπkova poslovanja (OPEX),i sliËno.The CERC also adopted a conclusion of a similarcharacter in the evaluation of the Development andConstruction Plan for the Distribution Network forthe Period from 2003 to 2005. At the same CERCsession, at which the CERC adopted the previouslymentioned conclusions, it also adopted the Decisionon Fees for Using the Transmission and DistributionNetworks [16], pursuant to the Electricity Market Actof 2001 [14]. This Decision is still in force, since thetariff systems that the CERA adopted are still in force.Figure 4 shows the course of the adoption of the relevantregulations and decisions that refer to the roleof the Croatian Energy Regulatory Agency ∑ CERA orthe Croatian Energy Regulatory Council ∑ CERC, inthe adoption of development and construction plansfor the transmission and distribution networks.4.2.2 Experience of the Croatian Energy RegulatoryAgencyFor the present, the CERA has not started to developsimilar criteria or positions on the developmentand construction plans of the transmission systemoperator and the distribution system operator, andhas not defined its position toward in-depth analysis.The lack of previously defined criteria for issuingapproval for plans could additionally postponethe adoption of the amounts of the tariff items forindividual activities, since the issuing of approvalfor the plans is a prerequisite for issuing an opinionon the proposed amounts of the tariff items whichan energy entity submits to the Ministry of theEconomy, Labor and Entrepreneurship, and whichthe Ministry forwards to the CERA for an opinion.4.3 Positions of the Croatian Energy RegulatoryAgency in resolving the prerequisites for the applicationof the rate of return (RoR) methodFrom the previous discussion of the building blockregulatory approach and the total expenditure regulatoryapproach, it is evident that the regulatorybody has a highly significant role in the determinationof the justified levels of individual regulatoryparameters. The rate of return method in theadopted tariff systems recognizes the regulatory parametersthat were analyzed previously, such as theregulatory asset base (RAB), depreciation and therate of return regarding the weighted average costof capital (WACC). The tariff systems stipulate thatan opinion on the recognized operating expenditure(OPEX) and the rate of return on capital shall beissued by the CERA, while the capital expenditure(CAPEX) ∑ the regulatory asset base, i.e. the revenuefrom regulated assets and depreciation shallbe determined on the basis of the development andconstruction plans which shall be approved by theCERA. The established method of regulation doesnot recognize the efficiency factor as a regulatoryparameter.577Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

Jedan od bitnih preduvjeta za moguÊnost uvoappleenjametode regulacije kao πto je to metoda priznatihtroπkova je provoappleenje razvidnog i dosljednog razdvajanjadjelatnosti u punom smislu ∑ od razdvajanjaimovine, osoblja do pridjeljivanja potraæivanjapo kreditima i sl. Jedan od problema je na kojinaËin Êe HERA pristupiti davanju miπljenja naiznos tarifnih stavki za opskrbu elektriËnom energijomukoliko se zna da se nisu razdvojile djelatnostidistribucije i opskrbe elektriËnom energijom te daHEP Operator distribucijskog sustava d.o.o. obavljauz djelatnost distribucije i opskrbu elektriËnomenergijom, iako je zakonski rok za razdvajanje istihistekao (1. srpnja 2007. godine) [8].Isti problem preslikava se i na utvrappleivanje opravdanerazine OPEX-a koji bi se trebao utvrditina razini koja odraæava uËinkovitost poslovanjaili barem bi se ta razina tijekom godina trebalapribliæiti uËinkovitoj razini koja bi vrijedila da sedjelatnost izloæi træiπnom natjecanju i rizicima.Izmeappleu ostalog, postavlja se pitanje πto predstavljaOPEX u sluËaju HEP Opskrbe d.o.o. koja obavljadjelatnost opskrbe samo za povlaπtene kupce.ZnaËi, taj troπak tarifni kupci uopÊe ne bi trebalisnositi. Sa stajaliπta regulatornog tijela koje, uzzaπtitu odræivog poslovanja energetskog subjektai omoguÊavanje nenaruπenog træiπnog natjecanja,ima zadatak zaπtite kupaca, bilo bi neopravdanopriznati taj troπak kroz primjenu metode priznatihtroπkova i davanja pozitivnog miπljenja na prijedlogiznosa tarifnih stavki koji ukljuËuju trenutaËnitroπak alociran unutar HEP Grupe na HEP Opskrbud.o.o.Nadalje, provedba razvidnog razdvajanja ima utjecajai na CAPEX u svim djelatnostima. Naime, zasvaku djelatnost HERA bi trebala utvrditi opravdanurazinu poËetne regulatorne osnovice sredstava,zatim amortizacijsku politiku i sredstva koja setijekom regulatornog razdoblja dodjeljuju regulatornojosnovi sredstva na koju se primjenjuje stopapovrata na kapital. Stopu koja se primjenjuje nasrednju vrijednost regulatorne osnovice sredstavautvrappleuje HERA na prijedlog energetskog subjekta.Problem koji se ovdje javlja je i utvrappleivanjeopravdane stope povrata, buduÊi da se radi odjelatnostima koje su po svom karakteru razliËite∑ monopolne i træiπne, iz Ëega proizlaze razliËitistupnjevi rizika u poslovanju kao i razliËiti uvjetifinanciranja. Naime, iz opisa metode navedene utarifnim sustavima nije razvidno koja Êe se stopaprimijeniti i hoÊe li se ona razlikovati po djelatnostima,iako se radi o istom vertikalno organiziranompoduzeÊu HEP Grupi. Utvrappleivanje stopepovrata zahtijeva provoappleenje detaljnih analiza kojeHERA joπ nije provela. Da bi HERA-in rad dobiona vjerodostojnosti i struËnosti potrebno je daHERA pravodobno, prije donoπenje odluka i pod-In addition to the position on the depth of involvementin the elements of the business, developmentand construction plans, it is the authors’ opinionthat the CERA should take a position on the followingmatters when issuing opinions on the proposedtariff amounts according to activities:∑ whether transparent and consistent supervisionhas been performed over the unbundling of thetechnical and financial activities,∑ the justified level of the rate of return for eachindividual activity,∑ which investments should be included in theregulatory asset base, together with the interpretationof individual concepts from the tariffsystems, such as, for example the concept ofnew investments that are co-financed and includedin the regulatory asset base,∑ the justified level of operating expenditures(OPEX),∑ etc.One of the essential prerequisites for the possibleintroduction of regulatory methods such as the rateof return method is the transparent and consistentunbundling of activities in the full sense ∑ includingthe unbundling of assets, personnel, claims onloans etc. One of the problems is how the CERAwill approach the issuing of opinions on the amountof tariff items for the supply of electrical energyif it knows that the activities of the distributionand supply of electrical energy have still not beenunbundled and that the HEP Distribution SystemOperator performs the activity of the supply of electricalenergy in addition to the activity of the distributionof electrical energy.The same problem is also reflected in the determinationof the justified level of OPEX, which shouldbe determined at a level that reflects the efficiencyof operations or at least this level during the yearshould approach a efficiency level that would bevalid if the activity were subject to market competitionand risks. Thus, among other things, the questionis posed what OPEX represents in the case ofHEP Supply (HEP Opskrba d.o.o.), which only performsthe activity of supply for eligible customers.This means that tariff customers should not have tocover this expenditure. From the standpoint of theregulatory body which, in addition to safeguardingthe sustainable operations of the energy entity andfacilitating inviolable market competition, also hasthe task of protecting the customers, it would beunjustified to recognize this expenditure throughthe application of the rate of return method andissue a positive opinion on the proposed amounts oftariff items, which include the current expenditureallocated within the HEP Group for HEP Supply.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583578

zakonskih akata, provede sve nuæne analize kojeu sluËaju utvrappleivanja metoda za izraËun cijenausluga ponekad (po iskustvima drugih regulatornihtijela) traju i po 18 mjeseci [6].Osim stope povrata, kod CAPEX -a, dilemu predstavljatumaËenje i drugih pojmova koje prepoznajetarifni sustav, a isti nisu u dovoljnoj mjeripojaπnjeni, npr. vrijednost novih investicija koje susufinancirane. Pretpostavlja se da ih sufinancirakupac. Troπak investicije koji je financirao kupacne bi trebao uÊi u regulatornu osnovicu sredstavaniti biti priznat kroz troπak amortizacije energetskogsubjekta, buduÊi da bi na taj naËin kupacplaÊao investiciju dva puta ∑ kroz troπak investicijei kroz tarifu. Upitno je na koji naËin Êe HERApristupiti rjeπavanju problema investicija koje sufinancirakupac.Navedeni primjeri pitanja na koje HERA moraodgovoriti prilikom davanja miπljenja na prijedlogiznosa tarifa i provoappleenja regulatorne politikesamo su ilustrativni. Primjena ekonomske regulacijeseæe puno dublje i kompleksnija je od navedenihprimjera te zahtijeva detaljne elaboracijei analize. No, i argumentirani stavovi koje HERAtreba zauzeti prilikom rjeπavanja navedenih dilemaiz opisanog primjera mogu znaËajno utjecatina razinu tarifnih stavki pojedinih djelatnosti te naraspodjelu troπkova i prihoda izmeappleu djelatnosti.Furthermore, transparent division also has an impacton CAPEX in all activities. For each activity, theCERA would have to determine the justified levelof the initial regulatory asset base, the depreciationpolicy and the assets that would be allocated to theregulatory asset base during the regulatory period,to which the rate of return on capital would be applied.The rate that is applied to the mean value ofthe regulatory asset base is determined by the CERAat the proposal of the energy entity. A problem thatoccurs here is the determination of the justified rateof return, since this concerns activities that differ innature ∑ monopolistic and market, from which thereare different degrees of risks in operations as well asdifferent conditions of financing. From the descriptionof the methods stated in the tariff systems, it isnot clear which rate will be applied and whether therates will differ according to activities, although theyconcern the same vertically organized enterprise inthe HEP Group. Determination of the rate of returnrequires detailed analysis. In order for the CERA’swork to obtain credibility and professionalism, priorto adopting decisions and regulations the CERAmust first perform all the necessary analyses in atimely manner, which in the case of the determinationof the methods for the calculation of the pricesfor services sometimes (according to the experiencesof other regulatory bodies) requires as long as 18months [6].In addition to the rate of return, regarding CAPEXthere is a dilemma posed by the interpretation ofother concepts that the tariff system recognizes,which are not explained to a sufficient extent,such as the value of new investments that are cofinanced.It is assumed that they are co-financedby the customer. An investment expenditure that acustomer has financed should not enter the regulatoryasset base or be recognized as a depreciationexpenditure of the energy entity. Otherwise, the customerwould have to pay for the investment twice∑ through the investment expenditure and throughthe tariff. Therefore, it is a question how the CERAwill approach the solution of the problem of investmentsthat are co-financed by the customer.The cited examples of questions to which the CERAmust respond when issuing an opinion on the proposedamounts of tariffs and the implementation ofregulatory policies are merely illustrative. The applicationof economic regulations ranges far deeper, ismuch more complex than the examples presentedand requires more detailed elaboration and analysis.However, the argued positions that the CERAshould assume when resolving the cited dilemmasfrom the example described could significantly affectthe level of the tariff items for individual activitiesand the allocation of expenditures and revenuesamong the activities.579Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

5 ZAKLJU»AKU utvrappleivanju reguliranih cijena primjenjuju serazliËite metode ekonomske regulacije i to prvenstvenou djelatnostima koje su po svom karakterumonopolne, znaËi prijenosu i distribuciji elektriËneenergije, a ne u djelatnostima proizvodnje iopskrbe koje su po svom karakteru træiπne djelatnosti.Sukladno tome, regulatorno tijelo u veÊinianaliziranih dræava donosi ili daje suglasnost naplanove razvoja i izgradnje monopolnih djelatnostikao preduvjet za utvrappleivanje cijena reguliranihusluga. Zakonska nadleænost regulatornog tijelada donosi ili daje suglasnost na planove razvoja iizgradnje energetskih subjekata u naËelu ne dajeodgovor koliko duboko je pravo regulatornog tijelada zadire u planove razvoja i izgradnje energetskihsubjekata. Stoga se vrlo Ëesto u poËetku uvoappleenjaregulatorne prakse postavlja pitanje koliko meritornomoæe biti regulatorno tijelo prilikom ulaskau rasprave o pojedinim koncepcijskim rjeπenjima,odnosno o pojedinim tehniËkim pitanjima. Praksau regulatornim tijelima u EU, odnosno ËlanicamaERRA-e, s duæom regulatornom praksom odHERA-e pokazala je da su koncepcijska rjeπenjai kriteriji za izgradnju objekata u naËelu odlukaenergetskog subjekta, dok regulatorno tijelo odobravaposlovne planove ukljuËujuÊi financijsko pokrivanjeinvesticijskog plana. Paralelno odobravanjuposlovnih planova, regulatorna tijela utvrappleujuopravdanu razinu uËinkovitosti te razinu kvaliteteopskrbe kako se smanjenjem troπkova ne bi smanjilai kvaliteta opskrbe.Regulatorna politika moæe imati znaËajan utjecajna buduÊi prihod energetskog subjekta krozutvrappleivanje regulatorne osnovice sredstava u kojuulaze odobrena ulaganja te kroz utvrappleeni faktoruËinkovitosti. Odobrena razina ulaganja ima znaËajanodraz na visinu regulirane cijene koja proizlaziiz primijenjene regulatorne metode. Isto tako,ukoliko se jednom investicija prizna u CAPEX-u,a ne realizira se tijekom regulatornog razdobljaza koje je odobrena, nije opravdano opet ukljuËitije u CAPEX u sljedeÊem regulatornom razdoblju.Ako se radi o kratkom regulatornom razdoblju,kao πto je to npr. jedna godina kako je predviappleenotarifnim sustavima koje je donijela HERA, postavljase pitanje na koji naËin Êe regulatorno tijelopratiti realizaciju investicije i njeno ukljuËivanje uCAPEX. Naime, regulatorni pristupi analizirani uovom Ëlanku pokazali su da je prilikom utvrappleivanjaCAPEX-a, odnosno razmatranja uËinkovitosti pojedinogenergetskog subjekta potrebno analiziratitroπkove kroz duæe vremensko razdoblje. Takvomanalizom, odnosno primjenom metoda ravnanja pomjerilu na sloæenijem skupu podataka, osiguralabi se vjerodostojnost i razvidnost postupanja regu-5 CONCLUSIONIn the determination of regulated prices, variousmethods of economic regulation are applied,primarily to activities that are by their nature monopolistic,i.e. the transmission and distribution ofelectrical energy, and not to the activities of generationand supply, which are by their nature marketactivities. Consequently, the regulatory bodies inthe majority of the countries analyzed adopt or issueapproval for the development and constructionplans of monopolistic activities as a prerequisite forthe determination of the prices for regulated services.The legal authority of a regulatory body to adoptor issue approval for the development and constructionplans of energy entities in principle does notprovide an answer to how much of a right the regulatorybody has to interfere in the development andconstruction plans of energy entities. Therefore, thequestion is very often posed at the beginning of theintroduction of regulatory practices concerning howcompetent a regulatory body can be when enteringinto a discussion on individual conceptual solutions,i.e. individual technical questions. The practice ofthe regulatory bodies in the EU or the members ofthe ERRA, with longer regulatory experience thanthe CERA, has shown that conceptual solutionsand criteria for the construction of facilities are inprinciple the decision of the energy entity, whilethe regulatory body approves business plans includingthe financial coverage of the investment plan.Parallel to approving business plans, the regulatorybody determines the justified level of efficiency andthe level of the quality of supply, so that a reductionin expenditures does not lead to a reduction in thequality of the supply.Regulatory policy can have a significant impact onthe future revenue of an energy entity through thedetermination of the regulatory asset base in whichapproved investments are made and through thedetermination of the efficiency factor. The approvedlevel of investment is significantly reflected in theamounts of the regulated prices determined fromthe application of a regulatory method. Similarly,if an investment is recognized in CAPEX and is notimplemented during the regulatory period for whichit has been approved, it is not justified to includeit in CAPEX again for the subsequent regulatoryperiod. If the regulatory period is short, such as,for example, one year, the question is posed howthe regulatory body will monitor the implementationof the investment and its inclusion in CAPEX. Theregulatory approaches analyzed in this article havedemonstrated that when determining CAPEX, i.e.considering the efficiency of an individual energyentity, it is necessary to analyze expenditures over along period of time. With such analysis, i.e. the applicationof the benchmarking method to a complexŠtritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583580

latornog tijela tijekom procesa utvrappleivanja cijenareguliranih usluga.HERA, prilikom donoπenja tarifnih sustava i opredjeljenjaza metodu regulacije priznatih troπkova,nije razmatrala posljedice koje regulatorni pristupmoæe imati na dozvoljeni prihod reguliranih energetskihsubjekata. Ujedno nije zauzela jasan i nedvosmislenstav prema nizu pitanja i dilema koje semogu javiti tijekom postupka davanja suglasnostina planove razvoja i izgradnje prijenosne i distribucijskemreæe kao i tijekom davanja miπljenja naprijedlog energetskih subjekata o iznosu tarifnihstavki. Stoga je postupanje hrvatskog regulatornogtijela u postupku donoπenja reguliranih cijena natemelju neke od poznatih metoda ekonomske regulacijejoπ uvijek nedefinirano te nema dosadaπnjeprakse koja bi se mogla analizirati. Isto tako nepoznataje praksa HERA-e u smislu davanja suglasnostina planove razvoja i izgradnje HEP OPS-ai HEP ODS-a.ImajuÊi u vidu dosadaπnji tijek uvoappleenja ekonomskeregulacije u Hrvatskoj te argumentacijuiz Ëlanka kao i iskustva drugih regulatornih tijelazakljuËak je autora da se zakonsko rjeπenje nuænomora mijenjati u viπe segmenata.Prvo, da se prilikom definiranja nadleænosti HE-RA-e definiraju sve njene nadleænosti kroz zakonskeodredbe, a ne da se naknadno iste utvrappleujukroz podzakonske akte koje donosi MINGORP iliHERA, kao πto je to npr. sluËaj s davanjem suglasnostina planove poslovanja ili planove razvojai izgradnje energetskog subjekta za proizvodnju iopskrbu elektriËnom energijom.Drugo, da se uloga HERA-e i primjena neke odpoznatih metoda ekonomske regulacije ograniËisamo na monopolne djelatnosti za koje su iste irazvijane. Naime, regulacija cijena u klasiËnomsmislu rijeËi gubi vaænost u djelatnostima koje supo svom karakteru træiπne (u kojima tarifa znaËajnoovisi o parametrima na koje energetski subjektne moæe utjecati i koje regulatorno tijelo ne moæenadzirat, kao πto je to npr. cijena goriva) i u kojimaregulatorno tijelo ne daje suglasnost na planove,kao πto je to sluËaj s proizvodnjom i opskrbomelektriËnom energijom.TreÊe, zakonsko rjeπenje sa samo poloviËno definiranimrokovima pokazalo se kao nedostatno. Naime,predviappleen je rok za donoπenje tarifnih sustavabez visine tarifnih stavki, a da nije predviappleen rokza donoπenje iznosa tarifnih stavki.Posljedica ovakvog slijeda zakonskih rjeπenja jeda su tarifni sustavi doneseni u prosincu 2006.godine, a da nisu prije toga napravljene simulacijegroup of data, the credibility and transparency ofthe behavior of the regulatory body during the processof the determination of the prices for regulatedservices would be assured.When adopting tariff systems and deciding uponthe method for the regulation of the rate of return,the CERA did not consider the consequences thata regulatory approach can have on the allowed revenueof entities performing regulated activities. Italso did not assume a clear and unambiguous positiontoward a series of questions and dilemmasthat can arise during the procedure for the issuingof approval for the development and constructionplans of the transmission and distribution networksas well as when issuing an opinion on proposalsby energy entities on the amounts of tariff items.Therefore, the procedure by the Croatian EnergyRegulatory Agency in the adoption of regulated priceson the basis of some of the recognized methodsof economic regulation has still not been definedand there is no practical experience to date thatcould be analyzed. Similarly, the CERA’s practicesin the sense of issuing approval for developmentand construction plans for the transmission systemoperator and the distribution system operator arealso unknown.Bearing in mind the progress thus far in the introductionof economic regulation in the Republic ofCroatia and the argumentation from the article, aswell as the experiences of other regulatory bodies,it is the authors’ conclusion that several segmentsof the legislative solution in the Republic of Croatiamust be changed.First, all of the CERA’s authorities should be definedthrough legal provisions instead of determiningthem retrospectively through regulationsissued by the Ministry of the Economy, Labor andEntrepreneurship or the CERA, such as, for example,the case of issuing approval for the businessplans or the development and construction plansof an energy entity for the generation and supply ofelectrical energy.Second, the role of the CERA and the application ofsome of the recognized methods of economic regulationshould be limited to the monopolistic activitiesfor which they were developed. Price regulationin the classical sense has diminished significancein activities with a market character (in which thetariff significantly depends upon parameters whichthe energy entity cannot influence and which theregulatory body cannot supervise, such as, for example,the price of fuel) and for which the regulatorybody does not issue approval for plans, such asin the case of the generation and supply of electricalenergy.581Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

prihvaÊene metode priznatih troπkova s ulaznimpodacima od HERA-e odobrenih planova razvojai izgradnje reguliranih energetskih subjekata. Takvasimulacija iznosa tarifnih stavki bi na razvidannaËin prikazala HERA-in stav prema priznavanjurazine OPEX-a i CAPEX-a.Third, a legal solution with only partially defineddeadlines has proven to be insufficient. The deadlinehas been set for the adoption of tariff systemswithout the stipulation of the amounts of the tariffitems, and the deadline for the adoption of the tariffitems has not been set.As a consequence of such a sequence of legislativesolutions, the tariff systems were adopted inDecember 2006 without prior simulations basedupon the accepted rate of return method and the inputdata came from development and constructionplans of the entities performing regulated activitieswhich the CERA had not previously approved.Such simulations of the amounts of the tariff itemswould present the CERA’s position toward the recognizedlevels of OPEX and CAPEX in a transparentmanner.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583582

LITERATURA / REFERENCES[1] Zakon o energiji, Narodne novine, 68/2001, 177/2004, 76/2007[2] Tarifni sustav za distribuciju elektriËne energije, bez visine tarifnih stavki, Narodne novine,143/2006[3] Tarifni sustav za prijenos elektriËne energije, bez visine tarifnih stavki, Narodne novine, 143/2006)[4] Tarifni sustav za proizvodnju elektriËne energije, s iznimkom za povlaπtene kupce, bez visine tarifnihstavki, Narodne novine, 143/2006[5] Tarifni sustav za opskrbu elektriËnom energijom, s iznimkom za povlaπtene kupce, bez visine tarifnihstavki, Narodne novine, 143/2006[6] ©TRITOF, I., GELO, T., ZnaËajke regulacije maksimalnih veliËina, Zbornik radova grupe C5 ∑ TræiπteelektriËnom energijom i regulacija sa 7. savjetovanja HO CIGRÉ, Cavtat, 2005.[7] ©TRITOF, I., Preduvjeti za uvoappleenje modela poticajne regulacije u prijenosu elektriËne energije uRepublici Hrvatskoj, Magistarski rad, Fakultet elektrotehnike i raËunarstva SveuËiliπta u Zagrebu,Zagreb, 2005.[8] Zakon o træiπtu elektriËne energije, Narodne novine, 177/2004, 76/2007[9] ©TRITOF, I., Presentation: Disccusion Paper ∑ Development Plans (Financial, Technical and Business),Energy Regulatory Regional Association, Tariff/Pricing Committee, Vilnius, 2005[10] BURNS, P., DAVIES, J., Regulatory incentives and capital efficiency in UK electricity distributionbusiness, CRI Technical paper No.12, 1998[11] AJODHIA, V. et al, Optimal Investment Appraisal under Price ∑ Cap Regulation, Presented at 4 thInternational Conference on Applied Infrastructure Research, Berlin, 2005[12] HEP Operator distribucijskog sustava d.o.o., Godiπnje izvjeπÊe 2005, Zagreb, 2006.[13] BORKOVIΔ, I., Upravno pravo, Narodne novine, Zagreb, 2002.[14] Zakon o træiπtu elektriËne energije, Narodne novine, 68/2001[15] ZakljuËak o prijedlogu Plana razvoja i izgradnje prijenosne mreæe za razdoblje od 3 godine, 21. sjednicaVijeÊa za regulaciju energetskih djelatnosti, Zagreb, 2003.[16] Odluka o iznosu naknada za koriπtenje prijenosne i distribucijske mreæe, 21. sjednica VijeÊa za regulacijuenergtskih djelatnosti, Zagreb, 2003.Uredniπtvo primilo rukopis:2007-08-14PrihvaÊeno:2007-09-14Manuscript received on:2007∑08∑14Accepted on:2007∑09∑14583Štritof,I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583

NUMERI»KI PRORA»UNNISKOFREKVENCIJSKIH ELEKTRO-MAGNETSKIH PRIJELAZNIH POJAVA UENERGETSKIM TRANSFORMATORIMATHE NUMERICAL CALCULATIONOF LOW FREQUENCY ELECTRO-MAGNETIC TRANSIENT PHENOMENAIN POWER TRANSFORMERSDoc. dr. sc. Amir TokiÊ, Univerzitet u Tuzli, Fakultet elektrotehnike,FranjevaËka 2, 75000 Tuzla, Bosna i HercegovinaProf. dr. sc. Ivo UgleπiÊ, SveuËiliπte u Zagrebu,Fakultet Elektrotehnike i raËunarstva, Unska 3, 10000 Zagreb, HrvatskaU radu je predstavljen model transformatora primjenjiv u niskofrekvencijskim elektromagnetskimprijelaznim pojavama, frekvencija reda oko 1 kHz. Analiziran je primjer uklapanja neoptereÊenogenergetskog transformatora. Prvo je pokazan pojednostavljeni analitiËki pristup, a zatim, zbognjegova ograniËenja, u analizu je uveden numeriËki pristup rjeπavanja krutih diferencijalnihjednadæbi koje opisuju prijelaznu pojavu. U oba sluËaja je realiziran algoritam za generiranje valnihoblika varijabli stanja. Rezultati oba algoritma su usporeappleeni s rezultatima MATLAB/Simulink/Power System Blockset, namjenskog programa za analizu elektromagnetskih prijelaznih pojava uelektroenergetskom sustavu. Razvijeni algoritam se moæe uspjeπno koristiti u ostalim niskofrekvencijskimprijelaznim pojavama gdje je glavni predmet analize nelinearni karakter transformatora:ferorezonancija, ispad tereta, kvarovi kod transformatora itd.In this article, a transformer model is presented that is applicable to low frequency electromagnetictransient phenomena of up to 1 kHz. An example of the energization of a no-load transformeris analyzed. A simplified analytical approach is presented first. Due to the limitations of this approach,a numerical approach is introduced for the solution of the stiff differential equations thatdescribe the transient phenomena. In both cases, algorithms have been developed for generatingthe waveforms of the state variables. The results of both algorithms are compared to the resultsof the MATLAB/Simulink/Power System Blockset for the analysis of electromagnetic transientphenomena in electrical energy systems. Developed algorithm with the introduced numericalapproach can be used successfully in other low frequency transient phenomena where the mainsubject of analysis is the nonlinear character of the transformer: ferroresonance, load switch-off,transformer faults etc.KljuËne rijeËi: implicitno trapezno pravilo, krivulja magnetiziranja, krute diferencijalne jednadæbe,uklapanje transformatoraKey words: implicit trapezoidal rule, magnetization curve, stiff differential equations, transformerenergizationTokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607584

1 UVODU niskofrekvencijske prijelazne pojave u transformatorimase obiËno ubrajaju uklapanjeneoptereÊenih transformatora i ferorezonancija. Uspomenutim prijelaznim pojavama parametar, kojidominantno utjeËe na rezultate prijelaznih pojava,je nelinearni induktivitet æeljezne jezgre transformatora.Kao posljedica nelinearnosti jezgre moæedoÊi do jakih strujnih udara prilikom uklapanjaneoptereÊenih transformatora. Osnovne karakteristikestruja uklopa transformatora su relativnovelika amplituda, koja dostiæe ekstremno i do 10I naz kao i relativno velika duljina trajanja do postizanjastacionarnog stanja [1]. Ovakve struje Ëestomogu uzrokovati nepotrebno djelovanje zaπtitnihureappleaja buduÊi da mogu dostiÊi vrijednosti strujakratkog spoja transformatora. S tim u vezi, danassu razvijene razliËite metode za razlikovanje strujeuklapanja od struje kratkog spoja transformatora.NajËeπÊe upotrebljavane tehnike razlikovanja su:harmonijska analiza struje (praÊenje drugog harmonikastruje) [2], energetske metode [3], metodemagnetskih karakteristika transformatora [4], tesuvremene tehnike koje se baziraju na upotrebiwavelet transformacije i neuronskih mreæa [5], suvremenihkorelacijskih algoritama [6], itd.Posljedica struja uklapanja neoptereÊenih transformatoramogu biti privremeni, niskofrekvencijski,nesinusoidalni prenaponi [7], koji mogu znaËajnoenergetski preopteretiti metal-oksidne odvodnikeprenapona koji su instalirani uz transformatore [8].Zagrijavanje odvodnika bitno zavisi od promatranekonfiguracije mreæe i od parametara sustava kaoi odgovarajuÊih poËetnih uvjeta (trenutak uklopatransformatora, remanentni magnetizam transformatoraitd.). Amplituda i duljina trajanja ovakvihprivremenih napona, a samim time i zagrijavanjeodvodnika prenapona, su znatno izraæeniji u uvjetimaslabih elektroenergetskih sustava.Dodatno, uklapanje, odnosno isklapanje transformatorau elektriËnim krugovima koje sadræe kapacitivnostimoæe dovesti do dugotrajnih ferorezonantnihprekostruja, odnosno prenapona. TipiËniprimjeri nastanka ferorezonancije nastupaju priserijskoj kompenzaciji [9] ili pri isklapanju naponskihmjernih transformatora [10], te pri neregularnimsklopnim operacijama trofaznih prekidaËa(prijevremeni uklop/isklop jedne faze u mreæamasa izoliranom neutralnom toËkom) [11].S obzirom na iznesene praktiËne strane problemapri niskofrekvencijskim prijelaznim pojavamatransformatora, potrebno je naroËitu pozornostusmjeriti na pravilno modeliranje transformatora,odnosno simuliranje spomenutih pojava.1 INTRODUCTIONLow frequency transient phenomena in transformersusually include the inrush currents of no-loadtransformers and ferroresonance. In these transients,the parameter with the dominant impact onthe results is the nonlinear inductance of the ironcore. As a consequence of the nonlinearity of thecore, high inrush currents can occur when energizingno-load transformers. The basic characteristicsof transformer inrush currents are relatively highamplitude, which in extreme cases can reach up to10 I rated as well as the relatively long period of timeuntil a steady state is reached [1]. Such currentsfrequently can cause unnecessary tripping to occurbecause they can reach the short-circuit currentvalues of the transformers. In connection with this,various methods have been developed today fordifferentiating between transformer inrush currentand short-circuit current. The most frequently useddifferentiation techniques are as follows: harmonicanalysis of the current (second harmonic component)[2], power differential methods [3], methodsbased on transformer magnetizing characteristics[4], modern techniques that are based on the useof wavelet transform and neural networks [5], moderncorrelation algorithms [6] etc.Consequences of no-load transformer inrush currentscan be temporary, low frequency and nonsinusoidalovervoltages [7], which can significantlyoverload the metal oxide surge arresters that areinstalled next to the transformers [8]. The thermalstress on surge arresters depends significantly onthe network configuration and the system parametersas well as the initial conditions (the instantof energization, remnant magnetism etc.). Theamplitude and duration of such transient voltages,together with the thermal stress on surge arresters,are significantly more marked under the conditionsof weak powersystems.Additionally, energizing and de-energizing transformersin electrical networks with capacitancecan lead to long term overcurrents or overvoltagesdue to ferroresonance. Typical examples of ferroresonanceoccur in series compensation [9], whenswitching off voltage measuring transformers [10]and due to the abnormal switching operations ofthree-phase switches (the premature energizing/deenergizingof a transformer phase in networks withan isolated neutral point) [11].Taking into account the above-described practicalaspect of the problem with the low frequencytransient phenomena of transformers, particularattention should be devoted to the correct modelingof transformers, i.e. the simulation of thesephenomena.TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607586

Kao πto je veÊ spomenuto, osnovna poteπkoÊa umodeliranju energetskih transformatora je nelinearnikarakter induktiviteta æeljezne jezgre transformatora.Ostali parametri transformatora: otpor irasipni induktiviteti primarnog i sekundarnog namotakao i otpor koji reprezentira gubitke u æeljezuuzimaju se konstantnim [12]. Osnovna krivuljamagnetiziranja transformatora dana je na slici 1a.Ova krivulja se moæe kvalitativno aproksimirati sdva pravca, slika 1b, koji predstavljaju tangente unezasiÊenom i zasiÊenom podruËju. Krivulja magnetiziranjaenergetskih transformatora ima jakooπtar prijelaz iz nezasiÊenog u zasiÊeno podruËje.Ovo je posljedica konstruktivne izvedbe visokonaponskihenergetskih transformatora. Naime, sporastom naponske razine, odnosno nazivne snagetransformatora struja praznog hoda se smanjuje iiznosi [13] oko 5 % do10 % nazivne struje transformatoraza transformatore snaga reda 100 kVAi opada sve do vrijednosti oko 0,47 % do 0,59% nazivne struje transformatora za transformatoresnage reda 500 MVA.Pregled standardnih vrijednosti struje magnetiziranjaza energetske transformatore razliËitih nazivnihsnaga dan je tablicom 1. Struja prijelaza u zasiÊenopodruËje i z jednaka je nazivnoj struji pomnoæenojs faktorom ulaska u zasiÊenje k: i z = k·i 0naz ,gdje je za energetske transformatore obiËno1,05 k 1,3. Dakle, koljeno krivulje magnetiziranjaza energetske transformatore velikih snagaje razmjeπteno u veoma uskom podruËju nazivnestruje transformatora (reda 0,5 % do 1 % i naz ).Povrπina, koja je omeappleena realnom krivuljom magnetiziranjai njenom aproksimacijom preko dvapravca, ovdje je reda svega oko 0,001 % ako uzmemoda je 100 % povrπina ispod cijele krivuljemagnetiziranja u p.u. sistemu. LogiËna je posljedicaovako malih nazivnih struja praznog hoda dapredstavljanje krivulje magnetiziranja preko svegadva pravca Ëini gotovo zanemarive pogreπke u usporedbis realnim predstavljanjem krivulje [14].As previously mentioned, the basic difficulty in modelingpower transformers is the nonlinear characterof the inductance of the iron transformer core. Theother transformer parameters, the resistance andleakage inductance of the primary and secondarywindings as well as the resistance that representslosses in iron are assumed to be constant [12]. Thebasic transformer magnetizing curve is presented inFigure 1a. This curve can be qualitatively approximatedwith two straight lines, Figure 1b, that representtangents in the unsaturated and saturatedregions. The power transformer magnetizing curvehas a very sharp transition from the unsaturatedto the saturated regions. This is a consequence ofthe design of high voltage power transformers. Withan increase in the voltage level or rated power ofthe transformer, no-load current is decreased andamounts to approximately 5 % to 10 % of thetransformer rated current [13] for transformers withpower ratings of 100 kVA and decreases to a valueof approximately 0,47 % to 0,59 % of transformerrated current for transformers with power ratingsof 500 MVA.A review of the standard values of power transformermagnetizing currents for various rated powers ispresented in Table 1. The transition current to thesaturated region i z is equal to the rated current multipliedby the saturation factor k: i z = ki 0rated , whereusually for power transformers 1,05 k 1,3.Thus, the bend in the magnetizing curve for ahigh power transformer is in a very narrow regionof the transformer rated current (an order of 0,5 %to 1% i rated ). The surface, which is bounded by thereal magnetizing curve and its approximation bytwo straight lines is of an order here of only approximately0,001 % if it is taken into accountthat 100 % of the surface below the magnetizingcurve is in a p.u. system. A logical consequenceof such low rated no-load currents is that it is possibleto approximate the magnetizing curve usingtwo straight lines with nearly negligible error incomparison to the real curve [14].Tablica 1 − TipiËne vrijednosti struje praznog hoda kao postotak nazivne struje za energetske transformatoreTable 1 − Typical values of no-load current as a percentage of rated current for power transformersS TR (MVA) 0,1 1,0 10 20 40 60i 0 (% i naz/rated ) 5,0 − 8,0 1,75 − 2,32 0,35 − 1,1 0,8 − 1,2 0,65 − 0,94 0,58 − 0,84S TR (MVA) 80 100 150 200 300 500i 0 (% i naz/rated ) 0,54 − 0,77 0,51 − 0,73 0,47 − 0,67 0,51 − 0,64 0,49 − 0,61 0,47 − 0,59587TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

Slika 1Krivulja magnetiziranjatransformatora a) i njenaaproksimacija preko dvapravca b)Figure 1Magnetizing curve oftransformer a) and itsapproximation via twostraight lines b)a)Nazivna struja / Rated currentStruja magnetiziranja / Magnetizing currentb)Magnetski tok / Magnetic fluxStruja magnetiziranja / Magnetizing currentPosljedica nelinearnog karaktera æeljezne jezgretransformatora je nesinusoidalna struja magnetiziranjatransformatora pri sinusoidalnom naponunapajanja, tj. sinusoidalnom magnetskom toku,πto je jasno ilustrirano na slici 2. Na istoj slici suprikazana dva oblika struje magnetiziranja za dvijerazliËite tjemene vrijednosti magnetskog toka. Tijekomprijelazne pojave uklapanja transformatorakada magnetski tok moæe poprimi vrijednosti iveÊe od svoje dvostruke nazivne vrijednosti [15],dolazi do jakih strujnih udara transformatora, πtoje pokazano na slici 3.A consequence of the nonlinear character of theiron transformer core is the nonsinusoidal transformermagnetizing current at the sinusoidal supplyvoltage, i.e. sinusoidal magnetic flux, which isclearly illustrated in Figure 2. In the same figure,two forms of magnetizing current are presentedfor two different peak values of the magnetic flux.During the transient phenomena of transformerenergization, when the magnetic flux can acquirevalues greater than twice its rated value [15], highinrush current occurs, as presented in Figure 3.TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607588

Slika 2Nesinusoidalnastruja magnetiziranjatransformatoraFigure 2Nonsinusoidaltransformermagnetizing currentStruja transformatora / Transformer current(A)1 000800600400200Slika 3TipiËan valni oblikstruje uklapanjatransformatoraFigure 3Typical waveformof transformerinrush current00 0,2 0,4 0,6 0,8 1Vrijeme / Time (s)589TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

2 MATEMATI»KI MODELPRI UKLAPANJUNEOPTEREΔENOGENERGETSKOGTRANSFORMATORAU ovom poglavlju Êe se analizirati matematiËki modelpri uklapanju neoptereÊenog energetskog transformatora,slika 4a i b. Izmeappleu transformatora itoËke prikljuËka na mreæu postoji kapacitet C, kojimse ekvivalentira prilaz kabelskim ili nadzemnimvodom, kapacitet kondenzatorskih baterija i sl.2 MATHEMATICAL MODEL OFTHE ENERGIZATION OF A NO-LOAD POWER TRANSFORMERThis chapter presents an analysis of a mathematicalmodel of the energization of a no-load power transformer,Figures 4a and b. Between the transformerand the connection point to the network, there is acapacity C, which is equivalent to the capacity of acable or overhead approach line, the capacitance ofthe capacitors etc.Slika 4UklapanjeneoptereÊenogenergetskogtransformatoraFigure 4The energizationof a no-load powertransformera) Shema uklapanja transformatora na mreæu / Simplified electrical circuit of transformer energizationb) OdgovarajuÊa zamjenska shema slike a) / Equivalent electrical circuit of Figure a)Parametri mreæe se dobivaju iz podataka o snazitropolnog kratkog spoja u toËki prikljuËka:The network parameters are obtained from data onthe three-phase short-circuit power at the point ofconnection:(1)Pretpostavlja se da je odnos X / R za danu mreæupoznat, na osnovi kojega se odreappleuje otpor R.Na osnovi poznate nazivne snage transformatoraS TR , te napona kratkog spoja moguÊe je odreditirasipni induktivitet tansformatora:It is assumed that the ratio of X / R for the givennetwork is known, on the basis of which we determineresistance R.On the basis of the known transformer rated powerS TR and the short-circuit voltage, it is possible to determinethe leakage inductance of the transformer:(2)Ostali podaci, djelatni otpor primarnog namotatransformatora R 1 , djelatni otpor izazvan gubicimau æeljezu R m , te nelinearni induktivitet æeljezneOther data, the effective resistance of the primarytransformer winding R 1 , the effective resistance dueto iron core losses R m , and the nonlinear inductanceTokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607590

jezgre transformatora L m , inaËe definirana krivuljommagnetiziranja -i m ( je glavni ulanËenimagnetski tok, i m je struja magnetiziranja transformatora),lako se mogu odrediti mjerenjem ili suveÊ dani od strane proizvoappleaËa. Ovaj nelinearniinduktivitet aproksimiran je s dva pravca u -i mkoordinatnom sustavu, slika 2, πto je za energetsketransformatore u praksi uglavnom prihvatljivo.ToËka (i z , z ) predstavlja kritiËnu toËku pri prelaskuiz nezasiÊenog u zasiÊeno podruËje æeljezne jezgre.Koeficijenti pravaca ustvari predstavljaju induktiviteteu nezasiÊenom (L m1 , const 1 ) i zasiÊenompodruËju (L m2 , const 2 ). Na ovaj naËin dobivamofunkcionalnu ovisnost struje magnetiziranja o magnetskomtoku kao (funkcijom sign osiguravamopozicioniranje u odgovarajuÊem kvadrantu):of the transformer iron core L m , otherwise definedby the magnetizing curve -i m ( is the main linkagemagnetic flux, i m is the transformer magnetizingcurrent), can easily be determined through measurementor are already provided by the manufacturer.This nonlinear inductance is approximated with twostraight lines in the -i m coordinate system, Figure 2,which is generally acceptable in practice for powertransformers. Point (i z , z ) represents the criticalpoint at the transition from the unsaturated regionto the saturated region of the iron core. The straightlines coefficients actually represent inductances inthe unsaturated region L m1 , const 1 and saturated regionL m2 , const 2 . In this manner, we obtain the functionaldependence of the magnetizing current on themagnetic flux (we define the position in the correspondingquadrant with the sign function) as follows:(3)(4)3 ANALITI»KI PRISTUPRadi jednostavnosti zanemarit Êe se sve aktivneelemente sa slike 4b. Dakle, pri prijelaznoj pojaviuklapanja transformatora ako trenutaËna vrijednostmagnetskog toka, po apsolutnoj vrijednostipremaπi kritiËnu vrijednost z , induktivnost transformatorase mijenja sa L m1 na L m2 . To ustvariznaËi da se trenutak kada magnetski tok dostignevrijednost z moæe uzeti kao vrijeme t=T>T uk isklapanjainduktiviteta L m1 odnosno uklapanja induktivitetaL m2 . Ekvivalentna shema bi u tom sluËajuizgledala kao na slici 5. SliËno, pri smanjenjumagnetskog toka ispod vrijednosti z iskljuËuje seinduktivitet L m2 i ukljuËuje induktivitet L m1 .3 ANALYTICAL APPROACHFor the purpose of simplicity we shall ignore allthe active elements from Figure 4b. In the transientphenomena during transformer energization,if the instantaneous value of the magnetic flux interms of absolute value exceeds the critical valueof z , the transformer inductance changes from L m1to L m2 . This actually means that the moment whenthe magnetic flux reaches the value of z can betaken as the time t=T>T uk of switching off the inductanceL m1 , respectively the time of switchingon the inductance L m2 . In this case, an equivalentdiagram would look like the one presented in Figure5. Similarly, when the magnetic flux is decreasedbelow the value of z , inductance L m2 is switchedoff and inductance L m1 is switched on.591TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

Slika 5Uklapanjetransformatora ∑pojednostavljeni modelFigure 5Transformer energization∑ simplified modelDakle, promjena trenutaËne vrijednosti magnetskogtoka pri prelaznoj pojavi uvjetuje prelaskes jednog na drugi pravac πto u diferencijalnimjednadæbama koje opisuju ponaπanje elektriËnihkrugova ustvari znaËi promjenu koeficijenata. ProcespoËinje s induktivitetom L m1 . Uz oznake kao naslici 5 dobiju se diferencijalne jednadæbe koje opisujuponaπanje elektriËnog kruga u proizvoljnomtrenutku tT uk , gdje je t=T uk trenutak uklapanjaprekidaËa :Therefore, in transient phenomena transition from onestraight line to another is conditional upon change inthe instantaneous value of the magnetic flux, whichin differential equations that describe the behavior ofelectric circuits actually signifies coefficient changes.The process begins with the inductance L m1 . Usingthe same symbols as in Figure 5, differential equationsare obtained that describe the behavior of theelectric circuit at the arbitrary moment tT uk , wheret=T uk is the moment that the switch is turned on:(5)(6)Rjeπava se prvo diferencijalna jednadæba (5). Uzizraz za prirodnu kruænu frekvenciju kruga:Differential equation (5) is solved first. When thenatural circular frequency of the circuit is as follows:(7)dobiva se opÊe rjeπenje diferencijalne jednadæbe (5):the general solution to equation (5) is obtained:(8)Konstante a, b i c odreappleuju se iz poËetnih uvjeta:Constants a, b and c are determined from the initialconditions:TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607592

(9)(10)(11)Napon U 0 i struja I C0 se odreappleuju iz stanja prijeuklapanja prekidaËa:Voltage U 0 and current I C0 are determined from thestate prior to turning on the switch:(12)(13)Koeficijenti a, b i c se dobivaju iz matriËnejednadæbe koja se formira na osnovi jednadæbi (9)do (13):Coefficients a, b and c are obtained from the matrixequation formed on the basis of equations (9) to(13):(14)gdje su matrice M, K i N redom:where matrices M, K and N are as follows:(14a)(14b)(14c)593TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

Kada se odrede konstante a, b i c tada se za vremenskioblik magnetskog toka (t), napona u(t) natransformatoru i struje kondenzatora i C (t) dobiva:When constants a, b and c are determined, themagnetic flux (t), transformer voltage u(t) andcondenser current i C (t) waveforms as a function oftime are then as follows:(15)(16)(17)U jednadæbi (8) konstanta a predstavlja istosmjernukomponentu magnetskog toka, b, c i 01 konstantekojima je definiran vlastiti odziv, a B i konstantekojima je definiran prinudni odziv u rjeπenjuza magnetski tok. Posljednje tri jednadæbe vrijedesve dok je zadovoljeno z . U protivnom,kada bude z tada ponaπanje elektriËnogkruga opisuje diferencijalna jednadæba (6) opisujestanje ravnoteæe s parametrom L m2 umjesto L m1 .PoËetni uvjeti za novu diferencijalnu jednadæbu(6) su posljednje trenutaËne vrijednosti rjeπenjaprvobitne jednadæbe (5). Rjeπenja diferencijalnejednadæbe (6) se dobivaju istim postupkom kaorjeπenja jednadæbe (5). Analogno se razmiπlja priponovnom smanjenju magnetskog toka ispod vrijednosti z sa odgovarajuÊim poËetnim uvjetimakoji su odreappleeni posljednjim trenutaËnim vrijednostimastare diferencijalne jednadæbe.Struja magnetiziranja transformatora i m odreappleujese na osnovi relacija (3) i (4).Generalno se moæe organizirati algoritam kojibi prateÊi vrijednost trenutaËnog magnetskogtoka rjeπavao diferencijalne jednadæbe (5) i (6)s odgovarajuÊim poËetnim uvjetima. UvodeÊiteæinske koeficijente k 1 i k 2 koji bi uzimali vrijednosti0 ili 1 moguÊe je naËiniti petlju koja bistalno raËunala vrijednost magnetskog toka uzasiÊenom ili nezasiÊenom podruËju vodeÊi raËunao odgovarajuÊim poËetnim uvjetima.Remanentni magnetizam transformatora remmoguÊe je uvaæiti ako se u proraËun krene s tomvrijednoπÊu, (T uk ) = rem . Histerezna petlja je zanemarena,πto je u praktiËkim primjerima za energetsketransformatore sasvim prihvatljivo [16].In equation (8), constant a represents the DC componentof the magnetic flux, b, c and 01 are theconstants by which the self response is defined,and B and are the constants by which the forcedresponse is defined in the solution for the magneticflux. The last three equations are valid untilthe condition of z is met. Otherwise, when z , differential equation (6) describes thebehavior of the electric circuit with the parameterL m2 instead of L m1 . The initial conditions for a newdifferential equation (6) are the last instantaneousvalues from the solution of equation (5). The solutionto differential equation (6) is obtained accordingto the same procedure as the solution toequation (5). An analogous procedure is used whenthe magnetic flux is again reduced below the valueof z with the corresponding initial conditions thatare determined using the instantaneous values ofthe previous differential equation.The transformer magnetizing current i m is determinedon the basis of equations (3) and (4).It is generally possible to develop an algorithm thatwould solve differential equations (5) and (6) byfollowing the value of the instantaneous magneticflux with the corresponding initial conditions. Byintroducing weighting coefficients k 1 and k 2 thatwould assume the value of 0 or 1, it is possible tomake a loop that that would constantly calculatethe value of the magnetic flux in the saturated andunsaturated regions, taking the corresponding initialconditions into account.Transformer remnant magnetism, rem can be takeninto account if this value is entered into the calculation(T uk ) = rem . The hysteresis loop is ignored,which is completely acceptable in practical applicationsfor power transformers [16].TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607594

Pojednostavljeni algoritam raËunanja varijablistanja (magnetskog toka, napona i struje) dan jena slici 6. OteæavajuÊa Ëinjenica pri realizacijiprograma je da se poËetni uvjeti pri svakom prijelazuiz jednog u drugo podruËje stalno morajupreraËunavati.A simplified algorithm for the calculation of statevariables (magnetic flux, voltage and current) ispresented in Figure 6. A complicating factor in theimplementation of the program is that the initialconditions at every transition from one region to anothermust constantly be recalculated.PoËetakUËitavanjeparametara sustavaStartLoading systemparametersSlika 6Razvijeni algoritam,pojednostavljenimodelFigure 6Developed algorithm,simplified modelRaËunanje poËetnih uvjeta 01 , U 01 , I 01i koeficijenata a, b i cCalculation of initial conditions 01 , U 01 , I 01and coefficients a, b i cTeæinski koeficijenti:i=1, j=0, k 1 =1, k 2 =0Weighting coefficients:i=1, j=0, k 1 =1, k 2 =0t=T ukt=T ukt=t+ht=t+hRaËunanje magnetskog toka = k 1 (L m1 , 01 , U 01 , I 01 ) + k 2 (L m1 , L m2 , 02 , U 02 , I 02 )Magnetic flux calculation = k 1 (L m1 , 01 , U 01 , I 01 ) + k 2 (L m1 , L m2 , 02 , U 02 , I 02 )NENO||≤ z||≤ zDAYESi=i+1, j=0i=0, j=j+1i=i+1, j=0i=0, j=j+1NEi=1 j=1NENOi=1 j=1NODADAYESYESPreuzimanje novihpoËetnih uvjeta 01 , U 01 , I 01 ikoeficijenata a, b i cPreuzimanje novihpoËetnih uvjeta 02 , U 02 , I 02 ikoeficijenata a, b i cAcceptance of newinitial conditions 01 , U 01 , I 01 andcoefficients a, b i cAcceptance of newinitial conditions 02 , U 02 , I 02 andcoefficients a, b i cNEt≤T promNOt≤T considDAYESPrintanje rezultata:(t), u(t), i c (t), i m (t)Print-out of the results:(t), u(t), i c (t), i m (t)KrajEnd595TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

4 NUMERI»KI PRISTUPSada Êe se analizirati sluËaj uklapanja transformatorasa svim elementima prema slici 7. Dok setransformator joπ uvijek nalazi u nezasiÊenom podruËju,gdje Êe se radi jednostavnosti induktivitetæeljezne jezgre oznaËiti s L m , vrijede jednadæbe:4 NUMERICAL APPROACHA case will now be analyzed of the energization ofa transformer with all the elements according toFigure 7. While the transformer is still in the unsaturatedregion, where for purposes of simplicitythe inductance of the iron core will be designatedby L m , the following equations apply:(18)(19)(20)(21)Slika 7Uklapanje transformatora∑ potpuni modelFigure 7Transformer energization∑ complete modelTransformacijom posljednje Ëetiri jednadæbe dolazimodo diferencijalne jednadæbe Ëetvrtog redaoblika:Through the transformation of the last fourequations, we arrive at fourth-order differentialequations:(22)TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607596

gdje su konstante a i, i = 0, 1, 2, 3, 4 dane sa:where the constants a i, i = 0, 1, 2, 3, 4 are asfollows:(22a)(22b)(22c)(22d)(22e)Uz realne podatke [8]:∑ E m = 172 kV,∑ R = 8,82 ,∑ L = 0,281 H,∑ C = 4,218 F,∑ R 1 = 0,529 ,∑ L 1 = 0,126 H,∑ z = 657,88 W,∑ L m1 = 185,24 H,∑ L m2 = 0,253 H,∑ R m = 0,576 ·10 6 ,primjenjujuÊi Bairstow numeriËku metodu, za korjenekarakteristiËne jednadæbe bi dobili rjeπenja:with real data [8]:∑ E m = 172 kV,∑ R = 8,82 ,∑ L = 0,281 H,∑ C = 4,218 F,∑ R 1 = 0,529 ,∑ L 1 = 0,126 H,∑ z = 657,88 W,∑ L m1 = 185,24 H,∑ L m2 = 0,253 H,∑ R m = 0,576 ·10 6 ,and by applying the Bairstow numerical method,the roots of the characteristic equation are obtainedas follows:(23)(24)(25)597TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

Tada je opÊe rjeπenje jednadæbe (22):Then the general solution of the equation (22) is:(26)OËita je jaka rasutost korijena p 1 i p 2 . Kada bi poanalogiji na razmatranje kao u poglavlju 3 formiralimatrice M, K i N, lako bismo zakljuËili da matricaK predstavlja singularnu matricu, jer u prvomstupcu sadræi umnoπke broja ep 1 T uk. Svi ti brojevisu za raËunalo praktiËki jednaki nuli zbog golemevrijednosti p 1 . Dakle, klasiËan analitiËki pristup uopÊem se sluËaju ne bi mogao provesti zbog singularnostimatrice K. U daljem dijelu razmatrat Êese numeriËki pristup rjeπavanja ovog problema.Meappleutim, i pri numeriËkom pristupu veoma jevaæno obratiti pozornost na izbor odgovarajuÊegnumeriËkog postupka zbog istaknute Ëinjenice dasu korijeni karakteristiËne jednadæbe jako rasuti ulijevom dijelu kompleksne ravnine. Jaka disperzijakorijena karakteristiËne jednadæbe definirazasebnu klasu diferencijalnih jednadæbi poznatihpod imenom krute diferencijalne jednadæbe (stiffdifferential equations). Naime, diskutabilna jeapsolutna stabilnost numeriËkih postupaka primijenjenihna ovu vrstu jednadæbi [17]. Nijedanod klasiËnih numeriËkih postupaka u eksplicitnojformi, bio jednokoraËni ili viπekoraËni tipa Eulera,Runge-Kuta, Adams-Moulton itd. pri standardnimkoracima integracije, ne osigurava apsolutnustabilnost postupka, πto dovodi do divergiranjarjeπenja u numeriËkom smislu (pogreπka k u k-tojiteraciji izaziva u k+1-oj iteraciji pogreπku k+1 > k ).Apsolutnu stabilnost osiguravaju jedino implicitninumeriËki postupci [17] i [18], mada i pri njihovojupotrebi treba biti jako oprezan. U konkretnomprimjeru upotrijebljeno je apsolutno stabilno implicitnotrapezno pravilo.Jednadæbe (18) do (22) Êe se napisati u prostorustanja uzimajuÊi da je vektor varijabli stanja:High dispersion of the roots p 1 and p 2 is evident.If matrices M, K and N are formed, analogically tothe discussion in Chapter 3, it could be easily concludedthat matrix K represents a singular matrixbecause it contains multiples of the number e p 1 T ukin the first column. All these numbers are practicallyequal to zero for a computer due to the enormousvalue of p 1 . Therefore, the classical analytical approachin a general case could not be implementeddue to the singularity of matrix K. The numericalapproach to the solution of this problem will bediscussed subsequently. However, with the numericalapproach it is very important to pay attentionto the selection of the suitable numerical approachprocedure due to the significant fact that the rootsof the characteristic equation are highly dispersedin the left part of the complex plain. The high rootdispersion of the characteristic equation defines aseparate class of differential equations known asstiff differential equations. The absolute stabilityof the numerical approaches applied in this typeof equation is disputable [17]. None of the classicalnumerical approaches in explicit form, whetherof the single-step or multistep Euler, Runge-Kutta,Adams-Moulton type etc. using standard integrationsteps, assures the absolute stability of the procedure,which leads to divergence of the solutions inthe numerical sense (error k in the k-th iterationcauses error k+1 > k in the k+1 iteration). Only implicitnumerical procedures guarantee absolute stability[17] and [18], although it is necessary to usethem very cautiously. In a concrete example, the absolutelystable implicit trapezoidal rule is applied.Equations (18) to (22) can be written in the statespace form where the state variable vector is:(27)Za nezasiÊeno podruËje gdje inaËe vrijedi:For the unsaturated region where the following otherwiseapplies:za / for(28)TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607598

dobiva se jednadæba u prostoru stanja:the following state space equation is obtained:(29)gdje su:Where:(29a)(29b)U zasiÊenom podruËju gdje inaËe vrijedi relacija:In the saturated region where the following relationotherwise applies:za / for(30)dobiva se:the following is obtained:(31)599TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

gdje su:where:(31a)(31b)Implicitno trapezno pravilo primijenjeno na sustavẋ = A i x + bi, i = 1, 2 daje iteracijsku vezu:The implicit trapezoidal rule applied to the system ẋ= A i x + bi, i = 1, 2 yields the iteration expression:(32)U posljednjoj relaciji sa h oznaËen je korak integracijei on je veoma problematiËan za eksplicitnemetode. Naime, da bi se osigurala stabilnost ovihpostupaka korak se mora odræati dovoljno malimda bi testovi stabilnosti bili zadovoljeni. Za Eulerovopravilo je potrebno da korak integracije budeIn the previous expression, h is designated as theintegration step and it is highly problematic forexplicit methods. In order to assure the stabilityof these procedures, the step should be kept sufficientlysmall in order to satisfy the stability tests.For Euler’s rule, it is necessary for the integrationstep to be:(33)gdje su sa i oznaËene sve svojstvene vrijednostimatrice A i . Za ovaj bi primjer veÊ za nezasiÊenopodruËje korak bio:where i denotes all the characteristic values ofmatrix A i . For this example, the step for the unsaturatedregion would be:(34)Pri upotrebi implicitnog trapeznog pravila nije potrebnovoditi raËuna o veliËini koraka h.Dakle, moguÊe je naËiniti algoritam, slika 8, kojiÊe prema (32) numeriËki rjeπavati sustav diferencijalnihjednadæbi (29) za z i (31) za > z .When applying the implicit trapezoidal rule, it is notnecessary to take the size of step h into account.Therefore, it is possible to develop an algorithm,Figure 8 , which according to (32) will numericallysolve the system of differential equations (29) for z and (31) for > z .TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607600

PoËetakUËitavanjeparametara sustavaStartLoading systemparametersSlika 8Razvijeni algoritam,potpuni modelFigure 8Developed algorithm,complete modelRaËunanje poËetnih uvjetax=[I 0 U C0 I 10 0 ] TCalculation of initial conditionsx=[I 0 U C0 I 10 0 ] TRaËunanje matricaU i =[E− h/2 A i ] −1 , i=1, 2Matrix calculationU i =[E− h/2 A i ] −1 , i=1, 2i=T uki=T ukt=i+ht=i+hRaËunanje magnetskog toka = k 1 f 1 (L m1 , x, U 1 ) + k 2 f 2 (σ, L m1 , L m2 , x, U 2 )Magnetic flux calculation = k 1 f 1 (L m1 , x, U 1 ) + k 2 f 2 (σ, L m1 , L m2 , x, U 2 )NENO|| ≤ z|| ≤ zDAYESK 1 =1, K 2 =0 K 1 =0, K 2 =1K 1 =1, K 2 =0 K 1 =0, K 2 =1NEt≤T promNOt≤T considDAYESPrintanje rezultata:(t), u c (t), i(t), i 1 (t)Print-out of the results:(t), u c (t), i(t), i 1 (t)KrajEnd601TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

5 TEST PRIMJERProgrami dobiveni prema algoritmima sa slika 6 i8 testirani su na MATLAB/Simulink/Power SystemBlockset (PSB), dio MATLAB-a za elektromagnetsketranzijente [19]. Parametri modela preuzeti suiz [8]. Rezultati simulacija dani su na slikama 9i 10.5 TEST EXAMPLEThe programs obtained according to the algorithmsfrom Figures 6 and 8 have been tested using theMATLAB/Simulink/Power System Blockset (PSB), apart of MATLAB for electromagnetic transients [19].The model parameters were taken from [8]. The simulationresults are presented in Figures 9 and 10.Slika 9Pojednostavljeni model,T uk = 5 ms, rem = 0Figure 9Simplified model,T uk = 5 ms, rem = 0Struja transformatora / Transformer current(A)3000-300-600-900-1 200-1 5000 0,02 0,04 0,06 0,08 0,1Vrijeme / Time (s)400(A)Magnetski tok / Magnetic flux0-400-800-1 2000 0,02 0,04 0,06 0,08 0,1Vrijeme / Time (s)Slika 9 pokazuje rezultate razvijenog algoritmakoji uzima u obzir pojednostavljeni model uklapanjatransformatora, bez priguπnih elemenata,poglavlje 3.Slika 10 pokazuje rezultate razvijenog algoritmakoji uzima u obzir potpuni model uklapanjatransformatora, sa svim elementima, poglavlje 4.Na slici 10 je uvaæen i remanentni magnetizamtransformatora.Moæe se zakljuËiti da se rezultati realiziranihprograma u potpunosti podudaraju s programomPSB.Figure 9 presents the results of the developed algorithmthat takes the simplified model of transformerenergization into account, without the damping elements,Chapter 3.Figure 10 presents the results of the developed algorithmthat takes the complete model of transformerenergization into account, with all the elements,Chapter 4. In Figure 10, the transformer remnantmagnetism has also been taken into account.It can be concluded that the results of the realizedprograms are in complete agreement with the PSBprogram.TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607602

Struja transformatora / Transformer current(A)1 6001 2008004000Slika 10Potpuni model,T uk = 15 ms, rem = 0,8 nomFigure 10Complete model,T uk = 15 ms, rem = 0,8 nom-4000 0,02 0,04 0,06 0,08 0,1Vrijeme / Time (s)1 200(Vs)Magnetski tok / Magnetic flux80040000 0,02 0,04 0,06 0,08 0,1Vrijeme / Time (s)6 KOMPARACIJA SMJERENJIMARazvijeni program se moæe dalje generalizirati namodeliranje trofaznih transformatora, gdje su krivuljemagnetiziranja predstavljene preko konaËnogbroja pravaca. Tada se vrijednosti struja magnetiziranja,po fazama, raËunaju iz formule [20]:6 COMPARISON WITHMEASUREMENTSA developed program can be further generalized forthe modeling of three-phase transformers, wherethe magnetizing curves are represented by a finitenumber of straight lines. The values of the magnetizingcurrent, according to phases, are then calculatedfrom the following formula [20]:(35)U posljednjoj relaciji su krivulje magnetiziranja,po fazama, dane s vektorima:In the previous expression, the magnetizing curves,according to phases, are represented by vectors:603TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

(36)(37)gdje su:j = 1, 2, 3 oznake faza,N = ukupni broj pravaca krivulje magnetiziranja.Razvijeni algoritam je verificiran kompariranjemizmjerenih i simuliranih struja uklapanjaneoptereÊenog trofaznog transformatora. Parametritrofaznog, trostupnog 2,4 kVA, 0,38/0,5 kV, Y-Ytransformatora su:∑ napon kratkog spoja u k% = 3 %,∑ djelatni otpor namota po fazi R tr = 1,5 Ω,∑ rasipni induktivitet L tr = 1 mH,∑ gubici u jezgri transformatora R m = 4 626 Ω.Nelinearna krivulja magnetiziranja je predstavljenapreko 13 pravaca, [20]. Pri modeliranju trostupnogtransformatora uvaæena je i nulta reaktancijaL 0 = 15 mH [20].Model transformatora [20], s pridodanom nultomreaktancijom prikazan je na slici 11.where:jN= 1, 2, 3 are phase designations,= the total number of straight lines of the magnetizingcurve.The developed algorithm is verified by compairsonbetween the measured and simulated inrush currentsof the no-load three-phase transformer. Theparameters of the three-phase three-legged 2,4kVA, 0,38/0,5 kV, Y-Y transformer are as follows:∑ short-circuit voltage u k% = 3 %,∑ effective resistance per winding phase R tr = 1,5 Ω,∑ leakage inductance L tr = 1 mH,∑ iron core losses R m = 4 626 Ω.A nonlinear magnetizing curve is presented via13 straight lines [20]. In the modeling of a threeleggedtransformer, zero reactance L 0 = 15 mH istaken into account [20].A transformer model [20] with added zero reactanceis presented in Figure 11.Slika 11Model trofaznog,trostupnogtransformatora spridodanom nultomreaktancijomFigure 11Model of a three-phase,three-legged transformerwith added zeroreactanceIzvor je modeliran s vektorom elektromotorne silepo fazama:The source is modeled with a vector of the electromotiveforce for each phase:TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607604

(38)Rezultati mjerenja i simulacija dani su na slici12.The measurement and simulation results are presentedin Figure 12.a) Mjerenje / MeasurementSlika 12Struje uklapanjatrofaznog transformatora:mjerenje i simulacijaFigure 12Inrush current of athree-phase transformer:measurement andsimulationb) Simulacija / Simulation40(A)Struja transformatora / Transformer current3020100-10-20-30-400 0,02 0,04 0,06 0,08 0,1 0,12Vrijeme / Time (s)Analizom rezultata mjerenja i simulacija dolazi sedo zakljuËka da maksimalna relativna pogreπka,raËunata po tjemenim vrijednostima struje uklapanjatijekom svakog perioda, iznosi 3,56 %.Through analysis of the measurement and simulationresults, the conclusion is reached that themaximum relative error calculated according tothe peak inrush current values during each periodamounts to 3,56 %.605TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

7 ZAKLJU»AKU radu je opisan model transformatora primjenjivu prijelaznim pojavama relativno niskih frekvencija.Za energetske transformatore velikihsnaga pokazano je da se krivulja magnetiziranjakvalitativno moæe predstaviti preko dva pravca.Pokazane su granice upotrebe analitiËkih metodaproraËuna prijelaznih pojava u transformatorima.Za numeriËko rjeπavanje sustava krutih diferencijalnihjednadæbi iskoriπteno je implicitno trapeznopravilo. Razvijeni algoritam je moguÊe apliciratiu niskofrekvencijskim prijelaznim pojavama kaoπto su: uklapanje transformatora, ferorezonancija,ispad tereta, kvarovi transformatora itd. Na krajuje pokazan primjer upotrebe realiziranog algoritmana proraËun prijelazne pojave uklapanja trofaznogtrostupnog transformatora. Kompariranjemmjerenih i simuliranih struja uklapanja trofaznogtransformatora ustanovljeno je da se pogreπke nalazeu zadovoljavajuÊim granicama (maksimalno3,56 %).7 CONCLUSIONA transformer model applicable to relatively lowfrequency transient phenomena is described in thearticle. For power transformers with high power ratings,it was demonstrated that the magnetizing curvecan be adequately presented with two straight lines.The limits for the use of analytical methods for thecalculation of transient phenomena in transformersare presented. The implicit trapezoidal rule wasused for the numerical solution of a system of stiffdifferential equations. The developed algorithm canbe applied to low frequency transient phenomenasuch as transformer energization, ferroresonance,load switch-off, transformer faults etc. An exampleof the application of the developed algorithmwas presented for the calculation of the transientsthat occur during the energization of a three-phase,three-legged transformer. Through comparison ofthe measured and simulated inrush currents of thethree-phase transformer, it was established that theerrors were within acceptable limits (a maximum of3,56 %).TokiÊ, A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607606

LITERATURA / REFERENCES[1] CIPCIGAN, L., XU, W., DINAVAHI, V., A New Technique to Mitigate Inrush Current Caused by TransformerEnergization, IEEE PES, Summer Meeting, July 2002, Vol. 1[2] LIN, C. E., CHENG, C. L., HUANG, C. L., YEH, J. C., Investigation of Magnetizing Inrush Current inTransformers: Part II ∑ Harmonic Analysis, IEEE Transaction on Power Delivery, Vol. 8, No. 1, January1993[3] YABE, K., Power Differential Method for Discrimination Between Fault and Magnetizing Inrush Currentin Transformers, IEEE Transaction on Power Delivery, Vol. 12, No. 3, July 1997[4] KITAYAMA, M., NAKABAYASHI, M., A New Approach to Fast Inrush Current Discrimination Based onTransformer Magnetizing Characteristics, 14 th PSCC Conference, Sevilla, June 2003[5] MAO, P. L., AGGARWAL, R. K., A Novel Approach to the Classification of the Transient Phenomenain Power Transformers Using Combined Wavelet Transform and Neural Network, IEEE Transaction onPower Delivery, Vol. 16, No. 4, October 2001[6] LIN, X., LIU, P., MALIK, O. P., Studies for Identification of the Inrush Based on Improved CorrelationAlgorithm, IEEE Transaction on Power Delivery, Vol. 17, No. 4, October 2002[7] RIOUAL, M., SICRE, C., DRISS, K. B., Special Methods for the Calculation of Temporary OvervoltagesDue to Transformer Saturation, IEEE PES, Winter Meeting, January 2001, Vol. 2[8] SCHEI, A., EKSTROM, A., Stresses on Metal Oxide Surge Arresters in HVAC Systems by Temporaryand Transient Overvoltages and Related Tests, International Conference on Large HV Electrical Systems,Paris, 1986[9] BAR, R. A., PLATT, D., Modelling and Mapping Ferroresonant States in Series Compensated Distributionand Subtransmission Lines, IEEE Transactions on Power Delivery, Vol. 11, No. 2, April 1996[10] EMIN, Z., AL ZAHAWI, B. A. T., TONG, Y. K., Voltage Transformer Ferroresonance in 275 kV Substation,International Symposium on High Voltage Engineering, Vol. 1, August 1999[11] Working Group, Modeling and Analysis Guidelines for Slow Transients ∑ Part III: The Study of Ferroresonance,IEEE Transaction on Power Delivery, Vol. 15, No. 1, January 2000[12] ONG, C. M., Dynamic Simulation of Electric Machinery using MATLAB ® /SIMULINK, Prentice HallPTR, New Jersey, 1998[13] GREENWOOD, A., Electrical Transients in Power Systems, John Wiley & Sons, New York, 1991[14] MIRI, A. M., MÜLLER, C., SIHLER, C., Modelling of Inrush Currents in Power Transformers by aDetalied Magnetic Equivalent Circuit, International Conference on Power Systems Transients IPST,Rio de Janeiro, August 2001[15] BRUNKE, J. H., FRÖHLICH, K. J., Elimination of Transformer Inrush Currents by Controlled Switching∑ Part I: Theoretical Considerations, IEEE Transaction on Power Delivery, Vol. 16, No. 2, April2001[16] SEMLYEN, A., DE LEON, F., A Simple Represetation of Dynamic Hysteresis Losses in Power Transformers,IEEE Transactions on Power Delivery, 1, 1995[17] PRESSS, W. H., VETTERLING, W. T., TEUKOLSKY, S. A., FLANNERY, B. P., Numerical Recipes in C,The Art of Scientific Computing, Cambridge University Press, New York, 1994[18] SHAMPINE, L. F., REICHELT, M. W., The MATLAB ODE site, Matlab/ toolbox/ ode, 1999[19] Power System Blockset, User’s Gude, The MathWorks, Hydro-Quebec, TEQSIM International, 1999[20] TOKIΔ, A., NumeriËki proraËun niskofrekvencijskih elektromagnetskih prelaznih pojava u transformatorima,Doktorska disertacija, Fakultet Elektrotehnike i RaËunarstva SveuËiliπta u Zagrebu, Zagreb,listopad, 2004.Uredniπtvo primilo rukopis:2007-07-10PrihvaÊeno:2007-07-29Manuscript received on:2007-07-10Accepted on:2007-07-29607TokiÊ,A., UglešiÊ, I., NumeriËki proraËun niskofrekvencijskih..., Energija, god. 56(2007), br. 5., str. 584-607TokiÊ, A., UglešiÊ, I.,The Numerical Calculation of..., Energija, vol. 56(2007), No. 5, pp. 584-607

DIJAGNOSTI»KI PREGLEDRASPADA ELEKTROENERGETSKOGSUSTAVA NA OTOKU RODOSUDIAGNOSTIC REVIEW OF ABLACKOUT IN RHODESProf Papazoglou, Th. M., PhD, Prof Papazoglou, M. T., PhD,The Technological Education Institute of Crete,P.P. Box 1939, Iraklio, Crete, GreeceProf Thalassinakis, E. J., PhD, Prof Tsichlakis, Ch., PhD, ProfHatziargyriou, N. D., PhD, The Greek Power Public Corporation,The testing Research and Standard Center ∑ DEH S.A.,32 Halkokondili Street, 10432 Athens, GreceU radu se daje tehniËka analiza jednog incidenta koji se dogodio 21. oæujka 2007. godine u00:50 sati u noÊi i doveo do dvosatnog potpunog raspada elektroenergetskog sustava na otokuRodosu. Analiza dogaappleanja temelji se na registriranim operativnim podacima kao i nalazima naterenu. Izvrπena je tehniËka analiza smetnji kako bi se utvrdili vjerojatni uzroci i Ëimbenici kojisu pridonijeli pojavi smetnji. S obzirom da se radi o izoliranom sustavu koji je osobito je osjetljivna poremeÊaje, ispitane su uloge zaπtite sustava kao i kolebanja proizvodnje vjetroelektranatijekom incidenta. IzvuËeni su zakljuËci od praktiËnog znaËenja i dane su preporuke korektivnihmjera koje valja provesti kako bi se u buduÊnosti sprijeËile takve smetnje.A technical review of an incident on March 21, 2007 that began at 00:50 a.m. and led to atwo-hour blackout of the island of Rhodes electric power system is presented with the completesequence, including all the relevant registered operational data as well as the on-site field findings.A technical analysis of the disturbance was performed to determine the probable causesand factors that contributed to the duration of the disturbance. Since the system is an isolatedone, it is particularly vulnerable to perturbations. The roles of system protection and wind powergeneration during the incident are examined. Conclusions of practical importance are drawn,including recommendations for corrective measures to be implemented for preventing disturbancesof this kind from reoccurring in the future.KljuËne rijeËi: izolirani elektroenergetski sustav, nestanak strujeKey words: blackout, isolated electric power systemPapazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617608

1 UVODIzolirani otoËni elektroenergetski sustavi zanimljivisu s tehniËkog stajaliπta jer pokazuju neke izraziteznaËajke. Ako je u takvim sustavima prisutani visok stupanj proizvodnje vjetroelektrana, javljase u odreappleenim okolnostima veÊa osjetljivost napogonske poremeÊaje.Elektroenergetski sustav grËkog otoka Rodosaizolirani je sustav s ukupno 234 MW instaliranogkapaciteta termoelektrana (5 dizelskih, 2 parnei 4 plinske turbine) te 15 MW instalirane snageu vjetroelektranama. Meappleutim, zbog nekih tehniËkihproblema i karakteristika termoelektrana,stvarna snaga termoelektrana iznosi tek pribliæno192 MW. Godine 2006. proizvodnja u satu vrπnogoptereÊenja iznosila je 192,6 MWh. To znaËi dasustav nije uvijek imao na raspolaganju rezervnusnagu.U ovom se Ëlanku istraæuje incident poremeÊajasustava 21. oæujka 2007. godine koji je zapoËeou 00:50 sati u noÊi i doveo do dvosatnog raspadaelektroenergetskog sustava na otoku Rodosu.U vrijeme neposredno prije incidenta u pogonusu bili dva parna bloka (ATM 1 i ATM 2), svakioptereÊen s 10 MW (rotirajuÊa rezerva svakogagregata 2 MW), dva dizelska bloka (D1 i D3): soptereÊenjem 6 MW (rotirajuÊa rezerva 5 MW),ostala proizvodnja s 12 MW (rotirajuÊa rezerva 5MW) te 12 MW vjetroelektrana. Vremenski uvjetibili su loπi i jamaËno su odigrali odreappleenu uloguna poËetku incidenta. Na slici 1 dana je jednopolnashema sustava.Smetnje u sustavu zapoËele su asimetriËnim trofaznimkratkim spojem bez zemljospoja. Taj je kvaruspjeπno uklonjen. Meappleutim, zbog nestabilnostiuzrokovane zaπtitnim mehanizmima sustav se nijeoporavio veÊ je postupno gubio proizvodnju i izazivaoznaËajnu redukciju optereÊenja πto je, nakon2 minute i 45 sekundi od uklanjanja prvog kvara,konaËno dovelo do potpunog raspada elektroenergetskogsustava.1 INTRODUCTIONIsolated island power systems are of interest fromthe technical point of view because they exhibit notablecharacteristics. For example, when there is ahigh penetration of wind generation, there is greatervulnerability to operation perturbations under certainconditions.The electric power system of the Greek island ofRhodes is an isolated system with 234 MW installedcapacity of thermal plants (5 diesel, 2 steamand 4 gas turbines) plus 15 MW wind generation.However, due to some technical problems and thecharacteristics of the thermal generating plant, theactual thermal generation capacity is only about192 MW. In the year 2006, the mean average hourlygeneration peaked at 192,6 MWh. This meansthat the system did not have appreciable reservepower at all times.This article examines the system disturbance incidentof March 21, 2007 that began at 00:50 a.m.and led to a two-hour blackout of the Rhodes IslandElectrical Power System.At the time just before the incident, the system wasoperating with 2 steam units (ATM 1, and ATM 2)with 10 MW production each (a spinning reserve of2 MW each) and 2 diesel units (D1, and D3): oneproducing 6 MW (with a 5 MW spinning reserve)and the other generating 12 MW (with a 5 MWspinning reserve). At the same time, wind generationwas 12 MW. A one-line diagram of the systemis shown in Figure 1. The weather conditions weresevere and played a definite role at the start of theincident.The system disturbance began with an asymmetricalthree-phase fault, not involving ground. Thisfault was successfully cleared. However, due to instabilitiestriggered by the protective mechanisms,the system never really recovered, gradually losinggeneration and causing significant load shedding,which finally led to a complete blackout lasting 2minutes and 45 seconds after the initial fault hadbeen cleared.Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617610

Slika 1Jednopolna shemasustava na poËetkusmetnjeFigure 1One-line diagram ofthe system at thestart of the faultKvar se dogodio na trafostanici Rhodini na distribucijskomvodu napajanom putem prekidaËaP-320 od 15 kV sabirnice, kako je prikazano naslici 1. Nakon gubljenja struje iz voda aktiviranaje zaπtita i otpuπteni su prekidaËi P-320, P-255i P-225. Zbog kvara je izgorio drveni stup distribucijskogvoda te se kasnije morao zamijeniti.Vrijeme je bilo vrlo loπe u trenutku kvara, pri Ëemuje jak vjetar rasprπivao kapljice morske vode poizolatorima vodova, πto je intenziviralo povrπinskopraænjenje. Naknadnom analizom pronaappleen jesrednji fazni vodiË (u vodoravnom rasporedu od3 faza) prekinut na jednom drvenom stupu. Istose dogodilo s drugim stupom istog voda gdje su,osim prekinutog srednjeg vodiËa, takoappleer bilirazbijeni porculanski izolatori, najvjerojatnije kaoposljedica struje zemljospoja. Taj je poËetni kvarkonaËno uklonjen oko 13 sekundi nakon πto sedogodio. Meappleutim, 19 sekundi nakon uklanjanjakvara ispao je parni blok #1 a potom, 2 minute i45 sekundi nakon uklanjanja kvara, i parni blok#2, πto je rezultiralo raspadom elektroenergetskogsustava.The fault occurred at the Rhodini substationon the distribution line fed through the breakerP-320 from the 15 kV bus, as shown in Figure 1.Following the fault, protection was activated andtripped the breakers P-320, P-255 and P-225. Asa result of the fault, a wooden pole of the distributionline burned and had to be replaced later.The weather was severe at the time of the fault,with strong wind spraying sea water droplets overthe line insulators, thereby increasing the likelihoodof a flashover. Post-mortem examination found thejumper wire for the middle phase conductor (ina horizontal arrangement of the 3 phases) cut atanother wooden pole of the same distribution line.The same thing also happened to another pole ofthe same line where, in addition to a broken middlejumper wire, its porcelain insulators were also broken.This would most likely imply that these werethe results of the fault current. This initial fault wasfinally cleared at about 13 sec after it happened.However, 19 sec after the fault clearance, SteamUnit #1 was lost, and 2 min and 45 sec after thefault clearance Steam Unit #2 was lost, resulting inthe blackout.611Papazoglou,Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617

2 ANALIZA INCIDENTAKako sustavu SCADA u kontrolnom centru nedostajuneke vaæne funkcije bilo je moguÊe tek samobiljeæenje pogonskih podataka u realnom vremenu,dok se u mnogim sluËajevima dogaappleaju znaËajnazakaπnjenja u biljeæenju podataka. Iz ispitivanjazabiljeæenih dogaappleaja i podataka moguÊe je zakljuËitikako je smetnja zapoËela asimetriËnimtrofaznim kratkim spojem bez zemljospoja. OvajzakljuËak temelji se na vremenskim krivuljamaizmjeniËne struje zabiljeæenih digitalnim relejimaprekidaËa P-225 i P-255 (slika 2), koji su pokazivalinepostojanje struje zemljospoja. Moglo setakoappleer zamijetiti da impendancije kvara varirajus vremenom, upuÊujuÊi na elektriËno iskrenje kaouzrok. Oscilogrami 1 i 2 (slike 3 i 4) prikazujunapone na sabirnicama 66 kV na trafostanici Rhodini,odnosno struje na prekidaËu 66 kV P-110onako kako su se i razvijali. Naknadni vremenskioscilogrami 3 i 4 (slike 5 i 6) tu oscilaciju (frekvencije100 Hz) jasnije prikazuju. Oscilacija seodræava do kraja (kao πto je razvidno iz oscilograma5 (slika 7). To moæe znaËiti i da je automatskimregulatorima napona (AVR) potrebno podeπavanje.Iz oscilograma napona moguÊe je izraËunati veliËinunapona kao funkciju vremena, i to od nastankakvara do potpunog pada napona, kako je prikazanona slici 8.Tijekom smetnje zabiljeæene su promjene frekvencijeπirokog raspona. Relevantni podaci prikazanisu na slici 9 na kojoj je vidljiva minimalna frekvencijaod 47,7 Hz (2 s nakon poËetka smetnje)i maksimalna frekvencija od 54 Hz (16 s nakonpoËetka smetnje).2 INCIDENT ANALYSISAt the outset, one should note that the SCADA atthe Control Center leaves important functionalitiesto be desired. As a result, real-time registration ofoperation is only partially possible, while in manycases significant time delays occur in data registration.From examination of the registered eventsand data, one is able to see the following. The faultbegan as an asymmetrical three-phase fault, not involvingthe ground. This was evident from the timealternating current curves registered by the digitalrelays of the P-225 andP-255 (Figure 2) breakers, which showed zero earthcurrent. It could also be observed that the faultimpedances varied randomly with time, suggestingthat the electric-arcing of varying spans was thecause. Oscillograms 1 and 2 (Figures 3 and 4) showthe voltages at the 66 kV buses at Rhodini and thecurrents at the 66 kV breaker P-110, respectively.These oscillograms show oscillation developing astime progresses. Subsequent time Oscillograms 3and 4 (Figures 5 and 6) show this (100 Hz frequency)oscillation more clearly. This oscillationis sustained to the end (as seen in Oscillogram 5(Figure 7). This could indicate that the automaticvoltage regulators (AVR) need adjustments.From the voltage oscillogram, one can calculate thevoltage magnitude as a function of time, from theoccurrence of the fault up to the voltage collapse,as shown in Figure 8.In the course of the disturbance, wide frequencyswings were registered. The respective data areshown in Figure 9. In this figure, one can see theminimum frequency of 47,7 Hz (2 s after the startof the disturbance), and the maximum frequency of54 Hz (16 s after the start of the disturbance).Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617612

2.7951.3980-1.398-2.7952.7951.3980Slika 2Vremenske krivuljeizmjeniËnihstruja faza a, b,c i uzemljenja naprekidaËu P-255Figure 2Time curves of thealternating currentsof Phases a, b,c and ground atbreaker P-255-1.398-2.7950.6160.3080-0.308-0.616-1750 -1500 -1250 -1000 -750 -500 -250 0 250 500Tijekom smetnje tri su se dodatna Ëimbenika pokazalakljuËnima. Podeπenja podnaponske zaπtite zapark vjetroelektrana kao i za pojedinaËne vjetrogeneratoreimala su za posljedicu ispade generatorai gubitak proizvodnje iz vjetroelektrana (24 % ukupneproizvodnje). Podeπenja zaπtite poduzbudnihlimitera dizelskih elektrana imala su za posljedicunjihov ispad. Ispadanje 40 MW optereÊenja, zbograda automatske podfrekvencijske zaπtite, rezultiraloje u preostaloj snazi od 10 MW napajanoj izparnog bloka #2 u zadnjim trenucima neposrednoprije potpunog ispada.In the course of events, three additional factorswere shown to be crucial. The under-voltageprotection settings for the wind park and for theindividual wind generators resulted in the loss ofwind generation (24 % of the total generation). Theunder-excitation limiters protection settings of thediesel units resulted in the loss of those units. Theshedding of 40 MW of load, due to the operation ofthe automatic under-frequency protection, resultedin a remaining load of 10 MW which was fed fromSteam Unit #2 in the final moments just before thecollapse.Slika 3Oscilogram 1 ∑ Naponina sabirnici 66 kV natrafostanici Rhodini(poËetak gubljenja strujeiz voda)Figure 3Oscillogram 1 ∑ Voltagesat the 66 kV bus atRhodini (the fault begins)Zygos 1 fase AZygos 1 fase BZygos 1 fase C613Papazoglou,Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617

Slika 4Oscilogram 2 ∑Struje zabiljeæenena prekidaËu 66 kVP-110 na trafostaniciRhodiniFigure 4Oscillogram 2 ∑Currents registered at66 kV Breaker P-110at RhodiniZygos 1 fase AZygos 1 fase BZygos 1 fase CSlika 5Oscilogram 3 ∑ Naponina sabirnici 66 kV natrafostanici RhodiniFigure 5Oscillogram 3 ∑Voltages at 66 kV busat RhodiniZygos 1 fase AZygos 1 fase BZygos 1 fase CSlika 6Oscilogram 4 ∑ Naponina sabirnici 66 kV natrafostanici RhodiniFigure 6Oscillogram 4 ∑Voltages at 66 kV busat RhodiniZygos 1 fase AZygos 1 fase BZygos 1 fase CPapazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617614

Slika 7Oscilogram 5 ∑ Naponna sabirnici 66 kV natrafostanici Rhodini(nestanak struje vidljivna kraju)Figure 7Oscillogram 5 ∑ Voltageat 66 kV bus at Rhodini(blackout seen at theend)Zygos 1 fase AZygos 1 fase BZygos 1 fase CNapon / Voltage (%)120100806040Slika 8Varijacija napona nasabirnici 66 kV (u %)tijekom smetnjeFigure 866 kV bus voltagevariation (in %) duringthe disturbance2000 30 60 90 120 150 180Vrijeme / Time (s)Frekvencija / Frequency(Hz)54.553.552.551.550.549.548.5Slika 9Trend varijacijefrekvencije zabiljeæentijekom smetnjeFigure 9Frequency variationtrend registered duringthe disturbance47.50 2 4 6 8 10 12 14 16 18 20 22 24 26 28Vrijeme / Time (s)615Papazoglou,Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617

3 ZAKLJU»CIElektroenergetski sustav otoka Rodosa, kao jedanizoliran sustav, osjetljiv je na smetnje. Distribucijskisustav srednjenaponskih nadzemnih vodova ublizini obale takoappleer je osjetljiv na uËinke morskesoli koja negativno utjeËe na pouzdanost izolacije.Osjetljivost proizvodnje vjetroelektrana na kolebanjau naponu mreæe kao i ukupna zaπtita sustavaodigrale su kljuËnu ulogu u razvijanju poremeÊajakoji je doveo do raspada elektroenergetskogsustava.TrenutaËno se razmatra nadogradnja prijenosnogsustava na otoku Rodosu sa sadaπnjih 66 kV na150 kV πto bi se trebalo realizirati u naredne dvijedo tri godine. Osim izgradnje prijenosne mreæe,potrebno je nadograditi i sustav SCADA te sustavezaπtite.3 CONCLUSIONSAs an isolated system, the Rhodes Island system isvulnerable to disturbances. The MV overhead linedistribution system in the vicinity of the coast isalso vulnerable to the effects of sea salts that adverselyaffect the reliability of insulation.The sensitivity of wind generation to voltage swingsas well as the overall system protection played acritical role in the development of the perturbationwhich led to the blackout.In view of the fact that the transmission system onRhodes Island is currently being considered for anupgrade from the present 66 kV to 150 kV, scheduledfor the next two-to-three years, it is importantthat the SCADA system is upgraded as well. Theprotection scheme should also be upgraded.Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617616

LITERATURA / REFERENCES[1] Internal Incident-Report DEH, Blackout of the Rhodes EPS on 21.03.2007 (Interno izvjeπÊe o incidentu,Kolaps elektroenergetskog sustava Rodosa 21.03.2007)[2] Marconato, R., Electric Power Systems, Volume 2 (Second Edition), CEI ∑ Italian ElectrotechnicalCommittee, Milano, 2004Uredniπtvo primilo rukopis:2007-07-25PrihvaÊeno:2007-09-27Manuscript received on:2007-07-25Accepted on:2007-09-27617Papazoglou,Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., DijagnostiËki..., Energija, god. 56(2007), br. 5., str. 608-617Papazoglou, Th. M., Papazoglou, M. T., Thalassinakis, E. J., Tsichlakis, Ch., Hatziargyriou, N. D., Diagnostic..., Energija, vol. 56(2007), No. 5, pp. 608-617

BAZA PODATAKARELEJNE ZA©TITERELAY PROTECTIONDATABASEIzv. prof., dr. sc. Elis SutloviÊ, SveuËiliπte u Splitu, Fakultet elektrotehnike,strojarstva i brodogradnje, R. BoπkoviÊa bb, 21000 Split, HrvatskaKrunomir Petric, dipl. ing., HEP Operator distribucijskog sustava d.o.o.,PoljiËka cesta 73, 21000 Split, HrvatskaU radu je prikazan razvoj baze podataka relejne zaπtite kroz niz faza. U fazi planiranja bazesagledani su problemi u tipiËnom odjelu relejne zaπtite i utvrappleeno je zaπto razvijati bazu podataka.Potom je u fazi analize i specifikacije zahtjeva definirano za πto Êe se baza koristiti. U fazioblikovanja i izrade baze podataka definiran je njen logiËki, a potom i fiziËki model na raËunalukoriπtenjem sustava za upravljanje bazom podataka Microsoft Access koji je precizirao kako Êebaza podataka raditi. Na kraju je baza podataka uvedena u rad provjerom na stvarnim podacimate izobrazbom buduÊih korisnika. Prikazana baza podataka omoguÊava sistematizaciju, Ëuvanjei koriπtenje velikog broja podataka uz minimalnu redundanciju. Pored toga pruæa podrπku priredovnom odræavanju ureappleaja relejne zaπtite, izdavanju radnih naloga, periodiËkom izvjeπtavanjuitd. Bazi podataka relejne zaπtite moæe pristupiti nekoliko korisnika s razliËitim ovlastima nadpojedinim objektima baze. Pravo pristupa odreappleeno je korisniËkim identitetom. Takoappleer jekreirana i posebna aplikacija za lakπi pregled, aæuriranje i ispis podataka koji omoguÊava prikazniza ranije pripremljenih komponenti baze podataka relejne zaπtite. Osnovna namjena aplikacijeje omoguÊiti korisniku koriπtenje pune snage Microsoft Access uz najmanje truda i minimumpotrebnog znanja o tehnici baza podataka i sustavu za upravljanje bazom podataka.The article presents the development of a relay protection database through a series of phases.In the planning phase of the database, problems in a typical relay protection department are examinedand the reasons why a database should be developed are determined. Subsequently, duringthe phase of analysis and the specification of requirements, what the database will be usedfor is defined. In the phase of the formation and construction of the database, its logic is definedand then a physical model is prepared on a computer using the Microsoft Access database managementsystem, which stipulates how the database will operate. The database is placed intooperation and verified using actual data. Training is then provided for the future users.The database presented facilitates the systematization, storage and use of a large quantity ofdata with minimum redundancy. In addition, it provides support during the regular maintenanceof relay protection equipment, the issuing of work orders, periodic reporting etc. The relayprotection database can be accessed by several users with differing permissions for individualobjects of the database. The right to access is defined by the user identity. Furthermore, aspecial application has been created to simplify searching updating and printing-out of data,which facilitates the display of a series of previously prepared components of the relay protectiondatabase. The basic purpose of the application is to allow the user to utilize the full powerof Microsoft Access with a minimum of effort and a minimum of required knowledge aboutdatabase technique and the system for database management.KljuËne rijeËi: baza podataka, elektroenergetski sustav, relacijski model podataka, relejna zaπtitaKey words: database, electric power system, relational data model, relay protectionSutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633618

1 UVODSustavi relejne zaπtite u elektroenergetskomsustavu su iznimno vaæni i istodobno priliËnokompleksni. U praksi se koristi puno elemenatarazliËitih proizvoappleaËa, ureappleaji razliËite tehnoloπkegeneracije. TipiËni odjeli relejne zaπtite (npr.Odjel za zaπtitu i mjerenja u HEP Operator distribucijskogsustava d.o.o.) koriste veliku koliËinupodataka iz razliËitih izvora Ëiji se broj neprestanopoveÊava. Radi toga raste potreba za racionalnomi sigurnom pohranom niza podataka te njihovimsvrsishodnim koriπtenjem od strane viπe korisnika.Primjena modernih informacijskih tehnologija uodjelima relejne zaπtite, naroËito znanja i tehnikabaza podataka, ne samo da pruæa veliku pomoÊkorisnicima, veÊ sve viπe postaje nuænost.Baze podataka do danas su najkompleksniji naËinorganiziranja i koriπtenja pohranjenih podataka.Napredni sustavi za upravljanje bazom podatakakontroliraju sloæene strukture podataka i integrirajuih u jedinstveni sustav. Svrha sustava bazepodataka jest pretvaranje niza podataka u korisneinformacije prikazane u obliku pogodnom zakorisnika.Namjera ovoga rada je ukazati na moguÊnosti primjenetehnike baze podataka u odjelima relejnezaπtite, odnosno odgovoriti na pitanja zaπto stvaratibazu podataka, zatim za πto Êe se baza koristiti ina kraju prikazati kako organizirati bazu podatakaradi zadovoljenja postavljenih zahtjeva.1 INTRODUCTIONRelay protection systems in an electric power systemare exceptionally important and at the same timefairly complex. In practice, many elements fromvarious manufacturers are used as well as equipmentfrom several technological generations. A typical relayprotection department (e.g. the Department forProtection and Measurement at the HEP DistributionSystem Operator (HEP ODS d.o.o.) uses a largeamount of data from various sources, which are constantlyincreasing. Therefore, there is a growing needfor the rational and secure storage of data series andtheir appropriate use by a number of users. The applicationof modern information technologies in relayprotection departments, particularly database knowledgeand techniques, not only provides great assistanceto users but is increasingly becoming a necessity.Databases are still the most complex manner of organizingand using stored data. Advanced systemsfor database management control complex datastructures and integrate them into a single system.The purpose of a database system is to transform aseries of data into useful information, presented ina form that is suitable for the user.The purpose of this article is to present possibilitiesfor the application of database technique in relayprotection departments, i.e. to answer the questionswhy a database should be created, what it willbe used for and how to organize a database in orderto meet the determined requirements.2 NAMJENA BAZA PODATAKARELEJNE ZA©TITEU odjelu relejne zaπtite vrπe se poslovi izbora vrstei mjesta ugradnje elemenata relejne zaπtite, projektiranje,konfiguriranje i parametriranje releja(podeπavanje releja), puπtanje ureappleaja u pogon,zatim redovni i interventni pregledi ureappleaja usustavu zaπtite, odræavanje ureappleaja itd. Za svakirelej i svaku njegovu funkciju potrebno je imatisluæbenu dokumentaciju odnosno ispitne protokoles tehniËkim podacima o releju, ali i vlastitepodatke o mjestu ugradnje pojedinog releja itrenutaËno postavljenim parametrima. Redovno ipovremeno odræavanje, ispitivanje i udeπenje relejatakoappleer zahtijeva popratnu dokumentaciju.Posao, tijekom niza godina, obiËno obavlja viπeljudi s razliËitim pristupom pri formiranju potrebnetehniËke dokumentacije, pisanju izvjeπÊa itd.NajËeπÊe postoje formulari za upis podataka o nekomzaπtitnom releju, no i formulari se povremenomijenjaju i usklaappleuju. Takoappleer se elementi sustava2 THE PURPOSE OF RELAYPROTECTION DATABASESIn a relay protection department, tasks are performedsuch as the selection of the types and sites for installingrelay protection elements, designing, configuringand parametrizing relays, placing equipment intooperation, regular and interventional inspections ofequipment within the protection system, equipmentmaintenance etc. For every relay and each of itsfunctions, it is necessary to have official documentation,i.e. testing protocols with technical data on therelay but also particular data on the installation siteof an individual relay and the currently set parameters.Regular and periodic maintenance, testing andadjustment of the relay also require accompanyingdocumentation. Over the years, this task is generallyperformed by several people with differing approachesto the formation of the necessary technicaldocumentation, the writing of reports etc. Most commonlythere are forms for data entry on a protectiverelay but the forms also change occasionally and areSutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633620

zaπtite povremeno mijenjaju novijim ureappleajima,ponekad elementi sustava zaπtite mijenjaju mjestougradnje ili im se udeπene vrijednosti postavljajuna nove iznose. Sve skupa nerijetko rezultiravrlo πarolikom i nesreappleenom dokumentacijom. Zaodreappleeno izvjeπÊe Ëesto se postavlja pitanje da lije to izvjeπÊe posljednje ili postoji neko novije.Odjeli relejne zaπtite, oËito je, barataju s velikimbrojem razliËitih podataka. Opseg tih podataka seneprestano poveÊava.Temeljni cilj pri planiranju baze podataka relejnezaπtite bio je stvoriti bazu podataka koja Êe pomoÊikorisniku u rjeπavanju navedenih problema. Velikibroj podataka koji Êe se Ëuvati u toj bazi veÊ sadapostoje na papiru u raznim formama. Uz to πtoih treba sistematizirati i pravilno skladiπtiti, korisnikutreba omoguÊiti dobivanje izvjeπÊa jednakaonima na kakve su veÊ navikli u dosadaπnjemradu. Analizom poslovnih procesa u odjelu zaπtitedoπlo se do osnovnih informacijskih zahtjeva nabazu podataka:∑ sistematizacija podataka zaπtitnih ureappleaja, sobzirom da se koriste zaπtitni ureappleaji razliËitihtehnoloπkih generacija i razliËitih proizvoappleaËa.Ureappleaji novije generacije obiËno imaju mnogoveÊe moguÊnosti i mnogo veÊi skup podatakakojim su definirani od ureappleaja starijegeneracije,∑ Ëuvanje niza podataka o zaπtitnim ureappleajimana jednom mjestu u raËunalu. U bazu podatakatreba pohraniti i statiËke podatke o elementimazaπtite kao tehniËke podatke pojedinihureappleaja, mjesto ugradnje pojedinih ureappleajai sl. te dinamiËke podatke o trenutaËnomudeπenju zaπtite, izvrπenom ispitivanju,∑ evidencija dostupnih podataka i onih zaπtitnihureappleaja koji trenutaËno nisu u pogonu, veÊ suu remontu ili na skladiπtu,∑ posjetnik i podrπka pri redovnom odræavanju iizdavanju radnih naloga,∑ moguÊnost uvida u razliËite skupine podatakai moguÊnost ispisa razliËitih unificiranihizvjeπÊa od strane viπe korisnika razliËitog profilau odjelu relejne zaπtite,∑ moguÊnost unosa, brisanja i izmjene podatakaod strane jednog ovlaπtenog korisnika.Prilikom kreiranja baze podataka nametnuli su sei dodatni zahtjevi i ograniËenja:∑baza podataka relejne zaπtite mora biti jednostavnaza koriπtenje odnosno potrebni razinaznanja korisnika o tehnikama baza podatakate naËinu pretraæivanja i Ëuvanja podatakamora biti πto niæi. Zbog toga, a i zbog vaænostipohranjenih podataka, struktura i integritetpodataka moraju biti na visokoj razini,coordinated. Furthermore, elements of the protectionsystem are periodically replaced by new equipment.Sometimes elements of the protection system are installedin different sites or their values are set to newlevels. All of this not infrequently results in a lackof uniformity and highly disorganized documentation.For a specific report, the question is frequentlyasked whether the report is the most recent or if anewer one exists. Relay protection departmentsobviously deal with a large quantity of varied data.The range of these data is constantly increasing.The fundamental goal in the planning of a relay protectiondatabase was to create a database that wouldhelp the user solve these problems. The great quantityof data that will be stored in the database alreadyexists on paper in various forms. In addition, theymust be systematized and stored in an orderly manner.The users must be able to obtain reports identicalto those to which they have become accustomedin their work thus far. Analysis of the operationalprocesses in the protection department resulted inthe basic information requirements for the database:∑ systematization of the data of the protectionequipment, since protection equipment of varioustechnological generations and variousproducers is used. Equipment from more recentgenerations generally has much greater possibilitiesand a much larger group of data, in contrastto the equipment of older generations,∑ storage of a large amount of data on protectionequipment in one place in the computer. In thedatabase, it is also necessary to store static dataon the elements of protection such as technicaldata on individual devices, the installation site ofindividual devices etc., and dynamic data on realtimeprotection settings and testing performed,∑ records of available data on protective devicesthat are currently not in operation but are beingrepaired or stored in a warehouse,∑ reminder and support for regular maintenanceand the issue of work orders,∑ the possibility of inspecting various groups ofdata and the possibility of printing out variousuniform reports by several users of differingprofiles in the relay protection department,∑ the possibility of entering, deleting and changingdata by an authorized user.When creating the database, additional requirementsand limitations have been imposed:∑the relay protection database must be simple touse, i.e. the required level of user knowledge regardingdatabase techniques, searches and datastorage must be kept to a minimum. Therefore anddue to the importance of the stored data, the datastructure and integrity must be at a high level,621SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

∑ Ëesti problem sliËnih baza podataka relejnezaπtite je redovno odræavanje zbog velikog brojarazliËitih komponenti baze (tablica, upita,izvjeπÊa) prilagoappleenih raznim vrstama i generacijamareleja [1]. O ovom problemu takoappleertreba voditi raËuna prilikom dizajniranja baze,∑ podaci pohranjeni u bazi takoappleer mogu sluæitinizu aplikacijskih programa koji se koriste uodjelima zaπtite pri proraËunu raznih parametaraelemenata sustava relejne zaπtite (npr.proraËunu kratkog spoja u elektroenergetskojmreæi) i sl. Pripremu podataka za aplikacijskeproraËune moguÊe je automatizirati koristeÊidodatne programske rutine za povezivanje iprilagoappleene podataka iz baze i aplikacijskihprograma [2]. Takoappleer je moguÊe oko bazepodataka izgraditi cijeli sustav za rukovanjepodacima zaπtitnih ureappleaja, proraËunavanje ianalizu kvarova, postavljanje parametara releja,provjeravanje, simulaciju itd. [3], [4] i[5]. U ovoj fazi razvoja prikazane baze podatakanije predviappleeno automatsko povezivanjeaplikacijskih proraËuna s podacima u bazi πtoznaËajno smanjuje informacijske zahtjeve tekoliËinu potrebnih podataka,∑ opseg podataka koje Êe baza obuhvatiti i pravapristupa odreappleenim skupinama podataka trebaprilagoditi postojeÊoj organizacijskoj strukturiodjela relejne zaπtite, a takoappleer mjestu odjelarelejne zaπtite u organizacijskoj shemi cjelokupnogpoduzeÊa. Informacijski zahtjevi kojisu postavljeni na bazu podataka relejne zaπtiteu jednom tipiËnom odjelu relejne zaπtite, baru ovom trenutku, nisu obuhvatili i nekakvepomoÊne procese kao voappleenje knjigovodstva iizdavanje knjigovodstvenih izvjeπÊa, proraËunamortizacije pojedine opreme, obavljanje financijskihtransakcija i sliËno.3 MODELIRANJE PODATAKAModeliranje podataka je proces koji poËinje analiziranjeminformacijskih zahtjeva, a zavrπavaizgradnjom baze podataka [6] i [7]. Postupnimrazvojem i transformacijom modela podataka kroztri razine, πto je uobiËajeni postupak pri modeliranjupodataka, doπlo se do realizacije konaËnogimplementacijskog modela na raËunalu i stvaranjabaze podataka relejne zaπtite.3.1 Konceptualni model podatakaSukladno zahtjevima koji su postavljeni na bazupodataka u prvom koraku, razvijen je konceptualnimodel tipa entiteti-veze. Model tipa entiteti-vezejedan je od najËeπÊe koriπtenih modela podatakatreÊe generacije zato πto raspolaæe sa semantiËki∑ a frequent problem with similar relay protectiondatabases is regular maintenance due tothe large number of various base components(tables, queries and reports) adapted to varioustypes and generations of relays [1]. This problemmust also be taken into account whendesigning the database,∑ data stored in the base can also be used in aseries of application programs employed by protectiondepartments for the computation of variousparameters of the relay protection systemelements (e.g., calculation of a short circuit inthe electric power network). Preparation of datafor calculation applications can be automatedby using additional program routines for linkingand adapting data from the base and ∑ applicationprograms [2]. Furthermore, it is possibleto construct an entire system around the databasefor the data management of protectiveequipment, calculation and analysis of faults,establishment of relay parameters, verification,simulation etc. [3], [4] and [5]. In this phaseof the development of the database presented,automatic linking of the application softwarewith data in the base has not been anticipated,thereby significantly reducing the informationrequirements and the quantity of data needed,∑ the range of data that the base will cover and theright to access certain groups of data should beadjusted to the existing organizational structureof the relay protection department and the positionof the relay protection department within theorganizational schema of the entire enterprise.Information requirements placed upon the relayprotection database in a typical relay protectiondepartment, at least at the moment, do not coverany auxiliary processes such as bookkeeping andissuing bookkeeping reports, calculation of thedepreciation of individual equipment items, performanceof financial transactions etc.3 DATA MODELINGData modeling is a process that begins with theanalysis of information requirements and ends withthe construction of a database [6] and [7]. The progressivedevelopment and transformation of a datamodel through three levels, which is the customaryapproach in data modeling, resulted in the implementationof the model on the computer and thecreation of the relay protection database.3.1 Conceptual data modelBased upon the requirements established for thedatabase in the first step, a conceptual model ofthe entity-relationship type was developed. A modelSutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633622

ogatim, prirodnim i korisniku bliskim konceptima,lako se transformira u klasiËne komercijalnemodele, a prikladan je i za daljnje projektiranjebaze podataka. Pri izradi modela podataka entitetivezevodilo se raËuna da podaci budu meappleusobnoneovisni te da se jedan podatak nalazi samo najednom mjestu. Na ovaj naËin model podatakamoæe se graditi modularno, a iz modela podatkamogu se izluËivati podmodeli.Tijekom modeliranja podataka takoappleer se vodiloraËuna o tome da je ovo samo jedan projekt, odnosnojedan podsustav unutar veÊeg globalnog modelapodataka. Stoga se teæilo strogom poπtivanjupravila pri oblikovanju podataka kako bi se kasnijeomoguÊila razmjena podataka drugim aplikacijama[8] i [9]. Cilj strateπkog planiranja velikih informacijskihsustava i jest podjela sustava na dijelovekoji se mogu realizirati malim projektimaautonomno te relativno stabilna infrastruktura, ukojoj se manji, modularno projektirani podsustavilako mogu povezati.Tijekom izrada modela entiteti-veze najprije su definiranitipovi entiteta (energetski objekt, postrojenje,polje, strujni transformator, jezgra strujnogtransformatora itd.) i njihovi tipovi atributa (funkcijapolja, proizvoappleaË strujnog transformatora,nazivna struja jezgre strujnog transformatora itd.)odnosno uoËeni su i razluËeni entiteti i atributi. Sobzirom da su neki entiteti grupirani (klasificirani)prema zajedniËkim svojstvima izvrπena je preraspodjelaentiteta prema klasifikacijskim strukturama.Potom su definirane veze meappleu entitetima injihove karakteristike. Na kraju je nekoliko podmodela(podmodel energetskog transformatora,podmodel mjernih transformatora itd.) objedinjenou zajedniËki model podataka tipa entiteti-veze.3.2 LogiËki model podatakaKada je konceptualni model zadovoljio postavljenezahtjeve, postupkom logiËkog modeliranja pretvorenje u relacijski model podataka. Relacijskimodel podataka je izabran za logiËki model s obziromda je to najpopularniji model komercijalnihsustava za upravljanje bazom podataka, a strukturamodela je jednostavna. Dobivena logiËka shemabaze podataka je provjerena prema zahtjevimakorisnika.Dio sheme relacijske baze podataka prikazan jena slici 1. U relacijama prikazanim na slici vidise samo dio atributa kako slika ne bi bila prevelika.Model podataka je priliËno sloæen s obziromda se u praksi koristi niz razliËitih vrsta zaπtita, asvaka opet viπe razliËitih tipova ureappleaja i razliËitihgeneracija izvedbe. Uz identifikacijske i opisnepodatke, u model podataka integrirane su razneof the entity-relationship type is one of the mostfrequently used third-generation data models becauseit employs semantically rich, natural anduser-friendly concepts; can easily be transformedinto classical commercial models and is suitablefor the further design of a database. In developingthe entity-relationship data model, it was stipulatedthat the data would be mutually independent andeach data entry would be located in only one place.In this manner, the data model could be built modularlyand submodels could be extracted.During data modeling, it was taken into accountthat this is only one project, i.e. one subsystemwithin a larger global data model. Therefore, thereis a tendency to respect rules more strictly whenforming data to facilitate data exchange with otherapplications in the future [8] and [9]. The goal ofthe strategic planning of a large information systemis the division of the system into parts, whichcan be achieved autonomously with small projectsand a relatively stable infrastructure, within whichsmaller, modularly designed subsystems can beeasily linked.During the preparation of an entity-relationshipmodel, first of all the types of entities (power systemfacilities, bays, current transformer, current transformercore etc.) are defined and their attributes(bay function, current transformer manufacturer,rated current of the current transformer core etc.),i.e. entities and attributes are noted and differentiated.Since some entities are grouped (classified)according to common properties, the entities werereconfigured according to the classification structures.Then the relationships among the entitiesand their characteristics were defined. Finally, severalsubmodels (a submodel of a power transformer,a submodel of the measurement transformers etc.)were combined into a common data model of theentity-relationship type.3.2 Logic Data ModelWhen a conceptual model has met the establishedrequirements, it is transformed into a relational datamodel through the procedure of logical modeling. Arelational data model has been chosen for the logicmodel because it is the most popular model used incommercial systems for database management, andthe model structure is simple. The logic schema obtainedof the database is verified according to userrequirements.Part of the schema of the relational database is presentedin Figure 1. In the relationships shown inthe figure, only a part of the attributes are seen sothat the figure is not too large. The data model isfairly complex because a series of various types of623SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

slike (npr. jednopolne sheme), dijagrami i sl. PrikazanilogiËki model podataka je joπ uvijek neovisanod konkretnog sustava za upravljanje bazompodataka.3.3 FiziËki model podatakaU posljednjoj fazi modeliranja podataka logiËkimodel podataka postupkom fiziËkog modeliranjapretvoren je u fiziËki model i realiziran na raËunalupomoÊu sustava za upravljanje bazom podatakaMicrosoft Access 2000. Prilikom izrade fiziËkogmodela velika paænja je posveÊena osiguranjuintegriteta podataka, a time stabilnosti i pouzdanostibuduÊe baze podataka u radu. FiziËkomodeliranje je, uz odreappleivanje formata fiziËkogzapisa svih atributa definiranih u prethodnoj fazi(izbor vrste podataka i alokacija prostora), obuhvatilodefiniranje niza kontrola koje pridonoseminimalizaciji pogrjeπaka kod unosa podataka,indeksiranje pojedinih atributa radi kasnijeg bræegi sigurnijeg pretraæivanja. Procedure za kontroliranjeispravnost unesenih podataka provjeravaju dali su podaci unutar odreappleenih graniËnih vrijednostikod podataka gdje je ta ograniËenja moguÊedefinirati, za neke podatke pruæaju korisniku listumoguÊih vrijednosti s tim da mu nekad dozvoljavajui drugi izbor, a nekad ne. Za podatke, gdjeje to bilo potrebno, definirane su maske za unos,nekim podacima su odmah upisane pretpostavljenevrijednosti koje se kasnije mogu promijeniti itd.Realizacijom fiziËkog modela na raËunalu nastalaje baza podataka relejne zaπtite.Microsoftov sustav za upravljanje bazom podatakaodabran je iz dva razloga:∑ Access 2000 (i novije verzije) prema svojimmoguÊnostima i popularnosti danas spadameappleu vodeÊe programe za baze podataka naPC platformama,∑ ako podaci nadrastu moguÊnosti Accessa 2000posebnom procedurom ugraappleenom u Accessu2000 lako ih je premjestiti na Microsoft SQLServer koji je dovoljno snaæan za gotovo svezahtjeve.Performanse koje pruæa Access 2000 sasvim sudostatne da zadovolje zahtjeve koji su u poËetkupostavljeni na ovu bazu podataka [10] i [11].Ukoliko se u buduÊnosti postave stroæi zahtjevi nasustav za upravljanje bazom podataka kao veÊi opsegpodataka, viπe korisnika, viπe istodobnih transakcija,poboljπana sigurnost itd., baza se moæeproπiriti na SQL Server. Takoappleer, ako se ukaæe potrebaza integriranjem ove baze podataka s drugimbazama, moguÊnost prelaska na Microsoft SQLServer verziju moæe biti od velike koristi.protection are used in practice, and for each thereare several different types of equipment of differentgenerations. In addition to the identification and descriptivedata, various figures are integrated into thedata model (e.g. single-pole schemata), diagramsetc. The logic data model shown is still independentfrom the concrete database management system.3.3 Physical Data ModelIn the final phase of data modeling, the logic datamodel is transformed into a physical model throughthe procedure of physical modeling and realized on acomputer using the Microsoft Access 2000 databasemanagement system. During the development of thephysical model, great attention has been devoted toassuring the integrity of the data and, thereby, thestability and reliability of the future database in operation.Physical modeling, in addition to the determinationof the format for the physical record of all theattributes defined in the previous phase (the selectionof the types of data and the allocation of space),is the definition of a series of controls that contributeto minimizing errors in data entry and the indexing ofindividual attributes to facilitate more rapid and dependablesearches later. The procedures for controllingthe accuracy of the data entered verify whetherthe data are within the specified limit values for datawhere this limit can be defined. For some data, theuser is offered a list of possible values. Sometimesanother choice is permitted and sometimes not.Where necessary, data entry forms are defined andthe assumed values for some data are entered immediately,which can be changed later etc. Withthe implementation of the physical model on thecomputer, a relay protection data base was created.The Microsoft database management system waschosen for two reasons:∑ Access 2000 and newer versions are among theleading database programs on PC platforms today,in terms of their possibilities and popularity.∑ if the data outgrow the capabilities of Access2000, a special procedure installed in Access2000 makes it is easy to transfer them to a MicrosoftSQL Server that is sufficiently powerfulfor nearly all requirements.The performance provided by Access 2000 is fullysufficient to meet the requirements established atthe beginning for this database [10] and [11]. Ifstricter requirements are set in the future on thesystem for database management such as a largerrange of data, more users, more simultaneous transactions,improved security etc., the base can be extendedto the SQL Server. Furthermore, if the needis demonstrated for the integration of this databasewith other bases, the possibility for transfer to theMicrosoft SQL Server version could be very useful.SutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633624

Slika 1Dio relacijske shemebaze podatakaFigure 1Part of the relationshipschema of the database4 SIGURNOST BAZEPODATAKA RELEJNE ZA©TITESustav za upravljanje bazom podataka MS Access2000 nudi nekoliko sigurnosnih opcija za oËuvanjeintegriteta i tajnosti podataka koje su iskoriπtenepri kreiranju baze podataka relejne zaπtite. Sigurnostna razini korisnika kombinira korisnike, radnegrupe i dozvole na razini objekta za potporuograniËenom pristupu razliËitim dijelovima bazepodataka. Kod pokretanja programa MS Access2000 potrebno je unijeti korisniËko ime i lozinkuza definiranje korisniËkog identiteta. KorisniËkoime je povezano sa skupom dozvola koje odreappleujeπto korisnik moæe raditi nad pojedinim objektimabaze kad se baza podataka otvori. U bazi podatakarelejne zaπtite definirane su tri grupe korisnika srazliËitim pravima:∑∑∑administrator baze - ima moguÊnost izmjenedizajna i strukture baze te pregled i aæuriranjepodataka u bazi,ovlaπteni korisnik - ima moguÊnost pregleda iizmjene podataka u bazi, ali nema moguÊnostizmjene dizajna i strukture baze,obiËni korisnici - imaju samo moguÊnost pregledapodataka.Grupne ovlasti administratora baze i grupne ovlastiovlaπtenog korisnika ima po jedan korisnik dokovlasti grupe obiËni korisnici ima viπe korisnika.4 SECURITY OF THE RELAYPROTECTION DATABASEThe MS Access 2000 database management systemoffers several security options for safeguardingthe integrity and secrecy of the data that are usedin creating a relay protection database. Security atthe user level encompasses users, work groups andpermission at the level of the object to support limitedaccess to various parts of the database. Whenstarting the MS Access 2000 program, it is necessaryto enter the user name and password for thedefinition of the user’s identity. The user’s nameis linked with a set of permissions that determinewhat a user can do regarding individual objects ofthe base when the database opens. In the relay protectiondatabase, three groups of users with differentrights are defined:∑∑∑the base administrator can change the designand structure of the base as well as view andupdate the data in the base,the authorized user can view and change datain the base but cannot change the design andstructure of the base,the ordinary users can only view data.The administrator group permissions and the usergroup permissions have one user each while permissionsfor the group of ordinary users are held byseveral users. Individual users in this group can be625SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

Pojedinim korisnicima u ovoj grupi mogu se datidodatne ovlasti nad nekim objektima baze kao naprimjer moguÊnost dodavanja podataka u neketablice, ali bez moguÊnosti brisanja ili izmjenepostojeÊih podataka. Ovlasti grupa i korisnika nisutrajno definirane jer administrator baze podataka usvakom trenutku moæe ovlasti promijeniti ili dodatinovog korisnika. Prirodno je da ovlasti ovlaπtenogkorisnika dobije osoba u odjelu zaπtite zaduæenaza ispravnost unesenih podataka.Baza podataka relejne zaπtite je, za sada,zamiπljena i prilagoappleena Ëuvanju i odræavanjuna jednom PC raËunalu (najvjerojatnije raËunaluovlaπtenog korisnika) uz moguÊnost koriπtenja kopijaza pregled na drugim raËunalima. Takoappleer jemoguÊe dozvoliti rad nad bazom podataka s drugihraËunala u lokalnoj mreæi. Tada se postavkomlokalne mreæe definiraju raËunala s kojih se moæepristupiti i s kakvim ovlastima (samo Ëitanje ili Ëitanjeuz moguÊnost aæuriranja i sl.).Uz sigurnost na razini korisnika uvedena je i dodatnazaπtitna mjera u obliku lozinke na bazu podataka.Ovu lozinku se ne smije brkati s korisniËkomlozinkom pri pokretanju MS Accessa 2000. Dakleza rad s bazom podataka relejne zaπtite nakon prijavljivanjakorisnika (upis korisniËkog ime i lozinke)joπ je potrebno unijeti i lozinku baze podatakarelejne zaπtitite kao drugu razinu sigurnosti.given additional permissions for some of the databasesuch as, for example, the option of adding datato some tables, but without the option of deleting orchanging existing data. Group and user permissionsare not permanently defined because the administratorof the database can change permissions atany moment or add new users. It is natural for thepermission of an authorized user to be obtained bya person in the security department in charge of theaccuracy of the data entered.The relay protection database is, for now, conceivedand adapted for storage and maintenance on one PC(most likely the computer of the authorized user),with the possibility of using copies for searching onother computers. Furthermore, it is possible to permitwork on the database from other computers in thelocal network. In this case, the settings of the localnetwork define the computers from which the databasecan be accessed and the types of permissions(read only or read with the option of updating etc.).In addition to security at the user level, an additionalsecurity measure has been introduced in theform of a password for the database. This passwordmust not be confused with the user password forstarting MS Access 2000. Thus, in order to workwith the relay protection database, after enteringthe user's name and password it is also necessary toenter the password of the relay protection databaseas a second level of security.5 APLIKACIJA ZA PREGLED,AÆURIRANJE I ISPISPODATAKASustav za upravljanje bazom podataka MS Access2000 uz razne moguÊnosti pri konstrukciji tablicai upisu podataka nudi niz vrlo moÊnih alata za pregledavanjebaze podataka, postavljanje razliËitihupita, kreiranju izvjeπÊa i njihovo prilagoappleavanjeispisu na papir. Za uspjeπno koriπtenje baze podatakai svih prednosti koja ona pruæa nuæno jeodreappleeno znanje iz tehnike baze podataka te poznavanjerada s programom MS Access. ProgramMS Access takoappleer nudi niz alata za automatizacijurada i brz pristup Ëesto koriπtenim dijelovimabaze bez poznavanja pojedinih komponenti injihovih meappleusobnih odnosa. KoristeÊi te alatekreirana je posebna aplikacija za lakπi pregled,aæuriranje i ispis podataka iz baze relejne zaπtite smoguÊnoπÊu aktiviranja niza pripremljenih upita,ekranskih obrazaca i izvjeπÊa. Aplikacija u svomradu koristi i ostale komponente baze podatakakao makronaredbe i programske rutine napisaneu programskom jeziku Microsoft VBA (Visual Basicfor Applications) kako bi se u potpunosti iskoristilasnaga Accessa. Osnovna namjena aplikacije5 APPLICATION FORINSPECTING, UPDATING ANDPRINTING-OUT DATAThe MS Access 2000 database management system,in addition to various options in the constructionof tables and data entry, also offers a seriesof very powerful tools for searching the database,posing various queries, creating reports and adaptingthem for hard copies. For the successful use ofthe database and all the advantages that it offers, acertain amount of knowledge of database techniqueand the use of the MS Access program is necessary.The MS Access program also offers a seriesof tools for automating work and rapidly accessingfrequently used parts of the base, which due notrequire familiarity with the individual componentsand their mutual relationships. Using these tools,a special application has been created to facilitatethe searching, updating and printing-out of datafrom the relay protection database, with the optionof activating a series of prepared queries, screenforms and reports. The application also uses othercomponents from the database such as macro instructionsand program routines written in the pro-SutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633626

je omoguÊiti korisniku πto lakπe koriπtenje svihpripremljenih komponenti konkretne baze podatakarelejne zaπtite uz najmanje truda korisnika iminimum potrebnog znanja o tehnici baza podatakai samom MS Accessu. Koriπtenjem aplikacije,korisnik ne treba znati puno niti o samom modelupodataka relejne zaπtite. Aplikacija je slagana takoda u radu nastoji ponuditi korisniku baπ ono πtomu odreappleenom trenu moæe zatrebati. OpÊenitoaplikacija omoguÊava:∑ voappleenje korisnika kroz razliËite opcije, aktiviranjepojedinih komponenti baze i logiËnokretanje kroz upisane podatke (vertikalno i horizontalno)koristeÊi niz izbornika,∑ koriπtenje niza ekranskih formi (obrazaca) zalakπi pregled, upis i aæuriranje podataka u tablicamas viπe ugraappleenih filtara za pregled irazvrstavanje podataka. Unos podataka putemobrazaca je daleko intuitivniji od direktnogunosa u tablice uz bolji estetski dojam πto radËini ugodnijim i manje zamornim. Uporabomposebno kreiranih dodatnih komandnih tipki uobrascu za npr. trenutaËni pregled neke drugetablice, prijelaz na drugi obrazac, pregled razliËitihuputa za unos itd., rad postaje sigurnijii mnogo bræi. Koriπtenjem sloæenih obrazacaomoguÊen je istodobni rad nad viπe relacijskipovezanih tablica (slika 2),∑ koriπtenje pripremljenih parametarskih upita isloæenih upita npr. sumarni pregled udeπenjazaπtite u æeljenom objektu. Parametarski upitisluæe za lociranje specifiËnih slogova veÊkod poziva upita. Sloæeni viπetabliËni upiti snizom kriterija uz uporabu matematiËkih i logiËkihoperatora su takoappleer vrlo efikasan naËinpretraæivanja baze,∑ poziv razliËitih unificiranih obrazaca za ispispodataka iz baze, npr. izvjeπÊe o udeπenjuzaπtite u vodnim poljima nekog objekta,izvjeπÊe o udeπenju zaπtite u nekom polju,sumarno izvjeπÊe o udeπenju zaπtite u odabranomelektroenergetskom objektu (slika 3) itd.Informacije u izvjeπÊima su grupirane na naËinprikladan za tiskanje na viπe stranica. OblikizvjeπÊa kreiran je tako da izvjeπÊe iz bazeizgleda jednako kao dokumentacija koja se dosada koristila za prikaz podataka ugraappleenihureappleaja relejne zaπtite u postrojenjima (slika4),∑ pregled popratne dokumentacije, npr. naËinoznaËavanja (πifriranja) elemenata nekog polja,opis svake tablice itd. Uz ugraappleeni sustavpomoÊi koji pruæa sam program MS Access,npr. ispis opisa svakog polja u dnu monitorapri kretanju kroz tablicu i sl., unutar aplikacijena viπe mjesta mogu se pozvati posebno kreiranidokumenti s popratnim objaπnjenjima.Postoje sljedeÊi takvi dokumenti:gramming language Microsoft VBA (Visual Basic forApplications) in order to utilize the power of Accessfully. The basic purpose of the application is to enablethe user to employ all the prepared componentsof the actual relay protection database as easily aspossible, with the minimum of user effort and theminimum necessary knowledge of database techniqueand MS Access. When using the application,the user also does not have to know a lot about therelay protection data model. The application is constructedin such a manner that it attempts to offerthe user precisely that which he or she would needat a particular moment. Generally, the applicationmakes the following possible:∑ guiding the user through various options, activatingindividual base components and movinglogically through the entered data (verticallyand horizontally) using a series of menus,∑ using a series of screen forms to facilitate thesearching, entry and updating of data in thetables with several installed filters for the searchingand classification of data. Entry of datavia forms is far more intuitive than direct entryinto tables and creates a better esthetic impression,so that work becomes more pleasant andless tiring. By using specially created additionalcommand keys in the form for, e.g. the instantaneousview of some other table, switching toanother form, reading various instructions, entryetc., operation becomes more secure and muchfaster. By using complex forms, it is possible towork on several relationally connected tables atthe same time (Figure 2),∑ using prepared parameter queries and crosstabqueries, for example a summary review of theprotective settings in a desired object. Parameterqueries serve for locating specific recordswith query calls. Complex multi-relational querieswith a series of criteria using mathematicaland logical operators are also very effective meansfor searching the base,∑ calling various standardized forms for the printoutof data from the base, e.g. reports on protectionsettings in the transmission line baysof some facility, reports on protection settingsin some bay, a summarized report on the protectionsettings in a selected electrical powerfacility (Figure 3) etc. Information in the reportsis grouped in a manner that is suitable for printingon several pages. The form of the reportsis created so that the reports from the databaselook the same as documents that have beenused until now for presenting the data on theinstalled relay protection equipment in facilities(Figure 4),∑ inspection of accompanying documentation,e.g. the manner of coding the elements of a bay,description of each table etc. In addition to the627SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

· opis svih relacija u bazi podataka relejnezaπtite, s opisom svih atributa iz relacijskesheme te relacijskim vezama meappleutablicama,· opis πifarskog sustava koji se koristi pri definiranjui upisu primarnog kljuËa za svakurelaciju,· tekstualni opis rada aplikacije za pregled,aæuriranje i ispis podataka s opisom svihizbornika, formi, izvjeπÊa itd., odnosno detaljneupute za koriπtenje ove aplikacije,· blok dijagram toka aplikacije za pregled,aæuriranje i ispis podataka koji sluæi zabrzo snalaæenje unutar hijerarhijske strukturekreiranih izbornika.Sve opcije koje nudi ova aplikacija mogu se obavitii bez njenog aktiviranja (ako korisnik ima ovlasti dato obavi), ali tada treba dobro poznavati strukturupodataka i tehnike dizajniranja komponenti bazepodataka ili pak nazive ranije kreiranih obrazaca,upita i izvjeπÊa koja se pozivaju u aplikaciji. Akcijenad bazom podataka koje nisu predviappleene uaplikaciji mogu se obaviti izvan aplikacije. Dizajnaplikacije moæe mijenjati samo administrator bazedok kreiranje novih izvjeπÊa, upita i sl. mogu raditisvi korisnici. Ukoliko se ukaæe potreba za novimsadræajima u aplikaciji ili npr. netko od korisnikaiz grupe obiËnih korisnika kreira upit koji se Ëestokoristi, administrator baze ga moæe ukomponiratiu aplikaciju.installed help system that the MS Access programprovides, e.g. a print-out of a descriptionof each bay on the bottom of the monitor whenmoving through a table etc., within applicationsin several places it is possible to call speciallycreated documents with accompanying explanations.There are the following such documents:· description of all the relationships in therelay protection database, with a descriptionof all the attributes from the relationalschema and the relational links among thetables,· description of the code system that is usedin defining and entering the primary key foreach table,· the textual description of the operation ofthe application for the searching, updatingand print-out of data with a description of allthe menus, forms, reports etc., i.e. detailedinstructions for using these applications,· a block diagram of the application flow forsearching, updating and printing data thatprovides rapid orientation within the hierarchicalstructure of the created menus.All the options offered by this application can alsobe performed without activating it (if the user haspermission to do so), in which case it is necessaryto be well acquainted with the structure of the dataand the technique of designing database componentsor the names of previously created forms,queries and reports that are called in the application.Actions on the database that are not anticipatedin the application can be performed outsidethe application. The application design can only bechanged by the database administrator althoughthe creation of new reports, queries etc. can beperformed by all users. If the need arises for newcontents in the application or, for example, one ofthe users from the group of ordinary users creates aquery that is frequently used, the database administratorcan incorporate it in the application.SutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633628

Slika 2Sloæena ekranska formaFigure 2Complex screen formSlika 3Sumarno izvjeπÊe oudeπenju zaπtite uelektroenergetskomobjektu TS MuÊFigure 3Summary report on theprotection settings in theMuÊ Substation629SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

Slika 4IzvjeπÊe o udeπenjuzaπtite u vodnompolju H1 utransformatorskoj staniciMetkoviÊ1- OraπinaFigure 4Report on the protectionsettings at the H1power line bay in theMetkoviÊ1- OraπinaSubstationSutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633630

6 TESTIRANJE BAZEPODATAKA I OBUKAKORISNIKAPrije uvoappleenja baze podataka relejne zaπtite u radizvrπena su temeljita testiranja svih njenih dijelovai obuka korisnika.Prva testiranja i ocjena performansi raappleena su ufazi logiËkog modeliranja na relacijskom modelupodataka. Dobar relacijski model s minimalnomlogiËkom redundancijom podataka osnova je svakedobre baze podataka koja Êe dugo vremena moÊiudovoljiti postavljenim zahtjevima. Vrednovanjerelacijskog modela radilo se tako πto su simuliranapretraæivanja i grupiranja podataka na naËin kakoÊe to vjerojatno raditi buduÊi korisnici baze relejnezaπtite. Operacijama relacijske algebre (projekcije,restrikcije, prirodno spajanje itd.) nad definiranimrelacijama iz relacijskog modela kreirani surazliËiti pogledi u podatke (izvedene relacije) radiizdvajanja informacija koje Êe zanimati korisnike.Takoappleer je provjereno da su sve relacijske shememodela podataka bar u 3. normalnoj formi, kakotraæi teorija relacijskih modela podataka, Ëime seizbjegavaju odreappleene anomalije u strukturi bazepodataka.Nakon πto je relacijski model podataka zadovoljiopostavljene uvjete implementiran je na raËunaloi ponovno testiran sada kao fiziËki model. Kakobi provjerili cjelokupan model podataka i njegovoponaπanje u realnim uvjetima uneseni su podaci oelementima relejne zaπtite jedne kompletne transformatorskestanice (TS 35/10 kV MuÊ). Provjerenisu odnosi atributa u relacijama, veze meappleurelacijama te formati zapisa pojedinih atributa.Kad su otklonjeni svi uoËeni nedostatci na modelupodataka realizirana je aplikacija za unos, pregledi aæuriranje podataka. Rad kompletne aplikacijeprovjeren je na naËin da su podaci elemenata relejnezaπtite drugog objekta (TS 35/10 MetkoviÊ1∑ Oraπina) uneseni koriπtenjem aplikacije. Takoappleersu na podacima ove dvije transformatorske stanicetestirane i doraappleene ekranske forme za pregled podataka,razliËiti upiti te tiskana izvjeπÊa iz baze.U zadnjoj fazi pripreme baze za rad, buduÊi korisnicisu najprije upoznati sa svim opcijama, a potomsu oni vrednovali moguÊnosti baze podataka.Iako je cijeli projekt razvijan u bliskoj suradnji skorisnicima i u ovoj fazi uvaæeno je viπe njihovihsugestija i prijedloga. Kraj procesa testiranja jezakljuËen unosom podataka o elementima relejnezaπtite joπ jedne transformatorske stanice (TS35/10 kV Trogir) od strane korisnika.6 DATABASE TESTING ANDUSER TRAININGPrior to placing the relay protection database intooperation, thorough testing of all its parts was performedand the users were trained.The first testing and performance evaluationswere conducted in the logical modeling phase onthe relational data model. A good relational modelwith minimal logical data redundancy is the basisof every good database that will be able to meetthe set requirements over a long period of time.Evaluation of the relational model was performed insuch a manner that searches and grouping of datawere simulated in the manner that future users ofthe relay protection database will probably employ.Through operations of relational algebra (projections,restrictions, natural join etc.) on defined relationshipsfrom the relational model, various viewsof the data are created (derived) in order to selectinformation that will interest users. It has also beenconfirmed that all the relational data models are atleast in the third normal form, as required by thetheory of relational data models, thereby avoidingcertain anomalies in the database structure.After the relational data model satisfied the establishedprerequisites, it was implemented on thecomputer and retested as a physical model. In orderto verify the entire data model and its behaviorunder real conditions, data were entered on elementsof the relay protection of a complete substation(MuÊ 35/10 kV Substation). The connectionsamong the attributes in the relations, the relationshipsamong the relations and the formats of therecords of individual attributes were evaluated.When all the noted shortcomings of the data modelwere eliminated, the application for entering, searchingand updating data was implemented. The operation ofthe complete application was verified in a manner thatthe data of the elements of relay protection at a secondfacility (MetkoviÊ1 ∑ Oraπina 35/10 kV Substation)were entered by using the application. Furthermore,the screen forms for searching data, various queriesand printed reports from the database were testedand revised using data from these two substations.In the final phase of preparing the database for operation,future users were acquainted with all thepossibilities in advance. They then evaluated thepossibilities of the database. Although the entireproject was developed in close collaboration withthe users, many of their suggestions and proposalswere taken into account in this phase as well. Thetesting process was concluded with the entry of dataon the relay protection elements for one more substation(Trogir 35/10 kV Substation) by the users.631SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

7 ZAKLJU»AKRazvoj i odræavanje informacijskog sustava uuvjetima intenzivnog tehnoloπkog napretka jevrlo opseæan i sloæen posao. Nuæno je imati dugoroËnuviziju razvoja koja Êe biti kompatibilnas postojeÊim te fleksibilna u prihvaÊanju novihtehnologija. Izgradnja informacijskog sustava krozdijelove koji se mogu samostalno realizirati, a potompovezati u cjelinu jer poπtuju sva pravila prikreiranju modela podataka i izgradnje baze podatakaje dobar pristup.U radu je opisana koncepcija baze podatakazaπtitnih ureappleaja za potrebe odjela relejne zaπtite.Prikazan je i opisan razvoj modela podatakazaπtitnih ureappleaja koji poπtuje uobiËajene standardei principe izgradnje. Nad modelom podataka razvijenaje aplikacija za pregledavanje, izvjeπtavanjei aæuriranje podataka u bazi koja je takoappleer opisana.Ovakva baza podataka moæe funkcioniratikao samostalna cjelina, a takoappleer se moæe integriratiu svoju okolinu. Jasno da se ovakva bazapodataka moæe prilagoditi potrebama konkretnihodjela relejne zaπtite dodavanjem novih relacija urelacijskom modelu, dodavanjem novih pregleda ipreoblikovanjem izvjeπÊa.7 CONCLUSIONThe development and maintenance of an informationsystem under conditions of intensive technologicaladvancement is a very extensive andcomplex task. It is necessary to have a long-termvision of development that will be compatible withexisting technologies and flexible in the acceptanceof new ones. The construction of the informationsystem using parts that can be independently developedand then combined into a whole is a goodapproach because all the rules are respected in thecreation of the data model and the construction ofthe database.The article describes the concept of a protectiveequipment database for the needs of a relay protectiondepartment. A description is also presented ofthe development of the data model for protectiveequipment that follows the customary standardsand principles of construction. Based upon thedata model, an application has been developed forthe searching, reporting and updating of data in thebase, which is also described. Such a database canfunction as an independent entity and can also beintegrated into its environment. Clearly, such a databasecan be adapted to the needs of actual relayprotection departments by adding new relations inthe relational model, adding new views and restructuringreportsSutloviÊ, E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633632

LITERATURA / REFERENCES[1] MCCLAIN, J., CHAN, S.M., CHOE, D., Relay database design, IEEE Computer Applications in Power,Vol. 8, Issue 3, July 1995[2] SIMPSON, R.H., Power system data base management, IEEE Transactions on Industry Applications,Vol. 37, Issue 1, 2001[3] CAUTHEN, R.H., MCCANNON, W.P., The CAPE system: Computer-Aided Protection Engineering,IEEE Computer Applications in Power, Vol. 1, Issue 2, April 1988[4] RAMASWAMI, R., MCGUIRE, P.F., Navigating a protection-engineering database [for power systems],IEEE Computer Applications in Power, Vol. 2, Issue 2, April 1989[5] PEICHAO Z., WEIYONG Y., CHEN C., Building relay protection management system by tool CLIPS,IEEE International Conference on Intelligent Processing Systems, 1997[6] VARGA, M., Baze podataka, Konceptualno, logiËko i fiziËko modeliranje podataka, Druπtvo za razvojinformatiËke pismenosti (DRIP), Zagreb, 1994.[7] SUTLOVIΔ, E., Baza podataka za projektiranje elektroenergetskih postrojenja, Energija, god.43(1994), Zagreb, 1994.[8] EPRI Control Center Application Program Interface, Common Information Model Specification, DraftRevision 004, 1996[9] WORKING GROUP ON PROTECTIVE RELAYING PERFORMANCE CRITERIA OF THE POWER SY-STEM RELAYING COMMITTEE, Protective relaying performance reporting, IEEE Transactions onPower Delivery, Vol. 7, Issue 4, October 1992[10] JOYCE, C. , DUDLE, Y.N., AUNE, L., Brzi teËaj za Microsoft Access 2000, Prijevod dijela: QuickCourse in Microsoft Access 2000, Zagreb, Algoritam, 2000.[11] CASSEL, P., EDDY, C., PRICE, J., NauËite Microsoft Access 2002 za 21 dan, Prijevod dijela: Samsteach yourself Microsoft Access 2002 in 21 days, Zagreb, Miπ, 2002.Uredniπtvo primilo rukopis:2007-09-30PrihvaÊeno:2007-10-22Manuscript received on:2007-09-30Accepted on:2007-10-22633SutloviÊ,E., Petric, K., Baza podataka relejne zaštite, Energija, god. 56(2007), br. 5., str. 618-633SutloviÊ, E., Petric, K., Relay Protection Database, Energija, vol. 56(2007), No. 5, pp. 618-633

UPUTSTVO ZA RUKOPISUPUTEAUTORIMA1. »asopis Energija objavljuje Ëlanke koji do sada nisu objavljeni u nekom drugom Ëasopisu.2. Radovi se piπu na hrvatskom ili engleskom jeziku, u treÊem licu, na jednoj stranici papira, poËinju suvodom i zavrπavaju sa zakljuËkom, u dvostrukom proredu i s dostatnim marginama. Stranicese oznaËavaju uzastopnim brojevima.3. Radovi u pravilu ne mogu biti dulji od 14 stranica Ëasopisa Energija (oko 9000 rijeËi).4. Ime i prezime autora, znanstvena ili struËna titula, naziv i adresa tvrtke u kojoj autor radi i e-mailadresa navode se odvojeno.5. Iznad teksta samoga rada treba biti saæetak od najviπe 250 rijeËi. Saæetak treba biti zaokruæena cjelinarazumljiva prosjeËnom Ëitatelju izvan konteksta samoga rada. Nakon saæetka navode se kljuËne rijeËi.6. »lanci se piπu u Word-u sa slikama u tekstu ili u posebnim file-ovima u tiff formatu, 1:1, rezolucijenamanje 300 dpi.7. »lanci se piπu bez biljeπki na dnu stranice.8. MatematiËki izrazi, grËka slova i drugi znakovi trebaju biti jasno napisani s dostatnim razmacima.9. Literatura koja se koristi u tekstu navodi se u uglatoj zagradi pod brojem pod kojim je navedena nakraju Ëlanka. Koriπtena literatura navodi se na kraju Ëlanka redom kojim je spomenuta u Ëlanku. Akorad na koji se upuÊuje ima tri ili viπe autora, navodi se prvi autor i potom et al. Nazivi Ëasopisa senavode u neskraÊenom obliku.»asopis[1] FRAZIER, L., FODOR, J. D., The sausage machine: A new two-stage parsing model. Cognition,6 (1978), 291∑ 325Knjiga[5] NAGAO, M., Knowledge and Inference. Academic Press, Boston, 1988Referat[7] WATROUS, R. L., SHASTRI, L., Learning phonetic features using connectionist networks:An experiment in speech recognition. Presented at the Proceedings of the IEEE InternationalConference on Neural Networks, (1987) San Diego, CANeobjavljeno izvjeπÊe/teze[10] ROZENBLIT, J. W., A conceptual basis for model-based system design. PhD Thesis, WayneState University, Detroit, Michigan, 198510. »lanak je prihvaÊen za objavljivanje ako ga pozitivno ocijene dva struËna recenzenta. U postupkurecenzije Ëlanci se kategoriziraju na sljedeÊi naËin:∑ izvorni znanstveni Ëlanci ∑ radovi koji sadræe do sada joπ neobjavljene rezultate izvornih istraæivanja upotpunom obliku,∑ prethodna priopÊenja ∑ radovi koji sadræe do sada joπ neobjavljene rezultate izvornih istraæivanja upreliminarnom obliku,∑ pregledni Ëlanci ∑ radovi koji sadræe izvoran, saæet i kritiËki prikaz jednog podruËja ili njegova dijelau kojem autor i sam aktivno sudjeluje ∑ mora biti naglaπena uloga autorovog izvornog doprinosa u tompodruËju u odnosu na veÊ objavljene radove, kao i pregled tih radova,∑ struËni Ëlanci ∑ radovi koji sadræe korisne priloge iz struke i za struku, a ne moraju predstavljatiizvorna istraæivanja.11. »lanci se lektoriraju i provodi se metroloπka recenzija.12. »lanci se dostavljaju u elektroniËkom obliku i 1 primjerak u tiskanom obliku na adresu:HEP d.d. - EnergijaN/r tajnika UreappleivaËkog odbora ∑ mr. sc. Slavica Barta-KoπtrunUlica grada Vukovara 37, 10000 Zagreb, HrvatskaTel.: +385 (1) 632 2641Faks: +385 (1) 617 0438e-mail: slavica.barta@hep.hrKOREKTURA I AUTORSKI PRIMJERCI1. Autori su duæni izvrπiti korekturu svoga rada prije objavljivanja. VeÊe promjene teksta u toj fazi neÊese prihvatiti.2. Autori dobivaju besplatno 5 primjeraka Ëasopisa u kojemu je obljavljen njihov Ëlanak. Naknada zaobjavljeni Ëlanak obraËunava se prema Odluci o visini autorskih honorara Ëasopisa Energija.AUTORSKO PRAVO1. Autorsko pravo na sve obljavljene materijale ima Ëasopis Energija.2. Autori moraju telefaksom dostaviti popunjeni obrazac o autorskom pravu nakon prihvaÊanja Ëlanka.3. Autori koji æele koristiti materijale koji su prethodno objavljeni u Ëasopisu Energija trebaju seobratiti izdavaËu.Štritof, I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583634

MANUSCRIPTS1. Energija journal publishes articles never before published in another periodical.2. Articles are written in Croatian or English, in the third person, on one paper side, beginning withan introduction and ending with a conclusion, with double line spacing and adequate margins. Pagesare numbered consecutively.3. As a rule articles cannot exceed 14 pages of the Energija journal (about 9000 words).4. The name of the author and his/her academic title, the name and address of thecompany of the author’s employment, and e-mail address, are noted separately.5. The text of the article is preceded by a summary of max. 250 words. The summary is a rounded offwhole comprehensible to an average reader apart from the context of the article. The summary isfollowed by the listing of the key words.6. Articles are written in MS Word with pictures embedded or as separate TIFF fi les, 1:1, min. 300 dpi.7. Articles are written without bottom-of-page footnotes.8. Mathematical expressions, Greek letters and other symbols must be clearly written with suffi cientspacing.9. The sources mentioned in the text of the article are only to be referenced by the number under whichit is listed at the end of the article. References are listed at the end of the article in the order in whichthey are mentioned in the text of the article. If a work referenced has three or more authors, the fi rstauthor is mentioned followed by the indication et al. Names of journals are given in full.INSTRU-CTIONS TOAUTHORSJournal[1] FRAZIER, L., FODOR, J. D., The sausage machine: A new two-stage parsing model.Cognition, 6 (1978), 291∑325Book[5] NAGAO, M., Knowledge and Inference. Academic Press, Boston, 1988Conference paper[7] WATROUS, R. L., SHASTRI, L., Learning phonetic features using connectionist networks:An experiment in speech recognition. Presented at the Proceedings of the IEEE International Conference on Neural Networks, (1987) San Diego, CAUnpublished report/theses[10] ROZENBLIT, J. W., A conceptual basis for model-based system design. PhD Thesis, WayneState University, Detroit, Michigan, 198510. An article will be accepted for publication if it is positively evaluated by two professional reviewers. Inthe review, articles are categorised as follows:∑ original scientifi c articles ∑ works containing hitherto unpublished full results of original research,∑ preliminary information ∑ works containing hitherto unpublished preliminary results of originalresearch,∑ review articles ∑ works containing the original, summarized and critical review from the fi eld orfrom a part of the fi eld in which the author of the article is himself/herself involved ∑ the role of theauthor’s original contribution to the fi eld must be noted with regard to already published works,and an overview of such works provided,∑ professional articles ∑ works containing useful contributions from the profession and for theprofession, not necessarily derived from original research.11. Articles will undergo language editing and metrological reviews.12. Articles are to be submitted in a machine-readable form plus one printout to the following address:HEP d.d. - EnergijaN/r tajnika UreappleivaËkog odbora ∑ mr. sc. Slavica Barta-KoπtrunUlica grada Vukovara 37, 10000 Zagreb, CroatiaTel.: +385 (1) 632 2641Fax: +385 (1) 617 0438e-mail: slavica.barta@hep.hrCORRECTIONS AND FREE COPIES FOR AUTHORS1. Authors are required to make the corrections in their works prior to publication. Major alterationsof the text at the stage of publication will not be accepted.2. Authors will receive free of charge 5 copies of the Journal in which their respective articlesappear. The fee for an article published will be calculated in accordance with the Decision on theFees for the Authors of the Energija journal.COPYRIGHT1. The copyright on all the materials published belongs to the Energija journal.2. Authors must fax in a fi lled out copyright form when their articles have been accepted.3. Authors wishing to use the materials published in the Energija journal need to contact thepublisher.635Štritof,635I., KleËina, F., Regulatorna politika i njen utjecaj ..., Energija, god. 56(2007), br. 5., str. 554-583Štritof, I., KleËina, F., Regulatory Polica and Its Impact ..., Energija, vol. 56(2007), No. 5, pp. 554-583