ANNEX

1. INTRODUCTION

1.1. Objective of the Guidelines

The Commission Recommendation, ‘Guidelines on equal treatment and transparency criteria to be applied by the European Network of Transmission System Operators for Electricity (ENTSO-E) and Gas (ENTSOG) when developing their Ten-Year Network Development Plans (“TYNDPs”)’ (‘the Guidelines’), responds to the provisions of Regulation (EU) No 347/2013 of the European Parliament and of the Council of 17 April 2013 on guidelines for trans-European energy infrastructure and repealing Decision No 1364/2006/EC and amending Regulations (EC) No 713/2009, (EC) No 714/2009 and (EC) No 715/2009 (‘TEN-E Regulation’) (1).

The TYNDPs for electricity and for gas are comprehensive and up-to-date European reference documents for the electricity and gas transmission networks. The TYNDPs are biennial documents which present an overview of the transmission expansion plans that are identified as necessary to ensure that the transmission grid facilitates EU energy policy goals. The TYNDPs act as a basis to derive the list of Projects of Common Interest (PCIs) in the electricity and gas sectors. Only gas and electricity projects that are in the TYNDPs can apply to become PCIs, and their assessment is based to a significant extent on the project specific cost benefit analyses provided by the TYNDPs.

The Guidelines explain the legal framework applying to the elaboration and adoption process of the TYNDPs. They aim at ensuring a fair, equal and transparent process for the inclusion of projects in the TYNDP by establishing a structure, content and principles that will ensure consistency between the two TYNDP processes and a uniform interpretation of the applicable principles and rules by the two ENTSOs. They provide a general framework for the adoption, revision and application of the practical implementation documents to be adopted and used by ENTSO-E and ENTSOG, respectively, to ensure equal treatment and transparency within these exercises.

The development of these guidelines is required by Annex III 2(5) to the TEN-E Regulation concerning the process for establishing regional lists within the process of identification of Projects of Common Interest (‘PCIs’): ‘… the Commission should issue Guidelines on criteria to be applied by the ENTSO for electricity and the ENTSO for gas when developing their respective 10-year network development plans referred to in points (3) and (4), in order to ensure equal treatment and transparency of the process.’ The provisions regarding the TYNDP processes established under the Guidelines will be applicable to every project considered for inclusion in the respective TYNDP, regardless of the promoter's plans of having it submitted, or not, as candidate within the subsequent PCIs selection process.

These guidelines are not legally binding. All future methods, tools and timelines to be used by ENTSO-E and ENTSOG within the processes of elaborating their TYNDPs should fully comply with the requirements of Regulations (EC) No 714/2009 (2) and (EC) No 715/2009 (3) of the European Parliament and of the Council, the TEN-E Regulation and the Guidelines.

1.2. Addressees

The Guidelines are addressed to the ENTSO for electricity and the ENTSO for gas. The criteria applied by the ENTSOs in accordance with this document will have an impact on:

— all project promoters which are planning to develop an electricity transmission infrastructure project that is entirely or in part situated in at least one country represented within ENTSO-E and is considered as of European relevance (4) and to the storage promoters planning to develop electricity storage projects within the European Union and respect the technical limitations set in Annex II of the TEN-E Regulation or any equipment or installation essential for the system to operate safely, securely and efficiently.

— all project promoters which are planning to develop a gas infrastructure project of European relevance: gas transmission pipeline, underground storage facilities, reception and storage and regasification or decompression facilities for liquefied natural gas (LNG) or compressed natural gas (CNG) or any equipment or installation essential for the system to operate safely, securely and efficiently or to enable bidirectional capacity.

2. THE TEN-YEAR NETWORK DEVELOPMENT PLANS (TYNDPS)

2.1. Legal requirements

The TYNDP for electricity and the TYNDP for gas are prepared by ENTSO-E and ENTSOG respectively in accordance with the respective articles 8 of the Regulations (EC) No 714/2009 and (EC) No 715/2009. The non-binding Union-wide TYNDPs are adopted and published every two years and include the modelling of the integrated network, scenario development, a European generation adequacy outlook or a European supply adequacy outlook – according to the case, and an assessment of the resilience of the system.

The TYNDPs build on national investment plans, taking into account regional investment plans and, if appropriate, Union-aspects of network planning and are subject to a cost-benefit analysis using the methodology established, in accordance with the TEN-E Regulation. Regarding cross-border interconnections, the TYNDPs also build on the reasonable needs of different system users and integrate long-term commitments from investors and identify investment gaps, notably with respect to cross-border capacities.

Pursuant to Article 9(2) of Regulations (EC) No 714/2009 and (EC) No 715/2009 and Article 6(3)(b) of Regulation (EC) No 713/2009 of the European Parliament and of the Council (5), the Agency for the Cooperation of Energy Regulators (‘the Agency’) provides duly reasoned opinions on the draft TYNDPs, as well as recommendations to the ENTSOs, where it considers that the respective draft TYNDP does not contribute to non-discrimination, effective competition, the efficient and secure functioning of the internal markets or a sufficient level of cross-border interconnection open to third-party access.

The ENTSOs are legally required (6) to conduct extensive consultation processes during the preparation of the TYNDPs. They must be conducted at an early stage and in an open and transparent manner, involving all relevant market participants, national regulatory authorities and other national authorities, supply and generation or production undertakings. They must identify the views and proposals of all relevant parties during the decision-making process. All documents and minutes of meetings related to the consultations are to be made public.

The TEN-E Regulation, under which the process of identification of PCIs is established, requires the inclusion of candidate electricity and gas projects into the TYNDP as a pre-condition in view of their inclusion in the Union-wide PCI lists (7).

Finally, ENTSOG is legally required to ensure that there will be consistency and an alignment between the long-term gas quality monitoring outlooks published every two years and the TYNDP for gas under preparation at the same time. The stakeholders' consultation process used for the TYNDP has to be expanded to include gas quality as an item.

2.2. Principles to be respected by ENTSOs in the TYNDP process

In order to ensure equal treatment and transparency of the TYNDP processes and under the monitoring of the Agency as set in Article 9 of Regulations (EC) No 714/2009 and (EC) No 715/2009, ENTSO-E and ENTSOG should:

— organise for their electricity and gas TYNDPs transparent and non-discriminatory processes to identify and include all relevant European electricity infrastructure projects and gas infrastructure projects, respectively, indifferent of their promoter status (ENTSO or non-ENTSO Members).

— advertise the TYNDP processes, consult stakeholders at critical decision making milestones and about the drafts of the TYNDPs and make possible their engagement in the process. If the necessity arises and upon the ENTSOs' request, the relevant associations of stakeholders may be brought on an ad-hoc basis with an advisory role in the processes. The relevant associations of stakeholders may also be informed on a regular basis about the ongoing TYNDP processes;

— ensure transparency about the input and output data of the TYNDP processes in accordance with the CBA methodology, allowing, for instance any interested party to understand the assessment performed by the ENTSOs.

— ensure, from the project application to finalisation of the TYNDP, a fair and non-discriminatory access of project promoters to information regarding their project assessment, conducted in accordance with the CBA methodology.

In order to ensure consistency between the TYNDPs and the PCI selection process the ENTSOs should consult and inform regularly the Commission and the Agency on the TYNDPs processes, especially on the inclusion and project assessment. This will allow the ENTSOs to accommodate the Commission and the Agency's recommendations in due time for the respective final TYNDPs.

3. SUBMISSION OF PROJECTS FOR INCLUSION IN THE TYNDP

The TYNDPs for electricity and gas shall incorporate all European relevant electricity and gas infrastructure projects as set in the Regulation (EU) No 347/2013.

In order to ensure (1) a fair and non-discriminatory process for project inclusion in the TYNDPs, (2) the transparency of the process and (3) overall consistency of approaches, ENTSO-E and ENTSOG should collect and validate all project applications in a timely manner, including:

— an application window of an adequate period of time to allow project promoters to submit the projects and the required information covering also all the relevant practical details for inclusion in the TYNDP; the start and end date of the application window will be advertised on the ENTSOs' websites; the same deadlines should be applied to all project promoters throughout the process. All project promoters should have access to the same information throughout the process and, if clarifications or additional information related to the overall process are requested by a certain promoter, the ENTSOs should also communicate it to all other project promoters for which this may be relevant.

— a verification period that should allow for sufficient time to ensure all applications contain reliable data considering comparable infrastructure projects (e.g. development stage and commissioning date) and that there is a mutual understanding about the project data between ENTSO-E or ENTSOG and every project promoter;

— the publication on the respective ENTSO's website of the list of projects considered for inclusion in the TYNDP should be done within a reasonable period of time in order to ensure the transparency and early availability of the basic information identifying the projects;

— a public consultation of an adequate period of time to allow anyone interested to provide feedback on each draft TYNDP.

4. ENTSOS' PRACTICAL IMPLEMENTATION DOCUMENTS

In order to ensure the implementation of the Guidelines and for the principles listed above to be complied with, specific practical implementation documents are to be developed by ENTSO-E and ENTSOG, aiming at providing project promoters with guidance on the procedural steps and necessary information to be submitted for inclusion of their project in the respective TYNDP.

These documents should be developed and adopted by the respective ENTSO after consulting the relevant stakeholders and taking in due account the Commission and Agency's recommendations.

In the following TYNDP processes, the revision and updates of the practical implementation documents may be initiated by the respective ENTSO after consulting with the Commission and the Agency or at the request of Commission.

As the inclusion of inappropriate project applications would affect the modelling of the electricity and gas networks, potentially putting at risk the timely adoption of the TYNDPs and the objective of transparency regarding the development of electricity and gas networks in the Union, foreseen by Recital 9 of Regulation (EC) No 714/2009 and by Recital 18 of Regulation (EC) No 715/2009, ENTSO-E and ENTSOG should define in their practical implementation documents criteria for the inclusion or exclusion of submitted projects. All the projects to be accepted for inclusion in the TYNDP should meet these administrative and technical requirements described in the respective ENTSOs' practical implementation documents.

The practical implementation documents should briefly explain the TYNDP processes including the deadlines applying to each of the TYNDP steps, their link to the process of selection of PCIs and list the administrative and technical criteria to be fulfilled in order to allow a project to become part of the respective TYNDP. These criteria may be grouped in different categories and applied accordingly, depending on the type of project promoter, the type of infrastructure the respective project would implement, as well as on the status of advancement of the project, while ensuring the transparency of the process and equal treatment for all project promoters concerned. Promoters of projects already included in the previous TYNDPs must officially make a new re-submission for inclusion in the TYNDP under preparation. However, the inclusion of a particular project in the previous TYNDPs may allow for a simplified application process for the current TYNDPs, which is to be described in the ENTSOs' practical implementation documents.

The final decision on the inclusion of a project in the TYNDP Project List belongs to the competent ENTSO and any decision related to a rejection of a project's inclusion into the TYNDP should be duly substantiated.

4.1. Administrative and technical criteria regarding project promoters and projects considered for inclusion in the TYNDP

The administrative and technical criteria should be developed while taking into consideration the following aspects:

— Project promoters which are planning to develop an infrastructure project and have it included in the respective TYNDP should prove their credibility in terms of financial capability and technical expertise to implement the respective project by their own or by using subcontractors. Regardless of the different categories under which the promoters of the energy infrastructure projects fall, the TYNDP inclusion processes should be built upon administrative criteria which will ensure a fair and non-discriminatory treatment of any project promoter, while also ensuring that the soundness of the considered projects is proved.

— Depending on the advancement status of the project, project promoters should prove the soundness of the project considered for inclusion in the respective TYNDP and should bring evidence to allow for the assessment of its European relevance by the ENTSOs. Regardless of the different categories under which the promoters of the energy infrastructure projects fall, projects considered for inclusion in the TYNDPs should fulfil certain minimum technical criteria to be detailed in the respective ENTSOs practical implementation document. These technical requirements and corresponding minimum thresholds – if applicable – should be intended to ensure that the projects have a European relevance from a commercial or security of supply point of view.

— In terms of proving the soundness of the projects considered for inclusion in the TYNDP, the project promoters should be required to bring evidence with regards to the actions already taken in order to initiate and/or start the implementation of the respective project (e.g.: PCI status or inclusion in the last available National Development Plan or signed agreements between the ministries or regulators of the impacted countries or performance of pre-feasibility/feasibility studies etc.). The ENTSOs should ensure that, when requiring project promoters to prove their financial capability and technical expertise to implement a project or to prove the soundness of the respective project, the requirements would not be disproportionate for the different categories of project promoters. If applying different requirements is justified, the ENTSOs should ensure that a similar or correspondent level of detail and evidence is requested to all project promoters.

4.2. Data handling

4.2.1. Data usage and public access to data

The administrative documents provided by the project promoters during the submission phase and referring to their legal status, financial capability and technical expertise referred to in section 4.1.) should be solely used by the ENTSOs to ensure compliance with the administrative criteria defined in their practical implementation documents and should be treated as confidential by the ENTSOs, in line with their internal rules, unless already public.

The technical input provided by the project promoters and the assessed benefits of the projects assessed in accordance with the CBA methodology should be made public by the ENTSOs within the TYNDP processes.

The cost data submitted by the project promoters for the projects to be included in the TYNDPs will be made public by the ENTSOs. Derogations may apply if the data are declared confidential by the respective project promoters. Where applicable, these will be outlined in the ENTSOs practical implementation documents.

However, in the context of the PCI selection exercise, the Regional Groups established under the TEN-E Regulation should have access to all cost data submitted by the project promoters within the TYNDP processes.

Aggregated or general results of the assessment can be published by ENTSO-E and ENTSOG or used during public events, in accordance with the practical implementation documents and their internal rules.

4.2.2. Correction of input data

In case the information and technical data submitted for a project are incorrect with respect to the Guidelines and the ENTSOs' practical implementation documents, the project promoter should be given the opportunity to report the corrected information to the respective ENTSO within the consistency check period by the deadline set in the ENTSOs' practical implementation documents and not later than the end of the TYNDP public consultation.

This window should envisage a clearly pre-stablished timeframe which should ensure sufficient time for the proper submission of the corrected information, as well as for any necessary exchange of information or clarifications between the competent ENTSO and the respective project promoter.

Should there be any inconsistencies in the information corrections, ENTSO-E and ENTSOG respectively, should — as the case may be — debate and conclude with the project promoters, on the inclusion of the respective project in the TYNDP Project List. All ENTSO-E and ENTSOG decisions about project information corrections should be motivated, at least with the reason for accepting or not accepting the requested changes, and shared with the concerned project promoters, the Commission and the Agency. If the inconsistencies may impact on the possible inclusion of a project in the TYNDP, the ENTSOs may consult the Commission and the Agency on the case before taking the decision.

Since projects continuously evolve in between the submission for inclusion in the TYNDP and the publication of the TYNDP, for sake of clarity, the TYNDPs should clearly define the date of validity of the TYNDP project data.

The manageable deadlines established with regards to the phase of correction of input data are not to jeopardize the timeline of the overall TYNDP process and should be clearly set in the ENTSOs' practical implementation documents.

4.2.3. Promoters' access to assessment results and to TYNDP data

Where relevant and in accordance with the CBA methodology, the ENTSOs should deliver to the project promoters in due advance of the draft TYNDP consultations the assessment results of their project. If it is requested, the project promoters should be given the opportunity to participate in a bilateral meeting with representatives of the respective ENTSO, in order for the promoter to better understand their project assessment results.

Beyond the results published in the TYNDP report, every project promoter is entitled to access more detailed information about its project, as far as it is available to ENTSO-E and ENTSOG in the framework of the assessment process.

Furthermore, for equal treatment reasons, if requested, the competent ENTSO should make available as soon as technically possible and in due advance of the adoption of the TYNDP, the input data and output data, if requested by the project promoter, to explain in detail the assessment (including the market and network modelling assumptions).

4.2.4. Promoters' right to request a review of the project assessment

In case of disagreement with the competent ENTSO on the assessment conducted in line with the CBA methodology, the project promoter, should have the right to request a review of their project assessment. Such a request should be duly motivated and substantiated by the promoter.

Within this review phase, the ENTSOs should consult the Commission and the Agency and if deemed necessary, they may also consult on an ad-hoc basis the relevant stakeholders when considering the project promoters' justifications. When taking its final decision, the competent ENTSO should duly take into account the expressed views.

The following elements — considered as having been already consulted with stakeholders earlier in the process, agreed upon and finalised – are not to be open for discussion within this review phase: scenario assumptions and data, CBA methodologies and project data submitted within the process.

(1) OJ L 115, 25.4.2013, p. 39.

(2) OJ L 211, 14.8.2009, p. 15.

(3) OJ L 211, 14.8.2009, p. 36.

(4) As set under Regulations (EC) No 714/2009 and (EC) No 715/2009: ‘Viable electricity and gas transmission networks and necessary regional interconnections, relevant from a commercial or security of supply point of view, should be included in the network development plans.’

(5) OJ L 211, 14.8.2009, p. 1.

(6) Article 10 of Regulations (EC) No 714/2009 and (EC) No 715/2009.

(7) Recital 21 and Annex III 2(3) and 2(4) of the TEN-E Regulation