Tariff Methodology for New Hydroelectric PlantsMetodología tarifaria para plantas hidroeléctricas nuevas

7593 establishes the following as the fundamental objectives of Aresep:

"Article 4.- Objectives The fundamental objectives of the Regulatory Authority are:

• a)To harmonize the interests of consumers, users, and providers of the public services defined in this law and those defined in the future.
• b)To seek a balance between the needs of users and the interests of public service providers.
• c)To ensure that public services are provided in accordance with what is established in subsection b) of Article 3 of this law.
• d)To formulate and ensure compliance with the requirements of quality, quantity, timeliness, continuity, and reliability necessary to optimally provide the public services subject to its authority.
• e)To cooperate with State entities competent in environmental protection, when it involves the provision of regulated services or the granting of concessions.
• f)To exercise, as provided in this law, the regulation of the public services defined therein." In this sense, Law No. 7593 granted the Regulatory Authority sufficient powers to exercise the regulation of public services provided in the country, including those of electric energy supply in the stages of generation, transmission, distribution, and commercialization. Among the services over which Aresep exercises its exclusive and excludable competencies is that indicated in numeral 5, subsection a) of Law 7593, which provides in relevant part:

"Article 5.- Functions In the public services defined in this article, the Regulatory Authority shall set prices and tariffs; in addition, it shall ensure compliance with the standards of quality, quantity, reliability, continuity, timeliness, and optimal provision, according to Article 25 of this law. The aforementioned public services are:

• a)Supply of electric energy in the stages of generation, transmission, distribution, and commercialization. (.)"

7593 establishes as an obligation of the Regulatory Authority "(.) to set rates and prices in accordance with technical studies," and the cited numeral indicates that "(.) Any provision issued in relation to the matters referred to in this article shall be of mandatory compliance." This rule is related to the provisions of numerals 3.b), 6.a) and f), 20, 31 to 37 of the same legal body, which set the parameters, criteria, and central elements for rate-setting in accordance with the principle of service at cost, an obligation reiterated via regulation in Article 4, subsection a) point 2) of the Regulation to Law No. 7593, Decreto Ejecutivo No. 29732-MP, which establishes among the functions of Aresep:

"2. To set the prices, rates, and fees of public services regulated by law, with observance of the principle of service at cost, as established in Article 31 of the law and subject to the criteria of social equity, environmental sustainability (sostenibilidad ambiental), energy conservation, and economic efficiency, defined in the National Development Plan, as well as in pursuit of the financial equilibrium of the company or entity providing the service." For its part, Article 9 of Law No. 7593 provides, in relevant part:

"Article 9.- Concession or permit (.)

The Regulatory Authority shall continue exercising the competence that Law No. 7200 and its amendments, of September 28, 1990, grant to the Servicio Nacional de Electricidad.

No provider of a public service described in Article 5 of this Law may provide the service if it does not have a rate or price previously set by the Regulatory Authority." Articles 14 and 24 of Law No. 7593 establish the obligation of public service providers to supply Aresep, in a timely manner, with the information it requests concerning the provision of the service. All of which is consistent with the provisions of numeral 6 of Decreto Ejecutivo No. 29732-MP, which provides that the provider shall render the service in accordance with the principles of efficiency, continuity, and equality, established in the Ley General de la Administración Pública (Article 4), the corresponding regulations, and the concession.

In accordance with the provisions of Law No. 7593, it is the responsibility of Aresep to ensure compliance with the standards of quality, reliability, continuity, timeliness, and optimal provision of the public services it regulates. A competence regarding which Article 5 refers to Article 25 of the same Law, which provides:

"Article 25.- Regulation The Regulatory Authority shall issue and publish the technical regulations specifying the conditions of quality, quantity, accountability, continuity, timeliness, and optimal provision with which public services must be supplied, in accordance with the specific standards existing in the country or abroad, for each case."

7593 provides that: "(.) the Regulatory Authority shall formulate and promulgate the definitions, requirements, and conditions to which the procedures for rates and prices of public services shall be subject." The procedure for setting rates is regulated in Article 30 of Law No. 7593, which expressly states:

"Article 30.- Request for setting or changing rates and prices Public service providers, legally constituted consumer organizations, and public entities and bodies with legal authority to do so may submit requests for setting or changing rates. The Regulatory Authority shall be obliged to: receive and process these petitions only when, upon submission, they meet the formal requirements established by the Regulation. This Authority may modify, approve, or reject these petitions. Depending on the circumstances, rate-setting shall be of an ordinary or extraordinary nature.

Depending on the circumstances, rate-setting shall be of an ordinary or extraordinary nature. Those that contemplate cost and investment factors, in accordance with the provisions of subsection b) of Article 3 of this law, shall be of an ordinary nature. Providers must submit an ordinary study at least once a year. The Regulatory Authority may carry out ordinary modifications ex officio and must grant the respective hearing as mandated by law.

Extraordinary rate-setting shall be those that consider significant variations in the economic environment, due to fortuitous events or force majeure, and when the conditions of the automatic adjustment models are met. The Regulatory Authority shall carry out such setting ex officio." Thus, the cited norm establishes that the procedure for setting rates may be ordinary or extraordinary, depending on the circumstances or factors motivating it.

Ordinary rate-setting may include those revisions carried out for one or several companies, either by direct request or ex officio by the Regulatory Body. In ordinary rate-setting, cost and investment factors are contemplated, in accordance with the provisions of subsection b) of Article 3 of Law No. 7593.

For extraordinary rate-setting, Article 30 of Law No. 7593 establishes that these shall be those that consider significant variations in the economic environment, due to fortuitous events or force majeure, and when the conditions of the automatic adjustment models are met.

In turn, cardinal 31 of Law No. 7593 establishes that, in order to set rates, model productive structures for each public service must be taken into account, according to the development of knowledge, technology, the possibilities of the service, the activity in question, and the size of the providing companies. In this latter case, efforts shall be made to promote small and medium-sized enterprises. If proven impossibility exists in applying this procedure, the particular situation of each company shall be considered. Said regulation, in its third paragraph, defines the conditions of the automatic adjustment models as follows:

"(.) The Regulatory Authority must apply annual tariff adjustment models, based on the modification of variables external to the administration of the service providers, such as inflation, exchange rates, interest rates, hydrocarbon prices, wage adjustments made by the Executive Branch, and any other variable the Regulatory Authority deems pertinent (.)". Thus, in the rate procedure, each petition regarding rates and prices must be duly justified, as provided in Article 33 of Law No. 7593, and the rates and prices set by Aresep shall govern as of the moment of their publication in the Diario Oficial La Gaceta or as of the moment indicated by the corresponding resolution, Article 34 ibid.

The foregoing is also developed in Articles 14 to 17 of Decreto Ejecutivo No. 29732-MP, which provide, among other things, that models shall be used to set rates, which must be approved by Aresep in accordance with the law; that rates shall be set in a manner that incorporates technical and economic elements; that income and costs necessary to provide the service shall be taken into account; and the obligation for providers to maintain separate accounting for the exploitation activity of the public service they provide.

Numeral 36 of Law No. 7593 provides the public hearing procedure to be followed in the formulation or revision of price and rate-setting models, in which persons with a legitimate interest may participate to express their views. Said numeral is regulated in Articles 44 to 56 of Decreto No. 29732-MP, in relation to numeral 9 of the Constitución Política, as a manifestation of the constitutional right of citizen participation, which has been embodied by the Sala Constitucional in ruling 7213-2012, establishing the obligation of Aresep to guarantee citizen participation in the formulation of tariff methodologies (in the same sense, see rulings of the Sala Constitucional No. 2009-016649 and No. 2008-17093, among others).

In this normative context, it must be noted that the Reglamento Interno de Organización y Funciones of the Autoridad Reguladora de los Servicios Públicos and its Órgano Desconcentrado (RIOF) distributes the competences established by Law No. 7593. In this regard, numeral 6, subsection 16) of the RIOF establishes, among the functions of the Junta Directiva: "16. Approve the regulatory methodologies to be applied in the various regulated sectors under its competence." For its part, numeral 9.11 of the RIOF establishes as a function of the Regulador General the designation of teams for the preparation of policy proposals and the execution of projects for the design of rate-setting methodology.

Among the competences distributed in the RIOF are those granted to the Intendencias de Regulación de Servicios Públicos, according to numerals 16 to 20 of that regulation.

For the specific case, the Intendencia de Energía has the competence to set the prices, rates, and fees of the public services under its jurisdiction, among them, those of electric power supply in the generation, transmission, distribution, and commercialization stages, as provided in Articles 16, 17 subsections 1), and 19 subsections 1) and 2) of the RIOF.

From this normative framework, it is evident that Aresep has the exclusive and excluding power to set the rates of public services regulated in Law No. 7593, a power that is non-waivable, non-transferable, and imprescriptible, as established in numeral 66 of the Ley General de la Administración Pública (LGAP).

In this sense, defining and establishing the tariff methodologies or models that will determine the rates of public services subject to its regulation is included within the tariff competence conferred upon Aresep.

The Sala Primera of the Corte Suprema de Justicia—as the supreme interpreter in matters of legality—in ruling 001687-F-S1-2012, has indicated with respect to the powers of Aresep to establish tariff methodologies that "(.) the Regulatory Authority constitutes the public authority that, through its actions, enables the realization of those postulates that permeate the public transport relationship. Its exclusive and excluding powers allow it to establish the economic parameters that will regulate the contract, balancing the interest of the operator and the users." In that same sense, the Tribunal Contencioso Administrativo Sección VI, in ruling No. 00081-2016 of May 13, 2016, provided:

"It must be remembered here that the economic regulation exercised by ARESEP is done so exclusively and excludingly, which results in it not being subject to provisions or directives in this matter that are binding on it from other bodies of the Public Administration itself; in other words, there is no other administrative authority that can perform this function; if this were the case, it would imply an intrusion into the exclusive competences granted by the legislator under its creating Law (.)" Likewise, the Tribunal Contencioso Administrativo, Sección Cuarta, through ruling No. 78-2016-IV issued at 8:20 a.m. on September 7, 2016, stated:

(.) it is Aresep that has the competence to set rates and prices in accordance with the methodologies it itself determines, and to ensure compliance with the standards of quality, quantity, reliability, continuity, timeliness, and optimal provision of the public services listed in Article 5 of Law No. 7593, including electric power in the stages of generation, transmission, distribution, and commercialization (Article 5, subsection a) of Law No. 7593), for which it holds exclusive and excluding technical faculties. (.) In the opinion of this Tribunal, Aresep is empowered to choose the technical method for setting a price that guarantees service at cost and the financial equilibrium of the regulated public service provider. This involves the exercise of a technical discretionary power, without implying the delegation to another public institution of the exercise of the legal competence of rate-setting, under Article 31 of Law 7593. (.)

This decision takes into account the special subjection relationship of private generators and the voluntary agreement signed by the plaintiff to submit to Aresep's regulation (.)

Said ruling was confirmed by the Sala Primera of the Corte Suprema de Justicia in recent ruling No. 000600-F-S1-2020 issued at 10:10 a.m. on February 27, 2020, in which it was provided, in relevant part:

"III. (.) It emphasized that there was a voluntary agreement by the plaintiff with ICE to be subject to the rates established by Aresep, and that the Addendum subsequently signed leaves no doubt about the subjection to the methodology adopted by ARESEP and its modifications without requiring subsequent adjustments to the contract. The plaintiff freely expressed its will to submit to the methodology of ARESEP, understood as the methodology or technical formulas for setting the rate of the industrial sector to which the activity it develops belongs. (.) It underlined regarding the normative subjection and tariff provisions of ARESEP, the existence of a special subjection relationship is evident, by virtue of the special public service characteristics that the contractual/concessionary relationship that the plaintiff company, as a private generator, maintains for the sale of hydroelectric energy with the single buyer, ICE, by operation of law. Such condition, it stipulated, obliges it to be subject to the regulatory body regarding the setting of prices for public services in accordance with Articles 5 and 31 of Law 7593 and prevents the non-application of the rules in force for the specific case. It stated, in this sense, that any claim aimed at maintaining the methodology initially applied by ARESEP or a set rate is openly improper, since there is no right protected in the Legal System to the maintenance of the rate or the calculation method, as it involves a regulated public service, which imposes the payment of a price at cost and respecting the financial equilibrium. Thus, it argued, the normative framework regarding price-setting for the public service requires that they be reviewed and adjusted to reality based on factual, scientific, or legal criteria in compliance with the public interest and in application of the Principles of Singular Non-Derogability of Regulations and Equality, without the set rate and the calculation method being able to remain static over time. (.)

IV. (.) From that perspective, any claim regarding the existence of a duty of ARESEP to keep a single tariff-setting methodology based on the rate-of-return method unchanged during the concession period, which cannot be reviewed or modified subsequently, is inadmissible, since the right to tariff invariability or of its setting methodology does not exist in the legal system regarding regulated public services. The foregoing, as the Tribunal expresses, obliges that rates and their methodologies can be opportunely reviewed or varied, according to the conditions of the economic environment in which they apply, adjusting to the reality of the provision, in accordance with factual, technical, scientific, or legal criteria in compliance with the public interest." In this line of analysis, the Procuraduría General de la República (PGR), as the technical consultative body of the Public Administration, has repeatedly affirmed in pronouncements that the definition of tariff methodologies or models is included within the exclusive and excluding competence of Aresep to set rates.

In this regard, see opinion C-416-2014, which states: "c) The definition of tariff methodologies or models is included within the exclusive and excluding competence of ARESEP to set rates, without it being obliged to coordinate with other entities or bodies." This same position has been reiterated by the PGR in opinion C-023-2017, establishing that Aresep "(.) is the competent body to establish the tariff methodologies or models that will determine the rates of the public services subject to its regulation." Furthermore, it must be noted that the establishment of tariff methodologies and criteria by Aresep is clearly framed within the technical discretion that has been recognized to this regulatory body, provided that the principle of service at cost is respected. The foregoing is consistent with Articles 15, 16, 160, and 216 of the Ley General de la Administración Pública (LGAP) and numeral 122 subsection f) of the Código Procesal Contencioso Administrativo, Law No. 8508. In this regard, the Sala Primera in ruling 001687-F-S1-2012 has recognized this discretion of Aresep in establishing methodologies, stating:

"There is no doubt that ARESEP can determine the evaluation models for tariff requests, based on model productive structures for each public service, according to the development of knowledge, technology, the possibilities of the service, the activity in question, and the size of the providing companies (parameters of the principle of service at cost). For this, Law No. 7593 grants it a fairly broad framework of action (cardinals 6 subsection d) and 29 to 37). However, it must be remembered that the discretion is for choosing, in a first stage, between one or several technical methods that will be applied at a second moment after their formalization (in the procedure itself)." Thus, in application of the principle of legality (Articles 11 of the LGAP and 11 of the Constitución Política), rates must be established in accordance with the mechanisms duly established for that purpose, through the procedure contained in Law No. 7593 and its regulation, Decreto Ejecutivo No. 29732-MP.

In accordance with the provisions of Articles 3, 4 subsection f), 5 subsection a), 6 subsection d), and 31 to 36 of Law No. 7593, numerals 4 subsection a) point 2), 14, 15, 16, 17, and 41 of the Regulation to the Aresep Law, No. 29732-MP, Articles 6.16, 16, and 17 of the RIOF, it is the responsibility of Aresep to set the prices and rates of said public services, as well as to establish the methodologies or tariff models that will determine them.

b. On the regulation of the electric power supply service in Costa Rica Regarding the electricity sector in Costa Rica, the definition of national policies and plans concerning this sector, which guide the actions of agents, corresponds to the Dirección Sectorial de Energía (DSE), belonging to the Ministerio de Ambiente y Energía (MINAE), the entity that prepares the Plan Nacional de Energía -PNE- (currently, the VII Plan Nacional de Energía 2015-2030 is in force), and the Ministerio de Planificación Nacional y Política Económica, with the Plan Nacional de Desarrollo y de Inversión Pública (PNDIP)(*).

(*)(Note from Sinalevi: Its name was thus modified by subsection a) of Article 43 of the Reglamento para la Implementación de la Ley N°10441 of March 13, 2024, and the Functioning of the Sistema Nacional de Inversión Pública, approved by Decreto Ejecutivo No. 45163 of August 8, 2025. Previously it was referred to as "Plan Nacional de Desarrollo (PND)") The regulatory work of the electric power supply service in all its stages is in charge of Aresep. Article 5, subsection a) of Law 7593 establishes as a public service:

"a) Supply of electric power in the stages of generation, transmission, distribution, and commercialization." The provision of this public service, like any other, warrants the setting of rates by Aresep, in accordance with the applicable regulations and the methodologies established for that purpose.

Regarding the electric power supply service, Aresep must exercise its regulatory competence based on the "Reglamento Sectorial de Servicios Eléctricos", Decreto 29847-MP-MINAE-MEIC, which provides in relevant part:

"Article 1. Field of application. This Regulation defines and describes the main conditions under which the electric service must be supplied under normal operating conditions.

Its application is mandatory for electric companies established in the country or that may be established under a concession regime, in accordance with the corresponding laws.

The conditions stipulated herein may be extended and detailed partially or totally by the terms of the service provision contract signed between the subscriber and the company or between companies, with prior authorization from the Regulatory Authority, provided that the service conditions to third parties are not affected." "Article 2. Purpose. This Regulation defines and provides the general conditions under which the regulation of the electric service provided by companies to subscribers and users shall be exercised, in the technical and economic areas." Likewise, the "Reglamento de Concesiones para el Servicio Público de Suministro de Energía Eléctrica" (Decreto 30065-MINAE) establishes:

"Article 2- This Regulation aims to establish the requirements and regulations for concessions regarding the provision of the public service of electric power supply, in accordance with Articles 5, subsection a) and 9 of Law No. 7593 (.)" "Article 3- MINAE shall process everything related to the granting and cancellation of concessions for the public service of electric power supply in its stages of generation and distribution and commercialization of electric power, except those requests covered by Law No. 7200 and its amendments, which shall be processed by ARESEP, as provided in Article 9 of Law No. 7593." Now, the electric supply system comprises the set of means and elements useful for the generation, transmission, distribution, and commercialization of electric power.

Depending on the stage in which the electric power supply service is located, the intervention of the various sector participants will vary, and accordingly, Aresep shall set the respective rates.

It is important to mention that the PGR, in opinion C-293-2006, reiterated the competence of Aresep for setting rates on the public service of electric power supply in all its stages. It states in relevant part:

"(.) The supply of electric power in the stages of generation, transmission, distribution, and commercialization is a public service. Due to this nature, subsection a) of Article 5 of Law No. 7593 grants competence to the Autoridad Reguladora de los Servicios Públicos to set the prices and rates for the supply of electric power in those stages of generation, transmission, distribution, and commercialization. As can be observed, the law grants ARESEP the competence for setting rates on the public service of electric power supply in all its stages, that is, from its generation to its commercialization (.)".

In this line, it must be noted that private generation is delimited by the provisions of Laws No. 7200 "Ley que Autoriza la Generación Eléctrica Autónoma o Paralela" and No. 7508 "Reformas a la Ley que Autoriza la Generación Eléctrica Autónoma o Paralela" and the Reglamento al Capítulo I de la Ley N° 7200, Decreto Ejecutivo No. 37124-MINAET.

The Law "Generación Eléctrica Autónoma o Paralela", Law No. 7200, in force since October 18, 1990, defines in its Article 1 autonomous or parallel generation as the energy produced by power plants of limited capacity, belonging to private companies or cooperatives that can be integrated into the national electric system; for its part, Article 3 of said Law declares the purchase of electricity by ICE from private companies to be of public interest.

Furthermore, Article 14 establishes the power of Aresep to set the rates for the purchase of electric power by the Instituto Costarricense de Electricidad. Articles 3 and 14 state in relevant part:

"ARTICLE 3.- Public interest.

The purchase of electricity by ICE from cooperatives and private companies in which at least thirty-five percent (35%) of the capital stock belongs to Costa Ricans, which establish power plants of limited capacity to exploit small-scale hydraulic potential and non-conventional energy sources, is declared of public interest." "ARTICLE 14.- The rates for the purchase of electric power by the Instituto Costarricense de Electricidad require the express and prior setting by the Servicio Nacional de Electricidad1, which, before issuing the final resolution, shall request the opinion of the affected concessionaires." 1 Numeral 1 of the law of the Autoridad Reguladora de los Servicios Públicos (ARESEP), No. 7593 of August 9, 1996, transformed the Servicio Nacional de Electricidad into an autonomous institution, called Autoridad Reguladora de los Servicios Públicos.

Additionally, in the Ley Marco de Concesión para el Aprovechamiento de las Fuerzas Hidráulicas para la Generación Hidroeléctrica, Law No. 8723, it is established:

"Article 17.- The regulation regarding the public service and the sale rates of electricity to ICE, approved for companies that have concessions for the utilization of hydraulic forces for hydroelectric generation under this Law, shall be established in accordance with the principles, criteria, and rules of Law No. 7593, in particular the precepts of service at cost and price and rate setting contained in Articles 3 and 31, respectively. The avoided cost criterion may not be used, under any circumstance, in setting the prices and rates for the sale of energy to ICE or other distributors authorized by law." (Emphasis is ours).

In this same line of analysis, the "Reglamento al Capítulo I de la Ley N° 7200 Ley que autoriza la generación eléctrica autónoma o paralela", Decreto Ejecutivo No. 37124-MINAET published in Alcance No. 72 of the Diario Oficial La Gaceta on June 5, 2012, establishes in article three the participation of private generators:

"Article 3.- Participation: Any Private Company or Rural Electrification Cooperative interested in participating in the activity of autonomous or parallel electricity generation for sale to ICE must comply with the requirements stipulated in Chapter I of Law 7200 and its amendments and sign an energy purchase contract following the procedures established by ICE for that purpose in accordance with the provisions of this regulation. ICE is empowered to sign contracts intended for the purchase of electric power as part of its ordinary activity, which shall have a maximum term of twenty years. (.)" In addition, Decreto Ejecutivo No. 37124-MINAET establishes in its Articles 20 and 21 the processes for formalizing energy purchase-sale contracts regarding rates and purchase prices, norms that indicate in relevant part:

"(.) Article 20.- Rates. ARESEP, in accordance with the provisions of Law No. 7593, shall set the rates governing the purchase-sale of electricity under Chapter I of Law No. 7200 and its amendments. These rates may be established by ARESEP for each type of energy source, based on cost structure models developed to consider the particular conditions of new and efficient plants. Likewise, ARESEP may establish the rates for each type of energy source that will apply upon renewal of contracts, based on models developed from statistical information on the cost structure and performance of existing plants. (.)

The rates, both for new plants and for existing plants, may be set under the modality of a maximum price, or a band with a maximum price and a minimum price, and may have a disaggregated structure by seasons of the year, hours of the day, energy, and power, defined in accordance with the projected evolution of the SEN costs.

Said price shall be offered by the Producer respecting the ranges established in the rate set by ARESEP and in force at the time of submitting its proposal.

The contract signed by ICE with the Producer shall include the offered price along with the formula for its updating during the term of the contract." The formula for updating the energy price must be based solely on the recognition of variations in operating costs (costos de explotación) and must be included in the terms of reference, so that it forms an integral part of the offered price.

The recognition of any adjustment resulting from the application of the aforementioned formula shall be subject to the energy purchase price, at all times, being within the limits established by the rate in effect at ARESEP. (.)" (Emphasis is ours).

These rules are consistent with the "Sectoral Regulation for Electric Services" (Reglamento Sectorial de Servicios Eléctricos), Decreto 29847-MP-MINAE-MEIC, which provides the following of interest:

"Article 22.-General principles for rate adjustment requests. Rates shall have the purpose of recovering the costs inherent to operation, those associated with replacement, maintenance, and a reasonable return for the electric industry; they must also allow for obtaining the necessary resources to use technologies that guarantee the best quality, continuity, and security of the service.

Rate-setting requests must conform to Ley N° 7593, its Regulation, and this Regulation.

Based on the principles, objectives, and obligations established in Ley N° 7593, the Regulatory Authority shall approve and control the optimal level of revenues, the rate structure, and the prices and rates for services, allowing for optimal operation, economic efficiency, the supply of service at acceptable quality levels, the expansion and improvement of the service; at the lowest cost and in accordance with the needs of the electric energy services market; being able to use a price-cap methodology with or without incentives and penalties, price bands, comparison with efficient parameters, or any other methodology that the Regulatory Authority deems appropriate to fulfill its functions. The methodologies for rate-setting must necessarily contemplate maximum limits, established according to the behavior of rates in a group of countries with which Costa Rica competes in international trade and in attracting investment. That group of countries shall be defined by ARESEP, after consultation with the Ministry of Foreign Trade." "Article 26.-On rates for the generation service. The generation rate for sale to distribution companies and to subscribers served at high voltage shall be defined by the general principles established in Article 22 of this Regulation.

The generation costs recognized for the purchase of wholesale electricity by distribution companies shall be established based on the existing rates in effect for that same case, in such a way that it does not exceed other more economical options available to the distribution company. In the event that the distribution company generates with a plant of its own, this electricity shall be assigned, for rate purposes, a value that recognizes the costs and a reasonable return, but that in no case shall exceed the lowest-cost electricity purchase rate existing in the market.

The calculation of the cost of electricity purchases must allow distribution companies to have incentives to contract the supply of wholesale energy economically and, at the same time, for part of the advantages in the purchase price to be applied for the benefit of end users." "Article 31.-Determination of other charges. The Regulatory Authority shall set all other charges made by electric energy companies as part of their service, such as connection or disconnection fees or similar ones.

The Regulatory Authority shall monitor the different regulated services of the electric industry to enable the verification of compliance with the conditions of service provision, for which it shall employ: (.)

c. The rate provisions provided in the resolutions issued by the Regulatory Body.

(.)" "Article 35.-Stages in the regulation and evaluation process.

In order to facilitate the gradual adaptation of electric companies to the requirements regarding service quality indicated in this regulation and in the respective technical quality standards issued by the Regulatory Authority, three consecutive stages are established, called: "Preliminary" (Preliminar), "Adjustment" (Ajuste), and "Oversight" (Fiscalización), and which are described as follows:

- Preliminary: In which the companies must implement, within a deadline set by the Regulatory Authority after consulting with them, the procedures, methodologies, and mechanisms necessary for the calculation of the evaluative and oversight indicators established in the respective technical standards. (.)" (Emphasis is ours) In addition to the above, the Board of Directors (Junta Directiva) of Aresep, through resolution RJD-17-2016 of February 8, 2016, "Modification of the rate-setting methodologies for private generators of electric energy with renewable resources" (Modificación de las metodologías de fijación de tarifas para generadores privados de energía eléctrica con recursos renovables), ordered the following of interest:

"In the particular case of the public electricity service and particularly in the generation segment of this good, the Authority has established a set of regulatory methods that allow for the establishment of prices or rates according to the source of generation of the good, among others: hydro, wind, thermal, biomass, solar sources. In the market, the supply of generation is made by private, public, cooperative actors, seeking to use, in the best possible way, different production processes that are related to the plant size at the resource source, the generation of economies of scale and scope, the efficient use of innovations and technological improvements, and the best management practices. For these reasons, there is a dynamic in the market supply that causes costs and prices to change intertemporally with these improvements.

All these elements are the subject of periodic study, analysis, and review of the rate methodologies carried out by the Regulatory Authority." In accordance with the provisions of Articles 3, 4 subsection f), 5 subsection a), 6 subsection d), and 31 to 36 of Ley N° 7593, sections 4 subsection a) point 2), 14, 15, 16, 17, and 41 of Decreto Ejecutivo N° 29732-MP, Article 6 subsection 16 of the RIOF, Article 14 of Ley N° 7200, section 20 of Decreto Ejecutivo N° 37124-MINAET, Article 23 and 26 of the "Sectoral Regulation for Electric Services" (Reglamento Sectorial de Servicios Eléctricos), Decreto 29847-MP-MINAE-MEIC, it falls to Aresep to set the prices and rates of said public services, as well as to establish the methodologies or rate models that shall determine them.

Therefore, there is support to prepare and approve the proposed modification of RJD-009-2010 and its reforms: "Rate-Setting Methodology for Existing Private Generators (Ley 7200) that Sign a New Electricity Purchase-Sale Contract with the Instituto Costarricense de Electricidad (ICE)" (Metodología de Fijación de Tarifas para Generadores Privados Existentes (Ley 7200) que Firmen un Nuevo Contrato de Compra Venta de Electricidad con el Instituto Costarricense de Electricidad (ICE)).

c. Provisions 4.4 and 4.5 of Report No. DFOE-AE-IF-00009-2019 of the Contraloría General de la República On September 16, 2019, through official communication DFOE-AE-IF-00009-2019, the Contraloría General de la República issued the "Special Audit Report on the process established by ICE and Aresep for the concession of generation and purchase of electric energy from private parties" (Informe de auditoría de carácter especial acerca del proceso instaurado por el ICE y la Aresep para la concesión de la generación y compra de energía eléctrica a privados). In which a series of provisions were established for Aresep regarding rate-setting and methodology for the private generation sector. In rate-setting matters, the following provisions were specifically issued: "TO ROBERTO JIMÉNEZ GÓMEZ IN HIS CAPACITY AS GENERAL REGULATOR OF THE AUTHORITY FOR THE REGULATION OF PUBLIC SERVICES, OR TO WHOMEVER HOLDS THE POSITION IN HIS PLACE 4.4 Prepare the proposed modifications to: a) articles 1, 3.4.2, 3.4.3, 3.5.4 of the Rate-Setting Methodology for Existing Private Generators (Ley Nº 7200) that sign a new electricity purchase-sale contract with the Instituto Costarricense de Electricidad (ICE), resolution no. RJD-009 and its reforms; b) the Sales Expectation (E) paragraph of the Reference Rate Methodology for new private hydroelectric generation plants, resolution no. RJD-152-2011 and its reforms; c) article iv of the Model for determining reference rates for new private wind generation plants, resolution no. RJD-163-2011 and its reforms; d) add the rules establishing the use of real operating time in the calculation of the plant factor, in the Reference Rate Methodology for new private hydroelectric generation plants and the Model for determining reference rates for new private wind generation plants. Send the proposed modifications to the Board of Directors for what is within its purview, no later than February 28, 2020. Send a copy of the document evidencing the submission of the proposals to the Contraloría General, no later than March 13, 2020 (see paragraphs 2.3 through 2.19).

4.5 Prepare the proposal for the rate-setting methodology for private wind generators that renew electricity purchase contracts with ICE. Send the proposal for the methodology to the Board of Directors for what is within its purview.

Send the Contraloría General a certification attesting to the submission of the proposal to the Board of Directors, no later than February 28, 2020 (see paragraphs 2.3 through 2.19)." The CGR, in Report No. DFOE-AE-IF-00009-2019, section 4, established, among other things, that the foregoing provisions are "(.) of mandatory compliance that must be fulfilled within the deadline (or within the term) provided for this purpose, therefore their unjustified non-compliance constitutes grounds for liability," and specifically, it grants a series of peremptory deadlines to Aresep, specifically, to various internal bodies and departments for their fulfillment, and reserves the possibility of establishing the corresponding responsibilities in the event of non-compliance.

In that regard, the provisions issued by said oversight body have a binding nature, according to Article 12 of the Law of the CGR (Ley de la CGR), Ley N° 7428, which provides in its second paragraph the following:

"(.) The provisions, rules, policies, and guidelines that it issues, within the scope of its purview, are of mandatory compliance and shall prevail over any other provisions of the passive subjects that oppose them. (.)".

In the same Ley N° 7428, the penalty for disobedience is warned of, in Article 69, as follows:

"Penalty for disobedience. When, in the exercise of its powers, the Contraloría General de la República has issued orders to passive subjects and these have not been fulfilled without justification, it shall reiterate them, only once, and shall set a deadline for their fulfillment; but if the disobedience persists once the deadline has expired, this shall be deemed a serious fault and shall give rise to the suspension or dismissal of the offending official or employee, as determined by the Contraloría. (.)" 2. TECHNICAL FRAMEWORK Additions introduced following the report of the Contraloría General de la República (CGR) No. DFOE-AE-IF-00009-2019 On September 16, 2019, through official communication DFOE-AE-IF-00009-2019, the CGR issued the "Special Audit Report on the process established by ICE and Aresep for the concession of generation and purchase of electric energy from private parties." In said report, a series of provisions on rate-setting and methodology were established for the private generation sector.

In rate-setting matters specifically, the provisions indicated in section 2. Legal Framework (Marco Legal), item c. Provisions 4.4 and 4.5 of Report No. DFOE-AE-IF-00009-2019 of the CGR of this report were issued.

Regarding these aspects, the CGR stated in its report:

"(.)

2.10. On the other hand, regarding the calculation of the individual plant factor (Fpi) of each plant in the sample considered for estimating the average plant factor (fp), used to calculate sales expectations (expectativas de venta)8, which form part of the three methodologies analyzed (Methodology for renewed contracts, for new hydroelectric plants, and for new wind plants), the nominal installed capacity of the private generator's plant is used, instead of the maximum capacity contracted by ICE. This, despite the fact that the generation capacity additional to that contracted by ICE could be destined for other activities of its private scope, as pointed out by the Regulatory Authority in 2010 in the technical report on the methodology, regarding private generators' opposition9; and as ICE raised to ARESEP in its official communication no. 510-904-2017.

2.11. According to the Procuraduría General de la República, in its opinion no. C-329-2002, rate methodologies must reflect the costs of providing the service; furthermore, in its legal opinion no. 066-2009, it adds that by recognizing higher prices than those justified by costs, the Administration may foster economic inefficiency, since the concessionaire would not have sufficient reasons to seek to maximize resources and be efficient. It is thus, in adherence to the principle of service at cost (servicio al costo), since private electricity generation is a public service10 and is contracted based on a cap on the quantity of energy, the rate-setting must be consistent with the maximum contracted generation capacity.

2.12. In that regard, Ariño (1993) indicates that the methodologies for setting rates must correspond to real costs, which implies that the total revenues received should cover only the total reasonable costs necessary to produce the service; therefore, it is an economic error and a legal mistake for the rate to consider any other element unrelated to the service.

2.13. Furthermore, for calculating the individual plant factor (Fpi), the three ARESEP methodologies consider that the plants operate all year (8,760 hours per year)12, but allow the inclusion of plants that operate for 10 or 11 months, periods that are incongruent.

2.14. In that regard, resolution no. 380-F-S1-2009 of the First Chamber (Sala Primera) of the Supreme Court of Justice, regarding regulatory principles in rate-setting, refers to the need for the rate to reflect a price consistent with the conditions under which the service is provided. In this way, considering that the plant factor (factor de planta) corresponds to the ratio between the energy generated in a given period and the energy that would have been generated during that same period if the plant had operated at full capacity (U.S. NRC, 201913), it is technically correct to establish that this calculation corresponds to the actual number of hours the plants were in operation.

2.15. It is thus that the weaknesses mentioned above are attributed to the fact that ARESEP has not developed a rate methodology for private generators with wind plants that renew electricity purchase-sale contracts with ICE, so that the rate is consistent with the operating costs (costos de explotación), investment, sales expectations (expectativas de venta), and useful life of said plants. Furthermore, they originate from the fact that, during the analysis for developing the methodologies, the implication was lost sight of, in the rate, of calculating the age factor at a different date with respect to the other variables, and in the individual plant factor (Fpi), not using the maximum plant capacity contracted by ICE from the private generator and the actual operating times.

(.)" Therefore, in summary, for this methodology it is understood from those CGR provisions that the modification must be made in relation to the Sales expectations section: calculation of the individual plant factor, contracted capacity, and operating hours of each plant.

It is clarified that this Regulatory Authority has already made all technical and legal objections, filing not only administrative appeals against CGR Report No. DFOE-AE-IF-00009-2019 and, having exhausted the administrative channel through appeals for revocation and appeal, also brought the matter to the judicial venue, the foregoing is on record in file OT-775-2019 and is visible in the Background (Antecedentes) section of this report with the detail of the respective public file and the folios where the listed documents can be seen.

That being the case, the sole objective of this report is to send the Board of Directors the proposed modifications to the indicated private generation methodologies, exactly as ordered by the Contraloría General de la República, since, as the Contraloría itself indicates in its report, those provisions are mandatory in nature:

"4.1. In accordance with the powers assigned in Articles 183 and 184 of the Political Constitution, Articles 12 and 21 of the Organic Law of the Contraloría General de la República No. 7428, and Article 12 subsection c) of the General Law on Internal Control (Ley General de Control Interno), the following provisions of mandatory compliance are issued, which must be fulfilled within the deadline (or within the term) provided for this purpose, therefore their unjustified non-compliance constitutes grounds for liability." Notwithstanding the foregoing, in extraordinary session 19-2020 of the Board of Directors, the draft resolutions in attention to agreement 06-14-2020 for new private hydroelectric and new wind generation plants were heard, and said Board of Directors requested the administration to analyze the technical and legal reasonableness and the viability of the changes ordered by the Contraloría General de la República in provisions 4.4 and 4.5 of Audit Report No. DFOE-AE-IF-00009-2019 "Special Audit on the Process Established by ICE and ARESEP for the Concession of Generation and Purchase of Electric Energy from Private Parties" (Auditoría de Carácter Especial Acerca del Proceso Instaurado por el ICE y la ARESEP para la Concesión de la Generación y Compra de Energía Eléctrica a Privados), and to include that analysis as part of the technical reports for the three methodologies that were subject to assessment by the Oversight Body, and they agreed through agreement 02-19-2020 that they be submitted on Tuesday, March 31, 2020; that deadline replaced the one granted in agreement 03-18-2020.

Therefore, the technical and legal assessments included in the documents on record in the aforementioned file are taken up again, and only the feasibility of making the changes is assessed.

i. Regarding plant factor and contracted capacity Regarding the use of contracted capacity, this Regulatory Authority stated in official communication OF-0649-RG-2019 "(.) when the CGR asserts that 'the excess of installed capacity over the contracted capacity is destined for other private activities,' it could be considered a risky assertion, given that it was not demonstrated with factual evidence what is actually happening, which leaves this Authority defenseless.

From the following graphs, it is evident that such difference in the use of installed versus contracted capacity is minimal; even 2 plants, El Ángel and Doña Julia, have a contracted capacity greater than their installed capacity.

Graph 1 Installed capacity and contracted capacity per plant Hydroelectric plants, December 2019 Source: Own elaboration with data from Generation and Demand, Monthly Report December 2019, CENCE.

Notes: Vara Blanca and El Ángel belong to the group of new hydroelectric plants. Thus, any of the variables used should yield a similar result; indeed, from this data it could be concluded that it appears that all the plants comprising this group were designed only for selling energy to ICE, so it cannot be generalized that the capacity contracted by ICE is always less than the installed capacity due to the nature of cogenerators established by Ley 7200 (self-consumption and sale of surplus), as seen in the graphs, the capacities (nominal and contracted) are very similar.

However, in the proposal it is viable to consider that in all calculations involving the capacity of the plants, it is expressly established that the capacity contracted by ICE from each of the plants for which the information is considered in those calculations shall be used.

ii. Regarding the individual plant factor.

As for the load or plant factor (factor de carga o planta), it should be noted that the methodologies considered this concept as equivalent, but in the methodologies, the included formula that the CGR questioned is the load factor formula. Now, although that nomenclature may have created some confusion, the use given to this variable is clear in the methodologies.

Furthermore, in the following graphs, the difference between the load factor used in the methodology and the plant factor (factor de planta) requested by the CGR is also detailed.

In this particular case, the evidence shows that the result is the same, and that makes sense since both variables aim to reflect the production of the plants, and if used correctly, the difference should be null or minimal, as observed in the previous graphs. Despite the foregoing, in compliance with what was ordered by the Oversight Body, the use of the term is homologated to plant factor (factor de planta) throughout the methodological proposal.

iii. Conclusion on the application of the CGR's provisions in the methodological proposal.

As observed, the CGR's provisions are feasible to be transferred to the rate methodologies, as they contemplate criteria different from the current ones, but in their essence, they are not very different when quantifying them in the rate calculation, in addition to being technically viable. Therefore, in this proposal, the adjustments ordered by the Oversight Body to the Sales expectations (Expectativas de venta, E) section of the methodology are included:

• a)Inclusion of the plant factor calculation individually.
• b)Modification of the installed capacity to the contracted capacity of each plant included in the calculation.
• c)Modification of the total annual hours to the actual annual hours in which the plants were in operation delivering energy for sale to ICE; with this modification, the text is adjusted so that now all plants that generate energy during the year for sale to ICE would be included, not only those that have generated for more than 10 months as the current methodology indicates.

(.)"

IV.That through official communication OF-0944-DGAJR-2021, the DGAJR issued post-public hearing the "Analysis of the proposed modification of the 'Reference Rate Methodology for new private hydroelectric generation plants' (Metodología tarifaria de referencia para plantas de generación privada hidroeléctricas nuevas), approved through resolution RJD-152-2011 of August 10, 2011, and modified through resolutions RJD-161-2011 of October 26, 2011, RJD-013-2012 of February 29, 2012, RJD-027-2014 of March 20, 2014, and RJD-017-2016 of February 8, 2016," and stated that, from the comparative analysis between the version of the proposed modification to the "Reference Rate Methodology for new private hydroelectric generation plants" submitted to public hearing and the version sent by the CDR through official communication OF-0236-CDR-2021, which includes the final technical proposal for modifying the methodology, no substantial changes or modifications were identified in accordance with guideline 353-RG-2017.

V.That in accordance with the preceding recitals (resultandos) and considerations (considerandos) and based on the merit of the proceedings, it is appropriate to: 1. Issue the modifications to the "Reference Rate Methodology for new private hydroelectric generation plants," approved through resolution RJD-152-2011 of August 10, 2011, published in La Gaceta No. 68 of September 1, 2011, and modified through resolutions RJD-161-2011 of October 26, 2011, published in La Gaceta No. 230 of November 30, 2011, RJD-013-2012 of February 29, 2012, published in La Gaceta No. 74 of April 17, 2012, RJD-027-2014 of March 20, 2014, published in Digital Supplement (Alcance Digital) No. 10 to La Gaceta No. 65 of April 2, 2014, and RJD-017-2016 of February 8, 2016, published in Digital Supplement No. 17 to La Gaceta No. 31 of February 15, 2016. 2. Consider as a response to the opponents who participated in the public hearing held on November 19, 2020, what was stated in official communications IN-0040-CDR-2021 from the Center for Regulatory Development (Centro de Desarrollo de la Regulación) of September 9, 2021, and OF-0121-DGAJR-2021 of February 11, 2021, from the General Directorate of Legal and Regulatory Advisory (Dirección General de Asesoría Jurídica y Regulatoria), and thank everyone for their valuable participation in this process. 3. Instruct the Secretariat of the Board of Directors of Aresep to proceed to notify the opponents and coadjuvants of the responses to the positions raised, as well as this resolution, in a single act. 4. Instruct the Secretariat of the Board of Directors of Aresep to proceed with the respective publication of this modification to the "Reference Rate Methodology for new private hydroelectric generation plants" in the Official Gazette La Gaceta. 5. Instruct the General Directorate Center for Regulatory Development to proceed with the consolidation of the "Reference Rate Methodology for new private hydroelectric generation plants," issued through resolution RJD-152-2011 of August 10, 2011, and its modifications, which shall be published on the institutional website.

VI.That in ordinary session 84-2021, held on September 28, 2021, and ratified on October 5, 2021, the Board of Directors of Aresep, based on official communications IN-0040-CDR-2021 of September 9, 2021, IN-0042-CDR-2021 of September 9, 2021, OF-0236-CDR-2021 of September 10, 2021, all from the CDR, and official communications OF-0121-DGAJR-2021 of February 11, 2021, and OF-0944-DGAJR-2021 of September 22, 2021, cited above, agrees to issue this resolution.

THEREFORE (POR TANTO):

Based on the powers granted in the Law of the Regulatory Authority for Public Services (Ley de la Autoridad Reguladora de los Servicios Públicos, Ley 7593), in Decreto Ejecutivo 29732-MP "Regulation to Ley 7593" (Reglamento a la Ley 7593), and in the "Internal Regulation for Organization and Functions of the Regulatory Authority for Public Services and its Deconcentrated Body" (Reglamento Interno de Organización y Funciones de la Autoridad Reguladora de los Servicios Públicos y su Órgano Desconcentrado, RIOF); the following is provided:

THE BOARD OF DIRECTORS OF THE REGULATORY AUTHORITY FOR PUBLIC SERVICES

I.To issue the modifications to the "Reference Rate Methodology for new private hydroelectric generation plants," approved through resolution RJD-152-2011 of August 10, 2011, published in La Gaceta No. 68 of September 1, 2011, and modified through resolutions RJD-161-2011 of October 26, 2011, published in La Gaceta No. 230 of November 30, 2011, RJD-013-2012 of February 29, 2012, published in La Gaceta No. 74 of April 17, 2012, RJD-027-2014 of March 20, 2014, published in Digital Supplement No. 10 to La Gaceta No. 65 of April 2, 2014, and RJD-017-2016 of February 8, 2016, published in Digital Supplement No. 17 to La Gaceta No. 31 of February 15, 2016; according to the following detail:

a. To modify the Por Tanto I, subsection Sales expectations (Expectativas de venta, E), according to the following detail:

Sales expectations (E) The plant's production also depends on the availability of the installed capacity for generation, which in turn depends on the physical characteristics of the utilization, the technology used, the age of the installations, as well as the company's maintenance practices. For its part, the distance between the plant and the delivery point is important due to the losses associated with transmission.

In any event, it is possible to express all these factors in terms of a utilization factor of the installed capacity (Plant Factor, Factor de Planta). This is a commonly used factor and one that can be associated with each type of primary source; a value for this parameter can be established for each type of source, making it possible to differentiate the sale rate according to the primary source.

In summary, to estimate the amount of energy that will be used to determine the applicable rate, the following equation is considered:

Where:

E = Annual sales (amount of energy).

C = Average contracted capacity of the plants in MW.

H = Average amount of actual annual hours in which the plants were in operation delivering energy for sale to ICE over the last 5 years.

fp = Average plant factor of the plants used for the calculation over the last 5 years.

Although there is a scale effect in electricity generation plants, especially regarding installation costs and operating costs (costos de explotación), it is possible to simplify the model and perform the analysis for a plant of unitary size (unitary contracted capacity), reducing the previous formula to:

The annual plant factor (fp) of a power plant, for this case, is defined as the quotient between the actual energy generated by the power plant during a period and the energy generated if it had worked at full load during that same period, according to the contracted values, per the following formula:

Where:

Fpi,a = Plant factor of each plant in each year.

Egi,a = Amount of energy in kWh that each plant generated in each year.

Pconi,a = Contracted power in kW, per plant in each year.

Hi,a = Amount of hours in which the plant was in operation delivering energy for sale to ICE in each year.

i = Each one of the plants in the group.

a = Each one of the 5 years.

The value of the average plant factor for the last 5 years used in this model shall be obtained from the data of Costa Rican private hydroelectric plants with installed capacities of less than 20 MW, for which ARESEP possesses such information. This value shall be updated in each tariff setting. For that purpose, the data from the most recent five-year period for which ARESEP possesses information shall be used.

The value of the plant factor shall be calculated as follows:

For each of the years in the five-year period, an arithmetic average of the values of each individual plant shall be estimated, according to the following formula:

Where:

Fpa = Annual average plant factor for the group of plants.

Fpia = Plant factor of each plant in each year.

i = Each one of the plants.

a = Each one of the years.

n = Index representing the number of plants.

Subsequently, the arithmetic average of the five resulting values shall be obtained, and the result is the plant factor figure to be used in the tariff setting, calculated as follows:

Where:

Fp = Average plant factor for the group of plants.

Fpa = Annual average plant factor for the group of plants.

Q = Number of years used to calculate the average.

a = Each one of the years.

II.The response to the opponents who participated in the public hearing held on November 19, 2020, shall be as indicated in official letters IN-0040-CDR-2021 of the Regulation Development Center dated September 9, 2021, and OF-0121-DGAJR-2021 dated February 11, 2021, of the General Directorate of Legal and Regulatory Advisory Services, and the valuable participation of all in this process is gratefully acknowledged.

III.Instruct the Secretariat of the Board of Directors of Aresep to proceed to notify the opponents and coadjuvants of the responses to the positions raised, as well as this resolution, in a single act.

IV.Instruct the Secretariat of the Board of Directors of Aresep to proceed with the respective publication of this amendment to the "Reference tariff methodology for new private hydroelectric generation plants" (Metodología tarifaria de referencia para plantas de generación privada hidroeléctricas nuevas), in the Official Gazette La Gaceta.

V.Instruct the General Directorate of the Regulation Development Center to proceed with the consolidation of the "Reference tariff methodology for new private hydroelectric generation plants" (Metodología tarifaria de referencia para plantas de generación privada hidroeléctricas nuevas), issued by resolution RJD-152-2011 of August 10, 2011, and its amendments, which must be published on the institutional website.

In compliance with the provisions of article 245 of the Ley General de la Administración Pública, the ordinary remedy of reversal or reconsideration may be filed against this resolution, which must be filed within three days starting from the day following notification, and the extraordinary remedy of review may also be filed, which must be filed within the time periods indicated in article 354 of the aforementioned law. Both remedies must be filed before the Board of Directors of the Autoridad Reguladora de los Servicios Públicos, which is responsible for resolving them.

Effective from its publication in the official newspaper La Gaceta.

LET IT BE PUBLISHED AND NOTIFIED.

Dicho precio será ofrecido por el Productor respetando los rangos establecidos en la tarifa fijada por la ARESEP y que se encuentre vigente en el momento de presentar su propuesta.

En el contrato que suscriba el ICE con el Productor se contemplará el precio ofrecido junto con la fórmula para su actualización durante la vigencia del Contrato.

La fórmula de actualización del precio de la energía deberá estar sustentada sobre la base del reconocimiento únicamente de las variaciones en los costos de que forme parte integral del precio ofrecido.

El reconocimiento de cualquier ajuste resultante de la aplicación de la fórmula señalada quedará sujeto a que el precio de compra de energía, en todo momento, se encuentre dentro de los límites establecidos por la tarifa que tenga vigente la ARESEP. (.)" (Resaltado es nuestro).

Dichas normas, resultan concordantes con el "Reglamento Sectorial de Servicios Eléctricos", Decreto 29847-MP-MINAE-MEIC, que dispone en lo de interés:

"Artículo 22.-Principios generales para las solicitudes de reajuste Tarifario. Las tarifas tendrán como propósito la recuperación de los gastos propios de operación, los asociados a la reposición, el mantenimiento y una rentabilidad razonable para la industria eléctrica; además deben permitir la obtención de los recursos necesarios para utilizar las tecnologías que garanticen la mejor calidad, continuidad y seguridad del mismo.

Las peticiones de fijación tarifaria deben ajustarse a la Ley N° 7593, a su Reglamento y a este Reglamento.

Con base en los principios, objetivos y obligaciones establecidos en la Ley N° 7593, la Autoridad Reguladora aprobará y controlará el nivel óptimo de los ingresos, la estructura tarifaría y los precios y tarifas de los servicios, que permitan la operación óptima, la eficiencia económica, el suministro del servicio a niveles aceptables de calidad, la expansión y mejora del servicio; al menor costo y acorde con las necesidades del mercado de los servicios de la energía eléctrica; pudiendo utilizarse metodología de precios tope con o sin incentivo y penalizaciones, bandas de precios, comparación con parámetros eficientes o cualquier otra metodología que la Autoridad Reguladora considere conveniente para cumplir con sus funciones. Las metodologías para la fijación de tarifas necesariamente deben contemplar límites máximos, establecidos de acuerdo con el comportamiento de las tarifas en un conjunto de países con los cuales Costa Rica compite en el comercio internacional y en la atracción de inversiones. Ese conjunto de países será definido por ARESEP, previa consulta con el Ministerio de Comercio Exterior." "Artículo 26.-De las tarifas para el servicio de generación. La tarifa de generación para venta a las empresas distribuidoras y a abonados que estén servidos en alta tensión se definirá por los principios generales establecidos en el artículo 22 de este Reglamento.

Los costos de generación reconocidos por la compra de electricidad en bloque a las empresas distribuidoras se establecerán con base en las tarifas vigentes que existen para ese mismo caso, de manera que no sobrepase otras opciones más económicas con que puede contar la empresa distribuidora. En caso de que la empresa distribuidora genere con una planta de su propiedad, se le asignará a esta electricidad para efectos tarifarios, un valor que reconozca los costos y una rentabilidad razonable, pero que en ningún caso excederá la tarifa de compra de electricidad de menor costo existente en el mercado.

El cálculo del costo de las compras de electricidad debe permitir que las empresas distribuidoras tengan incentivos para contratar en forma económica el suministro de energía en bloque y a la vez, que parte de las ventajas en el precio de compra se apliquen en beneficio de los usuarios finales." "Articulo 31.-Determinación de otros cargos. La Autoridad Reguladora fijará todos los otros cobros que realicen las empresas de energía eléctrica como parte de su servicio, tales como las cuotas de conexión o desconexión o similares.

La Autoridad Reguladora dará seguimiento a los diferentes servicios regulados de la industria eléctrica que permita establecer el cumplimiento de las condiciones de prestación del servicio, para ello empleará: (.)

c. Las disposiciones tarifarías que se suministran en las resoluciones emitidas por el Organismo Regulador.

(.)" "Artículo 35.-Etapas en el proceso de regulación y evaluación.

Con el fin de facilitar la adecuación gradual de las empresas eléctricas a las exigencias en cuanto a calidad del servicio indicadas en este reglamento y en las respectivas normas técnicas sobre calidad, que emita la Autoridad Reguladora, se establecen tres etapas consecutivas, denominadas: "Preliminar", "Ajuste" y "Fiscalización" y que se describen así:

- Preliminar: En la que se deben poner en marcha, por parte de las empresas y en un plazo fijado por la Autoridad Reguladora, previa consulta a ellas, los procedimientos, metodologías y mecanismos necesarios para el cálculo de los indicadores evaluativos y fiscalizadores, establecidos en las normas técnicas respectivas. (.)" (Resaltado es nuestro) Aunado a lo anterior, la Junta Directiva de la Aresep, mediante la resolución RJD-17- 2016 del 8 de febrero de 2016 "Modificación de las metodologías de fijación de tarifas para generadores privados de energía eléctrica con recursos renovables", dispuso en lo de interés:

"En el caso particular del servicio público de electricidad y en particular, en el segmento de generación de este bien, la Autoridad ha establecido un conjunto de métodos de regulación que permiten establecer precios o tarifas de acuerdo con la fuente de generación del bien, entre otras: las fuentes hídricas, eólicas, térmicas, biomasa, solar. En el mercado, la oferta de generación se da por actores privados, públicos, cooperativas, procurando que se utilicen de la mejor manera posible, distintos procesos de producción que están relacionados con el tamaño de planta en la fuente del recurso, la generación de economías de escala y de ámbito, el uso eficiente de las innovaciones y mejoras tecnológicas y las mejores prácticas gerenciales. Por estos motivos, existe una dinámica en la oferta del mercado que hace que los costos y precios cambien intertemporalmente con estas mejoras.

Todos estos elementos, son objeto de estudio, análisis y revisión periódica de las metodologías tarifarias que realiza la Autoridad Reguladora." De acuerdo con lo establecido en los artículos 3, 4 inciso f), 5 inciso a), 6 inciso d) y 31 al 36 de la Ley N° 7593, numerales 4 inciso a) punto 2), 14, 15, 16, 17 y 41 del Decreto Ejecutivo N° 29732-MP, artículo 6 inciso 16 del RIOF, artículo 14 de la Ley N° 7200, numeral 20 del Decreto Ejecutivo N° 37124-MINAET, artículo 23 y 26 del "Reglamento Sectorial de Servicios Eléctricos", Decreto 29847-MP-MINAE-MEIC, corresponde a la Aresep, fijar los precios y tarifas de dichos servicios públicos, así como establecer las metodologías o modelos tarifarios que las determinarán.

Por lo anterior, se encuentra sustento para elaborar y aprobar la propuesta de modificación de RJD-009-2010 y sus reformas: "Metodología de Fijación de Tarifas para Generadores Privados Existentes (Ley 7200) que Firmen un Nuevo Contrato de Compra Venta de Electricidad con el Instituto Costarricense de Electricidad (ICE)".

c. Disposiciones 4.4 y 4.5 del informe No. DFOE-AE-IF-00009-2019 de la Contraloría General de la República El 16 de setiembre de 2019, mediante el oficio DFOE-AE-IF-00009-2019, la Contraloría General de la República emitió el "Informe de auditoría de carácter especial acerca del proceso instaurado por el ICE y la Aresep para la concesión de la generación y compra de energía eléctrica a privados". En el cual se establecieron una serie de disposiciones para la Aresep en materia tarifaria y metodológica para el sector de generación privada. En materia tarifaria específicamente se emitieron las siguientes disposiciones: "A ROBERTO JIMÉNEZ GÓMEZ EN SU CALIDAD DE REGULADOR GENERAL DE LA AUTORIDAD REGULADORA DE LOS SERVICIOS PÚBLICOS, O A QUIEN EN SU LUGAR OCUPE EL CARGO 4.4 Elaborar las propuestas de modificación de: a) artículos 1, 3.4.2, 3.4.3, 3.5.4 de la Metodología de Fijación de Tarifas para Generadores Privados Existentes (Ley Nº 7200) que firmen un nuevo contrato de compra venta de electricidad con el Instituto Costarricense de Electricidad (ICE), resolución n.° RJD-009 y sus reformas; b) párrafo Expectativa de venta (E) de la Metodología tarifaria de referencia para plantas de generación privada hidroeléctricas nuevas, resolución n.° RJD-152-2011 y sus reformas; c) artículo iv del Modelo para la determinación de tarifas de referencia para plantas de generación privada eólicas nuevas, resolución n.° RJD-163-2011 y sus reformas; d) adicionar las normas que establezcan el uso del tiempo real de operación en el cálculo del factor de planta, en la Metodología tarifaria de referencia para plantas de generación privada hidroeléctricas nuevas y el Modelo para la determinación de tarifas de referencia para plantas de generación privada eólicas nuevas. Enviar a la Junta Directiva las modificaciones propuestas para lo de su competencia, a más tardar el 28 de febrero de 2020. Remitir a la Contraloría General copia del documento que evidencie el envío de las propuestas, a más tardar el 13 de marzo de 2020 (ver párrafos del 2.3 al 2.19).

4.5 Elaborar la propuesta de metodología de fijación de tarifas para generadores privados eólicos que renueven contratos de compra de energía eléctrica con el ICE. Enviar la propuesta de la metodología a la Junta Directiva para lo de su competencia.

Remitir a la Contraloría General una certificación en la cual conste el envío de la propuesta a la Junta directiva, a más tardar el 28 de febrero de 2020 (ver párrafos del 2.3 al 2.19)." La CGR, en el Informe N.º DFOE-AE-IF-00009-2019, apartado 4, estableció, entre otras cosas, que las disposiciones anteriores son "(.) de acatamiento obligatorio que deberán ser cumplidas dentro del plazo (o en el término) conferido para ello, por lo que su incumplimiento no justificado constituye causal de responsabilidad", y en concreto, le otorga una serie de plazos perentorios a la Aresep, específicamente, a distintos órganos y dependencias internas para su cumplimiento, y se reserva la posibilidad de establecer las responsabilidades que correspondan en caso de su incumplimiento.

En ese sentido, las disposiciones dictadas por dicho órgano contralor tienen un carácter vinculante, según el artículo 12 de la Ley de la CGR Ley N° 7428, que dispone en su segundo párrafo lo siguiente:

"(.) Las disposiciones, normas, políticas y directrices que ella dicte, dentro del ámbito de su competencia, son de acatamiento obligatorio y prevalecerán sobre cualesquiera otras disposiciones de los sujetos pasivos que se le opongan. (.)".

En la misma Ley N° 7428, se advierte sobre la sanción por desobediencia, en el artículo 69, lo siguiente:

"Sanción por desobediencia. Cuando, en el ejercicio de sus potestades, la Contraloría General de la República haya cursado órdenes a los sujetos pasivos y estas no se hayan cumplido injustificadamente, las reiterará, por una sola vez, y fijará un plazo para su cumplimiento; pero de mantenerse la desobediencia una vez agotado el plazo, esta se reputará como falta grave y dará lugar a la suspensión o a la destitución del funcionario o empleado infractor, según lo determine la Contraloría. (.)" 2. MARCO TÉCNICO Adiciones introducidas a raíz del informe de la Contraloría General de la República (CGR) N.° DFOE-AE-IF-00009-2019 El 16 de setiembre de 2019, mediante el oficio DFOE-AE-IF-00009-2019, la CGR emitió el "Informe de auditoría de carácter especial acerca del proceso instaurado por el ICE y la Aresep para la concesión de la generación y compra de energía eléctrica a privados".

En dicho informe se establecieron una serie de disposiciones en materia tarifaria y metodológica para el sector de generación privada.

En materia tarifaria específicamente se emitieron las disposiciones indicadas en el apartado 2. Marco Legal, literal c. Disposiciones 4.4 y 4.5 del informe No. DFOE-AE-IF-00009-2019 de la CGR de este informe.

Sobre estos aspectos, la CGR indicó en su informe:

"(.)

2.10. Por otra parte, en cuanto al cálculo del factor de planta individual (Fpi) de cada planta de la muestra considerada para estimar el factor de planta promedio (fp), utilizado para calcular las contratos renovados, de plantas hidroeléctricas nuevas y de plantas eólicas nuevas), se utiliza la capacidad instalada nominal de la planta de generación del privado, en vez de la capacidad máxima contratada por el ICE. Ello, a pesar de que la capacidad de generación adicional a la contratada por el ICE, podría destinarse a otras actividades de su ámbito privado como lo señaló la Autoridad Reguladora en el 2010 en el informe técnico de la metodología, ante una oposición de los generadores privados9; así como el ICE lo planteó a la ARESEP en su oficio n.° 510-904-2017.

2.11. De acuerdo con la Procuraduría General de la República, en su dictamen n.° C-329- 2002, las metodologías tarifarias tienen que reflejar los costos de la prestación del servicio; además, en su opinión jurídica n.° 066-2009, agrega que de reconocer mayores precios a los que los costos justifican, la Administración puede propiciar la ineficiencia económica, pues el concesionario no tendría razones suficientes para buscar maximizar los recursos y ser eficiente. Es así como, en apego al principio de servicio al costo, al ser la generación privada de electricidad un servicio público10 y estar pactada con base en un tope de cantidad de energía, la fijación de la tarifa debe ser congruente con la capacidad de generación máxima contratada.

2.12. En ese sentido, Ariño (1993) indica que las metodologías para la fijación de tarifas deben corresponder a los costos reales, lo cual implica que el conjunto de los ingresos procedentes debe cubrir solo el conjunto de los costos razonables que sean necesarios para producir el servicio; por lo que, es un error económico y un desacierto jurídico que la tarifa considere cualquier otro elemento ajeno al servicio.

2.13. Además, para el cálculo del factor de planta individual (Fpi) las tres metodologías de la ARESEP consideran que las plantas operan todo el año (8.760 horas del año)12, pero permite incluir plantas que lo hacen por 10 u 11 meses, períodos que resultan incongruentes.

2.14. En ese sentido, la resolución n.° 380-F-S1-2009 de la Sala Primera de la Corte Suprema de Justicia, en cuanto a los principios regulatorios en las fijaciones tarifarias, refiere a la necesidad de que la tarifa refleje un precio congruente con las condiciones bajo las cuales se brinda el servicio. De esta manera, considerando que el factor de planta corresponde a la relación entre la energía generada en un período dado, y la que se habría generado durante ese mismo período si la planta hubiese operado a plena capacidad (U.S. NRC, 201913), es técnicamente correcto establecer que ese cálculo corresponda a la cantidad de horas reales que las plantas estuvieron en operación.

2.15. Es así como, las debilidades antes mencionadas se atribuyen a que la ARESEP no ha desarrollado una metodología tarifaria para generadores privados con plantas eólicas que renuevan los contratos de compra venta de energía eléctrica con el ICE, para que la tarifa sea congruente con los costos de explotación, inversión, expectativas de venta y vida útil de dichas plantas. Además, se originan en que se perdió de vista en el análisis para la elaboración de las metodologías, la implicación en la tarifa de calcular el factor de antigüedad a una fecha distinta con respecto a las demás variables y en el factor de planta individual (Fpi), no utilizar la capacidad de planta máxima contratada por el ICE al generador privado y los tiempos reales de operación.

(.)" Por lo que, en resumen, para esta metodología se entiende de esas disposiciones de la CGR, que la modificación debe realizarse en relación al apartado de contratada y horas en operación de cada planta.

Se aclara que esta Autoridad Reguladora ya ha realizado todas las objeciones técnicas y legales, interponiendo no solo recursos administrativos contra el informe de la CGR N.° DFOE-AE-IF-00009-2019 y, habiendo agotado la vía administrativa por medio de recursos de revocatoria y apelación, también se llevó el asunto a sede judicial, lo anterior consta en el expediente OT-775-2019 y es visible en la sección de Antecedentes de este informe con el detalle del respectivo expediente público y los folios donde se pueden observar los documentos listados.

Así las cosas, el único objetivo de este informe es remitir a la Junta Directiva las propuestas de modificaciones a las metodologías de generación privada indicadas, tal cual se dispusieron por la Contraloría General de la República, ya que tal y como lo indica la misma Contraloría en su informe, esas disposiciones son de carácter obligatorio:

"4.1. De conformidad con las competencias asignadas en los artículos 183 y 184 de la Constitución Política, los artículos 12 y 21 de la Ley Orgánica de la Contraloría General de la República n.° 7428, y el artículo 12 inciso c) de la Ley General de Control Interno, se emiten las siguientes disposiciones de acatamiento obligatorio que deberán ser cumplidas dentro del plazo (o en el término) conferido para ello, por lo que su incumplimiento no justificado constituye causal de responsabilidad." No obstante lo anterior, en sesión extraordinaria 19-2020 de Junta Directiva, se conocieron los borradores de resolución en atención del acuerdo 06-14-2020 para plantas de generación privada hidroeléctricas nuevas y eólicas nuevas, y dicha Junta Directiva solicitó a la administración analizar la razonabilidad técnica y jurídica y la viabilidad de los cambios dispuestos por la Contraloría General de la República en las disposiciones 4.4 y 4.5 del Informe de auditoría N° DFOE-AE-IF-00009-2019 "Auditoría de Carácter Especial Acerca del Proceso Instaurado por el ICE y la ARESEP para la Concesión de la Generación y Compra de Energía Eléctrica a Privados", además de incluir ese análisis como parte de los informes técnicos de las tres metodologías que fueron objeto de valoración por parte del Ente Contralor y acordaron mediante el acuerdo 02-19-2020 que se presentaran el martes 31 de marzo de 2020, ese plazo sustituyó el otorgado en el acuerdo 03-18-2020.

Por lo que, se retoman las valoraciones técnicas y jurídicas incluidas en los documentos que constan en el expediente mencionado y se valora solamente la factibilidad de realizar los cambios.

i. Respecto factor de planta y capacidad contratada Respecto al uso de la capacidad contratada, esta Autoridad Reguladora indicó en el oficio OF-0649-RG-2019 "(.) cuando la CGR asegura que "el exceso de capacidad instalada sobre la contratada se destina a otras actividades del ámbito privado", podría considerarse una aseveración aventurada, dado que no se demostró con evidencia fáctica lo que realmente está sucediendo, lo cual deja en indefensión a esta Autoridad.

De los siguientes gráficos se denota que tal diferencia en el uso de la capacidad instalada a la contratada es mínima, incluso 2 plantas, el Ángel y Doña Julia, tienen una capacidad contratada mayor a su capacidad instalada.

Gráfico 1 Capacidad instalada y capacidad contratada por planta Plantas hidroeléctricas, diciembre 2019 Fuente: Elaboración propia con datos de Generación y Demanda, Informe mensual diciembre 2019, CENCE.

Notas: Vara Blanca y El Ángel pertenecen al grupo de plantas hidroeléctricas nuevas. Así las cosas, cualquiera de las variables a utilizar debería arrojar un resultado similar, incluso de estos datos se podría concluir que pareciera que todas las plantas que conforman este grupo fueron diseñadas solo para venta de energía al ICE, por lo que no se puede generalizar que la capacidad contratada por el ICE siempre es menor a la instalada por la naturaleza de cogeneradores que establece la Ley 7200 (autoconsumo y venta de excedentes), como se ve en los gráficos, las capacidades (nominal y contratada) son muy similares.

No obstante, en la propuesta es viable considerar que en la totalidad de los cálculos que involucran la capacidad de las plantas, se establezca expresamente que se utilizará la capacidad contratada por el ICE de cada una de las plantas para las cuales se considera la información en dichos cálculos.

ii. Respecto al factor de planta individual.

En cuanto al factor de carga o planta, se debe indicar que, las metodologías consideraron este concepto como equivalente, pero en las metodologías la fórmula que se incluye y que cuestionó la CGR es la fórmula del factor de carga. Ahora bien, aunque esa nomenclatura pudo crear algún tipo de confusión, el uso que se da de esta variable es clara en las metodologías.

Ahora bien, en los siguientes gráficos también se detalla la diferencia entre el factor de carga utilizado en la metodología y el factor de planta solicitado por la CGR.

En este caso en particular la evidencia arroja que el resultado es igual, y eso tiene sentido ya que ambas variables pretenden reflejar la producción de las plantas y si se usan de manera correcta, la diferencia debería ser nula o mínima, tal y como se observa en los gráficos anteriores. A pesar de lo anterior, en cumplimiento de lo dispuesto por el Órgano Contralor se procede a homologar el uso del término a factor de planta en toda la propuesta metodológica.

iii. Conclusión sobre la aplicación de las disposiciones de la CGR en la propuesta metodológica.

Como se observa, las disposiciones de la CGR son factibles de ser trasladables a las metodologías tarifarias, ya que contemplan criterios diferentes a los vigentes, pero en su esencia no son muy diferentes a la hora de cuantificarlos en el cálculo tarifario, aunado a que son técnicamente viables. Por lo que en la presente propuesta se incluye los ajustes dispuestos por el Órgano Contralor a la sección Expectativas de venta (E) de la metodología:

• a)Inclusión del cálculo del factor de planta de forma individual.
• b)Modificación de la capacidad instalada por la capacidad contratada de cada planta incluida en el cálculo.
• c)Modificación de las horas totales anuales por las horas anuales reales en que las plantas estuvieron en operación entregando energía para venta al ICE, con esta modificación se ajusta el texto de tal manera que ahora se incluirían todas las plantas que generan energía durante el año para la venta al ICE, no solamente las que hayan generado más de 10 meses como lo indica la metodología vigente.

(.)"

IV.Que mediante el oficio OF-0944-DGAJR-2021, la DGAJR, emitió post audiencia pública el "Análisis de la propuesta de modificación de la "Metodología tarifaria de referencia para plantas de generación privada hidroeléctricas nuevas", aprobada mediante la resolución RJD-152-2011 del 10 de agosto de 2011, y modificada mediante las resoluciones RJD-161-2011 del 26 de octubre de 2011, RJD-013-2012 del 29 de febrero de 2012, RJD-027-2014 del 20 de marzo de 2014 y RJD-017-2016 del 8 de febrero de 2016", y señaló que del análisis comparativo entre la versión de la propuesta modificación de la "Metodología tarifaria de referencia para plantas de generación privada hidroeléctricas nuevas" sometida a audiencia pública y la versión remitida por el CDR mediante el oficio OF-0236-CDR-2021, el cual incluye la propuesta técnica final de modificación a la metodología, no se identificaron cambios o bien modificaciones de fondo sustanciales de conformidad con el lineamiento 353-RG-2017.

V.Que de conformidad con los resultandos y considerandos que preceden y de acuerdo con el mérito de los autos, lo procedente es: 1. Dictar las modificaciones de la "Metodología tarifaria de referencia para plantas de generación privada hidroeléctricas nuevas", aprobada mediante resolución RJD-152-2011 del 10 de agosto de 2011, publicada en La Gaceta No 68 del 01 de setiembre de 2011, y modificada mediante las resoluciones RJD-161-2011 del 26 de octubre de 2011 publicada en La Gaceta Nº 230 del 30 de noviembre de 2011, RJD-013-2012 del 29 de febrero de 2012 publicada en La Gaceta Nº 74 del 17 de abril de 2012, RJD-027-2014 del 20 de marzo de 2014 publicada en el Alcance Digital Nº 10 a la Gaceta Nº 65 del 2 de abril de 2014 y RJD- 017-2016 del 8 de febrero de 2016, publicada en el Alcance Digital Nº 17 a la Gaceta Nº 31 del 15 de febrero de 2016. 2. Tener como respuesta a los opositores que participaron en la audiencia pública realizada el 19 de noviembre de 2020, lo señalado en los oficios IN-0040-CDR-2021 del Centro de Desarrollo de la Regulación del 9 de setiembre de 2021 y OF-0121-DGAJR-2021 del 11 de febrero de 2021 de la Dirección General de Asesoría Jurídica y Regulatoria y agradecer la valiosa participación de todos en este proceso. 3. Instruir a la Secretaría de Junta Directiva de Aresep, para que proceda a notificar a los opositores y coadyuvantes, las respuestas a las posiciones planteadas, así como la presente resolución en un solo acto. 4. Instruir a la Secretaría de Junta Directiva de Aresep, para que proceda a realizar la respectiva publicación de esta modificación a la "Metodología tarifaria de referencia para plantas de generación privada hidroeléctricas nuevas", en el Diario Oficial La Gaceta. 5. Instruir a la Dirección General Centro de Desarrollo de la Regulación, para que proceda con la consolidación de la "Metodología tarifaria de referencia para plantas de generación privada hidroeléctricas nuevas", dictada mediante la resolución RJD-152-2011 del 10 de agosto de 2011 y sus modificaciones, la cual deberá divulgar en la página web institucional.

VI.Que en la sesión ordinaria 84-2021 celebrada el 28 de setiembre de 2021, y ratificada el 5 de octubre de 2021, la Junta Directiva de Aresep, con fundamento en los oficios IN-0040-CDR-2021 del 9 de setiembre de 2021, IN-0042-CDR-2021 del 9 de setiembre de 2021, OF-0236-CDR-2021 del 10 de setiembre de 2021, todos del CDR y los oficios OF-0121-DGAJR-2021 del 11 de febrero de 2021 y OF-0944-DGAJR-2021 del 22 de setiembre de 2021, de cita, acuerda dictar la presente resolución.

Con fundamento en las facultades conferidas en la Ley de la Autoridad Reguladora de los Servicios Públicos (Ley 7593), en el Decreto Ejecutivo 29732-MP "Reglamento a la Ley 7593" y en el "Reglamento Interno de Organización y Funciones de la Autoridad Reguladora de los Servicios Públicos y su Órgano Desconcentrado" (RIOF); se dispone lo siguiente:

LA JUNTA DIRECTIVA DE LA AUTORIDAD REGULADORA DE LOS SERVICIOS PÚBLICOS

I.Dictar las modificaciones de la "Metodología tarifaria de referencia para plantas de generación privada hidroeléctricas nuevas", aprobada mediante resolución RJD-152-2011 del 10 de agosto de 2011, publicada en La Gaceta No 68 del 01 de setiembre de 2011, y modificada mediante las resoluciones RJD-161-2011 del 26 de octubre de 2011 publicada en La Gaceta Nº 230 del 30 de noviembre de 2011, RJD-013-2012 del 29 de febrero de 2012 publicada en La Gaceta Nº 74 del 17 de abril de 2012, RJD- 027-2014 del 20 de marzo de 2014 publicada en el Alcance Digital Nº 10 a la Gaceta Nº 65 del 2 de abril de 2014 y RJD-017-2016 del 8 de febrero de 2016, publicada en el Alcance Digital Nº 17 a la Gaceta Nº 31 del 15 de febrero de 2016; según el siguiente detalle:

a. Modificar el Por Tanto I, inciso Expectativas de venta (E), según el siguiente detalle:

(E) La producción de la planta también depende de la disponibilidad de la capacidad instalada para generación, lo que a su vez depende de las características físicas del aprovechamiento, de la tecnología utilizada, la edad de las instalaciones, así como las prácticas de mantenimiento de la empresa. Por su parte, la distancia entre la planta y el punto de entrega resulta importante debido a las pérdidas asociadas con la transmisión.

En todo caso, es posible expresar todos estos factores en términos de un factor de aprovechamiento de la capacidad instalada (Factor de Planta). Este es un factor de uso común y que es posible asociar con cada tipo de fuente primaria, se puede establecer un valor para este parámetro aplicable a cada tipo de fuente, haciendo posible diferenciar la tarifa de venta según la fuente primaria.

En síntesis, para estimar la cantidad de energía que se tomará para determinar la tarifa aplicable se considera la siguiente ecuación:

En donde:

E = Ventas anuales (cantidad de energía).

C = Capacidad contratada promedio de las plantas en MW.

H= cantidad promedio de horas anuales reales en que las plantas estuvieron en operación entregando energía para venta al ICE en los 5 últimos años.

fp = Factor de planta promedio de los últimos 5 años de las plantas utilizadas para el cálculo.

Si bien existe un efecto de escala en las plantas de generación de electricidad, especialmente en cuanto a los costos de instalación y los costos de explotación, es posible simplificar el modelo y realizar el análisis para una planta de tamaño unitario (capacidad contratada unitaria), con lo que la fórmula anterior se reduce a:

El factor de planta anual (fp) de una central eléctrica, para este caso, se define como el cociente entre la energía real generada por la central eléctrica durante un período y la energía generada si hubiera trabajado a plena carga durante ese mismo período, conforme los valores contratados, según la siguiente fórmula:

En donde:

Fpi,a = Factor de planta de cada planta en cada año.

Egi,a = Cantidad de energía en kWh que cada planta generó en cada año.

Pconi,a = Potencia contratada en kW, por planta en cada año.

Hi,a = cantidad de horas en que la planta estuvo en operación entregando energía para la venta al ICE en cada año.

i = Cada una de las plantas del grupo.

a = Cada uno de los 5 años.

El valor del factor de planta promedio de los últimos 5 años que se utilice en este modelo se obtendrá a partir de los datos de plantas hidroeléctricas privadas costarricenses con capacidades instaladas menores que 20 MW, sobre las cuales la ARESEP posea dicha información. Este valor se actualizará en cada fijación tarifaria. Con ese propósito, se utilizarán los datos del último quinquenio sobre el cual ARESEP posea información.

El valor del factor de planta se calculará de la siguiente manera:

Para cada uno de los años del quinquenio, se estimará un promedio aritmético de los valores de cada planta individual, de acuerdo con la siguiente fórmula:

En donde:

Fpa = Factor de planta promedio anual para el grupo de plantas.

Fpia = Factor de planta de cada planta en cada año.

i = Cada una de las plantas.

a = Cada uno de los años.

n = Índice que representa la cantidad de plantas.

Posteriormente, se obtendrá el promedio aritmético de los cinco valores resultantes, y el resultado es el dato de factor de planta a utilizar en la fijación tarifaria calculado de la siguiente forma:

En donde:

Fp = Factor de planta promedio para el grupo de plantas.

Fpa = Factor de planta promedio anual para el grupo de plantas.

Q = Cantidad de años utilizados para calcular el promedio.

a = Cada uno de los años.

II.Tener como respuesta a los opositores que participaron en la audiencia pública realizada el 19 de noviembre de 2020, lo señalado en los oficios IN-0040-CDR-2021 del Centro de Desarrollo de la Regulación del 9 de setiembre de 2021 y OF-0121-DGAJR-2021 del 11 de febrero de 2021 de la Dirección General de Asesoría Jurídica y Regulatoria y agradecer la valiosa participación de todos en este proceso.

III.Instruir a la Secretaría de Junta Directiva de Aresep, para que proceda a notificar a los opositores y coadyuvantes, las respuestas a las posiciones planteadas, así como la presente resolución en un solo acto.

IV.Instruir a la Secretaría de Junta Directiva de Aresep, para que proceda a realizar la respectiva publicación de esta modificación a la "Metodología tarifaria de referencia para plantas de generación privada hidroeléctricas nuevas", en el Diario Oficial La Gaceta.

V.Instruir a la Dirección General Centro de Desarrollo de la Regulación, para que proceda con la consolidación de la "Metodología tarifaria de referencia para plantas de generación privada hidroeléctricas nuevas", dictada mediante la resolución RJD-152-2011 del 10 de agosto de 2011 y sus modificaciones, la cual deberá divulgar en la página web institucional.

En cumplimiento de lo que ordena el artículo 245 de la Ley General de la Administración Pública, contra la presente resolución cabe el recurso ordinario de reposición o reconsideración, el cual deberá interponerse en el plazo de tres días contados a partir del día siguiente a la notificación, y el recurso extraordinario de revisión, el cual deberá interponerse dentro de los plazos señalados en el artículo 354 de la citada ley. Ambos recursos deberán interponerse ante la Junta Directiva de la Autoridad Reguladora de los Servicios Públicos, a quien corresponde resolverlos.

Rige a partir de su publicación en el diario oficial La Gaceta.

PUBLÍQUESE Y NOTIFÍQUESE.