...
Article
...
21
...
Compliance
...
programme
...
and
...
compliance
...
officer
...
1.
...
Member
...
States
...
shall
...
ensure
...
that
...
transmission
...
system
...
opera
...
tors
...
establish
...
and
...
implement
...
a
...
compliance
...
programme
...
which
...
sets
...
out
...
the
...
measures
...
taken
...
in
...
order
...
to
...
ensure
...
that
...
discriminatory
...
conduct
...
is
...
excluded,
...
and
...
ensure
...
that
...
the
...
compliance
...
with
...
that
...
programme
...
is
...
adequately
...
monitored.
...
The
...
compliance
...
programme
...
shall
...
set
...
out
...
the
...
specific
...
obligations
...
of
...
employees
...
to
...
meet
...
those
...
objectives.
...
It
...
shall
...
be
...
subject
...
to
...
approval
...
by
...
the
...
regulatory
...
author
...
ity.
...
Without
...
prejudice
...
to
...
the
...
powers
...
of
...
the
...
national
...
regulator,
...
compliance
...
with
...
the
...
program
...
shall
...
be
...
independently
...
monitored
...
by
...
a
...
compliance
...
officer.
...
2.
...
The
...
compliance
...
officer
...
shall
...
be
...
appointed
...
by
...
the
...
Supervi
...
sory
...
Body,
...
subject
...
to
...
the
...
approval
...
by
...
the
...
regulatory
...
authority.
...
The
...
regulatory
...
authority
...
may
...
refuse
...
the
...
approval
...
of
...
the
...
compli
...
ance
...
officer
...
only
...
for
...
reasons
...
of
...
lack
...
of
...
independence
...
or
...
profes
...
sional
...
capacity.
...
The
...
compliance
...
officer
...
may
...
be
...
a
...
natural
...
or
...
legal
...
person.
...
Article
...
19(2)
...
to
...
(8)
...
shall
...
apply
...
to
...
the
...
compliance
...
officer.
...
3.
...
The
...
compliance
...
officer
...
shall
...
be
...
in
...
charge
...
of:
...
(a)
...
monitoring
...
the
...
implementation
...
of
...
the
...
compliance
...
programme;
...
(b)
...
elaborating
...
an
...
annual
...
report,
...
setting
...
out
...
the
...
measures
...
taken
...
in
...
order
...
to
...
implement
...
the
...
compliance
...
programme
...
and
...
sub
...
mitting
...
it
...
to
...
the
...
regulatory
...
authority;
...
(c)
...
reporting
...
to
...
the
...
Supervisory
...
Body
...
and
...
issuing
...
recommenda
...
tions
...
on
...
the
...
compliance
...
programme
...
and
...
its
...
implementation;
...
(d)
...
notifying
...
the
...
regulatory
...
authority
...
on
...
any
...
substantial
...
breaches
...
with
...
regard
...
to
...
the
...
implementation
...
of
...
the
...
compliance
...
pro
...
gramme;
...
and
...
(e)
...
reporting
...
to
...
the
...
regulatory
...
authority
...
on
...
any
...
commercial
...
and
...
financial
...
relations
...
between
...
the
...
vertically
...
integrated
...
undertak
...
ing
...
and
...
the
...
transmission
...
system
...
operator.
...
4.
...
The
...
compliance
...
officer
...
shall
...
submit
...
the
...
proposed
...
decisions
...
on
...
the
...
investment
...
plan
...
or
...
on
...
individual
...
investments
...
in
...
the
...
net
...
work
...
to
...
the
...
regulatory
...
authority.
...
This
...
shall
...
occur
...
at
...
the
...
latest
...
when
...
the
...
management
...
and/or
...
the
...
competent
...
administrative
...
body
...
of
...
the
...
transmission
...
system
...
operator
...
submits
...
them
...
to
...
the
...
Super
...
visory
...
Body.
...
5.
...
Where
...
the
...
vertically
...
integrated
...
undertaking,
...
in
...
the
...
general
...
assembly
...
or
...
through
...
the
...
vote
...
of
...
the
...
members
...
of
...
the
...
Supervisory
...
Body
...
it
...
has
...
appointed,
...
has
...
prevented
...
the
...
adoption
...
of
...
a
...
decision
...
with
...
the
...
effect
...
of
...
preventing
...
or
...
delaying
...
investments,
...
which
...
under
...
the
...
ten-year
...
network
...
development
...
plan
...
was
...
to
...
be
...
executed
...
in
...
the
...
following
...
three
...
years,
...
the
...
compliance
...
officer
...
shall
...
report
...
this
...
to
...
the
...
regulatory
...
authority,
...
which
...
then
...
shall
...
act
...
in
...
accor
...
dance
...
with
...
Article
...
22.
...
6.
...
The
...
conditions
...
governing
...
the
...
mandate
...
or
...
the
...
employment
...
conditions
...
of
...
the
...
compliance
...
officer,
...
including
...
the
...
duration
...
of
...
its
...
mandate,
...
shall
...
be
...
subject
...
to
...
approval
...
by
...
the
...
regulatory
...
authority.
...
Those
...
conditions
...
shall
...
ensure
...
the
...
independence
...
of
...
the
...
compli
...
ance
...
officer,
...
including
...
by
...
providing
...
him
...
with
...
all
...
the
...
resources
...
necessary
...
for
...
fulfilling
...
his
...
duties.
...
During
...
his
...
mandate,
...
the
...
com
...
pliance
...
officer
...
shall
...
have
...
no
...
other
...
professional
...
position,
...
respon
...
sibility
...
or
...
interest,
...
directly
...
or
...
indirectly,
...
in
...
or
...
with
...
any
...
part
...
of
...
the
...
vertically
...
integrated
...
undertaking
...
or
...
with
...
its
...
controlling
...
shareholders.
...
7.
...
The
...
compliance
...
officer
...
shall
...
report
...
regularly,
...
either
...
orally
...
or
...
in
...
writing,
...
to
...
the
...
regulatory
...
authority
...
and
...
shall
...
have
...
the
...
right
...
to
...
report
...
regularly,
...
either
...
orally
...
or
...
in
...
writing,
...
to
...
the
...
Supervisory
...
Body
...
of
...
the
...
transmission
...
system
...
operator.
...
8.
...
The
...
compliance
...
officer
...
may
...
attend
...
all
...
meetings
...
of
...
the
...
man
...
agement
...
or
...
administrative
...
bodies
...
of
...
the
...
transmission
...
system
...
operator,
...
and
...
those
...
of
...
the
...
Supervisory
...
Body
...
and
...
the
...
general
...
assembly.
...
The
...
compliance
...
officer
...
shall
...
attend
...
all
...
meetings
...
that
...
address
...
the
...
following
...
matters:
...
(a)
...
conditions
...
for
...
access
...
to
...
the
...
network,
...
as
...
defined
...
in
...
Regula
...
tion
...
(EC)
...
No
...
714/2009,
...
in
...
particular
...
regarding
...
tariffs,
...
third
...
party
...
access
...
services,
...
capacity
...
allocation
...
and
...
congestion
...
management,
...
transparency,
...
balancing
...
and
...
secondary
...
markets;
...
(b)
...
projects
...
undertaken
...
in
...
order
...
to
...
operate,
...
maintain
...
and
...
develop
...
the
...
transmission
...
system,
...
including
...
interconnection
...
and
...
connection
...
investments;
...
(c)
...
energy
...
purchases
...
or
...
sales
...
necessary
...
for
...
the
...
operation
...
of
...
the
...
transmission
...
system.
...
9.
...
The
...
compliance
...
officer
...
shall
...
monitor
...
the
...
compliance
...
of
...
the
...
transmission
...
system
...
operator
...
with
...
Article
...
16.
...
10.
...
The
...
compliance
...
officer
...
shall
...
have
...
access
...
to
...
all
...
relevant
...
data
...
and
...
to
...
the
...
offices
...
of
...
the
...
transmission
...
system
...
operator
...
and
...
to
...
all
...
the
...
information
...
necessary
...
for
...
the
...
fulfilment
...
of
...
his
...
task.
...
11.
...
After
...
prior
...
approval
...
by
...
the
...
regulatory
...
authority,
...
the
...
Super
...
visory
...
Body
...
may
...
dismiss
...
the
...
compliance
...
officer.
...
It
...
shall
...
dismiss
...
the
...
compliance
...
officer
...
for
...
reasons
...
of
...
lack
...
of
...
independence
...
or
...
pro
...
fessional
...
capacity
...
upon
...
request
...
of
...
the
...
regulatory
...
authority.
...
12.
...
The
...
compliance
...
officer
...
shall
...
have
...
access
...
to
...
the
...
offices
...
of
...
the
...
transmission
...
system
...
operator
...
without
...
prior
...
announcement.
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{display-footnotes}
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{tip:title=Quelle und Stand des Gesetzes}
[Directive |http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2009:211:0055:0093:EN:PDF]\\
Date
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