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