Art. 5 Working arrangements of the members of the joint examination team | RTS on joint examination teams | DORA

This article sets out the conduct and operational standards that govern how joint examination team members must carry out their work.

It establishes a clear chain of accountability, requiring members to act with skill, care, and diligence under the Lead Overseer's direction, while also adhering to jointly developed ESA procedures and confidentiality requirements.

Building on the earlier articles that deal with the composition and establishment of the joint examination team, this article focuses on the day-to-day obligations of both the team members and the authorities responsible for them.

Important points:

Joint examination team members must carry out tasks without bias, in line with the Lead Overseer's instructions and jointly drafted ESA oversight procedures.
Team members must follow data handling instructions from the Lead Overseer coordinator and comply with the confidentiality regime of the European Supervisory Authorities.
The Lead Overseer and nominating authorities are required to establish, implement, review, and keep up to date arrangements covering time, costs, training, and ethical and conduct considerations for team members.

1. The members of the joint examination team shall carry out their tasks identified in the individual annual oversight plan with due skill, care, and diligence, without any bias and in accordance with the instructions of the Lead Overseer coordinator referred to in Article 40(2), second subparagraph of Regulation (EU) 2022/2554.
1. When carrying out oversight tasks, the members of the joint examination team shall follow oversight procedures drafted jointly by the European Supervisory Authorities in relation to the conduct of oversight activities and any relevant operational area, including specifications relating to the use of IT tools and equipment and time management.
1. The members of the joint examination team shall follow the information and data handling specifications and instructions provided by the Lead Overseer coordinator referred to in Article 40(2), second subparagraph of Regulation (EU) 2022/2554 and shall comply with the confidentiality regime of the European Supervisory Authorities.
1. The Lead Overseer and the nominating authorities shall establish arrangements to implement the requirements laid down in this Regulation, including arrangements on the time spent and estimated costs related to the oversight activities performed by the joint examination team, training, and ethical and conduct considerations in relation to the role of the members of the joint examination team, where appropriate.
1. The Lead Overseer and the nominating authorities shall ensure that the arrangements referred to in paragraph 4 are timely implemented, reviewed, and kept up to date.