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RGPD

Article 40

Codes of conduct

1.   The Member States, the supervisory authorities, the Board and the Commission shall encourage the drawing up of codes of conduct intended to contribute to the proper application of this Regulation, taking account of the specific features of the various processing sectors and the specific needs of micro, small and medium-sized enterprises.

2.   Associations and other bodies representing categories of controllers or processors may prepare codes of conduct, or amend or extend such codes, for the purpose of specifying the application of this Regulation, such as with regard to:

(a)

fair and transparent processing;

(b)

the legitimate interests pursued by controllers in specific contexts;

(c)

the collection of personal data;

(d)

the pseudonymisation of personal data;

(e)

the information provided to the public and to data subjects;

(f)

the exercise of the rights of data subjects;

(g)

the information provided to, and the protection of, children, and the manner in which the consent of the holders of parental responsibility over children is to be obtained;

(h)

the measures and procedures referred to in Articles 24 and 25 and the measures to ensure security of processing referred to in Article 32;

(i)

the notification of personal data breaches to supervisory authorities and the communication of such personal data breaches to data subjects;

(j)

the transfer of personal data to third countries or international organisations; or

(k)

out-of-court proceedings and other dispute resolution procedures for resolving disputes between controllers and data subjects with regard to processing, without prejudice to the rights of data subjects pursuant to Articles 77 and 79.

3.   In addition to adherence by controllers or processors subject to this Regulation, codes of conduct approved pursuant to paragraph 5 of this Article and having general validity pursuant to paragraph 9 of this Article may also be adhered to by controllers or processors that are not subject to this Regulation pursuant to Article 3 in order to provide appropriate safeguards within the framework of personal data transfers to third countries or international organisations under the terms referred to in point (e) of Article 46(2). Such controllers or processors shall make binding and enforceable commitments, via contractual or other legally binding instruments, to apply those appropriate safeguards including with regard to the rights of data subjects.

4.   A code of conduct referred to in paragraph 2 of this Article shall contain mechanisms which enable the body referred to in Article 41(1) to carry out the mandatory monitoring of compliance with its provisions by the controllers or processors which undertake to apply it, without prejudice to the tasks and powers of supervisory authorities competent pursuant to Article 55 or 56.

5.   Associations and other bodies referred to in paragraph 2 of this Article which intend to prepare a code of conduct or to amend or extend an existing code shall submit the draft code, amendment or extension to the supervisory authority which is competent pursuant to Article 55. The supervisory authority shall provide an opinion on whether the draft code, amendment or extension complies with this Regulation and shall approve that draft code, amendment or extension if it finds that it provides sufficient appropriate safeguards.

6.   Where the draft code, or amendment or extension is approved in accordance with paragraph 5, and where the code of conduct concerned does not relate to processing activities in several Member States, the supervisory authority shall register and publish the code.

7.   Where a draft code of conduct relates to processing activities in several Member States, the supervisory authority which is competent pursuant to Article 55 shall, before approving the draft code, amendment or extension, submit it in the procedure referred to in Article 63 to the Board which shall provide an opinion on whether the draft code, amendment or extension complies with this Regulation or, in the situation referred to in paragraph 3 of this Article, provides appropriate safeguards.

8.   Where the opinion referred to in paragraph 7 confirms that the draft code, amendment or extension complies with this Regulation, or, in the situation referred to in paragraph 3, provides appropriate safeguards, the Board shall submit its opinion to the Commission.

9.   The Commission may, by way of implementing acts, decide that the approved code of conduct, amendment or extension submitted to it pursuant to paragraph 8 of this Article have general validity within the Union. Those implementing acts shall be adopted in accordance with the examination procedure set out in Article 93(2).

10.   The Commission shall ensure appropriate publicity for the approved codes which have been decided as having general validity in accordance with paragraph 9.

11.   The Board shall collate all approved codes of conduct, amendments and extensions in a register and shall make them publicly available by way of appropriate means.

Common Questions

Frequently Asked Questions

Who can draw up a GDPR code of conduct, and what topics can it cover?

Associations and other bodies representing categories of controllers or processors may prepare codes of conduct, or amend or extend existing ones, in order to specify the application of the Regulation. Member States, the supervisory authorities, the Board and the Commission are to encourage this, taking account of the specific features of the various processing sectors and the specific needs of micro, small and medium-sized enterprises.

Article 40(2) lists the topics a code can address, including:

  • fair and transparent processing and the collection of personal data;
  • the pseudonymisation of personal data;
  • the information provided to the public and to data subjects, and the exercise of their rights;
  • the protection of children and how the consent of the holders of parental responsibility is to be obtained;
  • security of processing and the notification and communication of personal data breaches;
  • transfers of personal data to third countries or international organisations;
  • out-of-court procedures for resolving disputes between controllers and data subjects.
How does a code of conduct get approved?

The association or body behind the code submits the draft (or the amendment or extension) to the supervisory authority that is competent under Article 55. The authority gives an opinion on whether it complies with the Regulation and approves it if it finds that it provides sufficient appropriate safeguards.

If the code does not relate to processing activities in several Member States, that authority registers and publishes it. If it does, the draft first goes to the Board for an opinion, the Board submits its opinion to the Commission, and the Commission may decide by way of implementing acts that the approved code has general validity within the Union.

Can organisations that are not subject to the GDPR adhere to a code of conduct?

Yes. Controllers or processors that are not subject to the Regulation under Article 3 may adhere to an approved code of conduct that has general validity, in order to provide appropriate safeguards for transfers of personal data to third countries or international organisations under the terms referred to in point (e) of Article 46(2).

To do so, they must make binding and enforceable commitments, via contractual or other legally binding instruments, to apply those safeguards, including with regard to the rights of data subjects.

Who monitors compliance with a code of conduct?

Every code of conduct under Article 40(2) must contain mechanisms that enable the body referred to in Article 41(1) to carry out mandatory monitoring of compliance by the controllers or processors that undertake to apply it. That monitoring is without prejudice to the tasks and powers of the competent supervisory authorities.

The Board also collates all approved codes, amendments and extensions in a publicly available register, and the Commission ensures appropriate publicity for the codes that have been given general validity.