# GDPR Article 40 — Codes of conduct - Source: https://support.icompaas.com/compliance/gdpr/article-40-codes-of-conduct - Section: [Compliance](https://support.icompaas.com/compliance) › [GDPR (Regulation (EU) 2016/679)](https://support.icompaas.com/compliance/gdpr) › Articles 31–40 - Last updated: 2026-06-05 - Publisher: iCompaas, Inc. (https://www.icompaas.com) **GDPR**·Article `Article 40`·low·Component: **Chapter IV: Controller and Processor** ## What this control requires > Encourage development of GDPR-compliant codes of conduct by associations, addressing fair processing, data subject rights, security, breach notifications, and data transfers. Submit drafts to supervisory authorities for approval, ensuring compliance monitoring and public registration. This control addresses Codes of Conduct. > > — GDPR, Article Article 40 ### In plain English Encourage development of GDPR-compliant codes of conduct by associations, addressing fair processing, data subject rights, security, breach notifications, and data transfers. In practice, this means you can prove you data controller-level controls on a defined cadence. ## Why it matters GDPR administrative fines reach the greater of €20 million or 4% of global annual turnover. The European Data Protection Board (EDPB) coordinates supervisory-authority enforcement across the EU/EEA, and DPAs publish enforcement decisions citing specific Articles. ## What an auditor looks for A DPA or privacy auditor expects: a Records of Processing Activities (RoPA) entry, a documented lawful basis, evidence the Article's data-subject right is operationalised end-to-end, a named DPO contact (where required), and Article 30 records that match what the front-end actually does. Within **Chapter IV: Controller and Processor**, the assessor will trace your implementation back to the catalogue reference (Article Article 40) and look for objective evidence on the latest two assessment cycles. ## How to implement #### Incident Response **Runbook.** Maintain a runbook keyed by incident type with named roles (IC, comms, scribe), an out-of-band comms channel, and a 72-hour timeline for external notification. **Tabletop.** Run a quarterly tabletop exercise (ransomware, insider, supply-chain) and feed gaps back into the runbook. #### Policy Management **Docs.** Keep each policy in version-controlled Markdown alongside the code that implements it; ship a signed PDF snapshot at each annual review and link the SHA into the SoA. #### Secure Development **Pipeline.** Require code review, SAST (Semgrep / Snyk Code), SCA (Dependabot / Renovate), secret-scanning and IaC scanning in the merge pipeline. **Branch protection.** Protected branches enforce reviews, signed commits and passing CI before merge; document the protection rules as the control evidence. ### Operational checklist - **Data.** Document the trigger, the owner and the cadence. - **Processor.** Document the trigger, the owner and the cadence. - **Security.** Document the trigger, the owner and the cadence. - **Codes.** Document the trigger, the owner and the cadence. - **Transfers.** Document the trigger, the owner and the cadence. - **Scope:** controller, transfers, conduct, rights. ## Evidence to collect - **Policy Document.** A signed and version-controlled policy / standard / procedure document. Signed policy or standard documents the safeguard. Focus: Codes of conduct. ## Common pitfalls - Runbooks that name a role but no person, or list a paging channel that no longer exists. - Policies that no engineer has read; the version in Confluence drifts from the version that's actually being enforced. - CI security checks set to warn-only; the merge button is faster than the security feedback. ## How it maps to other frameworks Computed from shared tags, control component and key-operation subjects — handy when you are reconciling controls across an audit. - [**SOC 2 (2017 TSC) CC1.2** — Board Independence and Oversight](https://support.icompaas.com/compliance/soc-2-trust-services-criteria/cc1-2-board-independence-and-oversight) - [**ISO/IEC 27701:2025 A.3.15** — Independent review](https://support.icompaas.com/compliance/iso-27701-2025/a-3-15-independent-review) ## Related controls in GDPR - [**Article Article 24** — Responsibility of the controller](https://support.icompaas.com/compliance/gdpr/article-24-responsibility-of-the-controller) - [**Article Article 42** — Certification](https://support.icompaas.com/compliance/gdpr/article-42-certification) - [**Article Article 41** — Monitoring of approved codes of conduct](https://support.icompaas.com/compliance/gdpr/article-41-monitoring-of-approved-codes-of-conduct) - [**Article Article 43** — Certification bodies](https://support.icompaas.com/compliance/gdpr/article-43-certification-bodies) - [**Article Article 33** — Notification of a personal data breach to the supervisory authority](https://support.icompaas.com/compliance/gdpr/article-33-notification-of-a-personal-data-breach-to-the-supervisory-authority) - [**Article Article 34** — Communication of a personal data breach to the data subject](https://support.icompaas.com/compliance/gdpr/article-34-communication-of-a-personal-data-breach-to-the-data-subject) ## References - [European Union — GDPR](https://eur-lex.europa.eu/eli/reg/2016/679/oj) - Catalogue identifier: `Article Article 40` Topics: governance riskcontinuous monitoringincident responsepolicy managementsecure development ## Related compliance guidance - [GDPR compliance: a practical implementation guide for cloud-native SaaS teams](https://support.icompaas.com/compliance/gdpr): Start with the full GDPR implementation guide — scope, roadmap, evidence and how the assessment runs. - [ISO/IEC 27001:2022 compliance: a practical implementation guide](https://support.icompaas.com/compliance/iso-27001-2022): The security management system most EU procurement teams ask for alongside a DPA; its controls supply much of the Article 32 evidence. - [India's DPDP Act 2023: a practical compliance guide for cloud teams](https://support.icompaas.com/compliance/india-dpdp-act-2023): If engineering or support teams sit in India, the same data flows are also subject to India’s Digital Personal Data Protection Act.