The monitoring body must demonstrate that it provides sufficient guarantees regarding:
This independence must be functional, material and decision-making. It can be demonstrated by the implementation of formal rules and procedures governing the appointment, mandate and operating of the monitoring body. The applicant may provide documents or procedures that clearly establishes the division of employees’ roles, the functioning of the decision-making process and the reporting procedures.
- The absence of conflict of interest:
Internal procedures are needed to prevent and avoid conflicts of interest. The body must remain free from all external influence and refrain from actions that are incompatible with its missions and functions.
- The appropriate level of expertise of its member:
The staff, both operational and decision-making, must have the skills and experiences required by the code of conduct and the accreditation’s working document. Each request for accreditation will be assessed in the light of the specific expertise requirements defined by the relevant code.
- Regular, complete and transparent control procedures:
The monitoring procedure used by the monitoring body should be regular, complete and transparent to the code of conduct’s adherents. It may include unannounced audits, annual inspections, regular reports and the use of surveys, but is should be based on objective criterions and correspond to the framework established by the code of conduct.
- The transparent complaints handling procedures:
The monitoring body should have procedures in place to allow for the impartial and objective handling of complaints about breaches of the code or the manners in which the code is being applied by an adherent. Such procedure must be transparent and understandable.
The handling of complaints must be adequately resourced and the employees involved must be sufficiently knowledgeable and impartial.
- The communication and information procedure of the CNIL:
It allows the CNIL to be informed of the decisions taken by the monitoring body, particularly in terms of the seriousness of these decisions and such, within a reasonable time.
- The procedure for the review mechanisms of the Code of Conduct:
The monitoring body is involved in the review of the code when this is decided by the code owner. It must then implement procedures for incorporating the changes decided by the code owner.
- Its status and responsibility, particularly in the context of subcontracting its tasks:
The monitoring body is responsible to the supervisory authority for its actions, including in the case of subcontracting.
It will have to justify the adequate and necessary resources for the continuous exercise of its missions.
- The procedure for the adoption of sanctions and corrective measures:
A code of conduct should include the matrix of corrective measures that can be applied by the monitoring body. The monitoring body should demonstrate that it has procedures in place to take decisions and sanctions under the code of conduct.
To this end, a model letter of formal notice or reminder, as well as a document setting out a procedure for handling disputes, can be presented.