Data Processing Agreement
Last update: October 29, 2024
INTRODUCTION
This Data Processing Agreement (“Addendum” or “DPA“) forms part of the Master Subscription Agreement (“Principal Agreement“) between: (i) Contractor defined in Master Subscription Agreement subject to section 13 of the Master Subscription Agreement (“Vendor“) acting on its own behalf and as agent for each Vendor Affiliate; and (ii) _____________________ (“Company“) acting on its own behalf and as agent for each Company Affiliate. This DPA – including all terms and conditions of this DPA – is only valid and applicable if your Contractor defined in Master Subscription Agreement subject to section 13 is Aiconix GmbH. For the avoidance of doubt, if your Contractor is not Aiconix GmbH according to section 13 of the Master Subscription Agreement this Addendum is null and void.
The terms used in this Addendum shall have the meanings set forth in this Addendum. Capitalized terms not otherwise defined herein shall have the meaning given to them in the Principal Agreement. Except as modified below, the terms of the Principal Agreement shall remain in full force and effect.
In consideration of the mutual obligations set out herein, the parties hereby agree that the terms and conditions set out below shall be added as an Addendum to the Principal Agreement. Except where the context requires otherwise, references in this Addendum to the Principal Agreement are to the Principal Agreement as amended by, and including, this Addendum.
1. Definitions
1.1 In this Addendum, the following terms shall have the meanings set out below and cognate terms shall be construed accordingly:
1.1.1 “Applicable Laws” means (a) European Union or Member State laws with respect to any Company Personal Data in respect of which any Company Group Member is subject to EU Data Protection Laws; and (b) any other applicable law with respect to any Company Personal Data in respect of which any Company Group Member is subject to any other Data Protection Laws;
1.1.2 “Company Affiliate” means an entity that owns or controls, is owned or controlled by or is or under common control or ownership with Company, where control is defined as the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of an entity, whether through ownership of voting securities, by contract or otherwise;
1.1.3 “Company Group Member” means Company or any Company Affiliate;
1.1.4 “Company Personal Data” means any Personal Data Processed by a Contracted Processor on behalf of a Company Group Member pursuant to or in connection with the Principal Agreement;
1.1.5 “Contracted Processor” means Vendor or a Subprocessor;
1.1.6 “Data Protection Laws” means EU Data Protection Laws and, to the extent applicable, the data protection or privacy laws of any other country;
1.1.7 “EEA” means the European Economic Area;
1.1.8 “GDPR” means EU General Data Protection Regulation 2016/679, as transposed into domestic legislation of each Member State and as amended, replaced or superseded from time to time, including by the GDPR and laws implementing or supplementing the GDPR”
1.1.9 “Restricted Transfer” means:
1.1.9.1 a transfer of Company Personal Data from any Company Group Member to a Contracted Processor; or
1.1.9.2 an onward transfer of Company Personal Data from a Contracted Processor to a Contracted Processor, or between two establishments of a Contracted Processor,
in each case, where such transfer would be prohibited by GDPR (or by the terms of data transfer agreements put in place to address the data transfer restrictions of GDPR ) in the absence of the Standard Contractual Clauses to be established under section [6.4.3 or 12 below;
For the avoidance of doubt: (a) where a transfer of Personal Data is of a type authorised by Data Protection Laws in the exporting country, for example in the case of transfers from within the European Union to a country (such as Switzerland) or scheme which is approved by the Commission as ensuring an adequate level of protection or any transfer which falls within a permitted derogation, such transfer shall not be a Restricted Transfer;
1.1.10 “Services” means the services and other activities to be supplied to or carried out by or on behalf of Vendor for Company Group Members pursuant to the Principal Agreement;
1.1.11 “Standard Contractual Clauses” means the contractual clauses set out in Annex
1.1.12 “Subprocessor” means any person (including any third party and any Vendor Affiliate, but excluding an employee of Vendor or any of its sub-contractors) appointed by or on behalf of Vendor or any Vendor Affiliate to Process Personal Data on behalf of any Company Group Member in connection with the Principal Agreement; and
1.1.13 “Vendor Affiliate” means an entity that owns or controls, is owned or controlled by or is or under common control or ownership with Vendor, where control is defined as the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of an entity, whether through ownership of voting securities, by contract or otherwise.
1.2 The terms, “Commission”, “Controller”, “Data Subject”, “Member State”, “Personal Data”, “Personal Data Breach”, “Processing” and “Supervisory Authority” shall have the same meaning as in the GDPR, and their cognate terms shall be construed accordingly.
1.3 The word “include” shall be construed to mean include without limitation, and cognate terms shall be construed accordingly.
2. Authority
Vendor warrants and represents that, before any Vendor Affiliate Processes any Company Personal Data on behalf of any Company Group Member, Vendor’s entry into this Addendum as agent for and on behalf of that Vendor Affiliate will have been duly and effectively authorised (or subsequently ratified) by that Vendor Affiliate.
3. Processing of Company Personal Data
3.1 Vendor and each Vendor Affiliate shall:
3.1.1 comply with all applicable Data Protection Laws in the Processing of Company Personal Data; and
3.1.2 not Process Company Personal Data other than on the relevant Company Group Member’s documented instructions unless Processing is required by Applicable Laws to which the relevant Contracted Processor is subject, in which case Vendor or the relevant Vendor Affiliate shall to the extent permitted by Applicable Laws inform the relevant Company Group Member of that legal requirement before the relevant Processing of that Personal Data.
3.2. Each Company Group Member:
3.2.1 instructs Vendor and each Vendor Affiliate (and authorises Vendor and each Vendor Affiliate to instruct each Subprocessor) to:
3.2.1.1 Process Company Personal Data; and
3.2.1.2 in particular, transfer Company Personal Data to any country or territory,
as reasonably necessary for the provision of the Services and consistent with the Principal Agreement; and
3.2.2 warrants and represents that it is and will at all relevant times remain duly and effectively authorised to give the instruction set out in section 3.2.1 on behalf of each relevant Company Affiliate.
3.3 Annex II to this Addendum sets out certain information regarding the Contracted Processors’ Processing of the Company Personal Data as required by article 28(3) of the GDPR (and, possibly, equivalent requirements of other Data Protection Laws). Company may make reasonable amendments to Annex II by written notice to Vendor from time to time as Company reasonably considers necessary to meet those requirements. Nothing in Annex II (including as amended pursuant to this section 3.3) confers any right or imposes any obligation on any party to this Addendum.
4. Vendor and Vendor Affiliate Personnel
Vendor and each Vendor Affiliate shall take reasonable steps to ensure the reliability of any employee, agent or contractor of any Contracted Processor who may have access to the Company Personal Data, ensuring in each case that access is strictly limited to those individuals who need to know / access the relevant Company Personal Data, as strictly necessary for the purposes of the Principal Agreement, and to comply with Applicable Laws in the context of that individual’s duties to the Contracted Processor, ensuring that all such individuals are subject to confidentiality undertakings or professional or statutory obligations of confidentiality.
5. Security
5.1 Taking into account the state of the art, the costs of implementation and the nature, scope, context and purposes of Processing as well as the risk of varying likelihood and severity for the rights and freedoms of natural persons, Vendor and each Vendor Affiliate shall in relation to the Company Personal Data implement appropriate technical and organizational measures to ensure a level of security appropriate to that risk, including, as appropriate, the measures referred to in Article 32(1) of the GDPR.
5.2 In assessing the appropriate level of security, Vendor and each Vendor Affiliate shall take account in particular of the risks that are presented by Processing, in particular from a Personal Data Breach.
5.3 As the GDPR imposes a requirement to ensure that appropriate security measures are in place, and Vendor may not be in a position to assess what measures are appropriate to the Company Personal Data. Company has assessed any security measures specifically agreed in the Principal Agreement and that the Company is responsible (as between the parties and to data subjects and supervisory authorities) if those measures, in themselves (but acknowledging that any pre-agreed description may only deal with specific aspects of the required security arrangements rather than describing a comprehensive solution), do not meet the GDPR standard of appropriateness.
6. Subprocessing
6.1 Each Company Group Member authorises Vendor and each Vendor Affiliate to appoint (and permit each Subprocessor appointed in accordance with this section 6 to appoint) Subprocessors in accordance with this section 6 and any restrictions in the Principal Agreement.
6.2 Vendor and each Vendor Affiliate may continue to use those Subprocessors already engaged by Vendor or any Vendor Affiliate as at the date of this Addendum, subject to Vendor and each Vendor Affiliate in each case as soon as practicable meeting the obligations set out in section 6.4.
6.3 Vendor shall give Company prior written notice of the appointment of any new Subprocessor, including full details of the Processing to be undertaken by the Subprocessor. If, within 7 calendar days of receipt of that notice, Company notifies Vendor in writing of any objections (on reasonable grounds) to the proposed appointment:
6.3.1 Vendor shall work with Company in good faith to make available a commercially reasonable change in the provision of the Services which avoids the use of that proposed Subprocessor; and
6.3.2 where such a change cannot be made within 6 months from Vendor’s receipt of Company’s notice, notwithstanding anything in the Principal Agreement, Company may by written notice to Vendor with immediate effect terminate the Principal Agreement to the extent that it relates to the Services which require the use of the proposed Subprocessor.
6.4 With respect to each Subprocessor, Vendor or the relevant Vendor Affiliate shall:
6.4.1 before the Subprocessor first Processes Company Personal Data (or, where relevant, in accordance with section 6.2), carry out adequate due diligence to ensure that the Subprocessor is capable of providing the level of protection for Company Personal Data required by the Principal Agreement;
6.4.2 ensure that the arrangement between on the one hand (a) Vendor, or (b) the relevant Vendor Affiliate, or (c) the relevant intermediate Subprocessor; and on the other hand the Subprocessor, is governed by a written contract including terms which offer at least the same level of protection for Company Personal Data as those set out in this Addendum and meet the requirements of article 28(3) of the GDPR;
6.4.3 if that arrangement involves a Restricted Transfer, ensure that the Standard Contractual Clauses are at all relevant times incorporated into the agreement between on the one hand (a) Vendor, or (b) the relevant Vendor Affiliate, or (c) the relevant intermediate Subprocessor; and on the other hand the Subprocessor, or before the Subprocessor first Processes Company Personal Data procure that it enters into an agreement incorporating the Standard Contractual Clauses with the relevant Company Group Member(s) (and Company shall procure that each Company Affiliate party to any such Standard Contractual Clauses co-operates with their population and execution); and
6.4.4 provide to Company for review such copies of the Contracted Processors’ agreements with Subprocessors (which may be redacted to remove confidential commercial information not relevant to the requirements of this Addendum) as Company may request from time to time.
6.5 Vendor and each Vendor Affiliate shall ensure that each Subprocessor performs the obligations under sections 3.1, 4, 5, 7.1, 8.2, 9 and 11.1, as they apply to Processing of Company Personal Data carried out by that Subprocessor, as if it were party to this Addendum in place of Vendor.
7. Data Subject Rights
7.1 Taking into account the nature of the Processing, Vendor and each Vendor Affiliate shall assist each Company Group Member by implementing appropriate technical and organizational measures, insofar as this is possible, for the fulfilment of the Company Group Members’ obligations, as reasonably understood by Company, to respond to requests to exercise Data Subject rights under the Data Protection Laws.
7.2 Vendor shall:
7.2.1 promptly notify Company if any Contracted Processor receives a request from a Data Subject under any Data Protection Law in respect of Company Personal Data; and
7.2.2 ensure that the Contracted Processor does not respond to that request except on the documented instructions of Company or the relevant Company Affiliate or as required by Applicable Laws to which the Contracted Processor is subject, in which case Vendor shall to the extent permitted by Applicable Laws inform Company of that legal requirement before the Contracted Processor responds to the request.
8. Personal Data Breach
8.1 Vendor shall notify Company without undue delay upon Vendor or any Subprocessor becoming aware of a Personal Data Breach affecting Company Personal Data, providing Company with sufficient information to allow each Company Group Member to meet any obligations to report or inform Data Subjects of the Personal Data Breach under the Data Protection Laws.
8.2 Vendor shall co-operate with Company and each Company Group Member and take such reasonable commercial steps as are directed by Company to assist in the investigation, mitigation and remediation of each such Personal Data Breach.
9. Data Protection Impact Assessment and Prior Consultation
Vendor and each Vendor Affiliate shall provide reasonable assistance to each Company Group Member with any data protection impact assessments, and prior consultations with Supervising Authorities or other competent data privacy authorities, which Company reasonably considers to be required of any Company Group Member by article 35 or 36 of the GDPR or equivalent provisions of any other Data Protection Law, in each case solely in relation to Processing of Company Personal Data by, and taking into account the nature of the Processing and information available to, the Contracted Processors.
10. Deletion or return of Company Personal Data
10.1 Subject to sections 10.2 and 10.3 Vendor and each Vendor Affiliate shall promptly and in any event within 6 months of the date of cessation of any Services involving the Processing of Company Personal Data (the “Cessation Date“), delete and procure the deletion of all copies of those Company Personal Data.
10.2 Subject to section 10.3, Company may in its absolute discretion by written notice to Vendor within 2 months of the Cessation Date require Vendor and each Vendor Affiliate to (a) return a complete copy of all Company Personal Data to Company by secure file transfer in such format as is reasonably notified by Vendor to Company or give access through API’s or a Web-Application to download the Company Personal Data by the Company; and (b) delete and procure the deletion of all other copies of Company Personal Data Processed by any Contracted Processor. Vendor and each Vendor Affiliate shall comply with any such written request within 30 days of the Cessation Date.
10.3 Each Contracted Processor may retain Company Personal Data to the extent required by Applicable Laws and only to the extent and for such period as required by Applicable Laws and always provided that Vendor and each Vendor Affiliate shall ensure the confidentiality of all such Company Personal Data and shall ensure that such Company Personal Data is only Processed as necessary for the purpose(s) specified in the Applicable Laws requiring its storage and for no other purpose.
10.4 Vendor shall provide written certification to Company that it and each Vendor Affiliate has fully complied.
11. Audit rights
11.1 Subject to sections 11.2 to 11.3, Vendor and each Vendor Affiliate shall make available to each Company Group Member on request all information necessary to demonstrate compliance with this Addendum, and shall allow for and contribute to audits, including inspections, by any Company Group Member or an auditor mandated by any Company Group Member in relation to the Processing of the Company Personal Data by the Contracted Processors. All expenses and costs of the Vendor and each Vendor Affiliate related to such an audit are compensated by the Company.
11.2 Information and audit rights of the Company Group Members only arise under section 11.1 to the extent that the Principal Agreement does not otherwise give them information and audit rights meeting the relevant requirements of Data Protection Law (including, where applicable, article 28(3)(h) of the GDPR).
11.3 Company or the relevant Company Affiliate undertaking an audit shall give Vendor or the relevant Vendor Affiliate reasonable notice of any audit or inspection to be conducted under section 11.1 and shall make (and ensure that each of its mandated auditors makes) reasonable endeavors to avoid causing (or, if it cannot avoid, to minimize) any damage, injury, or disruption to the Contracted Processors’ premises, equipment, personnel, and business while its personnel are on those premises in the course of such an audit or inspection. A Contracted Processor need not give access to its premises for the purposes of such an audit or inspection:
11.3.1 to any individual unless he or she produces reasonable evidence of identity and authority;
11.3.2 outside normal business hours at those premises, unless the audit or inspection needs to be conducted on an emergency basis and Company or the relevant Company Affiliate undertaking an audit has given notice to Vendor or the relevant Vendor Affiliate that this is the case before attendance outside those hours begins; or
11.3.3 for the purposes of more than 1 audit or inspection, in respect of each Contracted Processor, in any calendar year, except for any additional audits or inspections which:
11.3.3.1 Company or the relevant Company Affiliate undertaking an audit reasonably considers necessary because of genuine concerns as to Vendor’s or the relevant Vendor Affiliate’s compliance with this Addendum; or
11.3.3.2 A Company Group Member is required or requested to carry out by Data Protection Law, a Supervisory Authority or any similar regulatory authority responsible for the enforcement of Data Protection Laws in any country or territory,
11.4 To demonstrate compliance with this Addendum the Vendor may provide relevant documents such as
– compliance with approved rules of conduct pursuant to article 40 of the GDPR
– certification in accordance with an approved certification procedure pursuant to article 42 of the GDPR
– current attestations, reports or report extracts from independent entities (e.g. auditors, auditing, data protection officer, IT security department, data protection auditors, quality auditors);
– suitable certification by IT security or data protection audit
12. Restricted Transfers
12.1 Subject to section 12.3, each Company Group Member (as “Controller”) and each Contracted Processor, as appropriate, (as “Processor”) hereby enter into the Standard Contractual Clauses in respect of any Restricted Transfer from that Company Group Member to that Contracted Processor.
12.2 The Standard Contractual Clauses shall come into effect under section 12.1 on the later of:
12.2.1 the controller becoming a party to them;
12.2.2 the processor becoming a party to them; and
12.2.3 commencement of the relevant Restricted Transfer.
12.3 Section 12.1 shall not apply to a Restricted Transfer unless its effect, together with other reasonably practicable compliance steps (which, for the avoidance of doubt, do not include obtaining consents from Data Subjects), is to allow the relevant Restricted Transfer to take place without breach of applicable Data Protection Law.
13. General Terms
Governing law and jurisdiction
13.1 Without prejudice to the Standard Contractual Clauses (Annex):
13.1.1 the parties to this Addendum hereby submit to the choice of jurisdiction stipulated in the Principal Agreement with respect to any disputes or claims howsoever arising under this Addendum, including disputes regarding its existence, validity or termination or the consequences of its nullity; and
13.1.2 this Addendum and all non-contractual or other obligations arising out of or in connection with it are governed by the laws of the country or territory stipulated for this purpose in the Principal Agreement.
Order of precedence
13.2 Nothing in this Addendum reduces Vendor’s or any Vendor Affiliate’s obligations under the Principal Agreement in relation to the protection of Personal Data or permits Vendor or any Vendor Affiliate to Process (or permit the Processing of) Personal Data in a manner which is prohibited by the Principal Agreement. In the event of any conflict or inconsistency between this Addendum and the Standard Contractual Clauses, the Standard Contractual Clauses shall prevail.
13.3 Subject to section 13.2, with regard to the subject matter of this Addendum, in the event of inconsistencies between the provisions of this Addendum and any other agreements between the parties, including the Principal Agreement and including (except where explicitly agreed otherwise in writing, signed on behalf of the parties) agreements entered into or purported to be entered into after the date of this Addendum, the provisions of this Addendum shall prevail.
Severance
13.4 Should any provision of this Addendum be invalid or unenforceable, then the remainder of this Addendum shall remain valid and in force. The invalid or unenforceable provision shall be either (i) amended as necessary to ensure its validity and enforceability, while preserving the parties’ intentions as closely as possible or, if this is not possible, (ii) construed in a manner as if the invalid or unenforceable part had never been contained therein.
IN WITNESS WHEREOF, this Addendum is entered into and becomes a binding part of the Principal Agreement, with effect from the date first set out above.
[Company]
Signature …………………………………………………………………………………………………
Name …………………………………………………………………………………………………
Title …………………………………………………………………………………………………
Date Signed …………………………………………………………………………………………………
Vendor
Signature
Name Christian Hirth
Title CEO
Date Signed June 1st, 2024
ANNEX
Standard contractual clauses
Section i
Clause 1
Purpose and scope
(a) The purpose of these Standard Contractual Clauses (the Clauses) is to ensure compliance with Article 28(3) and (4) of Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation).
(b) The controllers and processors listed in Annex I have agreed to these Clauses in order to ensure compliance with Article 28(3) and (4) of Regulation (EU) 2016/679 and/or Article 29(3) and (4) of Regulation (EU) 2018/1725.
(c) These Clauses apply to the processing of personal data as specified in Annex II.
(d) Annexes I to IV are an integral part of the Clauses.
(e) These Clauses are without prejudice to obligations to which the controller is subject by virtue of Regulation (EU) 2016/679 and/or Regulation (EU) 2018/1725.
These Clauses do not by themselves ensure compliance with obligations related to international transfers in accordance with Chapter V of Regulation (EU) 2016/679 and/or Regulation
Clause 2
Invariability of the Clauses
(a) The Parties undertake not to modify the Clauses, except for adding information to the Annexes or updating information in them.
(b) This does not prevent the Parties from including the standard contractual clauses laid down in these Clauses in a broader contract, or from adding other clauses or additional safeguards provided that they do not directly or indirectly contradict the Clauses or detract from the fundamental rights or freedoms of data subjects.
Clause 3
Interpretation
(a) Where these Clauses use the terms defined in Regulation (EU) 2016/679 or Regulation (EU) 2018/1725 respectively, those terms shall have the same meaning as in that Regulation.
(b) These Clauses shall be read and interpreted in the light of the provisions of Regulation (EU) 2016/679 or Regulation (EU) 2018/1725 respectively.
(c) These Clauses shall not be interpreted in a way that runs counter to the rights and obligations provided for in Regulation (EU) 2016/679 / Regulation (EU) 2018/1725 or in a way that prejudices the fundamental rights or freedoms of the data subjects.
Clause 4
Hierarchy
In the event of a contradiction between these Clauses and the provisions of related agreements between the Parties existing at the time when these Clauses are agreed or entered into thereafter, these Clauses shall prevail.
Clause 5
Docking clause
(a) Any entity that is not a Party to these Clauses may, with the agreement of all the Parties, accede to these Clauses at any time as a controller or a processor by completing the Annexes and signing Annex I.
(b) Once the Annexes in (a) are completed and signed, the acceding entity shall be treated as a Party to these Clauses and have the rights and obligations of a controller or a processor, in accordance with its designation in Annex I.
(c) The acceding entity shall have no rights or obligations resulting from these Clauses from the period prior to becoming a Party.
Section ii
OBLIGATIONS OF THE PARTIES
Clause 6
Description of processing(s)
The details of the processing operations, in particular the categories of personal data and the purposes of processing for which the personal data is processed on behalf of the controller, are specified in Annex II.
Clause 7
Obligations of the Parties
7.1. Instructions
(a) The processor shall process personal data only on documented instructions from the controller, unless required to do so by Union or Member State law to which the processor is subject. In this case, the processor shall inform the controller of that legal requirement before processing, unless the law prohibits this on important grounds of public interest. Subsequent instructions may also be given by the controller throughout the duration of the processing of personal data. These instructions shall always be documented.
(b) The processor shall immediately inform the controller if, in the processor’s opinion, instructions given by the controller infringe Regulation (EU) 2016/679 / Regulation (EU) 2018/1725 or the applicable Union or Member State data protection provisions.
7.2. Purpose limitation
The processor shall process the personal data only for the specific purpose(s) of the processing, as set out in Annex II, unless it receives further instructions from the controller.
7.3. Duration of the processing of personal data
Processing by the processor shall only take place for the duration specified in Annex II.
7.4. Security of processing
(a) The processor shall at least implement the technical and organisational measures specified in Annex III to ensure the security of the personal data. This includes protecting the data against a breach of security leading to accidental or unlawful destruction, loss, alteration, unauthorised disclosure or access to the data (personal data breach). In assessing the appropriate level of security, the Parties shall take due account of the state of the art, the costs of implementation, the nature, scope, context and purposes of processing and the risks involved for the data subjects.
(b) The processor shall grant access to the personal data undergoing processing to members of its personnel only to the extent strictly necessary for implementing, managing and monitoring of the contract. The processor shall ensure that persons authorised to process the personal data received have committed themselves to confidentiality or are under an appropriate statutory obligation of confidentiality.
7.5. Sensitive data
If the processing involves personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union membership, genetic data or biometric data for the purpose of uniquely identifying a natural person, data concerning health or a person’s sex life or sexual orientation, or data relating to criminal convictions and offences (“sensitive data”), the processor shall apply specific restrictions and/or additional safeguards.
7.6. Documentation and compliance
(a) The Parties shall be able to demonstrate compliance with these Clauses.
(b) The processor shall deal promptly and adequately with inquiries from the controller about the processing of data in accordance with these Clauses.
(c) The processor shall make available to the controller all information necessary to demonstrate compliance with the obligations that are set out in these Clauses and stem directly from Regulation (EU) 2016/679 and/or Regulation (EU) 2018/1725. At the controller’s request, the processor shall also permit and contribute to audits of the processing activities covered by these Clauses, at reasonable intervals or if there are indications of non-compliance. In deciding on a review or an audit, the controller may take into account relevant certifications held by the processor.
(d) The controller may choose to conduct the audit by itself or mandate an independent auditor. Audits may also include inspections at the premises or physical facilities of the processor and shall, where appropriate, be carried out with reasonable notice.
(e) The Parties shall make the information referred to in this Clause, including the results of any audits, available to the competent supervisory authority/ies on request.
7.7. Use of sub-processors
(a) GENERAL WRITTEN AUTHORISATION: The processor has the controller’s general authorisation for the engagement of sub-processors from an agreed list. The processor shall specifically inform in writing the controller of any intended changes of that list through the addition or replacement of sub-processors at least 7 days in advance, thereby giving the controller sufficient time to be able to object to such changes prior to the engagement of the concerned sub-processor(s). The processor shall provide the controller with the information necessary to enable the controller to exercise the right to object.
(b) Where the processor engages a sub-processor for carrying out specific processing activities (on behalf of the controller), it shall do so by way of a contract which imposes on the sub-processor, in substance, the same data protection obligations as the ones imposed on the data processor in accordance with these Clauses. The processor shall ensure that the sub-processor complies with the obligations to which the processor is subject pursuant to these Clauses and to Regulation (EU) 2016/679 and/or Regulation (EU) 2018/1725.
(c) At the controller’s request, the processor shall provide a copy of such a sub-processor agreement and any subsequent amendments to the controller. To the extent necessary to protect business secret or other confidential information, including personal data, the processor may redact the text of the agreement prior to sharing the copy.
(d) The processor shall remain fully responsible to the controller for the performance of the sub-processor’s obligations in accordance with its contract with the processor. The processor shall notify the controller of any failure by the sub-processor to fulfil its contractual obligations.
(e) The processor shall agree a third party beneficiary clause with the sub-processor whereby – in the event the processor has factually disappeared, ceased to exist in law or has become insolvent – the controller shall have the right to terminate the sub-processor contract and to instruct the sub-processor to erase or return the personal data.
7.8. International transfers
(a) Any transfer of data to a third country or an international organisation by the processor shall be done only on the basis of documented instructions from the controller or in order to fulfil a specific requirement under Union or Member State law to which the processor is subject and shall take place in compliance with Chapter V of Regulation (EU) 2016/679 or Regulation (EU) 2018/1725.
(b) The controller agrees that where the processor engages a sub-processor in accordance with Clause 7.7. for carrying out specific processing activities (on behalf of the controller) and those processing activities involve a transfer of personal data within the meaning of Chapter V of Regulation (EU) 2016/679, the processor and the sub-processor can ensure compliance with Chapter V of Regulation (EU) 2016/679 by using standard contractual clauses adopted by the Commission in accordance with of Article 46(2) of Regulation (EU) 2016/679, provided the conditions for the use of those standard contractual clauses are met.
Clause 8
Assistance to the controller
(a) The processor shall promptly notify the controller of any request it has received from the data subject. It shall not respond to the request itself, unless authorised to do so by the controller.
(b) The processor shall assist the controller in fulfilling its obligations to respond to data subjects’ requests to exercise their rights, taking into account the nature of the processing. In fulfilling its obligations in accordance with (a) and (b), the processor shall comply with the controller’s instructions.
(c) In addition to the processor’s obligation to assist the controller pursuant to Clause 8(b), the processor shall furthermore assist the controller in ensuring compliance with the following obligations, taking into account the nature of the data processing and the information available to the processor:
(1) the obligation to carry out an assessment of the impact of the envisaged processing operations on the protection of personal data (a ‘data protection impact assessment’) where a type of processing is likely to result in a high risk to the rights and freedoms of natural persons;
(2) the obligation to consult the competent supervisory authority/ies prior to processing where a data protection impact assessment indicates that the processing would result in a high risk in the absence of measures taken by the controller to mitigate the risk;
(3) the obligation to ensure that personal data is accurate and up to date, by informing the controller without delay if the processor becomes aware that the personal data it is processing is inaccurate or has become outdated;
(4) the obligations in Article 32 of Regulation (EU) 2016/679.
(5) The Parties shall set out in Annex III the appropriate technical and organisational measures by which the processor is required to assist the controller in the application of this Clause as well as the scope and the extent of the assistance required.
Clause 9
Notification of personal data breach
In the event of a personal data breach, the processor shall cooperate with and assist the controller for the controller to comply with its obligations under Articles 33 and 34 of Regulation (EU) 2016/679 or under Articles 34 and 35 of Regulation (EU) 2018/1725, where applicable, taking into account the nature of processing and the information available to the processor
9.1. Data breach concerning data processed by the controller
In the event of a personal data breach concerning data processed by the controller, the processor shall assist the controller:
(a) in notifying the personal data breach to the competent supervisory authority/ies, without undue delay after the controller has become aware of it, where relevant/(unless the personal data breach is unlikely to result in a risk to the rights and freedoms of natural persons);
(b) in obtaining the following information which, pursuant to Article 33(3) of Regulation (EU) 2016/679, shall be stated in the controller’s notification, and must at least include:
(1) the nature of the personal data including where possible, the categories and approximate number of data subjects concerned and the categories and approximate number of personal data records concerned;
(2) the likely consequences of the personal data breach;
(3) the measures taken or proposed to be taken by the controller to address the personal data breach, including, where appropriate, measures to mitigate its possible adverse effects.
Where, and insofar as, it is not possible to provide all this information at the same time, the initial notification shall contain the information then available and further information shall, as it becomes available, subsequently be provided without undue delay.
(c) in complying, pursuant to Article 34 of Regulation (EU) 2016/679, with the obligation to communicate without undue delay the personal data breach to the data subject, when the personal data breach is likely to result in a high risk to the rights and freedoms of natural persons.
9.2. Data breach concerning data processed by the processor
In the event of a personal data breach concerning data processed by the processor, the processor shall notify the controller without undue delay after the processor having become aware of the breach. Such notification shall contain, at least:
(a) a description of the nature of the breach (including, where possible, the categories and approximate number of data subjects and data records concerned);
(b) the details of a contact point where more information concerning the personal data breach can be obtained;
(c) its likely consequences and the measures taken or proposed to be taken to address the breach, including to mitigate its possible adverse effects.
Where, and insofar as, it is not possible to provide all this information at the same time, the initial notification shall contain the information then available and further information shall, as it becomes available, subsequently be provided without undue delay.
The Parties shall set out in Annex III all other elements to be provided by the processor when assisting the controller in the compliance with the controller’s obligations under Articles 33 and 34 of Regulation (EU) 2016/679.
Section iii
FINAL PROVISIONS
Clause 10
Non-compliance with the Clauses and termination
(a) Without prejudice to any provisions of Regulation (EU) 2016/679 and/or Regulation (EU) 2018/1725, in the event that the processor is in breach of its obligations under these Clauses, the controller may instruct the processor to suspend the processing of personal data until the latter complies with these Clauses or the contract is terminated. The processor shall promptly inform the controller in case it is unable to comply with these Clauses, for whatever reason.
(b) The controller shall be entitled to terminate the contract insofar as it concerns processing of personal data in accordance with these Clauses if:
(1) the processing of personal data by the processor has been suspended by the controller pursuant to point (a) and if compliance with these Clauses is not restored within a reasonable time and in any event within one month following suspension;
(2) the processor is in substantial or persistent breach of these Clauses or its obligations under Regulation (EU) 2016/679 and/or Regulation (EU) 2018/1725;
(3) the processor fails to comply with a binding decision of a competent court or the competent supervisory authority/ies regarding its obligations pursuant to these Clauses or to Regulation (EU) 2016/679 and/or Regulation (EU) 2018/1725.
(c) The processor shall be entitled to terminate the contract insofar as it concerns processing of personal data under these Clauses where, after having informed the controller that its instructions infringe applicable legal requirements in accordance with Clause 7.1 (b), the controller insists on compliance with the instructions.
(d) Following termination of the contract, the processor shall, at the choice of the controller, delete all personal data processed on behalf of the controller and certify to the controller that it has done so, or, return all the personal data to the controller and delete existing copies unless Union or Member State law requires storage of the personal data. Until the data is deleted or returned, the processor shall continue to ensure compliance with these Clauses.
ANNEX I
List of parties
Controller(s): [Identity and contact details of the controller(s), and, where applicable, of the controller’s data protection officer]
1. Name:
Address:
Contact person’s name, position and contact details:
Signature and accession date:
2. Name:
Address:
Contact person’s name, position and contact details:
Signature and accession date:
Processor(s):
1. Name: Aiconix GmbH
Address: Stollwerckstr. 17-19, 51149 Köln
Contact person’s name, position and contact details: Christian Hirth, CEO, ch@aiconix.ai
Signature and accession date: June, 1st 2024
2. Name: Data Protection Officer
Address: Stollwerckstr. 17-19, 51149 Köln
Contact person’s name, position and contact details: Thilo Noack, Data Protection Officer dataprotection@aiconix.ai
Signature and accession date: June, 1st 2024
ANNEX II
Description of the processing
Categories of data subjects whose personal data is processed
Any kind customers, consumer and business partners from the Company requesting a service from the Company.
Categories of personal data processed
E-mail addresses and other contact information as Personal Data can be stored in the Service. It is the Company’s obligation to store or record only the Personal Data in the Service that is needed in the normal course of the business and usage of the Service.
Nature and purpose Purpose(s) for which the personal data is processed on behalf of the controller
As part of a cloud application, emails, documents, voice records, text messages, any kind of attachments, chats, names and other Service Data are processed within the Service. In this regard, Personal Data may be stored in the Service by the Company. The Company has its own control which Personal Data is stored in the Service. The exact data that the company would like to store in the Service is not available to the vendor. In order to be able to use the functions of the Service, maybe it is necessary to store Personal Data in the Service. The Vendor has no information about:
a) what kind Service Data is stored in the Service
b) what kind of Personal Data the Service Data contains
c) if sensitive data is processed
Duration of the processing
The duration of the Processing of the Company Personal Data are set out in the Principal Agreement and this Addendum.
ANNEX III
Technical and organisational measures including technical and organisational measures to ensure the security of the data
Aiconix shall take technical and organisational measures to adequately secure the Client’s data against misuse and loss that comply with the legal requirements for data protection and data security. These are measures of data security and to ensure a level of protection appropriate to the risk in terms of confidentiality, integrity, availability and resilience of the systems. In this context, the state of the art, the implementation costs and the nature, scope and purposes of the processing as well as the varying likelihood and severity of the risk to the rights and freedoms of natural persons within the meaning of Article 32 (1) GDPR shall be taken into account. In particular, aiconix designs its internal organisation to meet the specific requirements of data protection. These are described in more detail below. Essential preliminary services are provided by data center operators (subcontractors). For this purpose, the aforementioned providers have each contractually assured aiconix that they will maintain appropriate technical and organisational data protection measures for the duration of the contract. The measures described below are not disclosed in detail, in particular for security reasons, i.e. to minimize security risks with regard to access to company data and the corresponding protection of company and business secrets, but serve only as a basic requirement to meet the requirements of Article 32 of the GDPR.
Confidentiality (Article 32 (1) (b) of the GDPR).
a) Access control
|
Technical measures
|
Organisational measures
|
|---|---|
|
Alarm system
|
Key management / documentation Key allocation
|
|
Biometric access control to the building, office floors and separately protected office rooms
|
Logging of visitors
|
|
Protection of the building shafts
|
Protection of the building shafts
|
|
Bell system with camera
|
Care in the selection of service providers and partners (Supplier Security Directive)
|
|
Safety glazing
|
|
|
Secured server room with reinforced door and separate biometric access authorization or locking system
|
|
|
Motion detector
|
|
Independent access to the building is only possible (even outside normal business hours, but not during the nightly lockdown period) with biometric deactivation of the alarm system and access (fingerprint) with appropriate authorization. Additional fingerprint scanners are available within the individual security areas, depending on the security level. During normal business hours, visitors are recorded by the visitor in visitor lists and a corresponding confidentiality agreement is accepted in writing by the visitor’s signature.
b) Access control: The intrusion of unauthorized persons into the data processing systems must be prevented.
|
Technical measures
|
Organisational measures
|
|---|---|
|
Login with username + password
|
User profile creation and management
|
|
Anti-Virus Software Server
|
Creation and management of user permissions
|
|
Anti-virus Software clients
|
User Passwort Management
|
|
Firewall
|
Secure Password Policy
|
|
Use VPN for remote access
|
Clean Desk / Clear Screen Policy
|
|
Monitoring for critical IT systems
|
Policy "Use of e-mail and Internet
|
|
|
Information Security Policy
|
|
|
Privacy Policy
|
Access to client systems in the network is only possible via password-protected network authentication. Direct access from the outside (i.e. from outside the network) is only possible via secured and encrypted connections and a computer/laptop (or similar hardware) provided by the company. Firewalls and proxy servers are used for secure access to third-party systems.
c) Access Control Unauthorized activities in DP systems outside of granted authorizations must be prevented.
|
Technical measures
|
Organisational measures
|
|---|---|
|
User ID + password
|
Authorization concepts
|
|
Logging of accesses to applications, specifically when entering, changing and deleting data
|
Management of user rights by administrators
|
|
File shredder (at least level 3, cross cut)
|
Regular review of access rights
|
|
External document destruction
|
Employee onboarding/offboarding processes
|
|
|
Access Control Directive
|
|
|
Local Administrative Rights Directive
|
It is based on an authorization concept with a corresponding definition of user profiles and roles with regard to all IT systems. Authorizations are assigned according to the “least-privileged” principle. This means that users only receive the authorizations in the respective IT system that they need to implement their tasks. Access is always via a user account with user ID and password. Access is logged via a log entry on the relevant servers.
d) Separation control Data collected for different purposes shall also be processed separately.
|
Technical measures
|
Organisational measures
|
|---|---|
|
Multi-client capability of relevant applications
|
Separation of functions
|
|
Separate folder structures (order processing)
|
Control via authorization concept
|
|
|
Setting database rights
|
Integrity (Art. 32 (1) (b) GDPR)
a) Transfer control
Measures to ensure that personal data cannot be read, copied, altered or removed by unauthorized persons during electronic transmission or while being transported or stored on data media, and that it is possible to verify and determine to which entities personal data is intended to be transmitted by data transmission equipment.
|
Technical measures
|
Organisational measures
|
|---|---|
|
Tunnel connection (VPN)
|
Information Security Policy
|
|
Hybrid encryption protocol TLS
|
Sealed containers
|
|
Firewall
|
|
|
Logging of accesses and retrievals
|
|
b) Input Control
Traceability or documentation of data management and maintenance must be ensured.
|
Technical measures
|
Organisational measures
|
|---|---|
|
Technical logging of data entry, modification and deletion
|
Traceability of input, modification and deletion of data through individual user names (not user groups)
|
|
|
Assignment of rights to enter, change and delete data on the basis of an authorization concept
|
Availability and resilience (Art. 32 para. 1 lit. b GDPR).
a) Availability control
The data must be protected against accidental destruction or loss.
|
Technical measures
|
Organisational measures
|
|---|---|
|
Fire and smoke detection systems
|
Emergency plan
|
|
Fire extinguisher
|
Backup procedure
|
|
Server room air conditioned
|
Recovery procedure
|
|
USV
|
ISO27001 certification of the data centre
|
|
Firewall and antivirus programs
|
|
|
Regular backups
|
|
|
Video surveillance for data center
|
|
Procedures for regular review, assessment, and evaluation (Art. 32(1)(d) GDPR; Art. 25(1) GDPR)
The following measures ensure that compliance with the requirements of the GDPR regarding the protection of personal data is continuously reviewed, assessed and evaluated.
a) Data protection management
|
Technical measures
|
Organisational measures
|
|---|---|
|
Data Protection Officer
|
Data Protection Officer
|
|
Central documentation of all procedures and regulations on data protection with access for employees according to need / authorization
|
Regular training of the Data Protection Officer
|
|
|
Training of employees and commitment to confidentiality/data secrecy
|
|
|
Carrying out the data protection impact assessment as required
|
|
|
Information obligations according to Art. 13 and 14 GDPR are complied with.
|
|
|
Employees are obligated to comply with the data protection requirements according to GDPR
|
b) Incident response management
|
Technical measures
|
Organisational measures
|
|---|---|
|
Use of firewall and regular updating
|
Documented process for detecting and reporting security incidents/data breaches.
|
|
Use of spam filters and regular updating
|
Involvement of the data protection officer in security incidents and data breaches
|
|
Use of virus scanners and regular updating
|
Documentation of security incidents and data mishaps via ticket system
|
c) Data protection-friendly default settings (Art. 25 (2) GDPR)
|
Technical measures
|
Organisational measures
|
|---|---|
|
Only the personal data required for the respective purpose is collected
|
|
|
Simple exercise of the right of withdrawal of the data subject by technical measures
|
|
d) Order control
|
Technical measures
|
Organisational measures
|
|---|---|
|
|
Supplier Security Directive
|
|
|
Prior verification of the safety measures taken by the contractor and their documentation
|
|
|
Careful selection of the contractor, especially with regard to data protection and data security
|
|
|
Conclusion of necessary agreements on commissioned processing or EU standard contractual clauses
|
|
|
Obligation of the contractor's employees to maintain data secrecy
|
|
|
Obligation to appoint a data protection officer by the contractor in the event of an appointment obligation
|
|
|
Regulation on the use of further subcontractors
|
|
|
Ensuring the destruction or return of data after order completion
|
ANNEX IV – List of sub-processors
|
Sub-processor
|
Purpose
|
Data storage
|
|---|---|---|
|
Oracle Deutschland B.V. & Co. KG Riesstrasse 25, 80992 München Germany
|
Oracle Cloud Infrastructure for DeepVA environment
|
DE
|
|
Amazon Web Services Inc. 38 avenue John F. Kennedy, L-1855 Luxemburg
|
Primary cloud infrastructure provider for DeepVA, where inputdata are stored. Storage location for backups (encrypted)
|
DE
|
|
Telekom Deutschland GmbH (Open Telekom Cloud), Landgrabenweg 151, 53227 Bonn
|
Telekom Cloud Infrastructure for DeepVA environment
|
DE
|
|
ITyX Labs GmbH Carl-Benz-Straße 10-12, 56218 Mülheim-Kärlich Germany
|
Software Support
|
DE
|
|
Hubspot Inc. 25 Street, Cambridge, MA 02141 USA CRM US
|
CRM
|
US
|
|
Stripe Payments Europe ltd C/O A&L Goodbody, Ifsc, North Wall Quay, Dublin Ireland
|
Service for settling license payments from DeepVA users
|
EU
|
|
Chargebee 340 S Lemon Avenue, #1537 Walnut, California 91789 USA
|
Service for settling license payments from DeepVA users
|
EU / US
|
|
Raidboxes GmbH Hafenstraße 32, 48153 Münster
|
Website
|
DE
|
