Wiederverkäufer-Auftragsverarbeitungsvertrag

Dieser Wiederverkäufer-Auftragsverarbeitungsvertrag ist Teil der jeweiligen Geschäftsbedingungen für Ontrack-Dienstleistungen oder -Produkte und gilt für: (i) KLDiscovery Ontrack GmbH, mit Sitz in der Hanns-Klemm-Straße 5, 71034 Böblingen, Deutschland, eingetragen im Handelsregister Stuttgart unter HRB 244142 („Ontrack“); und (ii) den jeweiligen Partner, der eine Bestellung als Wiederverkäufer für eine Ontrack-Dienstleistung oder ein Ontrack-Produkt gemäß den geltenden Geschäftsbedingungen für Dienstleistungen („Bedingungen“) aufgibt. 

Die Parteien haben vereinbart, dass die Bedingungen dieses Auftragsverarbeitungsvertrages für die Verarbeitung personenbezogener Daten (die nachstehend definiert sind) gelten, die erforderlich ist, damit Ontrack die Datenrettungsdienste für den jeweiligen Partner leisten kann.

Begriffsbestimmungen

für diesen Auftragsverarbeitungsvertrag:

Bestimmungen zur Datenverarbeitung

1 Rolle der Parteien

1.1 Die Parteien vereinbaren, dass in Bezug auf die geschützten Daten der Partner der Auftragsverarbeiter und Ontrack der Unterauftragsverarbeiter ist. Es wird anerkannt, dass der Partner die alleinige Verantwortung für die Richtigkeit, Qualität, Integrität und Zuverlässigkeit aller geschützten Daten und der Mittel, mit denen er diese geschützten Daten erworben hat, trägt. Der Partner schliesst einen separaten Auftragsverarbeitungsvertrag mit dem für die Datenverarbeitung Verantwortlichen ab. Ontrack als Unterauftragsverarbeiter geht davon aus, dass der Partner als Auftragsverarbeiter im Namen eines für die Verarbeitung Verantwortlichen für die personenbezogenen Daten handelt, die Gegenstand der Vereinbarung sind, und dass Unterauftragsverarbeiter ähnlichen Verpflichtungen unterliegen, wie sie der für die Verarbeitung Verantwortliche gemäss Artikel 28 (4) DSGVO hat.

1.2 Der Partner garantiert und sorgt dafür, dass: (i) alle geschützten Daten, die in Verbindung mit den Datenrettungsdiensten gemäss den Bedingungen verwendet werden, in jeder Hinsicht das Datenschutzrecht erfüllen; (ii) alle Anweisungen, die Ontrack in Bezug auf geschützte Daten erteilt werden, jederzeit das Datenschutzrecht erfüllen; (iii) er alle erforderlichen Einwilligungen von jedem Betroffenen eingeholt hat, dessen personenbezogene Daten in die geschützten Daten aufgenommen wurden oder anderweitig die entsprechende rechtliche Erlaubnis zur Bereitstellung der personenbezogenen Daten an Ontrack besitzt und (iv) er die Bedingungen dieses Auftragsverarbeitungsvertrags einhalten wird.

1.3 Ontrack garantiert und sorgt dafür, dass es: (i) die geschützten Daten nur in dem Umfang verarbeitet, der im Zusammenhang mit den AGB erforderlich ist; und (ii) die geschützten Daten nach den dokumentierten Anweisungen des Partners und den Anforderungen der Datenschutzgesetze verarbeitet; (iii) den Partner unverzüglich informiert, wenn Ontrack der Ansicht ist, dass die Anweisungen des Partners gegen das Datenschutzrecht verstossen, oder wenn Ontrack nicht in der Lage ist, die Anweisungen des Partners bezüglich der Verarbeitung von geschützten Daten zu befolgen (sei es aufgrund einer Gesetzesänderung oder einer Änderung der Anweisungen des Partners); und (iv) die Bedingungen dieses Auftragsverarbeitungsvertrags einhält.

1.4 Im Rahmen der Auftragsverarbeitung werden alle vom Partner übergebenen Daten verarbeitet. Die Kategorien personenbezogener Daten und die Kategorien der Betroffenen sind dem Partner bekannt und werden für den Auftragsverarbeiter spezifiziert, sofern das im Rahmen des Auftrags erforderlich ist. Bei einigen Dienstleistungen und Produkten ist die Kenntnis des Inhalts der Daten des Partners für den Unterauftragsverarbeiter in der Regel nicht relevant.

2 Anweisungen und Angaben zur Verarbeitung

2.1 Die von Ontrack im Rahmen dieses Auftragsverarbeitungsvertrages durchzuführende Verarbeitung von geschützten Daten umfasst die Verarbeitung, die Ontrack zur Erbringung der relevanten Dienstleistung oder des relevanten Produktes benötigt.

3 Technische und organisatorische Massnahmen

3.1 Ontrack führt auf eigene Kosten und Aufwand geeignete technische und organisatorische Massnahmen im Zusammenhang mit der Verarbeitung und Sicherheit von geschützten Daten gemäss Datenschutzrecht, insbesondere den Artikeln 32-34 der DSGVO, durch und hält diese aufrecht. Ontrack stellt sicher, dass diese technischen und organisatorischen Massnahmen den besonderen Risiken, die sich aus der Verarbeitung ergeben, angemessen sind, insbesondere um Partnerdaten vor versehentlicher oder unrechtmässiger Zerstörung, Verlust, Veränderung, unbefugter Offenlegung oder Zugriff zu schützen.

4 Einsatz von Personal und Unterauftragsverarbeitern

4.1 Mit Ausnahme der in Ziffer 4.2 genannten Fälle beauftragt Ontrack ohne vorherige schriftliche Zustimmung des Partners keinen Ontrack-Unterauftragsverarbeiter mit der Durchführung von Verarbeitungstätigkeiten in Bezug auf die geschützten Daten. Wird eine Zustimmung erteilt, sorgt Ontrack vor der Offenlegung an einen zugelassenen Ontrack-Unterauftragsverarbeiter für eine schriftliche Vereinbarung mit dem Ontrack-Unterauftragsverarbeiter, die gleichwertig zu den in diesem Vertrag festgelegten sind. Es wird anerkannt und akzeptiert, dass Ontrack, ungeachtet anders lautender Bestimmungen in dieser Vereinbarung, dem Partner gegenüber in vollem Umfang für die Erfüllung der Verpflichtungen jedes Ontrack-Unterauftragsverarbeiters haftet. Ontrack informiert den Partner über beabsichtigte Änderungen, die sich auf Hinzufügen oder Ersetzen solcher Ontrack-Unterauftragsverarbeiter beziehen und gibt dem Partner ausreichend Gelegenheit, diesen Änderungen oder Ersetzungen aus wichtigen Gründen zu widersprechen.

4.2 Die zum Zeitpunkt dieses Auftragsverarbeitungsvertrages zugelassenen Ontrack-Unterauftragsverarbeiter sind in Anlage 1 aufgeführt.

4.3 Ontrack sorgt für die Zuverlässigkeit seiner Mitarbeiter, die Zugang zu personenbezogenen Daten haben, und stellt sicher, dass sie diese nur dann verarbeiten, wenn dies für die Datenwiederherstellungsdienste unbedingt erforderlich ist, stellt sicher, dass sie über die zu ergreifenden Massnahmen und die bei der Verarbeitung der geschützten Daten unter Beachtung des Datenschutzrechts zu ergreifenden Massnahmen informiert sind, und stellt sicher, dass sie sich verpflichtet haben, die Vertraulichkeit der geschützten Daten zu schützen, einschliesslich einer angemessenen Geheimhaltungsverpflichtung (sei es durch schriftlichen Vertrag oder anderweitig) in Bezug auf die geschützten Daten.

5 Unterstützung bei der Einhaltung der Compliance- und Betroffenenrechte des Partners

5.1 Ontrack leitet alle bei ihr eingehenden Anfragen von Betroffenen unverzüglich an den Partner weiter. Ontrack leistet die angemessene Unterstützung, die der Partner (unter Berücksichtigung der Art der Verarbeitung und der Ontrack zur Verfügung stehenden Informationen) benötigt, um den Partner dabei zu helfen, den für die Datenverarbeitung Verantwortlichen bei der Erfüllung seiner Verpflichtungen gemäss den Datenschutzgesetzen zu unterstützen, und zwar in Bezug auf (i) die Sicherheit der Verarbeitung; (ii) Datenschutzfolgenabschätzungen (nach der Definition des Begriffs im Datenschutzrecht); (iii) vorherige Konsultation mit einer Aufsichtsbehörde bezüglich der Verarbeitung mit hohem Risiko; (iv) Benachrichtigungen an die Aufsichtsbehörde und/oder Mitteilungen an betroffene Personen durch den Partner als Reaktion auf eine Verletzung des Schutzes personenbezogener Daten; und (v) Bearbeitung der Anfragen von Betroffenen, wobei jedoch der Partner, falls diese Unterstützung in Bezug auf Zeit und Ressourcen unverhältnismässig umfangreich ist, die bei Ontrack für die Bereitstellung dieser Unterstützung angefallenen Gebühren zahlt.

6 Internationale Datenübertragungen

6.1 Der Partner erkennt an, dass Ontrack zum Zeitpunkt dieser Datenverarbeitungsvereinbarung personenbezogene Daten in Europa, einschliesslich des Vereinigten Königreichs, und in den Vereinigten Staaten von Amerika während der Laufzeit dieser Vereinbarung verarbeiten darf.

6.2 Der Partner nimmt zur Kenntnis, dass das Vereinigte Königreich einen Angemessenheitsbeschluss der Europäischen Kommission vom 28. Juni 2021 gemässArtikel 45 Absatz 3 der Datenschutz-Grundverordnung erhalten hat, in dem bestätigt wird, dass Übermittlungen ohne Einholung einer weiteren Genehmigung erfolgen können ("Angemessenheitsbeschluss"). Darüber hinaus ist es Ontrack in Bezug auf personenbezogene Daten, die dem Data Protection Act 2018 (UK) unterliegen, gestattet, alle oder einen Teil der personenbezogenen Daten im Europäischen Wirtschaftsraum ("EWR") gemäss Sch.21 Absatz 5(1)(a) des Data Protection Act 2018 zu verarbeiten. Für den Fall, dass der Angemessenheitsbeschluss ausläuft oder anderweitig für ungültig erklärt wird, treten die Parteien in die zum jeweiligen Zeitpunkt geltenden Standardvertragsklauseln zwischen dem für die Verarbeitung Verantwortlichen und dem Auftragsverarbeiter in der EU ein, um eine konforme Verarbeitung personenbezogener Daten durch Ontrack im Vereinigten Königreich zu gewährleisten.

6.3 Im Hinblick auf Datenübertragungen von persönlichen Daten in die USA vereinbaren die Parteien die von der Europäischen Kommission genehmigten Standardvertragsklauseln (Modul 3 - Auftragsverarbeiter an Auftragsverarbeiter) aus dem Jahr 2021 mit den geltenden Änderungen gemäss S119A(1) des Data Protection Act 2018, und gemäss den Vorgaben des schweizerischen Bundesgesetzes über den Datenschutz vom 19. Juni 1992 ("DSG") und, nach Inkrafttreten, gemäss Art. 16 Absatz 2 Buchstabe d des künftigen revidierten Bundesgesetzes über den Datenschutz vom 25. September 2020 ("revDSG"), die diesem Auftragsverarbeitungsvertrag als Anlage 2 beigefügt sind ("Standardvertragsklauseln"), und durch Verweis in diese Datenverarbeitungsvereinbarung einbezogen werden. Die Parteien vereinbaren ebenfalls, dass alle Übertragungen den Bestimmungen der Standardvertragsklauseln unterliegen. Für den Fall, dass die Standardvertragsklauseln von der Europäischen Kommission oder aufgrund geltender Datenschutzgesetze geändert, aufgehoben oder ersetzt werden, arbeiten die Parteien nach Treu und Glauben zusammen, um eine aktualisierte Version des Datenübertragungsmechanismus zu vereinbaren oder eine alternative Lösung auszuhandeln, die eine konforme Übermittlung von personenbezogenen Daten in die Vereinigten Staaten von Amerika ermöglicht.

6.4 Mit den in dieser Klausel 6 "Internationale Datenübertragungen“ genannten Bedingungen genehmigt der Partner die Übermittlung von personenbezogenen Daten in die Vereinigten Staaten von Amerika für die Dauer der Vereinbarung. Die Zustimmung des Partners zur Übermittlung personenbezogener Daten in die Vereinigten Staaten von Amerika kann jederzeit widerrufen werden, aber in einem solchen Fall erkennt der Partner an, dass Ontrack möglicherweise nicht in der Lage ist, den Auftrag auszuführen, wenn der Partner seine Zustimmung zur Datenübermittlung widerruft.

7 Aufzeichnungen, Informationen und Audits

7.1 Ontrack (i) erstellt, (ii) aktualisiert und (ii) führt vollständige und genaue Aufzeichnungen über die gesamte Verarbeitung von geschützten Daten.

7.2 Ontrack räumt dem Partner das Recht ein, während der normalen Geschäftszeiten und vorbehaltlich angemessener Vertraulichkeitsverpflichtungen mit einer Frist von mindestens 30 (dreissig) Tagen schriftlich das Recht auf Zugang und Kopie solcher Aufzeichnungen über die Verarbeitung von geschützten Daten zu erhalten, und leistet dem Partner jede angemessene Unterstützung bei der Ausübung seiner Prüfungsrechte. Dieses Prüfungsrecht erstreckt sich nicht auf Rechenzentren von Drittanbietern oder andere Einrichtungen von Drittanbietern, in denen sich Serveranlagen befinden, die nur eine visuelle und begleitende Einsichtnahme zulassen.

7.3 Ontrack stellt dem Partner auf Wunsch und Kosten des Partners unverzüglich alle notwendigen Informationen zur Verfügung, damit der Partner die Erfüllung seiner Verpflichtungen aus der DSGVO nachweisen kann, soweit Ontrack in der Lage ist, diese Informationen zur Verfügung zu stellen.

8 Verletzungsmeldung

8.1 Falls der Schutz personenbezogener Daten verletzt wird und davon geschützte Daten betroffen sind, die ein hohes Risiko für die Rechte und Freiheiten natürlicher Personen darstellen könnten, wird Ontrack unverzüglich: (i) den Partner über die Verletzung des Schutzes personenbezogener Daten informieren; und (ii) dem Partner Einzelheiten über die Verletzung des Schutzes personenbezogener Daten mitteilen. Der Partner ist dafür verantwortlich, sicherzustellen, dass Benachrichtigungen im Zusammenhang mit Verstössen gegen personenbezogene Daten von Ontrack an den Verantwortlichen weitergeleitet werden.

9 Löschung oder Rückgabe von personenbezogenen Daten und Kopien

9.1 Nach schriftlicher Aufforderung durch den Partner oder mit Zeitablauf interner Aufbewahrungsfristen löscht Ontrack entweder alle geschützten Daten oder sendet sie an den Partner in jener Form zurück, die der Partner vernünftigerweise verlangt, und zwar innerhalb einer angemessenen Frist nach dem früher eintretenden Ereignis: (i) dem Ende der Erbringung der entsprechenden Datenrettungsdienste gemäss den AGB bezogen auf die Verarbeitung; oder (ii) sobald die Verarbeitung von geschützten Daten durch Ontrack nicht mehr erforderlich ist, um die Erfüllung der Verpflichtungen von Ontrack aus diesem Auftragsverarbeitungsvertrag zu gewährleisten, und löscht bestehende Kopien (es sei denn, die Speicherung von geschützten Daten ist nach geltendem Recht erforderlich und wenn dem so ist, informiert Ontrack den Partner über eine solche Notwendigkeit). Ontrack stellt sicher, dass seine Unterauftragsverarbeiter die gleichen Massnahmen in Bezug auf geschützten Daten ergreifen.

9.2 Ontrack löscht diese geschützten Daten, falls geschützte Daten ohne aktive Anweisungen des Partners länger als 12 (zwölf) Monate im Besitz oder unter der Kontrolle von Ontrack bleiben.

10 Freistellung

10.1 Jede Partei (die „entschädigende Partei“) hat die andere Partei (die „entschädigte Partei“) in Bezug auf alle Ansprüche, Forderungen, Klagen, Vergleiche, Zinsen, Gebühren, Verfahren, Ausgaben, Verluste und Schäden, die der entschädigten Partei durch Urteil, Vergleich oder anderweitig aus oder im Zusammenhang damit angefallen oder entstanden sind, dass die entschädigende Partei gegen diesen Auftragsverarbeitungsvertrag und/oder das Datenschutzrecht verstossen hat.

11 Haftung

11.1 Die Gesamthaftung einer der Parteien aus diesem Auftragsverarbeitungsvertrag darf in keinem Fall die in den AGB festgelegten und vereinbarten vertraglichen Grenzen überschreiten.

12 Laufzeit und Kündigung

12.1 Sofern die Parteien ihn nicht einvernehmlich kündigen, beginnt dieser Auftragsverarbeitungsvertrag mit dem Datum, an dem eine Bestellung für Datenrettungsdienste gemäss den Bedingungen erteilt wird, und gilt so lange, wie Ontrack weiterhin geschützte Daten verarbeitet.

13 Anzuwendendes Recht

13.1 Dieser Auftragsverarbeitungsvertrag unterliegt den in den AGB festgelegten Bedingungen der Rechtswahl.

Anhang 1 - Unterauftragsverarbeiter und Übertragungen

ANHANG 2 - DATA PROCESSING AGREEMENT 6.3
STANDARD CONTRACTUAL CLAUSES

(Processor to Processor (Module Three)

SECTION I

Clause 1

Purpose and scope

1. The purpose of these standard contractual clauses is to ensure compliance with the requirements 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 (General Data Protection Regulation) for the transfer of personal data to a third
   
   
2. The Parties:
   1. the natural or legal person(s), public authority/ies, agency/ies or other body/ies (hereinafter “entity/ies”) transferring the personal data, as listed in Annex I.A. (hereinafter each “data exporter”), and
   2. the entity/ies in a third country receiving the personal data from the data exporter, directly or indirectly via another entity also Party to these Clauses, as listed in Annex I.A. (hereinafter each “data importer”)
   have agreed to these standard contractual clauses (hereinafter: “Clauses”).
   
   
3. These Clauses apply with respect to the transfer of personal data as specified in Annex B.
   
   
4. The Appendix to these Clauses containing the Annexes referred to therein forms an integral part of these

Clause 2

Effect and invariability of the Clauses

1. These Clauses set out appropriate safeguards, including enforceable data subject rights and effective legal remedies, pursuant to Article 46(1) and Article 46 (2)(c) of Regulation (EU) 2016/679 and, with respect to data transfers from controllers to processors and/or processors to processors, standard contractual clauses pursuant to Article 28(7) of Regulation (EU) 2016/679, provided they are not modified, except select the appropriate Module(s) or to add or update information in the Appendix. This does not prevent the Parties from including the standard contractual clauses laid down in these Clauses in a wider contract and/or to add other clauses or additional safeguards, provided that they do not contradict, directly or indirectly, these Clauses or prejudice the fundamental rights or freedoms of data subjects.
   
   
2. These Clauses are without prejudice to obligations to which the data exporter is subject by virtue of Regulation (EU) 2016/679.

Clause 3

Third-party beneficiaries

1. Data subjects may invoke and enforce these Clauses, as third-party beneficiaries, against the data exporter and/or data importer, with the following exceptions:
   1. Clause 1, Clause 2, Clause 3, Clause 6, Clause 7;
   2. Clause 8.1(a), (c) and (d) and Clause 8.9(a), (c), (d), (e), (f) and (g); Module Four: Clause 8.1 (b) and Clause 8.3(b);
   3. Clause 9(a), (c), (d) and (e);
   4. Clause 12(a), (d) and (f);
   5. Clause 13;
   6. Clause 15.1(c), (d) and (e);
   7. Clause 16(e);
   8. Clause 18(a) and (b).
2. Paragraph (a) is without prejudice to rights of data subjects under Regulation (EU) 2016/679.

Clause 4

Interpretation

1. Where these Clauses use terms that are defined in Regulation (EU) 2016/679, those terms shall have the same meaning as in that
2. These Clauses shall be read and interpreted in the light of the provisions of Regulation (EU) 2016/679.
3. These Clauses shall not be interpreted in a way that conflicts with rights and obligations provided for in Regulation (EU) 2016/679.

Clause 5

Hierarchy

In the event of a contradiction between these Clauses and the provisions of related agreements between the Parties, existing at the time these Clauses are agreed or entered into thereafter, these Clauses shall prevail.

Clause 6

Description of the transfer(s)

The details of the transfer(s), and in particular the categories of personal data that are transferred and the purpose(s) for which they are transferred, are specified in Annex I.B.

Clause 7

Docking clause

1. An entity that is not a Party to these Clauses may, with the agreement of the Parties, accede to these Clauses at any time, either as a data exporter or as a data importer, by completing the Appendix and signing Annex A.
2. Once it has completed the Appendix and signed Annex I.A, the acceding entity shall become a Party to these Clauses and have the rights and obligations of a data exporter or data importer in accordance with its designation in Annex A.
3. The acceding entity shall have no rights or obligations arising under these Clauses from the period prior to becoming a

SECTION II – OBLIGATIONS OF THE PARTIES

Clause 8

Data protection safeguards

The data exporter warrants that it has used reasonable efforts to determine that the data importer is able, through the implementation of appropriate technical and organisational measures, to satisfy its obligations under these Clauses.

8.1 Instructions

1. The data exporter has informed the data importer that it acts as processor under the instructions of its controller(s), which the data exporter shall make available to the data importer prior to processing.
2. The data importer shall process the personal data only on documented instructions from the controller, as communicated to the data importer by the data exporter, and any additional documented instructions from the data exporter. Such additional instructions shall not conflict with the instructions from the controller. The controller or data exporter may give further documented instructions regarding the data processing throughout the duration of the contract.
3. The data importer shall immediately inform the data exporter if it is unable to follow those instructions. Where the data importer is unable to follow the instructions from the controller, the data exporter shall immediately notify the controller.

The data exporter warrants that it has imposed the same data protection obligations on the data importer as set out in the contract or other legal act under Union or Member State law between the controller and the data exporter .

8.2 Purpose limitation

The data importer shall process the personal data only for the specific purpose(s) of the transfer, as set out in Annex I.B., unless on further instructions from the controller, as communicated to the data importer by the data exporter, or from the data exporter.

8.3 Transparency

On request, the data exporter shall make a copy of these Clauses, including the Appendix as completed by the Parties, available to the data subject free of charge. To the extent necessary to protect business secrets or other confidential information, including personal data, the data exporter may redact part of the text of the Appendix prior to sharing a copy, but shall provide a meaningful summary where the data subject would otherwise not be able to understand its content or exercise his/her rights. On request, the Parties shall provide the data subject with the reasons for the redactions, to the extent possible without revealing the redacted information.

8.4 Accuracy

If the data importer becomes aware that the personal data it has received is inaccurate, or has become outdated, it shall inform the data exporter without undue delay. In this case, the data importer shall cooperate with the data exporter to rectify or erase the data.

8.5 Duration of processing and erasure or return of data

Processing by the data importer shall only take place for the duration specified in Annex I.B. After the end of the provision of the processing services, the data importer shall, at the choice of the data exporter, delete all personal data processed on behalf of the controller and certify to the data exporter that it has done so, or return to the data exporter all personal data processed on its behalf and delete existing copies. Until the data is deleted or returned, the data importer shall continue to ensure compliance with these Clauses. In case of local laws applicable to the data importer that prohibit return or deletion of the personal data, the data importer warrants that it will continue to ensure compliance with these Clauses and will only process it to the extent and for as long as required under that local law. This is without prejudice to Clause 14, in particular the requirement for the data importer under Clause 14(e) to notify the data exporter throughout the duration of the contract if it has reason to believe that it is or has become subject to laws or practices not in line with the requirements under Clause 14(a).

8.6 Security of processing

1. The data importer and, during transmission, also the data exporter shall implement appropriate technical and organisational measures to ensure the security of the data, including protection against a breach of security leading to accidental or unlawful destruction, loss, alteration, unauthorised disclosure or access to that data (hereinafter “personal data breach”). In assessing the appropriate level of security, they shall take due account of the state of the art, the costs of implementation, the nature, scope, context and purpose(s) of processing and the risks involved in the processing for the data subject. The Parties shall in particular consider having recourse to encryption or pseudonymisation, including during transmission, where the purpose of processing can be fulfilled in that manner. In case of pseudonymisation, the additional information for attributing the personal data to a specific data subject shall, where possible, remain under the exclusive control of the data exporter or the controller. In complying with its obligations under this paragraph, the data importer shall at least implement the technical and organisational measures specified in Annex II. The data importer shall carry out regular checks to ensure that these measures continue to provide an appropriate level of security.
2. The data importer shall grant access to the data to members of its personnel only to the extent strictly necessary for the implementation, management and monitoring of the contract. It shall ensure that persons authorised to process the personal data have committed themselves to confidentiality or are under an appropriate statutory obligation of confidentiality.
3. In the event of a personal data breach concerning personal data processed by the data importer under these Clauses, the data importer shall take appropriate measures to address the breach, including measures to mitigate its adverse effects. The data importer shall also notify, without undue delay, the data exporter and, where appropriate and feasible, the controller after having become aware of the breach. Such notification shall contain the details of a contact point where more information can be obtained, a description of the nature of the breach (including, where possible, categories and approximate number of data subjects and personal data records concerned), its likely consequences and the measures taken or proposed to address the data breach, including measures to mitigate its possible adverse effects. Where, and in so far as, it is not possible to provide all 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.
4. The data importer shall cooperate with and assist the data exporter to enable the data exporter to comply with its obligations under Regulation (EU) 2016/679, in particular to notify its controller so that the latter may in turn notify the competent supervisory authority and the affected data subjects, taking into account the nature of processing and the information available to the data importer.

8.7 Sensitive data

Where the transfer 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 (hereinafter “sensitive data”), the data importer shall apply the specific restrictions and/or additional safeguards set out in Annex I.B.

8.8 Onward transfers

The data importer shall only disclose the personal data to a third party on documented instructions from the controller, as communicated to the data importer by the data exporter. In addition, the data may only be disclosed to a third party located outside the European Union (in the same country as the data importer or in another third country, hereinafter “onward transfer”) if the third party is or agrees to be bound by these Clauses, under the appropriate Module, or if:

1. 1. the onward transfer is to a country benefitting from an adequacy decision pursuant to Article 45 of Regulation (EU) 2016/679 that covers the onward transfer;
   2. the third party otherwise ensures appropriate safeguards pursuant to Articles 46 or 47 of Regulation (EU) 2016/679;
   3. the onward transfer is necessary for the establishment, exercise or defence of legal claims in the context of specific administrative, regulatory or judicial proceedings; or
   4. the onward transfer is necessary in order to protect the vital interests of the data subject or of another natural person.

Any onward transfer is subject to compliance by the data importer with all the other safeguards under these Clauses, in particular purpose limitation.

8.9 Documentation and compliance

• The data importer shall promptly and adequately deal with enquiries from the data exporter or the controller that relate to the processing under these Clauses.
• The Parties shall be able to demonstrate compliance with these Clauses. In particular, the data importer shall keep appropriate documentation on the processing activities carried out on behalf of the controller.
• The data importer shall make all information necessary to demonstrate compliance with the obligations set out in these Clauses available to the data exporter, which shall provide it to the controller.
• The data importer shall allow for and contribute to audits by the data exporter of the processing activities covered by these Clauses, at reasonable intervals or if there are indications of non-compliance. The same shall apply where the data exporter requests an audit on instructions of the controller. In deciding on an audit, the data exporter may take into account relevant certifications held by the data importer.
• Where the audit is carried out on the instructions of the controller, the data exporter shall make the results available to the controller.
• The data exporter may choose to conduct the audit by itself or mandate an independent auditor. Audits may include inspections at the premises or physical facilities of the data importer and shall, where appropriate, be carried out with reasonable notice.
• The Parties shall make the information referred to in paragraphs (b) and (c), including the results of any audits, available to the competent supervisory authority on request.

The Parties shall make the information referred to in paragraphs (b) and (c), including the

Clause 9

Use of sub-processors

1. GENERAL WRITTEN AUTHORISATION The data importer has the controller’s general authorisation for the engagement of sub-processor(s) from an agreed list. The data importer shall specifically inform the controller in writing of any intended changes to that list through the addition or replacement of sub-processors at least [Specify time period] in advance, thereby giving the controller sufficient time to be able to object to such changes prior to the engagement of the sub-processor(s). The data importer shall provide the controller with the information necessary to enable the controller to exercise its right to object. The data importer shall inform the data exporter of the engagement of the sub-processor(s).
2. Where the data importer engages a sub-processor to carry out specific processing activities (on behalf of the controller), it shall do so by way of a written contract that provides for, in substance, the same data protection obligations as those binding the data importer under these Clauses, including in terms of third-party beneficiary rights for data subjects. The Parties agree that, by complying with this Clause, the data importer fulfils its obligations under Clause 8.8. The data importer shall ensure that the sub-processor complies with the obligations to which the data importer is subject pursuant to these Clauses.
3. The data importer shall provide, at the data exporter’s or controller’s request, a copy of such a sub-processor agreement and any subsequent amendments. To the extent necessary to protect business secrets or other confidential information, including personal data, the data importer may redact the text of the agreement prior to sharing a copy.
4. The data importer shall remain fully responsible to the data exporter for the performance of the sub-processor’s obligations under its contract with the data importer. The data importer shall notify the data exporter of any failure by the sub-processor to fulfil its obligations under that contract.
5. The data importer shall agree a third-party beneficiary clause with the sub-processor whereby - in the event the data importer has factually disappeared, ceased to exist in law or has become insolvent - the data exporter shall have the right to terminate the sub-processor contract and to instruct the sub-processor to erase or return the personal data.

Clause 10

Data subject rights

1. The data importer shall promptly notify the data exporter and, where appropriate, the controller of any request it has received from a data subject, without responding to that request unless it has been authorised to do so by the controller.
2. The data importer shall assist, where appropriate in cooperation with the data exporter, the controller in fulfilling its obligations to respond to data subjects’ requests for the exercise of their rights under Regulation (EU) 2016/679 or Regulation (EU) 2018/1725, as applicable. In this regard, the Parties shall set out in Annex II the appropriate technical and organisational measures, taking into account the nature of the processing, by which the assistance shall be provided, as well as the scope and the extent of the assistance required.
3. In fulfilling its obligations under paragraphs (a) and (b), the data importer shall comply with the instructions from the controller, as communicated by the data exporter.

Clause 11

Redress

1. The data importer shall inform data subjects in a transparent and easily accessible format, through individual notice or on its website, of a contact point authorised to handle complaints. It shall deal promptly with any complaints it receives from a data subject.
   
   
2. In case of a dispute between a data subject and one of the Parties as regards compliance with these Clauses, that Party shall use its best efforts to resolve the issue amicably in a timely fashion. The Parties shall keep each other informed about such disputes and, where appropriate, cooperate in resolving them.  
   
   
3. Where the data subject invokes a third-party beneficiary right pursuant to Clause 3, the data importer shall accept the decision of the data subject to:
   
   
4. lodge a complaint with the supervisory authority in the Member State of his/her habitual residence or place of work, or the competent supervisory authority pursuant to Clause 13;
   
   
5. refer the dispute to the competent courts within the meaning of Clause 18.
   
   
6. The Parties accept that the data subject may be represented by a not-for-profit body, organisation or association under the conditions set out in Article 80(1) of Regulation (EU) 2016/679.
   
   
7. The data importer shall abide by a decision that is binding under the applicable EU or Member State law.
   
   
8. The data importer agrees that the choice made by the data subject will not prejudice his/her substantive and procedural rights to seek remedies in accordance with applicable laws.

Clause 12

Liability

1. Each Party shall be liable to the other Party/ies for any damages it causes the other Party/ies by any breach of these
   
   
2. The data importer shall be liable to the data subject, and the data subject shall be entitled to receive compensation, for any material or non-material damages the data importer or its sub-processor causes the data subject by breaching the third-party beneficiary rights under these
   
   
3. Notwithstanding paragraph (b), the data exporter shall be liable to the data subject, and the data subject shall be entitled to receive compensation, for any material or non-material damages the data exporter or the data importer (or its sub-processor) causes the data subject by breaching the third-party beneficiary rights under these Clauses. This is without prejudice to the liability of the data exporter and, where the data exporter is a processor acting on behalf of a controller, to the liability of the controller under Regulation (EU) 2016/679 or Regulation (EU) 2018/1725, as applicable.
   
   
4. The Parties agree that if the data exporter is held liable under paragraph (c) for damages caused by the data importer (or its sub-processor), it shall be entitled to claim back from the data importer that part of the compensation corresponding to the data importer’s responsibility for the
   
   
5. Where more than one Party is responsible for any damage caused to the data subject as a result of a breach of these Clauses, all responsible Parties shall be jointly and severally liable and the data subject is entitled to bring an action in court against any of these
   
   
6. The Parties agree that if one Party is held liable under paragraph (e), it shall be entitled to claim back from the other Party/ies that part of the compensation corresponding to its / their responsibility for the
   
   
7. The data importer may not invoke the conduct of a sub-processor to avoid its own liability.

Clause 13

Supervision

1. [This section applies where the data exporter listed in Annex 1.A. is established in an EU Member State:] The supervisory authority with responsibility for ensuring compliance by the data exporter with Regulation (EU) 2016/679 as regards the data transfer, as indicated in Annex I.C, shall act as competent supervisory
   
   [This section applies where the data exporter listed in Annex 1.A. is not established in an EU Member State, but falls within the territorial scope of application of Regulation (EU) 2016/679 in accordance with its Article 3(2) and has appointed a representative pursuant to Article 27(1) of Regulation (EU) 2016/679:] The supervisory authority of the Member State in which the representative within the meaning of Article 27(1) of Regulation (EU) 2016/679 is established, as indicated in Annex I.C, shall act as competent supervisory authority.
   
   [This section applies, where the data exporter listed in Annex 1.A. is not established in an EU Member State, but falls within the territorial scope of application of Regulation (EU) 2016/679 in accordance with its Article 3(2) without however having to appoint a representative pursuant to Article 27(2) of Regulation (EU) 2016/679:] The supervisory authority of one of the Member States in which the data subjects whose personal data is transferred under these Clauses in relation to the offering of goods or services to them, or whose behaviour is monitored, are located, as indicated in Annex I.C, shall act as competent supervisory authority.
   
   
2. The data importer agrees to submit itself to the jurisdiction of and cooperate with the competent supervisory authority in any procedures aimed at ensuring compliance with these In particular, the data importer agrees to respond to enquiries,
   
   submit to audits and comply with the measures adopted by the supervisory authority, including remedial and compensatory measures. It shall provide the supervisory authority with written confirmation that the necessary actions have been taken.

SECTION III – LOCAL LAWS AND OBLIGATIONS IN CASE OF ACCESS BY PUBLIC AUTHORITIES

Clause 14

Local laws and practices affecting compliance with the Clauses

(where the EU processor combines the personal data received from the third country-controller with personal data collected by the processor in the EU)

1. The Parties warrant that they have no reason to believe that the laws and practices in the third country of destination applicable to the processing of the personal data by the data importer, including any requirements to disclose personal data or measures authorising access by public authorities, prevent the data importer from fulfilling its obligations under these Clauses. This is based on the understanding that laws and practices that respect the essence of the fundamental rights and freedoms and do not exceed what is necessary and proportionate in a democratic society to safeguard one of the objectives listed in Article 23(1) of Regulation (EU) 2016/679, are not in contradiction with these
   
   
2. The Parties declare that in providing the warranty in paragraph (a), they have taken due account in particular of the following elements:
   1. the specific circumstances of the transfer, including the length of the processing chain, the number of actors involved and the transmission channels used; intended onward transfers; the type of recipient; the purpose of processing; the categories and format of the transferred personal data; the economic sector in which the transfer occurs; the storage location of the data transferred;
   2. the laws and practices of the third country of destination– including those requiring the disclosure of data to public authorities or authorising access by such authorities – relevant in light of the specific circumstances of the transfer, and the applicable limitations and safeguards;
   3. any relevant contractual, technical or organisational safeguards put in place to supplement the safeguards under these Clauses, including measures applied during transmission and to the processing of the personal data in the country of destination.
3. The data importer warrants that, in carrying out the assessment under paragraph (b), it has made its best efforts to provide the data exporter with relevant information and agrees that it will continue to cooperate with the data exporter in ensuring compliance with these
   
   
4. The Parties agree to document the assessment under paragraph (b) and make it available to the competent supervisory authority on
   
   
5. The data importer agrees to notify the data exporter promptly if, after having agreed to these Clauses and for the duration of the contract, it has reason to believe that it is or has become subject to laws or practices not in line with the requirements under paragraph (a), including following a change in the laws of the third country or a measure (such as a disclosure request) indicating an application of such laws in practice that is not in line with the requirements in paragraph (a). The data exporter shall forward the notification to the controller.
   
   
6. Following a notification pursuant to paragraph (e), or if the data exporter otherwise has reason to believe that the data importer can no longer fulfil its obligations under these Clauses, the data exporter shall promptly identify appropriate measures (e.g. technical or organisational measures to ensure security and confidentiality) to be adopted by the data exporter and/or data importer to address the situation, if appropriate in consultation with the controller]. The data exporter shall suspend the data transfer if it considers that no appropriate safeguards for such transfer can be ensured, or if instructed by The data exporter shall suspend the data transfer if it considers that no appropriate safeguards for such transfer can be ensured, or if instructed by the controller or the competent supervisory authority to do so. In this case, the data exporter shall be entitled to terminate the contract, insofar as it concerns the processing of personal data under these Clauses. If the contract involves more than two Parties, the data exporter may exercise this right to termination only with respect to the relevant Party, unless the Parties have agreed otherwise. Where the contract is terminated pursuant to this Clause, Clause 16(d) and (e) shall

Clause 15

Obligations of the data importer in case of access by public authorities

(where the EU processor combines the personal data received from the third country-controller with personal data collected by the processor in the EU)

15.1 Notification

1. The data importer agrees to notify the data exporter and, where possible, the data subject promptly (if necessary with the help of the data exporter) if it:
   1. receives a legally binding request from a public authority, including judicial authorities, under the laws of the country of destination for the disclosure of personal data transferred pursuant to these Clauses; such notification shall include information about the personal data requested, the requesting authority, the legal basis for the request and the response provided; or
   2. becomes aware of any direct access by public authorities to personal data transferred pursuant to these Clauses in accordance with the laws of the country of destination; such notification shall include all information available to the
   The data exporter shall forward the notification to the controller.
   
   
2. If the data importer is prohibited from notifying the data exporter and/or the data subject under the laws of the country of destination, the data importer agrees to use its best efforts to obtain a waiver of the prohibition, with a view to communicating as much information as possible, as soon as possible. The data importer agrees to document its best efforts in order to be able to demonstrate them on request of the data
   
   
3. Where permissible under the laws of the country of destination, the data importer agrees to provide the data exporter, at regular intervals for the duration of the contract, with as much relevant information as possible on the requests received (in particular, number of requests, type of data requested, requesting authority/ies, whether requests have been challenged and the outcome of such challenges, etc.). The data exporter shall forward the information to the controller.]
   
   
4. The data importer agrees to preserve the information pursuant to paragraphs (a) to (c) for the duration of the contract and make it available to the competent supervisory authority on
   
   
5. Paragraphs (a) to (c) are without prejudice to the obligation of the data importer pursuant to Clause 14(e) and Clause 16 to inform the data exporter promptly where it is unable to comply with these

15.2 Review of legality and data minimisation

1. The data importer agrees to review the legality of the request for disclosure, in particular whether it remains within the powers granted to the requesting public authority, and to challenge the request if, after careful assessment, it concludes that there are reasonable grounds to consider that the request is unlawful under the laws of the country of destination, applicable obligations under international law and principles of international comity. The data importer shall, under the same conditions, pursue possibilities of appeal. When challenging a request, the data importer shall seek interim measures with a view to suspending the effects of the request until the competent judicial authority has decided on its merits. It shall not disclose the personal data requested until required to do so under the applicable procedural rules. These requirements are without prejudice to the obligations of the data importer under Clause 14(e).
   
   
2. The data importer agrees to document its legal assessment and any challenge to the request for disclosure and, to the extent permissible under the laws of the country of destination, make the documentation available to the data exporter. It shall also make it available to the competent supervisory authority on request. The data exporter shall make the assessment available to the controller.
   
   
3. The data importer agrees to provide the minimum amount of information permissible when responding to a request for disclosure, based on a reasonable interpretation of the

SECTION IV – FINAL PROVISIONS

Clause 16

Non-compliance with the Clauses and termination

1. The data importer shall promptly inform the data exporter if it is unable to comply with these Clauses, for whatever
   
   
2. In the event that the data importer is in breach of these Clauses or unable to comply with these Clauses, the data exporter shall suspend the transfer of personal data to the data importer until compliance is again ensured or the contract is terminated. This is without prejudice to Clause 14(f).
   
   
3. The data exporter shall be entitled to terminate the contract, insofar as it concerns the processing of personal data under these Clauses, where:
   1. the data exporter has suspended the transfer of personal data to the data importer pursuant to paragraph (b) and compliance with these Clauses is not restored within a reasonable time and in any event within one month of suspension;
   2. the data importer is in substantial or persistent breach of these Clauses; or
   3. the data importer fails to comply with a binding decision of a competent court or supervisory authority regarding its obligations under these
   In these cases, it shall inform the competent supervisory authority and the controller of such non-compliance. Where the contract involves more than two Parties, the data exporter may exercise this right to termination only with respect to the relevant Party, unless the Parties have agreed otherwise.
   
   
4. Personal data that has been transferred prior to the termination of the contract pursuant to paragraph (c) shall at the choice of the data exporter immediately be returned to the data exporter or deleted in its entirety. The same shall apply to any copies of the data. The data importer shall certify the deletion of the data to the data exporter. Until the data is deleted or returned, the data importer shall continue to ensure compliance with these Clauses. In case of local laws applicable to the data importer that prohibit the return or deletion of the transferred personal data, the data importer warrants that it will continue to ensure compliance with these Clauses and will only process the data to the extent and for as long as required under that local law.
   
   
5. Either Party may revoke its agreement to be bound by these Clauses where (i) the European Commission adopts a decision pursuant to Article 45(3) of Regulation (EU) 2016/679 that covers the transfer of personal data to which these Clauses apply; or (ii) Regulation (EU) 2016/679 becomes part of the legal framework of the country to which the personal data is transferred. This is without prejudice to other obligations applying to the processing in question under Regulation (EU) 2016/679.

Clause 17

Governing law

These Clauses shall be governed by the law of the EU Member State in which the data exporter is established. Where such law does not allow for third-party beneficiary rights, they shall be governed by the law of another EU Member State that does allow for third-party beneficiary rights. The Parties agree that this shall be the law of Ireland.

Clause 18

Choice of forum and jurisdiction

1. Any dispute arising from these Clauses shall be resolved by the courts of an EU Member
   
   
2. The Parties agree that those shall be the courts of Ireland.
   
   
3. A data subject may also bring legal proceedings against the data exporter and/or data importer before the courts of the Member State in which he/she has his/her habitual residence.
   
   
4. The Parties agree to submit themselves to the jurisdiction of such

APPENDIX

EXPLANATORY NOTE:

It must be possible to clearly distinguish the information applicable to each transfer or category of transfers and, in this regard, to determine the respective role(s) of the Parties as data exporter(s) and/or data importer(s). This does not necessarily require completing and signing separate appendices for each transfer/category of transfers and/or contractual relationship, where this transparency can achieved through one appendix. However, where necessary to ensure sufficient clarity, separate appendices should be used.

ANNEX I

A. LIST OF PARTIES

Data exporter(s): [Identity and contact details of the data exporter(s) and, where applicable, of its/their data protection officer and/or representative in the European Union]

1. Name: The customer that is stated in the Order is data exporter for the purpose of these SCC.

Address: Customer’s address stated in the Order

Contact person’s name, position and contact details: The customer that authorized the Order

Activities relevant to the data transferred under these Clauses: Processing and hosting of data for data recovery and related services as stated in the order…

Signature and date: as stated in the Order

Role (controller/processor): Controller

Data importer(s):

2. Name: KLDiscovery Ontrack, LLC

Address: 9023 Columbine Road, Eden Prairie, MN 55347, USA.

Contact person’s name, position and contact details: Shannon Gaughan (Commercial Counsel) / Gideon Kaplan (Associate General Counsel): Shannon.guaghan@kldiscovery.com / Gideon.kaplan@kldiscovery.com

Activities relevant to the data transferred under these Clauses: Hosting and processing of Personal Data .

Signature and date: Data importer’s contact person stated above

Role (controller/processor): Processor

2. DESCRIPTION OF TRANSFER

Categories of data subjects whose personal data is transferred

Natural persons, such as Customers, Employees, Suppliers of Data Exporter or other data delivered by Data Exporter.

Categories of personal data transferred

Information relating to identified or identifiable natural persons, including pictures and photographs, contractual relationships and/or customer history, billing and payment data or other categories of data delivered by Data Exporter.

Sensitive data transferred (if applicable) and applied restrictions or safeguards that fully take into consideration the nature of the data and the risks involved, such as for instance strict purpose limitation, access restrictions (including access only for staff having followed specialised training), keeping a record of access to the data, restrictions for onward transfers or additional security measures.

If sensitive data should be transferred, it will be processed using the same processing methods as set out in these standard contractual clauses, using appropriate safeguards.

The frequency of the transfer (e.g. whether the data is transferred on a one-off or continuous basis).

One off, or as often as instructed by the data exporter.

Nature of the processing

The applicable Order content, mainly data recovery and connected services.

Purpose(s) of the data transfer and further processing

The purpose of the data transfer and processing results from the Service Terms and Service Description to the applicable Order, usually in connection with Data Recovery or related Services

The period for which the personal data will be retained, or, if that is not possible, the criteria used to determine that period

The term required to complete the Order and, if applicable, after termination of the Order, provided, that any such processing is carried out in connection with the services provided under the Order.

For transfers to (sub-) processors, also specify subject matter, nature and duration of the processing

./.

B. COMPETENT SUPERVISORY AUTHORITY

Identify the competent supervisory authority/ies in accordance with Clause 13

Supervisory Offices, depending on Data Exporter as defined in Clause 13:

https://ec.europa.eu/justice/article-29/structure/data-protection-authorities/index_en.htm

ANNEX II - TECHNICAL AND ORGANISATIONAL MEASURES INCLUDING TECHNICAL AND ORGANISATIONAL MEASURES TO ENSURE THE SECURITY OF THE DATA

EXPLANATORY NOTE:

The technical and organisational measures must be described in specific (and not generic) terms. See also the general comment on the first page of the Appendix, in particular on the need to clearly indicate which measures apply to each transfer/set of transfers.

Description of the technical and organisational measures implemented by the data importer(s) (including any relevant certifications) to ensure an appropriate level of security, taking into account the nature, scope, context and purpose of the processing, and the risks for the rights and freedoms of natural persons.

For transfers to (sub-) processors, also describe the specific technical and organisational measures to be taken by the (sub-) processor to be able to provide assistance to the controller and, for transfers from a processor to a sub-processor, to the data exporter.

The technical and organizational measures at Data Importer’s location will be shared upon request of the Data Exporter.

ANNEX III – LIST OF SUB-PROCESSORS

EXPLANATORY NOTE:

This Annex must be completed, in case of the specific authorisation of sub-processors (Clause 9(a), Option 1).

The controller has authorised the use of the following sub-processors:

1. Name: None

Address: Not applicable.

Contact person’s name, position and contact details: Not applicable

Description of processing (including a clear delimitation of responsibilities in case several sub-processors are authorized): Not applicable.

ANNEX IV TO THE STANDARD CONTRACTUAL CLAUSES – SUPPLEMENTARY PROTECTIONS

In addition to the provisions of the Controller-to-Processor Standard Contractual Clauses, the following supplementary protections shall apply:

Definitions

For the purposes of this Annex IV, the following definitions apply:

1. 1. “Back Door” means any technical or organisational measures or mechanisms designed to enable any public authorities, or other third parties, to gain access to any of the data importer’s systems, or to any Relevant Personal Data, including by circumventing the data importer’s security measures;
   2. “Disclosure Order” means any legally binding demand for access to, or disclosure of, any Relevant Personal Data, made by any public authority, in any jurisdiction, to the data importer;
   3. “Group” means any legal entity under common control with, controlled by, or control the data importer;
   4. “Relevant Authority” means a public authority that makes a Disclosure Order; and
   5. “Relevant Personal Data” means any personal data (as defined in these Controller-to-Processor Standard Contractual Clauses) received by the data importer, or any of its sub-processors, under these Clauses.

Supplementary Protections

 1. No back doors

The data importer hereby confirms that:

1. 1. it has not created any Back Doors in any infrastructure, technical environment, review platforms or other system used to host and/or process Personal Data of the data exporter;
   2. it has not intentionally created or changed its business processes in a manner that facilitates access to its infrastructure, technical environment, review platforms or others systems or to any Relevant Personal Data; and
   3. to the best of the data importer’s knowledge, applicable laws and government policies applicable to the data importer:
      1. do not require the data importer to create or maintain any Back Doors; and
      2. do not require the importer to be in possession of, or to disclose or provide, any encryption keys in relation to any Relevant Personal Data.

2. Enhanced audit rights

In addition to, and without prejudice to, the audit rights afforded to the data exporter under the auditing provisions of the Data Processing Agreement, and Clause 8.9(c) these Controller-to-Processor Contractual Clauses, to the extent permitted by applicable law, the data exporter, or its appointed representatives, shall be permitted, on no less than 48 hours’ written notice, to conduct an audit of the data importer’s relevant systems (and the systems of any sub-processors where such sub-processors within the data importer’s Group), whether in person or, to the extent practicable, by remote means, for the sole purpose of determining whether any Relevant Personal Data have been disclosed in response to any Disclosure Order. This additional right to audit shall be at the sole cost and expense of the data exporter who shall determine whether and if such audit shall take place. The data importer shall, where requested by the data exporter, take reasonable steps to assist the data exporter in conducting such audits including the provision of technical personnel to assist the data exporter in conducting the audit, supervised and controlled access to data importer’s infrastructure, technical environment, review platforms or other systems (provided such access does not impact any other client of the data importer or require the disclosure of confidential information relating to such clients) and copies of relevant documents that may assist the data exporter in conducting and assessing the findings of such audit.

3. Notification and Transparency

To the extent permitted by applicable law, the data importer shall regularly (and at least once every 24 hours) publish a message via a secure URL, accessible at www.kldiscovery.com/transparency-report (“Transparency Page”) informing the data exporter that, as at the time of the published message, it has not received a Disclosure Order. The data importer shall, for the term of processing of Relevant Personal Data under these Controller-to-Processor Contractual Clauses, continue to publish such information on the Transparency Page.

4. Obligation to Challenge

In the event that the data importer receives a Disclosure Order, the data importer shall promptly review the validity and enforceability of such Disclosure Order under applicable law and if, after a careful assessment, the data importer concludes that there are plausible grounds for challenging the Disclosure Order, and that such a challenge has a reasonable likelihood of succeeding, the data importer shall use reasonable efforts to bring such a challenge (including, where appropriate, through interim proceedings). To the extent that, notwithstanding any challenge, the data importer is obliged to disclose any Relevant Personal Data to the Relevant Authority, the data importer shall take all reasonable measures to ensure that it discloses the minimum amount of Relevant Personal Data required by applicable law.

5. Obligation to Notify

In the event that the data importer receives a Disclosure Order, the data importer shall:

1. 1. to the extent that the Disclosure Order contradicts the requirements of these Controller-to-Processor Contractual Clauses, inform the Relevant Authority that the Disclosure Order is incompatible with its obligations under these Controller-to-Processor Contractual Clauses, and that the Disclosure Order therefore exposes the data importer to conflicting legal obligations;
   2. to the extent permitted by applicable law, notify the data exporter of the Disclosure Order; and
   3. where the data importer is legally able to inform the data exporter of the Disclosure Order, provide all reasonable assistance to the data exporter to defend, challenge and/or limit the scope of the Disclosure Order and shall take all reasonable instructions from the data exporter regarding the Disclosure Order including choice of counsel by the data exporter. Where the data importer is permitted to notify, and therefore take instructions from the data exporter regarding the Disclosure Order, the data exporter shall be responsible for any reasonable costs and expenses incurred by the data importer in carrying out the data exporter’s instructions.

 6. Policies and procedures

The data importer shall implement and maintain adequate internal policies with clear allocation of responsibilities for data transfers, reporting channels and standard operating procedures for handling Disclosure Orders.

7. Disclosure of Records

The data importer shall create and maintain a written record of:

1. 1. each Disclosure Order; and
   2. the response to each Disclosure Order, together with details of the analysis of the Disclosure Order, the reasons for any response to the Disclosure Order,

and shall make such records available to the data exporter on request, to the extent permitted by applicable law, subject to appropriate redactions.  

8. Standards

The data importer shall adopt the security standards set out in Annex II, including but not limited to the ISO 27001 standard, and shall implement all appropriate security measures with due regard to the state of the art, in accordance with the levels of risk associated with the categories of Relevant Personal Data processed and the likelihood of Disclosure Orders in relation to such Relevant Personal Data.

9. Policy Review

The data importer shall implement a regular review of the measures it has taken to protect Relevant Personal Data, including its applicable policies and procedures, to assess the suitability of those measures, and identify and implement additional or alternative measures when reasonably necessary.

10. Onward Transfers

Where the data exporter provides instructions to data importer for the onward transfer of Relevant Personal Data to a sub-processor, the data importer shall use commercially reasonable efforts to obtain, from that sub-processor, an agreement that provides an equivalent level of protection for Relevant Personal Data, as is set out in this Annex IV, prior to the onward transfer of Relevant Personal Data to that sub-processor. Where the data importer is unable to obtain equivalent measures as those set out in this Annex IV, the data importer shall not transfer any Relevant Personal Data to the sub-processor without the prior written authorization of the data exporter. It is acknowledged at all times that, where the data importer is unable to obtain equivalent measures as those set out in this Annex IV, any authorization by the data exporter shall be solely at the data exporter’s legal risk.

11. Compensation or other legal remedies

It is acknowledged and accepted by the data exporter and data importer that the decision to transfer any Relevant Personal Data shall be solely taken by the data exporter, or the data exporter’s end client, as the case may be, and nothing in this Annex IV or more generally following a data exporter decision to transfer Relevant Personal Data shall impose, or create, any liability on the data importer to any Data Subject or the data exporter arising from such a decision.  

Provisions applicable in relation to transfers of Personal Data governed by the Data Protection Act 2018 (UK)

International Data Transfer Addendum to the EU Commission Standard Contractual Clauses

VERSION B1.0, in force 21 March 2022

This Addendum has been issued by the Information Commissioner for Parties making Restricted Transfers. The Information Commissioner considers that it provides Appropriate Safeguards for Restricted Transfers when it is entered into as a legally binding contract.

Part 1: Tables

Table 1: Parties

Table 2: Selected SCCs, Modules and Selected Clauses

Table 3: Appendix Information

“Appendix Information” means the information which must be provided for the selected modules as set out in the Appendix of the Approved EU SCCs (other than the Parties), and which for this Addendum is set out in:

Table 4: Ending this Addendum when the Approved Addendum Changes

Part 2: Mandatory Clauses

Mandatory Clauses of the Approved Addendum, being the template Addendum B.1.0 issued by the ICO and laid before Parliament in accordance with s119A of the Data Protection Act 2018 on 2 February 2022, as it is revised under Section ‎‎18 of those Mandatory Clauses.