RRA PROCESSOR SSCs

STANDARD CONTRACTUAL CLAUSES Controller to Processor

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.

(f) 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 (EU) 2018/1725.

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. Notwithstanding anything herein to the contrary, processor may fully anonymize any personal data in accordance with applicable data protection law and continue to use such data for research purposes.

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 but at least fifteen (15) working days in advance. In no event will the duration of the audit exceed eight (8) hours on one (1) working day and it may not infringe on the processor’s confidentiality obligations to other parties.

(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) 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 fourteen (14)  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). Parties agree that the processor complies with its obligations of this Section 7.7 paragraph (a) by (i) providing the controller with a mechanism at http://www.russellreynolds.com/vendors to subscribe to notifications of the processor adding sub-processors, and (ii) if the controller subscribes, the processor shall provide notification of new sub-processors at least fourteen (14) days prior to allowing such sub-processor to process the personal data. 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/.

(d) 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

ANNEX II – DESCRIPTION OF THE PROCESSING

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

As part of RRA’s efforts in establishing a first-class information security program, RRA has obtained an ISO/IEC 27001:2013 certification.  RRA’s most recent certification (1077981-5) was issued on January 15, 2021 and expires on January 26, 2023The security measures implemented by RRA to protect personal data are as follows:

1. Security Organization
RRA has a security framework which includes decision, reporting, responsibility, and escalation principles and procedures.

a. Risk Management

• RRA has formal Risk Management Committee (ISMS Committee) that manages and is responsible for enterprise security risk issues.
• Security risk issues are reviewed regularly by considering the threats, possible business impacts and probabilities.

b. Business Continuity

• RRA has a Disaster Recovery and Business Continuity Plan that covers technology, offices, and personnel.  This plan is reviewed bi-annually and engages personnel at all levels of the organization.

c. Security incident Management

• RRA has a form Cyber Incident Response Plan designed to prevent further damages caused by Security Incidents. 

2. Physical Security
a. Physical Access control

• RRA has a physical access control system (or equivalent) which limits individuals’ access to buildings, rooms, and areas where personal data is maintained. Access control cards are granted to individuals (no collective or shared key cards are issued).

b. Intrusion Detection System 

• RRA has an intrusion detection system covering the areas where personal data is stored and/or processed.

c. Visitor Management

• RRA has a security system in place which limits physical and informational access by visitors where personal information is stored and/or processed..

d. Server Room

• RRA has an electronic access control system which limits physical access to the server room only to authorized individuals.
• Each server room has adequate fire protection such as a CO2 portable fire extinguisher or an automatic fire extinguishing system depending on the size and the criticality of the information stored on the servers.

3. Personnel Security
a. New and Departing Employees

• RRA has security procedures in place for entry of new employees and exiting of departing personnel.

b. Background Checks

• The reliability and professional aptitude of all RRA employees are verified before assigning roles in the organization.

4. Information Security
a. Acceptable Use

• RRA’s has in place an Internet & Electronic Tool Acceptable Use Policy which restricts the use of electronic devices and RRA network resources. All employees, contractors, consultants, temporary workers, and visitors are subject to the policy.

b. Authorization

• The number of people having access to personal data shall be restricted.
• Access to personal data allowed only to such persons whose work-related tasks require access to personal data.
• Sufficient audit trail collected of use of the access rights, including all changes made and, where appropriate given the nature of the personal data, views (e.g., who, what, when).
• Access rights are granted in an organized manner according to agreed internal procedures.
• Access rights are only granted by approved responsible managers (audit trail of approvals required).
• Access to personal data is promptly terminated when an employee ceases employment.

c. Training

• Employees are trained on the importance of IT and personal data security.
• Yearly Information security training is conducted, and monthly phishing campaigns are performed to increase security awareness

5.  IT Security
RRA ensures all security mechanisms deny access until specifically granted.

a. Connectivity

• RRA offices and data centers are connected over a secure private network via an encrypted connections.

b. User Account and Password Management

• RRA maintains a process for user account management which defines policies for approving, creating, and terminating users’ access to RRA IT systems.
• RRA’s policy for password management meets industry standards.
• User accounts are locked after five unsuccessful attempts to gain access to the account.

c. Remote Work

• RRA has remote network access capabilities and accompanying remote work policies and guidelines in place.
• Remote access systems are properly guarded, equipped with firewalls, antivirus protection, and two factor authentication 

d. Malicious Code Protection

• RRA has automated an up-to-date malicious code protection (e.g., antivirus and antimalware system) to cover all workstations and servers.

e. Backup Measures

• All e-mails are archived and replicated between our global data centers and stored for a period of one year. E-mails may also be tagged for longer retention by RRA employees and stored for a maximum of seven years or until deleted manually. 
• All personal data stored in RRA proprietary applications for as long as necessary or until such earlier time as instructed by client to delete the data. 
• Documents, memos, and other associated personal data are stored in a document management system for the lifetime of the data.  
• All of the above personal data is replicated between multiple global data centers and backed up at each data center according to the retention policies below: 

• Daily Backups:

• 30 Days for critical systems both on local disk and encrypted cloud storage
• 15 days for non-critical systems both on local disk and encrypted cloud storage

• Monthly Backups:

• 7-years on to encrypted cloud storage

f. Encryption

• Transport layer security (TLS) is used to encrypt information as it passes through the Internet, not only in e-mails, but also in Web browsing, instant messaging, and voice-over intellectual property.
• All enpoints are encrypted to industry standards to maintain confidentiality of information

g. Monitoring

• RRA conducts reasonable monitoring of its systems for unauthorized use of or access to personal data.

h. Patch management

• RRA applies operating system and software patches on a timely basis

ANNEX IV – LIST OF SUB-PROCESSORS

The controller has authorised the use of the sub-processors included at https://www.russellreynolds.com/en/vendors

US STATE PRIVACY LAW ADDENDUM

To the extent that these RRA Processor SCCs are intended for use in connection with personal data to which US State privacy laws (including but not limited to, where applicable, the California Consumer Privacy Act as amended by the California Privacy Rights Act, the Colorado Privacy Act, and the Virginia Consumer Data Privacy Act, hereafter “US State Privacy Laws”) apply, hereby (i) the parties agree that the personal information shared by the controller with the processor under the RRA Processor SCCs is disclosed only for the limited purposes specified in Annex II, (ii) the processor commits to comply with applicable obligations and provide the same level of protection as required under US State Privacy Laws, (iii) the parties agree that the rights granted to controller in Section 7.6 of the RRA Processor SCCs ensure that the controller can verify that the processor processes the personal information in line with the obligations under the US State Privacy Laws, (iv) the processor commits to notify the controller if it makes a determination that it can no longer meet its obligations under US State Privacy Laws, and (v) the processor grants the controller the right to instruct the processor to stop processing personal data.