Data Processing Agreement
This Octopus Data Inc. Data Processing Agreement (“DPA”), that includes the Standard Contractual Clauses adopted by the European Commission, as applicable, reflects the parties’ agreement with respect to the terms governing the Processing of Personal Data under the Octopus Data Inc. Customer Terms and Conditions (the “Agreement”). This DPA is an amendment to the Agreement and is effective upon its incorporation into the Agreement, which incorporation may be specified in the Agreement, an Order or an executed amendment to the Agreement. Upon its incorporation into the Agreement, the DPA will form a part of the Agreement.
The term of this DPA shall follow the term of the Agreement. Terms not otherwise defined herein shall have the meaning as set forth in the Agreement.
The purpose of this Agreement is to set out the relevant legislation and to describe the steps Octopus Data Inc. is taking to ensure that it complies with GDPR.
The following clauses are included in this document:
- Standard Contractual Clauses attached hereto as EXHIBIT 1.
- Appendix 1 to the Standard Contractual Clauses, which includes specifics on the Personal Data transferred by the data exporter to the data importer.
- Appendix 2 to the Standard Contractual Clauses, which includes a description of the technical and organizational security measures implemented by the data importer as referenced.
1. DEFINITIONS
- There are a total of 26 definitions listed within the GDPR and it is not appropriate to reproduce them all here. However, the most fundamental definitions with respect to this policy are as follows:
- “GDPR” means The General Data Protection 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.
- “Controller” is defined as The natural or legal person, public authority, agency or other body which, alone or jointly with others, determines the purposes and means of the processing of personal data; where the purposes and means of such processing are determined by Union or Member State law, the controller or the specific criteria for its nomination may be provided for by Union or Member State law;
- “Processor” means Octopus Data Inc., a natural or legal person, public authority, agency or other body which processes Personal Data on behalf of the Controller.
- “Processing” means any operation or set of operations which is performed on personal data or on sets of personal data, whether or not by automated means, such as collection, recording, organization, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction;
- “Personal data” is defined as Any information relating to an identified or identifiable natural person (‘data subject’); an identifiable natural person is one who can be identified, directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data, an online identifier or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person;
- “Personal Data Breach” means A breach of security leading to the accidental or unlawful destruction, loss, alteration, unauthorized disclosure of, or access to, Personal Data transmitted, stored, or otherwise processed.
- “Standard Contractual Clauses” means The clauses attached hereto as Exhibit 1 pursuant to the European Commission’s decision 2021/914.
- “Instruction” means The written, documented instruction, issued by the Controller to Processor, and directing the same to perform a specific action with regard to Personal Data (including, but not limited to, depersonalizing, blocking, deletion, making available).
2. DETAILS OF THE PROCESSING
2.1 Categories of Data Subjects.
Controller’s Contacts and other end users including Controller’s employees, contractors, collaborators, customers, prospects, suppliers and subcontractors. Data Subjects also include individuals attempting to communicate with or transfer Personal Data to the Controller’s end users.
2.2 Types of Personal Data.
Contact Information, the extent of which is determined and controlled by the Customer in its sole discretion, and other Personal Data such as navigational data (including website usage information), email data, system usage data, application integration data, and other electronic data submitted, stored, sent, or received by end-users via the Subscription Service.
2.3 Subject-Matter and Nature of the Processing.
The subject matter of Processing of Personal Data by Processor is the provision of the services to the Controller that involves the Processing of Personal Data. Personal Data will be subject to those Processing activities as may be specified in the Agreement and an Order.
2.4 Purpose of the Processing.
Personal Data will be processed for purposes of providing the services set out and otherwise agreed to in the Agreement and any applicable Order.
2.5 Duration of the Processing.
Personal Data will be processed for the duration of the Agreement, subject to Section 4 of this DPA.
3. CUSTOMER RESPONSIBILITY
Within the scope of the Agreement and in its use of the services, Controller shall be solely responsible for complying with the statutory requirements relating to data protection and privacy, in particular regarding the disclosure and transfer of Personal Data to the Processor and the Processing of Personal Data.
For the avoidance of doubt, the Controller’s instructions for the Processing of Personal Data shall comply with the Data Protection Law. This DPA is the Customer’s complete and final instruction to Octopus Data Inc. in relation to Personal Data and that additional instructions outside the scope of DPA would require a prior written agreement between the parties.
Instructions shall initially be specified in the Agreement and may, from time to time thereafter, be amended, amplified or replaced by Controller in separate written instructions (as individual instructions).
The controller shall inform the Processor without undue delay and comprehensively about any errors or irregularities related to statutory provisions on the Processing of Personal Data.
4. OBLIGATIONS OF PROCESSOR
4.1 Compliance with Instructions.
The parties acknowledge and agree that the Customer is the Controller of Personal Data and Octopus Data Inc. is the Processor of that data. Processor shall collect, process, and use Personal Data only within the scope of Controller’s Instructions.
If the Processor believes that an Instruction of the Controller infringes the Data Protection Law, it shall immediately inform the Controller without delay. If Processor cannot process Personal Data in accordance with the instructions due to a legal requirement under any applicable European Union or Member State law, Processor will
- promptly notify the Controller of that legal requirement before the relevant Processing to the extent permitted by the Data Protection Law; and
- cease all Processing (other than merely storing and maintaining the security of the affected Personal Data) until such time as the Controller issues new instructions with which Processor is able to comply. If this provision is invoked, Processor will not be liable to the Controller under the Agreement for any failure to perform the applicable services until such time as the Controller issues new instructions in regard to the Processing.
4.2 Security
Processor shall take the appropriate technical and organizational measures to adequately protect Personal Data against accidental or unlawful destruction, loss, alteration, unauthorized disclosure of, or access to Personal Data, described under Annex 2 to the Standard Contractual Clauses. Such measures include, but are not be limited to:
- the prevention of unauthorized persons from gaining access to Personal Data Processing systems (physical access control),
- the prevention of Personal Data Processing systems from being used without authorization (logical access control),
- ensuring that persons entitled to use a Personal Data Processing system gain access only to such Personal Data as they are entitled to accessing in accordance with their access rights, and that, in the course of processing or use and after storage, Personal Data cannot be read, copied, modified or deleted without authorization (data access control),
- ensuring that Personal Data cannot be read, copied, modified, or deleted without authorization during electronic transmission, transport, or storage on storage media and that the target entities for any transfer of Personal Data by means of data transmission facilities can be established and verified (data transfer control),
- ensuring the establishment of an audit trail to document whether and by whom Personal Data has been entered into, modified in, or removed from Personal Data Processing systems (entry control),
- ensuring that Personal Data is Processed solely in accordance with the Instructions (control of instructions),
- ensuring that Personal Data is protected against accidental destruction or loss (availability control).
Upon Controller’s request, Processor shall provide a current Personal Data protection and security program relating to the Processing hereunder.
The processor will facilitate Controller’s compliance with the Controller’s obligation to implement security measures with respect to Personal Data (including if applicable Controller’s obligations pursuant to Articles 32 to 34 (inclusive) of the GDPR), by
- Implementing and maintaining the security measures described under Appendix 2,
- Complying with the terms of Section 4.4 (Personal Data Breaches); and
- Providing the Controller with information in relation to the processing in accordance with Section 5 (Audits).
4.3 Confidentiality
Processor shall ensure that any personnel whom Processor authorizes to process Personal Data on its behalf is subject to confidentiality obligations with respect to that Personal Data. The undertaking to confidentiality shall continue after the termination of the above-entitled activities.
4.4 Personal Data Breaches
Processor will notify the Controller as soon as practicable after it becomes aware of any of any Personal Data Breach affecting any Personal Data. At the Controller’s request, Processor will promptly provide the Controller with all reasonable
Assistance necessary to enable the Controller to notify relevant Personal Data Breaches to competent authorities and/or affected Data Subjects, if Controller is required to do so under the Data Protection Law.
4.5 Data Subject Requests.
Processor will provide reasonable assistance, including by appropriate technical and organizational measures and taking into account the nature of the Processing, to enable Controller to respond to any request from Data Subjects seeking to exercise their rights under the Data Protection Law with respect to Personal Data (including access, rectification, restriction, deletion or portability of Personal Data, as applicable), to the extent permitted by the law. If such request is made directly to Processor, Processor will promptly inform Controller and will advise Data Subjects to submit their request to the Controller. Controller shall be solely responsible for responding to any Data Subjects’ requests. Controller shall reimburse Processor for the costs arising from this assistance.
4.6 Sub-Processors.
Processor shall be entitled to engage sub-Processors to fulfil Processor’s obligations defined in the Agreement only with Controller’s written consent. For these purposes, Controller consents to the engagement as sub-Processors of Processor’s affiliated companies and the third parties If the Processor intends to instruct sub-Processors other than the companies listed in Exhibit 2, the Processor will notify the Controller thereof in writing (email to the email address(es) on record in Processor’s account information for Controller is sufficient) and will give the Controller the opportunity to object to the engagement of the new sub-Processors within 30 days after being notified. The objection must be based on reasonable grounds (e.g. if the Controller proves that significant risks for the protection of its Personal Data exist at the sub-Processor). If the Processor and Controller are unable to resolve such objection, either party may terminate the Agreement by providing written notice to the other party. Controller shall receive a refund of any prepaid but unused fees for the period following the effective date of termination.
Where Processor engages sub-Processors, Processor will enter into a contract with the sub-Processor that imposes on the sub-Processor the same obligations that apply to Processor under this DPA. Where the sub-Processor fails to fulfil its data protection obligations, Processor will remain liable to the Controller for the performance of such sub-Processors obligations.
Where a sub-Processor is engaged, the Controller must be granted the right to monitor and inspect the sub-Processor’s activities in accordance with this DPA and the Data Protection Law, including to obtain information from the Processor, upon written request, on the substance of the contract and the implementation of the data protection obligations under the sub-Processing contract, where necessary by inspecting the relevant contract documents.
The provisions of this Section 4.6 shall mutually apply if the Processor engages a sub-Processor in a country outside the European Economic Area (“EEA”) not recognized by the European Commission as providing an adequate level of protection for personal data. If, in the performance of this DPA, Octopus Data Inc. transfers any Personal Data to a sub-processor located outside of the EEA, Octopus Data Inc. shall, in advance of any such transfer, ensure that a legal mechanism to achieve adequacy in respect of that processing is in place.
4.7 Data Transfers.
The Standard Contractual Clauses will apply with respect to Personal Data that is transferred outside the EEA, either directly or via onward transfer, to any country not recognized by the European Commission as providing an adequate level of protection for personal data (as described in the Data Protection Law). Specifically, Processor will comply with Module 2 of the Standard Contractual Clauses, incorporated hereto by reference. Where the Standard Contractual Clauses identify optional provisions or provisions with multiple options, the following options are selected:
Clause 7 shall apply;
Option 2 of Clause 9(a) shall apply with regard to the use of Sub-Processors with a time period specified of 30 days, in accordance with Section 7 of this DPA;
The optional provision within Clause 11(a) shall not apply;
In Clauses 17 and 18, Germany shall apply.
4.8 Deletion or Retrieval of Personal Data.
Other than to the extent required to comply with Data Protection Law, following termination or expiry of the Agreement, Processor will delete all Personal Data (including copies thereof) processed pursuant to this DPA. If Processor is unable to delete Personal Data for technical or other reasons, Processor will apply measures to ensure that Personal Data is blocked from any further Processing.
The controller shall, upon termination or expiration of the Agreement and by way of issuing an Instruction, stipulate, within a period of time set by Processor, the reasonable measures to return data or to delete stored data. Any additional cost arising in connection with the return or deletion of Personal Data after the termination or expiration of the Agreement shall be borne by Controller.
AUDITS
The controller may, prior to the commencement of Processing, and at regular intervals thereafter, audit the technical and organizational measures taken by Processor.
For such purpose, Controller may, e.g.，
- Obtain information from the Processor,
- Request Processor to submit to Controller an existing attestation or certificate by an independent professional expert, or
- Upon reasonable and timely advance agreement, during regular business hours and without interrupting Processor’s business operations, conduct an on-site inspection of Processor’s business operations or have the same conducted by a qualified third party which shall not be a competitor of Processor.
- Processor shall, upon Controller’s written request and within a reasonable period of time, provide Controller with all information necessary for such audit, to the extent that such information is within Processor’s control and Processor is not precluded from disclosing it by applicable law, a duty of confidentiality, or any other obligation owed to a third party.
GENERAL PROVISIONS
With respect to updates and changes to this DPA, the terms that apply in the “Amendment; No Waiver” section of “Miscellaneous” in the Agreement shall apply.
In case of any conflict, this DPA shall take precedence over the regulations of the Agreement. Where individual provisions of this DPA are invalid or unenforceable, the validity and enforceability of the other provisions of this DPA shall not be affected.
Upon the incorporation of this DPA into the Agreement, the parties indicated in Section 7 below (Parties to this DPA) are agreeing to the Standard Contractual Clauses (where and as applicable) and all appendixes attached thereto. In the event of any conflict or inconsistency between this DPA and the Standard Contractual Clauses in Exhibit 1, the Standard Contractual Clauses shall prevail.
Effective 25 May 2018 Octopus Data Inc. will process Personal Data in accordance with the GDPR requirements contained herein which are directly applicable to Octopus Data Inc.’s provision of the Subscription Services.
PARTIES TO THIS DPA
This DPA is an amendment to and forms part of the Agreement. Upon the incorporation of this DPA into the Agreement
Controller and the Octopus Data Inc. entity that are each a party to the Agreement are also each a party to this DPA, and
To the extent that Octopus Data Inc. Inc. is not the party to the Agreement, Octopus Data Inc., Inc. is a party to this DPA, but only with respect to the agreement to the Standard Contractual Clauses of the DPA, this Section 7 of the DPA, and to the Standard Contractual Clauses themselves.
Octopus Data Inc., Inc.’s total liability under this DPA is limited to amounts paid by the Customer.
The legal entity agreeing to this DPA as Controller represents that it is authorized to agree to and enter into this DPA for, and is agreeing to this DPA solely on behalf of, the Controller.
EXHIBIT 1 STANDARD CONTRACTUAL CLAUSES
ANNEX 1 TO THE STANDARD CONTRACTUAL CLAUSE
A.DESCRIPTION OF TRANSFER
Categories of data subjects whose personal data is transferred
As described in the DPA, Section 2
Categories of personal data transferred
As described in the DPA, Section 2 and any other category as may be necessary for the provision of services.
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.
Not Applicable
The frequency of the transfer (e.g. whether the data is transferred on a one-off or continuous basis).
The transfer of data will occur for the duration of the services provided and described in the Agreement.
Nature of the processing
As described in the DPA, Section 2
Purpose(s) of the data transfer and further processing
As described in the DPA, Section 2
The period for which the personal data will be retained, or, if that is not possible, the criteria used to determine that period
The data will be retained for the duration specified in the services agreement.
For transfers to (sub-) processors, also specify the subject matter, nature, and duration of the processing
As described in Exhibit 2
B.COMPETENT SUPERVISORY AUTHORITY
Identify the competent supervisory authority/is in accordance with Clause 13
The Hesse DPA (Hessische Beauftragte für Datenschutz und Informationsfreiheit)
ANNEX 2 TO THE STANDARD CONTRACTUAL CLAUSES
TECHNICAL AND ORGANISATIONAL MEASURES INCLUDING TECHNICAL AND ORGANISATIONAL MEASURES TO ENSURE THE SECURITY OF THE DATA
This Appendix forms part of the Clauses.
Description of the technical and organizational security measures implemented by the data importer in accordance with Clauses 4(d) and 5(c) (or document/legislation attached):
Octopus Data Inc. currently observes the security practices described in this Appendix 2. Notwithstanding any provision to the contrary otherwise agreed to by data exporter, Octopus Data Inc. may modify or update these practices at its discretion provided that such modification and update does not result in a material degradation in the protection offered by these practices.
All capitalized terms not otherwise defined herein shall have the meanings as set forth in the Agreement.
a) Access Control
- Preventing Unauthorized Product Access
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Outsourced processing: Octopus Data Inc. hosts its Service with outsourced cloud infrastructure providers. Additionally, Octopus Data Inc. maintains contractual relationships with vendors in order to provide the Service in accordance with our Data Processing Agreement. Octopus Data Inc. relies on contractual agreements, privacy policies, and vendor compliance programs in order to protect data processed or stored by these vendors.
Physical and environmental security: Octopus Data Inc. hosts its product infrastructure with multi-tenant, outsourced infrastructure providers. The physical and environmental security controls are audited for SOC 2 Type II and ISO 27001 compliance, among other certifications.
Authentication: Octopus Data Inc. implemented a uniform password policy for its customer products. Customers who interact with the products via the user interface must authenticate before accessing non-public customer data.
Authorization: Customer data is stored in multi-tenant storage systems accessible to Customers via only application user interfaces and application programming interfaces. Customers are not allowed direct access to the underlying application infrastructure. The authorization model in each of Octopus Data Inc.’s products is designed to ensure that only the appropriately assigned individuals can access relevant features, views, and customization options. Authorization to data sets is performed through validating the user’s permissions against the attributes associated with each data set.
Application Programming Interface (API) access: Public product APIs may be accessed using an API key or through Oauth authorization.
- Preventing Unauthorized Product Use
Octopus Data Inc. implements industry standard access controls and detection capabilities for the internal networks that support its products.
Access controls: Network access control mechanisms are designed to prevent network traffic using unauthorized protocols from reaching the product infrastructure. The technical measures implemented differ between infrastructure providers and include Virtual Private Cloud (VPC) implementations, security group assignment, and traditional firewall rules.
Intrusion detection and prevention: Octopus Data Inc. implemented a Web Application Firewall (WAF) solution to protect hosted customer websites and other internet-accessible applications. The WAF is designed to identify and prevent attacks against publicly available network services.
Static code analysis: Security reviews of code stored in Octopus Data Inc.’s source code repositories is performed, checking for coding best practices and identifiable software flaws.
Penetration testing: Octopus Data Inc. maintains relationships with industry recognized penetration testing service providers for four annual penetration tests. The intent of the penetration tests is to identify and resolve foreseeable attack vectors and potential abuse scenarios.
Bug bounty: A bug bounty program invites and incentivizes independent security researchers to ethically discover and disclose security flaws. Octopus Data Inc. implemented a bug bounty program in an effort to widen the available opportunities to engage with the security community and improve the product defenses against sophisticated attacks.
- Limitations of Privilege & Authorization Requirements
Product access: A subset of Octopus Data Inc.’s employees have access to the products and to customer data via controlled interfaces. The intent of providing access to a subset of employees is to provide effective customer support, to troubleshoot potential problems, to detect and respond to security incidents and implement data security. Access is enabled through “just in time” requests for access; all such requests are logged. Employees are granted access by role, and reviews of high risk privilege grants are initiated daily. Employee roles are reviewed at least once every six months.
Background checks: All Octopus Data Inc. employees undergo a third-party background check prior to being extended an employment offer, in accordance with the applicable laws. All employees are required to conduct themselves in a manner consistent with company guidelines, non-disclosure requirements, and ethical standards.
b）Transmission Control
In-transit: Octopus Data Inc. makes HTTPS encryption (also referred to as SSL or TLS) available on every one of its login interfaces and for free on every customer site hosted on the Octopus Data Inc. products. Octopus Data Inc.’s HTTPS implementation uses industry standard algorithms and certificates.
At-rest: Octopus Data Inc. stores user passwords following policies that follow industry standard practices for security. With effect 25 May 2018, Octopus Data Inc. has implemented technologies to ensure that stored data is encrypted at rest.
c) Input Control
Detection: Octopus Data Inc. designed its infrastructure to log extensive information about the system behavior, traffic received, system authentication, and other application requests. Internal systems aggregated log data and alert appropriate employees of malicious, unintended, or anomalous activities. Octopus Data Inc. personnel, including security, operations, and support personnel, are responsive to known incidents.
Response and tracking: Octopus Data Inc. maintains a record of known security incidents that includes description, dates and times of relevant activities, and incident disposition. Suspected and confirmed security incidents are investigated by security, operations, or support personnel; and appropriate resolution steps are identified and documented. For any confirmed incidents, Octopus Data Inc. will take appropriate steps to minimize product and Customer damage or unauthorized disclosure.
Communication: If Octopus Data Inc. becomes aware of unlawful access to Customer data stored within its products, Octopus Data Inc. will:
- notify the affected Customers of the incident;
- provide a description of the steps Octopus Data Inc. is taking to resolve the incident; and
- provide status updates to the Customer contact, as Octopus Data Inc. deems necessary. Notification(s) of incidents, if any, will be delivered to one or more of the Customer’s contacts in a form Octopus Data Inc. selects, which may include via email or telephone.
d) Availability Control
Infrastructure availability: The infrastructure providers use commercially reasonable efforts to ensure a minimum of 99.95% uptime. The providers maintain a minimum of N+1 redundancy to power, network, and HVAC services.
Fault tolerance: Backup and replication strategies are designed to ensure redundancy and fail-over protections during a significant processing failure. Customer data is backed up to multiple durable data stores and replicated across multiple availability zones.
Online replicas and backups: Where feasible, production databases are designed to replicate data between no less than 1 primary and 1 secondary database. All databases are backed up and maintained using at least industry-standard methods.
Octopus Data Inc.’s products are designed to ensure redundancy and seamless failover. The server instances that support the products are also architected with a goal to prevent single points of failure. This design assists Octopus Data Inc. operations in maintaining and updating the product applications and backend while limiting downtime.