GDPR Data Processor Addendum
To the extent that Kollective Technology, Inc. (“Processor”) engages in the processing of personal
data on behalf of its customers (each a “Controller”), in the course of carrying out Processor’s
obligations under the applicable services agreement with the Controller (the “Agreement”), Processor
shall comply with all applicable data protection laws, including but not limited to European Union
Regulation 2016/679 (the General Data Protection Regulation or “GDPR”). Unless otherwise
specified all terms used herein shall have the same meaning as under the GDPR.
Without limiting the foregoing, each of Controller and Processor represent, warrant, and agree:
1. Processor shall implement appropriate technical and organizational measures designed in sucha manner that processing will meet the requirements of the GDPR and ensure the protection of
the rights of the data subject.
2. Controller grants Processor general authorization to engage other processor(s) (i.e. subprocessor(s)). Controller authorizes and consents to the use of those sub-processors alreadyengaged by Processor, specifically those listed in Appendix A-1; provided, however, that
Processor shall comply with the requirements of Section 3 below. Controller may find amechanism to subscribe to notifications here https://kollective.com/customer-opt-in for new subprocessors and if Controller subscribes, Processor shall provide notification of a new subprocessor(s) before authorizing any new sub-processor(s) to process personal data in connection
with the provision of the applicable services. Controller may object to Processor’s use of a new
sub-processor by notifying Processor promptly in writing within thirty (30) days after receipt ofProcessor’s notice at dpo@kollective.com. In the event Controller objects to a new sub-processor,
as permitted in the preceding sentence, Processor will use reasonable efforts to make available toController a change in the services or recommend a commercially reasonable change toController’s configuration or use of the services to avoid Processing of personal data by theobjected-to new sub-processor without unreasonably burdening Controller. If Processor is unable
to make available such change within a reasonable period of time, which shall not exceed sixty(60) days, Controller may terminate the applicable order form(s) with respect only to thoseservices which cannot be provided by Processor without the use of the objected-to new subprocessor by providing written notice to Processor.
3. Where Processor engages another processor for carrying out specific processing activities onbehalf of Controller, the same data protection obligations as set out in the Agreement and hereinshall be imposed on that other processor by way of a contract, and, such contract will provide
sufficient guarantees to implement appropriate technical and organizational measures in such amanner that the processing will meet the requirements of the GDPR and other applicable law.
Where that other processor fails to fulfil its data protection obligations, Processor shall remain
fully liable to Controller for the performance of that other processor's obligations.
4. Processing may only be undertaken for purposes set forth in Appendix A-1 setting out the subject
matter and duration of the processing to be undertaken, the nature and purpose of the processing,
the type of personal data and categories of data subjects to be processed, or written instructionsof the Controller, including without limitation specific written agreements between Processor andController.

15. Processor shall:(a) process the personal data only on documented instructions from the Controller (unless doing
so would be unlawful or change the services offered), including with regard to transfers of
personal data to a third country or an international organization, unless required to do so by
law to which the Processor is subject; in such a case, the Processor shall inform the Controllerof that legal requirement before processing, unless that law prohibits such information on
important grounds of public interest. Processor shall ensure that persons authorized to process
the personal data have committed themselves to confidentiality or are under an appropriate
statutory obligation of confidentiality;(b) secure all personal data, including taking all measures required pursuant to GDPR Article
32;(c) ensure that persons authorized to process the personal data have committed themselves toconfidentiality or are under an appropriate statutory obligation of confidentiality;(d) only engage another processor in compliance with the terms set forth in Sections 2 and 3 above;(e) At Controller’s expense, assist the Controller, taking into account the nature of theprocessing, by appropriate technical and organizational measures, insofar as this is possible,
for the fulfilment of the Controller's obligation to respond to requests for exercising the data
subject's rights laid down in Chapter III of the GDPR (GDPR Articles 12-23);(f) At Controller’s expense, assist the Controller in ensuring compliance with the obligations
pursuant to GDPR Articles 32 to 36 taking into account the nature of processing and theinformation available to the Processor;(g) at the choice of the Controller, delete or return all personal data to the Controller after theend of the provision of services relating to processing and delete existing copies unlessretention of the personal data is required by law; and(h) make available to the Controller all information reasonably necessary to demonstratecompliance with the obligations set forth herein and, at Controller’s expense, allow for andcontribute to audits, including inspections, conducted by the Controller or another auditor
mandated by the Controller, and Processor shall immediately inform Controller if, in its
opinion, an instruction infringes GDPR requirements or other European Union or Member
State data protection provisions.
6. If any of the personal data to be processed includes any data originating in the European
Economic Area or Switzerland, then Controller and Processor will agree and enter into theStandard Contractual Clauses which have been added as Appendix A-2 for the transfer of
personal data to processors established in third countries which do not ensure an adequate levelof data protection if applicable.

2Appendix A-1 to GDPR Data Processor Addendum

Data subjects
The personal data transferred concern the following categories of data subjects:•

Employees and contractors of the Controller

Categories of data
The personal data transferred concern the following categories of data:•

Full name•

Email address•

IP address•

Username

Special categories of data (if appropriate)
The personal data transferred concern the following special categories of data:•

Not Applicable. No special categories of personal data are processed by Kollective
Technology, Inc.

Processing operations
The personal data transferred will be subject to the following basic processing activities:•

Full name- Setting up user accounts•

Email address- Setting up user accounts•

Username- Setting up user accounts•

IP address- Used by Kollective application to build peering network3

Current Sub-processors:

Current Affiliates•••

Kollective Technology Limited- United Kingdom
Kollective Technology PTE LTD- Singapore
Kollective Technology Pty Ltd- Australia
4••

Kollective Technology GK- Japan
Kollective Technology (KT) GmbH- Germany

Description of the technical and organizational security measures implemented by Processor:
A. Purpose and ScopeIn developing the technical and organizational measures implemented by Kollective to ensure
secure processing in accordance with Art. 32 GDPR, Kollective has taken into account thefollowing key factors:
•
•
•
•
•

State of the art
Implementation costs
The nature, scope, context and purposes of processing
The likelihood and severity of risks of the processing for data subjects
The organizational measures taken to ensure that the level of protection for the processing of
personal data is adequate

Kollective shall take appropriate technical and organizational measures in accordance with Art.
32 GDPR such as:••••

Encryption of personal data
Confidentiality, integrity, availability and resilience of processing systems and services
The ability to restore the availability and access to personal data
A process for the regular review of the technical and organizational measures

B. Overview
1. Pseudonymization and Encryption of Personal Data••

Kollective does not perform pseudonymization.
Kollective policies require the encryption of sensitive information during transmission
over public networks and business data at rest.

2. Effectiveness of the Implemented Technical and Organizational Measures
Kollective has established a procedure for the regular review of the effectiveness of the technicaland organizational measures in order to ensure the security of the processing of personal data
(Art. 32 (1) GDPR).
3. Information Security Policy
There is an organizational information security policy (ISP), in which essential behaviors
regarding IT security and data protection are described. Employees are contractually obliged
to observe and comply with the ISP. Furthermore, upon the start of employment, employees
are required to read and sign the ISP and renew their acknowledgment annually. Training
courses on information security are distributed annually and are compulsory for continued
employment.
5

C. Controls
1. Logical and Physical Access Controls• Remote access to the hosted environment through the corporate network is restricted
to the VPN which also employs Pulse multi-factor authentication. Accounts arereviewed and approved according to the Kollective Least Privilege policy.
• Administrative level access is reviewed at the quarterly meeting to determine whether
access remains commensurate with job responsibilities.
• All access (Administrative & Non-Administrative) is reviewed at the quarterly
meeting to determine whether access remains commensurate with job responsibilities.
• Kollective Technology administrative and general user account passwords have thefollowing password parameters:i. Minimum eight (8) characters in length and require an alphanumeric
combination.
ii. Passwords are set with a 90-day expiration date.
iii. History: five (5) remembered passwords
iv. Auto-lockout: 30 minutes
v. Auto-lockout after five (5) logon attempts•• Kollective Technology IT performs periodic network testing using penetration andvulnerability assessment tools (e.g. Qualys.). The results of these reviews are
summarized in a report by Kollective Technology IT and presented to management.
• All administrative access to servers and network devices must be approved byOperations Management.
• HR provides termination notices to IT. Upon receipt of this notification, IT terminates
the account on the date of termination or within one day of receipt of the notice.
• Systems are configured to require a separate user ID and password.
• Kollective Technology’s employees are required by policy to periodically change theirpasswords and select passwords that are at least 8 characters and include a
combination of alphabetic and non-alphabetic characters.
• Data transmission between the user organizations and Kollective Technology isprotected against disclosure to third parties utilizing appropriate security protocols(e.g. SSL, TLS, etc.).
• Kollective policies require the encryption of sensitive information during transmission
over public networks and business data at rest.
• Backup data is encrypted during creation.
• Incidents are followed up on by Security Response Team as needed and documented
in an email with the appropriate parties being notified.
2. Systems Operations Controls• Weekly full-system and daily incremental backups are performed using an
automated system. Issues or anomalies are investigated and resolved to ensure afull backup is successfully achieved.
• Annually a test of restores is performed to ensure that data can be restored frombackups if needed.
• Kollective IT performs periodic network testing using penetration andvulnerability assessment tools (e.g. Qualys.). The results of these reviews are
summarized in a report by Kollective IT and presented to management.
• Operations personnel follow defined protocols for evaluating reported events.
Security related events are assigned to the security group for evaluation.
• For high severity incidents, a root cause analysis is prepared and reviewed by6

operations management. Based on the root cause analysis, change requests areprepared and the entity's risk management process and relevant risk management
data is updated to reflect the planned incident and problem resolution.
3. Change Management Controls• Management performs a review of operating system software, network
configuration and database software to ensure configuration settings and patchlevels are in compliance with the Corporate minimum security baselines and that
out-of- compliance configurations are corrected appropriately.
• Emergency changes must be approved by authorized personnel.
• Changes are reviewed at the weekly release management meeting and scheduled
for production to migration.
• The appropriate requestor, business owners, or project sponsor reviews andapproves changes prior to introduction into the production environment.
Approvals for release into production are based upon Quality Assurance (QA)
certification and are also captured in the weekly release management meeting.
• Separate environments are used for development, testing, and production.
• Developers do not have the ability to make changes to software in production.
4. Availability Control• Processing capacity is monitored on an ongoing basis. Issues or anomalies areinvestigated and resolved to ensure a predetermined capacity levels are
successfully maintained.
• Related party and vendor systems are subject to review as part of the vendor risk
management process. Attestation reports (SOC 2 reports) are obtained andevaluated when available.
• Business continuity and disaster recovery plans, including restoration of backups,
are updated and tested annually.
5. Confidentiality Controls• The ISP contains explicit language that does grant Kollective access and use ofconfidential information in a controlled manner.
• Application code restricts the ability to access, modify, and delete client data to
only authorized individuals.
• Policies and procedures are in place to restrict sharing of confidential client
information with vendors or other third parties.
• Management is responsible for changes to confidentiality practices andcommitments. A formal process is used to communicate these changes to users,
related parties, and vendors.
• Kollective has a documented data retention policy and has automated processes inplace to retain and dispose of information in accordance with those policies.

6. Monitoring of Controls• Monitoring software is used to identify and evaluate ongoing system performance,
security threats, changing resource utilization needs, and unusual system activity.
7. Risk Management and Design and Implementation Controls• Kollective has a defined risk acceptance policy that specifies risk tolerances andthe process for evaluating risks based on identified threats and the specified
tolerances. Identified risks are rated using a risk ranking, and Kollective develops
risk mitigation strategies to manage the impact of those risks.
7•On a quarterly basis, management performs a risk assessment to identify and rate
key threats and risks.

8. Communications Controls• Kollective has also established a Security and Compliance Overview document
highlighting Kollective’ss security commitments that is shared with external users
at the time of registration.
• Kollective’s security, availability, and confidentiality commitments and related
responsibilities, including management, operational, and technical controls; theincident management process; how to contact Kollective with inquiries,
complaints, and disputes; customer responsibilities; and legal requirements, arecommunicated to customers through contracts, service level agreements, terms ofservice and other documentation which are communicated to every customer
during initial onboarding or are made available on Kollective sites and audit
reports.

9. Organization and Management Controls• Management establishes training plans and requirements for continued training for
its employees.
• Personnel are required to read and accept the Employee Handbook which contains
the Business Ethics and code of conduct and the statement of confidentiality andprivacy practices upon their hire.
• Personnel must pass a criminal background check before they may be hired by
Kollective.
• Employees are required to attend security, availability, and confidentiality training
during the onboarding process. They are required to read and accept Kollective’s
security, availability, and confidentiality commitments upon hire.

8Appendix A-2 to GDPR Data Processor Addendum
STANDARD CONTRACTUAL CLAUSESSECTION I

Clause 1(a)

Purpose and scope
The purpose of these standard contractual clauses is to ensure compliance with the requirementsof 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 freemovement of such data (General Data Protection Regulation)(1) for the transfer of personal data toa third country.

(b)

The Parties:(i)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 ‘dataexporter’), and(ii)

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’).

(c)These Clauses apply with respect to the transfer of personal data as specified in Annex I.B.

(d)

The Appendix to these Clauses containing the Annexes referred to therein forms an integral partof these Clauses.
Clause 2(a)

Effect and invariability of the Clauses
These Clauses set out appropriate safeguards, including enforceable data subject rights andeffective 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 toprocessors, standard contractual clauses pursuant to Article 28(7) of Regulation (EU) 2016/679,(1)

Where the data exporter is a processor subject to Regulation (EU) 2016/679 acting on behalf of a Union institution
or body as controller, reliance on these Clauses when engaging another processor (sub-processing) not subject toRegulation (EU) 2016/679 also ensures compliance with Article 29(4) of Regulation (EU) 2018/1725 of theEuropean Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to theprocessing of personal data by the Union institutions, bodies, offices and agencies and on the free movement ofsuch data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p.
39), to the extent these Clauses and the data protection obligations as set out in the contract or other legal act
between the controller and the processor pursuant to Article 29(3) of Regulation (EU) 2018/1725 are aligned. This
will in particular be the case where the controller and processor rely on the standard contractual clauses included in
Decision 2021/915.

9

provided they are not modified, except to 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 oradditional safeguards, provided that they do not contradict, directly or indirectly, these Clauses or
prejudice the fundamental rights or freedoms of data subjects.
(b)

These Clauses are without prejudice to obligations to which the data exporter is subject by virtueof Regulation (EU) 2016/679.
Clause 3
Third-party beneficiaries(a) Data subjects may invoke and enforce these Clauses, as third-party beneficiaries, against thedata exporter and/or data importer, with the following exceptions:(i)Clause 1, Clause 2, Clause 3, Clause 6, Clause 7;(ii) Clause 8 – Module One: Clause 8.5 (e) and Clause 8.9(b); Module Two: Clause 8.1(b), 8.9(a),(c), (d) and (e); Module Three: 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);(iii)Clause 9 – Module Two: Clause 9(a), (c), (d) and (e); Module Three: Clause 9(a), (c), (d) and(e);(iv) Clause 12 – Module One: Clause 12(a) and (d); Modules Two and Three: Clause 12(a), (d)and (f);(v) Clause 13;(vi) Clause 15.1(c), (d) and (e);(vii)

Clause 16(e);(viii)
18.

Clause 18 – Modules One, Two and Three: Clause 18(a) and (b); Module Four: Clause(b) Paragraph (a) is without prejudice to rights of data subjects under Regulation (EU) 2016/679.

Clause 4
Interpretation(a)Where these Clauses use terms that are defined in Regulation (EU) 2016/679, those terms shallhave 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.

(c)

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
10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(a)An entity that is not a Party to these Clauses may, with the agreement of the Parties, accede tothese Clauses at any time, either as a data exporter or as a data importer, by completing the
Appendix and signing Annex I.A.

(b)

Once it has completed the Appendix and signed Annex I.A, the acceding entity shall become aParty to these Clauses and have the rights and obligations of a data exporter or data importer inaccordance with its designation in Annex I.A.

(c)

The acceding entity shall have no rights or obligations arising under these Clauses from the periodprior to becoming a Party.
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 isable, through the implementation of appropriate technical and organisational measures, to satisfy its
obligations under these Clauses.
8.1 Instructions(a) The data importer shall process the personal data only on documented instructions from thedata exporter. The data exporter may give such instructions throughout the duration of thecontract.
(b) The data importer shall immediately inform the data exporter if it is unable to follow those
instructions.
8.2Purpose limitation
The data importer shall process the personal data only for the specific purpose(s) of thetransfer, as set out in Annex I. B, unless on further instructions from the data exporter.
8.3 Transparency11

On request, the data exporter shall make a copy of these Clauses, including the Appendix ascompleted by the Parties, available to the data subject free of charge. To the extent necessary
to protect business secrets or other confidential information, including the measures describedin Annex II and personal data, the data exporter may redact part of the text of the Appendix tothese Clauses prior to sharing a copy, but shall provide a meaningful summary where the data
subject would otherwise not be able to understand the its content or exercise his/her rights. On
request, the Parties shall provide the data subject with the reasons for the redactions, to theextent possible without revealing the redacted information. This Clause is without prejudice tothe obligations of the data exporter under Articles 13 and 14 of Regulation (EU) 2016/679.

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 erase or rectify 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 choiceof the data exporter, delete all personal data processed on behalf of the data exporter andcertify to the data exporter that it has done so, or return to the data exporter all personal dataprocessed 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 Clause14(a).

8.6 Security of processing(a)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, the Parties 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 subjects. The Parties shall in particularconsider 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. In complying with
its obligations under this paragraph, the data importer shall at least implement the technicaland organisational measures specified in Annex II. The data importer shall carry out regularchecks to ensure that these measures continue to provide an appropriate level of security.

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(b)
The data importer shall grant access to the personal 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 havecommitted themselves to confidentiality or are under an appropriate statutory obligation ofconfidentiality.
(c)
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 the data exporter without undue delay after having become aware of the breach. Such
notification shall contain the details of a contact point where more information can beobtained, a description of the nature of the breach (including, where possible, categories andapproximate number of data subjects and personal data records concerned), its likely
consequences and the measures taken or proposed to address the breach including, whereappropriate, 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 containthe information then available and further information shall, as it becomes available,
subsequently be provided without undue delay.
(d)
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 the competent supervisory authority and the affected data subjects, taking into accountthe 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 additionalsafeguards described 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 data exporter. In addition, the data may only be disclosed to a third party
located outside the European Union(2) (in the same country as the data importer or in anotherthird country, hereinafter ‘onward transfer’) if the third party is or agrees to be bound by these
Clauses, under the appropriate Module, or if:(i) 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;(ii) the third party otherwise ensures appropriate safeguards pursuant to Articles 46 or 47
Regulation of (EU) 2016/679 with respect to the processing in question;(2)

The Agreement on the European Economic Area (EEA Agreement) provides for the extension of the European
Union’s internal market to the three EEA States Iceland, Liechtenstein and Norway. The Union data protection
legislation, including Regulation (EU) 2016/679, is covered by the EEA Agreement and has been incorporated into
Annex XI thereto. Therefore, any disclosure by the data importer to a third party located in the EEA does not
qualify as an onward transfer for the purpose of these Clauses.

13

(iii)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(iv) the onward transfer is necessary in order to protect the vital interests of the data subject or ofanother 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.

8.9Documentation and compliance(a) The data importer shall promptly and adequately deal with enquiries from the data exporterthat relate to the processing under these Clauses.
(b) 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 onbehalf of the data exporter.
(c) The data importer shall make available to the data exporter all information necessary todemonstrate compliance with the obligations set out in these Clauses and at the data
exporter’s request, allow for and contribute to audits of the processing activities covered bythese Clauses, at reasonable intervals or if there are indications of non- compliance. In
deciding on a review or audit, the data exporter may take into account relevant certifications
held by the data importer.
(d) 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.
(e) The Parties shall make the information referred to in paragraphs (b) and (c), including theresults of any audits, available to the competent supervisory authority on request.
Clause 9
Use of sub-processors

OPTION 2: GENERAL WRITTEN AUTHORISATION The data importer has the data
exporter’s general authorisation for the engagement of sub-processor(s) from an agreed list. The
data importer shall specifically inform the data exporter in writing of any intended changes tothat list through the addition or replacement of sub-processors at least 30 daysin advance,
thereby giving the data exporter sufficient time to be able to object to such changes prior to theengagement of the sub-processor(s). The data importer shall provide the data exporter with theinformation necessary to enable the data exporter to exercise its right to object.
(a) Where the data importer engages a sub-processor to carry out specific processing activities (onbehalf of the data exporter), 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.(3) The Parties agree
that, by complying with this Clause, the data importer fulfils its obligations under Clause 8.8. The(3)This requirement may be satisfied by the sub-processor acceding to these Clauses under theappropriate Module, in accordance with Clause 7.
14

data importer shall ensure that the sub-processor complies with the obligations to which the data
importer is subject pursuant to these Clauses.
(b) The data importer shall provide, at the data exporter’s request, a copy of such a sub-processor
agreement and any subsequent amendments to the data exporter. 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.
(c) 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 shallnotify the data exporter of any failure by the sub-processor to fulfil its obligations under that
contract.
(d) The data importer shall agree a third-party beneficiary clause with the sub-processor whereby – inthe 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(a) The data importer shall promptly notify the data exporter of any request it has received from adata subject. It shall not respond to that request itself unless it has been authorised to do so by
the data exporter.
(b)

The data importer shall assist the data exporter in fulfilling its obligations to respond to data
subjects’ requests for the exercise of their rights under Regulation (EU) 2016/679. 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 thescope and the extent of the assistance required.

(c)

In fulfilling its obligations under paragraphs (a) and (b), the data importer shall comply with the
instructions from the data exporter.

Clause 11
Redress(a)

The data importer shall inform data subjects in a transparent and easily accessible format, throughindividual 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.

(b)

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 inresolving them.

(c)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:(i)lodge a complaint with the supervisory authority in the Member State of his/her habitualresidence or place of work, or the competent supervisory authority pursuant to Clause 13;
15

(ii)

refer the dispute to the competent courts within the meaning of Clause 18.
(d) 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.
(e) The data importer shall abide by a decision that is binding under the applicable EU or Member
State law.
(f) 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(a) Each Party shall be liable to the other Party/ies for any damages it causes the other Party/ies byany breach of these Clauses.
(b) 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 Clauses.
(c) 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 thedata exporter or the data importer (or its sub- processor) causes the data subject by breaching thethird-party beneficiary rights under these Clauses. This is without prejudice to the liability of thedata exporter and, where the data exporter is a processor acting on behalf of a controller, to theliability of the controller under Regulation (EU) 2016/679 or Regulation (EU) 2018/1725, asapplicable.
(d) The Parties agree that if the data exporter is held liable under paragraph (c) for damages causedby the data importer (or its sub-processor), it shall be entitled to claim back from the data importerthat part of the compensation corresponding to the data importer’s responsibility for the damage.
(e) Where more than one Party is responsible for any damage caused to the data subject as a result ofa 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 Parties.
(f) 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 damage.
(g) The data importer may not invoke the conduct of a sub-processor to avoid its own liability.
Clause 13
Supervision(a) 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 ascompetent supervisory authority.
(b) The data importer agrees to submit itself to the jurisdiction of and cooperate with the competentsupervisory authority in any procedures aimed at ensuring compliance with these Clauses. In
particular, the data importer agrees to respond to enquiries, submit to audits and comply with themeasures adopted by the supervisory authority, including remedial and compensatory measures.
It shall provide the supervisory authority with written confirmation that the necessary actions havebeen taken.
16

SECTION III – LOCAL LAWS AND OBLIGATIONS IN CASE OF ACCESS BY PUBLIC
AUTHORITIESClause 14
Local laws and practices affecting compliance with the Clauses(a) 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 publicauthorities, prevent the data importer from fulfilling its obligations under these Clauses. This isbased 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 incontradiction with these Clauses.
(b) The Parties declare that in providing the warranty in paragraph (a), they have taken due
account in particular of the following elements:(i) the specific circumstances of the transfer, including the length of the processing chain, thenumber of actors involved and the transmission channels used; intended onward transfers; thetype of recipient; the purpose of processing; the categories and format of the transferredpersonal data; the economic sector in which the transfer occurs; the storage location of the datatransferred;(ii) the laws and practices of the third country of destination– including those requiring thedisclosure of data to public authorities or authorising access by such authorities – relevant inlight of the specific circumstances of the transfer, and the applicable limitations andsafeguards(4);(iii) any relevant contractual, technical or organisational safeguards put in place to supplement thesafeguards under these Clauses, including measures applied during transmission and to theprocessing of the personal data in the country of destination.
(c) 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 willcontinue to cooperate with the data exporter in ensuring compliance with these Clauses.

(4)

As regards the impact of such laws and practices on compliance with these Clauses, different elements may beconsidered as part of an overall assessment. Such elements may include relevant and documented practicalexperience with prior instances of requests for disclosure from public authorities, or the absence of such requests,
covering a sufficiently representative time-frame. This refers in particular to internal records or otherdocumentation, drawn up on a continuous basis in accordance with due diligence and certified at senior
management level, provided that this information can be lawfully shared with third parties. Where this practicalexperience is relied upon to conclude that the data importer will not be prevented from complying with these
Clauses, it needs to be supported by other relevant, objective elements, and it is for the Parties to consider carefully
whether these elements together carry sufficient weight, in terms of their reliability and representativeness, tosupport this conclusion. In particular, the Parties have to take into account whether their practical experience iscorroborated and not contradicted by publicly available or otherwise accessible, reliable information on theexistence or absence of requests within the same sector and/or the application of the law in practice, such as caselaw and reports by independent oversight bodies.

17(d) The Parties agree to document the assessment under paragraph (b) and make it available tothe competent supervisory authority on request.
(e) 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 achange in the laws of the third country or a measure (such as a disclosure request) indicating anapplication of such laws in practice that is not in line with the requirements in paragraph (a). [ForModule Three: The data exporter shall forward the notification to the controller.](f) 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 toaddress the situation [for Module Three:, if appropriate in consultation with the controller]. The
data exporter shall suspend the data transfer if it considers that no appropriate safeguards for suchtransfer can be ensured, or if instructed by [for Module Three: the controller or] the competentsupervisory authority to do so. In this case, the data exporter shall be entitled to terminate thecontract, 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 withrespect to the relevant Party, unless the Parties have agreed otherwise. Where the contract isterminated pursuant to this Clause, Clause 16(d) and (e) shall apply.

Clause 15

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

15.1 Notification(a) 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:(i) 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 datatransferred pursuant to these Clauses; such notification shall include information about
the personal data requested, the requesting authority, the legal basis for the request andthe response provided; or(ii) becomes aware of any direct access by public authorities to personal data transferredpursuant to these Clauses in accordance with the laws of the country of destination; such
notification shall include all information available to the importer.
(b)
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 muchinformation 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 exporter.
18

(c)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, withas much relevant information as possible on the requests received (in particular, number ofrequests, type of data requested, requesting authority/ies, whether requests have beenchallenged and the outcome of such challenges, etc.).
(d)
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 request.
(e)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 isunable to comply with these Clauses.

15.2 Review of legality and data minimisation(a)
The data importer agrees to review the legality of the request for disclosure, inparticular 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 reasonablegrounds 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 effectsof the request until the competent judicial authority has decided on its merits. It shall notdisclose 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).
(b)
The data importer agrees to document its legal assessment and any challenge to therequest for disclosure and, to the extent permissible under the laws of the country ofdestination, make the documentation available to the data exporter. It shall also make itavailable to the competent supervisory authority on request. [For Module Three: The data
exporter shall make the assessment available to the controller.](c)
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 therequest.
SECTION IV – FINAL PROVISIONS

Clause 16
Non-compliance with the Clauses and termination(a) The data importer shall promptly inform the data exporter if it is unable to comply with these
Clauses, for whatever reason.
(b) 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
19

compliance is again ensured or the contract is terminated. This is without prejudice to Clause
14(f).
(c) The data exporter shall be entitled to terminate the contract, insofar as it concerns theprocessing of personal data under these Clauses, where:(i) the data exporter has suspended the transfer of personal data to the data importer pursuant toparagraph (b) and compliance with these Clauses is not restored within a reasonable time andin any event within one month of suspension;(ii) the data importer is in substantial or persistent breach of these Clauses; or(iii) the data importer fails to comply with a binding decision of a competent court or supervisory
authority regarding its obligations under these Clauses.
In these cases, it shall inform the competent supervisory authority [for Module Three: and thecontroller] 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 theParties have agreed otherwise.
(d) [For Modules One, Two and Three: Personal data that has been transferred prior to thetermination 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.] [For Module Four: Personal data collected by the data exporter in the EU thathas been transferred prior to the termination of the contract pursuant to paragraph (c) shallimmediately be deleted in its entirety, including any copy thereof.] 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 thedata to the extent and for as long as required under that local law.
(e) 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. Thisis 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 one of the EU Member States, provided such law
allows for third- party beneficiary rights. The Parties agree that this shall be the law of Germany.
Clause 18
Choice of forum and jurisdiction(a) Any dispute arising from these Clauses shall be resolved by the courts of an EU Member State.
(b) The Parties agree that those shall be the courts of Germany.
(c) 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.
(d) The Parties agree to submit themselves to the jurisdiction of such courts.
20

21

Exhibit 1A: ANNEX I
Annex I to the Standard Contractual Clauses
For purposes of this Annex I, “personal data” shall include Buyer Personal Information.
A. LIST OF PARTIES
A-1. Module Selection

Check which option(s) applies
MODULE ONE: Transfer controller to controller
XXX

MODULE TWO: Transfer controller to processor
MODULE THREE: Transfer processor to processor
MODULE FOUR: Transfer processor to controller

A-2. Data exporter(s):Company Name
Company AddressCompany Role (Controller orProcessor or Both)Controller

Contact Person Name
Contact Person Position/Title

DPO

Contact Person Email and/or
Telephone Number
Description of the activities
relevant to the data transferred bythis company

Digital content delivery network infrastructure

Name of person signing (does notneed to be the contact)
Title of person signing

DPO

Signature
Signature date22

A-3. Data importer(s):Company Name

Kollective Technology, Inc.

Company Address

549 NW York Drive, Suite 260, Bend, OR 97703 USA

Company Role (Controller orProcessor or Both)

Processor

Contact Person Name

Brock Beckner

Contact Person Position/Title

Data Processing Officer

Contact Person Email and/or
Telephone Number

bbeckner@kollective.com

Description of the activities
relevant to the data transferred bythis company

Digital content delivery network infrastructure

Name of person signing (does notneed to be the contact)

Brock Beckner

Title of person signing

DPO

Signature
Signature date
B. DESCRIPTION OF TRANSFER
B-1. Categories of data subjects whose personal data is transferred
The personal data transferred concern the following categories of data subjects:•

Controller’s employees and contractors

B-2. Categories of personal data transferred
The personal data transferred concern the following categories of data:•

Full name•

Email address•

IP address•

Username

B-3. Sensitive data transferred (if applicable) and applied restrictions or safeguards that23

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 foronward transfers or additional security measures.
The personal data transferred concern the following special categories of data:
None
B-4. The frequency of the transfer (e.g., whether the data is transferred on a one-off orcontinuous basis).
The frequency will be on an as-needed basis to support the work under the Agreement.
B-5. Nature of the processing
The nature of the Services being provided are set forth in the Agreement and any Statement ofWork executed pursuant to, or Order issued under, the Agreement. The data importer will only
process personal data for the purpose of providing those Services.
B-6. Purpose(s) of the data transfer and further processing
The data importers are service providers for customer. They will Process the data only to provide
the Services under the Agreement.
B-7. The period for which the personal data will be retained, or, if that is not possible, thecriteria used to determine that period
Personal data shall be retained only so long as required to perform the Services under the
Agreement and/or any Statement of Work executed pursuant to, or Order issued under, theAgreement.
B-8. For transfers to (sub-) processors, also specify subject matter, nature, and duration of
the processing
Any transfers to sub-processors will be consistent with the terms of the Standard Contractual
Clauses, the Section of the Terms and Conditions entitled “Data Privacy”, and this Annex I.

C. COMPETENT SUPERVISORY AUTHORITY
Identify the competent supervisory authority/ies in accordance with Clause 13:
Member State in which the relevant data exporter is established, which for the purposes of theAgreement will be considered the law of establishment of the relevant data controller.

24

Exhibit 1B: ANNEX IITECHNICAL AND ORGANISATIONAL MEASURES INCLUDING TECHNICAL AND
ORGANISATIONAL
MEASURES TO ENSURE THE SECURITY OF THE DATA
The data importer undertakes to institute and maintain physical, technical, and organizational security
measures in order to maintain and to protect the security of personal data created, collected, received,or otherwise obtained in connection with the Agreement, and the processing operations provided
thereunder, which measures are required for the processing of personal data in accordance with therelevant data protection laws in the European Union.
The technical and organisational security measures of the data importer shall include, as a minimum,
the following (as may be updated from time to time).
Description of the technical and organizational security measures implemented by Processor:
A. Purpose and ScopeIn developing the technical and organizational measures implemented by Kollective to ensure
secure processing in accordance with Art. 32 GDPR, Kollective has taken into account thefollowing key factors:
•
•
•
•
•

State of the art
Implementation costs
The nature, scope, context and purposes of processing
The likelihood and severity of risks of the processing for data subjects
The organizational measures taken to ensure that the level of protection for the processing of
personal data is adequate

Kollective shall take appropriate technical and organizational measures in accordance with Art.
32 GDPR such as:••••

Encryption of personal data
Confidentiality, integrity, availability and resilience of processing systems and services
The ability to restore the availability and access to personal data
A process for the regular review of the technical and organizational measures

B. Overview
1. Pseudonymization and Encryption of Personal Data••

Kollective does not perform pseudonymization.
Kollective policies require the encryption of sensitive information during transmission
over public networks and business data at rest.

2. Effectiveness of the Implemented Technical and Organizational Measures
Kollective has established a procedure for the regular review of the effectiveness of the technicaland organizational measures in order to ensure the security of the processing of personal data25

(Art. 32 (1) GDPR).
3. Information Security Policy
There is an organizational information security policy (ISP), in which essential behaviors
regarding IT security and data protection are described. Employees are contractually obliged
to observe and comply with the ISP. Furthermore, upon the start of employment, employees
are required to read and sign the ISP and renew their acknowledgment annually. Training
courses on information security are distributed annually and are compulsory for continued
employment.
C. Controls
1. Logical and Physical Access Controls• Remote access to the hosted environment through the corporate network is restricted
to the VPN which also employs Pulse multi-factor authentication. Accounts arereviewed and approved according to the Kollective Least Privilege policy.
• Administrative level access is reviewed at the quarterly meeting to determine whether
access remains commensurate with job responsibilities.
• All access (Administrative & Non-Administrative) is reviewed at the quarterly
meeting to determine whether access remains commensurate with job responsibilities.
• Kollective Technology administrative and general user account passwords have thefollowing password parameters:i. Minimum eight (8) characters in length and require an alphanumeric
combination.
ii. Passwords are set with a 90-day expiration date.
iii. History: five (5) remembered passwords
iv. Auto-lockout: 30 minutes
v. Auto-lockout after five (5) logon attempts•• Kollective Technology IT performs periodic network testing using penetration andvulnerability assessment tools (e.g. Qualys.). The results of these reviews are
summarized in a report by Kollective Technology IT and presented to management.
• All administrative access to servers and network devices must be approved byOperations Management.
• HR provides termination notices to IT. Upon receipt of this notification, IT terminates
the account on the date of termination or within one day of receipt of the notice.
• Systems are configured to require a separate user ID and password.
• Kollective Technology’s employees are required by policy to periodically change theirpasswords and select passwords that are at least 8 characters and include a
combination of alphabetic and non-alphabetic characters.
• Data transmission between the user organizations and Kollective Technology isprotected against disclosure to third parties utilizing appropriate security protocols(e.g. SSL, TLS, etc.).
• Kollective policies require the encryption of sensitive information during transmission
over public networks and business data at rest.
• Backup data is encrypted during creation.
• Incidents are followed up on by Security Response Team as needed and documented
in an email with the appropriate parties being notified.
2. Systems Operations Controls• Weekly full-system and daily incremental backups are performed using an
26

•
•
•
•

automated system. Issues or anomalies are investigated and resolved to ensure afull backup is successfully achieved.
Annually a test of restores is performed to ensure that data can be restored frombackups if needed.
Kollective IT performs periodic network testing using penetration andvulnerability assessment tools (e.g. Qualys.). The results of these reviews are
summarized in a report by Kollective IT and presented to management.
Operations personnel follow defined protocols for evaluating reported events.
Security related events are assigned to the security group for evaluation.
For high severity incidents, a root cause analysis is prepared and reviewed byoperations management. Based on the root cause analysis, change requests areprepared and the entity's risk management process and relevant risk management
data is updated to reflect the planned incident and problem resolution.

3. Change Management Controls• Management performs a review of operating system software, network
configuration and database software to ensure configuration settings and patchlevels are in compliance with the Corporate minimum security baselines and that
out-of- compliance configurations are corrected appropriately.
• Emergency changes must be approved by authorized personnel.
• Changes are reviewed at the weekly release management meeting and scheduled
for production to migration.
• The appropriate requestor, business owners, or project sponsor reviews andapproves changes prior to introduction into the production environment.
Approvals for release into production are based upon Quality Assurance (QA)
certification and are also captured in the weekly release management meeting.
• Separate environments are used for development, testing, and production.
• Developers do not have the ability to make changes to software in production.
4. Availability Control• Processing capacity is monitored on an ongoing basis. Issues or anomalies areinvestigated and resolved to ensure a predetermined capacity levels are
successfully maintained.
• Related party and vendor systems are subject to review as part of the vendor risk
management process. Attestation reports (SOC 2 reports) are obtained andevaluated when available.
• Business continuity and disaster recovery plans, including restoration of backups,
are updated and tested annually.
5. Confidentiality Controls• The ISP contains explicit language that does grant Kollective access and use ofconfidential information in a controlled manner.
• Application code restricts the ability to access, modify, and delete client data to
only authorized individuals.
• Policies and procedures are in place to restrict sharing of confidential client
information with vendors or other third parties.
• Management is responsible for changes to confidentiality practices andcommitments. A formal process is used to communicate these changes to users,
related parties, and vendors.
• Kollective has a documented data retention policy and has automated processes inplace to retain and dispose of information in accordance with those policies.
27

6. Monitoring of Controls• Monitoring software is used to identify and evaluate ongoing system performance,
security threats, changing resource utilization needs, and unusual system activity.
7. Risk Management and Design and Implementation Controls• Kollective has a defined risk acceptance policy that specifies risk tolerances andthe process for evaluating risks based on identified threats and the specified
tolerances. Identified risks are rated using a risk ranking, and Kollective develops
risk mitigation strategies to manage the impact of those risks.
• On a quarterly basis, management performs a risk assessment to identify and rate
key threats and risks.
8. Communications Controls• Kollective has also established a Security and Compliance Overview document
highlighting Kollective’ss security commitments that is shared with external users
at the time of registration.
• Kollective’s security, availability, and confidentiality commitments and related
responsibilities, including management, operational, and technical controls; theincident management process; how to contact Kollective with inquiries,
complaints, and disputes; customer responsibilities; and legal requirements, arecommunicated to customers through contracts, service level agreements, terms ofservice and other documentation which are communicated to every customer
during initial onboarding or are made available on Kollective sites and audit
reports.

9. Organization and Management Controls• Management establishes training plans and requirements for continued training for
its employees.
• Personnel are required to read and accept the Employee Handbook which contains
the Business Ethics and code of conduct and the statement of confidentiality andprivacy practices upon their hire.
• Personnel must pass a criminal background check before they may be hired by
Kollective.
• Employees are required to attend security, availability, and confidentiality training
during the onboarding process. They are required to read and accept Kollective’s
security, availability, and confidentiality commitments upon hire.

28

Exhibit 1C: ANNEX III
LIST OF SUB-PROCESSORSEXPLANATORY NOTE:This Annex must be completed for Modules Two and Three, in case of the specific authorization of
sub-processors (Clause 9(a), Option 1).
The controller has authorised the use of the following sub-processors:29

Signing the Standard Contractual Clauses, Appendix 1 and Appendix 2, on behalf of the Data
Importer:
Signature:

Brock Beckner
Data Protection Officer30